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 Detecting and Classifying
Low Probability of Intercept Radar
Second Edition
 DISCLAIMER OF WARRANTY
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 Detecting and Classifying
Low Probability of Intercept Radar
Second Edition

Phillip E. Pace
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 To my wife,
Ann Marie Pace,
and
to our children,
Amanda, Zachary, and Molly
Contents
Foreword xix

Preface xxi

Acknowledgments xxix

PART I: FUNDAMENTALS OF LPI RADAR DESIGN 1

1 To See and Not Be Seen 3

1.1 The Requirement for LPI . . . . . . . . . . . . . . . . . . . . 3
1.2 Characteristics of LPI Radar . . . . . . . . . . . . . . . . . . 5
1.2.1 Antenna Considerations . . . . . . . . . . . . . . . . . 5
1.2.2 Achieving Ultra-Low Side Lobes . . . . . . . . . . . . 7
1.2.3 Antenna Scan Patterns for Search Processing . . . . . 10
1.2.4 Advanced Multifunction RF Concept . . . . . . . . . . 13
1.2.5 Transmitter Considerations . . . . . . . . . . . . . . . 14
1.2.6 Power Management . . . . . . . . . . . . . . . . . . . 16
1.2.7 Carrier Frequency Considerations . . . . . . . . . . . . 17
1.3 Pulse Compression—The Key to LPI Radar . . . . . . . . . . 18
1.4 Radar Detection Range . . . . . . . . . . . . . . . . . . . . . 24
1.5 Interception Range . . . . . . . . . . . . . . . . . . . . . . . . 27
1.6 Comparing Radar Range and Interception Range . . . . . . . 29
1.7 The Pilot LPI Radar . . . . . . . . . . . . . . . . . . . . . . . 31
1.8 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . 36
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

2 LPI Technology and Applications 41

2.1 Altimeters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
2.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . 41
2.1.2 Fielded LPI Altimeters . . . . . . . . . . . . . . . . . 42
2.2 Landing Systems . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . 45

vii
viii Detecting and Classifying LPI Radar

2.2.2 Fielded LPI Landing Systems . . . . . . . . . . . . . . 46

2.3 Surveillance and Fire Control Radar . . . . . . . . . . . . . . 48
2.3.1 Battlefield Awareness . . . . . . . . . . . . . . . . . . 48
2.3.2 LPI Ground-Based Systems . . . . . . . . . . . . . . . 48
2.3.3 LPI Airborne Systems . . . . . . . . . . . . . . . . . . 56
2.4 Antiship Capable Missile and Torpedo Seekers . . . . . . . . 58
2.4.1 A Significant Threat to Surface Navies . . . . . . . . . 58
2.4.2 Fielded LPI Seeker Systems . . . . . . . . . . . . . . . 58
2.5 Summary of LPI Radar Systems . . . . . . . . . . . . . . . . 62
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

3 Ambiguity Analysis of LPI Waveforms 67

3.1 The Ambiguity Function . . . . . . . . . . . . . . . . . . . . . 68
3.2 Periodic Autocorrelation Function . . . . . . . . . . . . . . . 68
3.3 Periodic Ambiguity Function . . . . . . . . . . . . . . . . . . 69
3.3.1 Periodicity of the PAF . . . . . . . . . . . . . . . . . . 70
3.3.2 Peak and Integrated Side Lobe Levels . . . . . . . . . 70
3.4 Frank Phase Modulation Example . . . . . . . . . . . . . . . 71
3.4.1 Transmitted Waveform . . . . . . . . . . . . . . . . . . 71
3.4.2 Simulation Results . . . . . . . . . . . . . . . . . . . . 72
3.5 Reducing the Doppler Side Lobes . . . . . . . . . . . . . . . . 75
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

4 FMCW Radar 81
4.1 Advantages of FMCW . . . . . . . . . . . . . . . . . . . . . . 81
4.2 Single Antenna LPI Radar for Target Detection . . . . . . . . 83
4.3 Transmitted Waveform Design . . . . . . . . . . . . . . . . . 86
4.3.1 Triangular Waveform . . . . . . . . . . . . . . . . . . . 86
4.3.2 Waveform Spectrum . . . . . . . . . . . . . . . . . . . 89
4.3.3 Generating Linear FM Waveforms . . . . . . . . . . . 91
4.4 Receiver-Transmitter Isolation . . . . . . . . . . . . . . . . . 94
4.4.1 Transmission Line Basics . . . . . . . . . . . . . . . . 95
4.4.2 Single Antenna Isolation Using a Circulator . . . . . . 96
4.4.3 Single Antenna Isolation Using a Reflected Power
Canceler . . . . . . . . . . . . . . . . . . . . . . . . . . 97
4.5 The Received Signal . . . . . . . . . . . . . . . . . . . . . . . 100
4.6 LPI Search Mode Processing . . . . . . . . . . . . . . . . . . 101
4.7 Track Mode Processing Techniques . . . . . . . . . . . . . . . 104
4.8 Effect of Sweep Nonlinearities . . . . . . . . . . . . . . . . . . 105
4.9 Moving Target Indication Filtering . . . . . . . . . . . . . . . 107
4.10 Matched Receiver Response . . . . . . . . . . . . . . . . . . . 108
4.11 Mismatched Receiver Response . . . . . . . . . . . . . . . . . 110
 Table of Contents ix

4.12 PANDORA FMCW Radar . . . . . . . . . . . . . . . . . . . 113

4.13 Electronic Attack Considerations . . . . . . . . . . . . . . . . 115
4.14 Technology Trends for FMCW Emitters . . . . . . . . . . . . 115
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122

5 Phase Shift Keying Techniques 125

5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.2 The Transmitted Signal . . . . . . . . . . . . . . . . . . . . . 126
5.3 Binary Phase Codes . . . . . . . . . . . . . . . . . . . . . . . 128
5.4 Polyphase Codes . . . . . . . . . . . . . . . . . . . . . . . . . 133
5.5 Polyphase Barker Codes . . . . . . . . . . . . . . . . . . . . . 134
5.6 Frank Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
5.7 P1 Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
5.8 P2 Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
5.9 P3 Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
5.10 P4 Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
5.11 Polytime Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 163
5.11.1 T1(n) Code . . . . . . . . . . . . . . . . . . . . . . . . 163
5.11.2 T2(n) Code . . . . . . . . . . . . . . . . . . . . . . . . 165
5.11.3 T3(n) Code . . . . . . . . . . . . . . . . . . . . . . . . 169
5.11.4 T4(n) Code . . . . . . . . . . . . . . . . . . . . . . . . 169
5.12 Omnidirectional LPI Radar . . . . . . . . . . . . . . . . . . . 179
5.13 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

6 Frequency Shift Keying Techniques 187

6.1 Advantages of the FSK Radar . . . . . . . . . . . . . . . . . . 187
6.2 Description of the FSK CW Signal . . . . . . . . . . . . . . . 189
6.3 Range Computation in FSK Radar . . . . . . . . . . . . . . . 189
6.4 Costas Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
6.4.1 Characteristics of a Costas Array or Sequence . . . . . 191
6.4.2 Computing the Difference Triangle . . . . . . . . . . . 192
6.4.3 Deriving the Costas Sequence PAF . . . . . . . . . . . 192
6.4.4 Welch Construction of Costas Arrays . . . . . . . . . . 193
6.5 Hybrid FSK/PSK Technique . . . . . . . . . . . . . . . . . . 195
6.5.1 Description of the FSK/PSK Signal . . . . . . . . . . 195
6.6 Matched FSK/PSK Signaling . . . . . . . . . . . . . . . . . . 199
6.7 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . 201
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
x Detecting and Classifying LPI Radar

7 Noise Techniques 207

7.1 Historical Perspective . . . . . . . . . . . . . . . . . . . . . . 207
7.2 Ultrawideband Considerations . . . . . . . . . . . . . . . . . . 210
7.3 Principles of Random Noise Radars . . . . . . . . . . . . . . . 212
7.4 Narayanan Random Noise Radar Design . . . . . . . . . . . . 215
7.4.1 Operating Characteristics . . . . . . . . . . . . . . . . 216
7.4.2 Model of RNR Transmitter . . . . . . . . . . . . . . . 219
7.4.3 Periodic Ambiguity Results . . . . . . . . . . . . . . . 219
7.5 Random Noise Plus FMCW Radar . . . . . . . . . . . . . . . 222
7.5.1 RNFR Spectrum . . . . . . . . . . . . . . . . . . . . . 223
7.5.2 Model of RNFR Transmitter . . . . . . . . . . . . . . 225
7.5.3 Periodic Ambiguity Results . . . . . . . . . . . . . . . 225
7.6 Random Noise FMCW Plus Sine . . . . . . . . . . . . . . . . 227
7.6.1 Model of RNFSR Transmitter . . . . . . . . . . . . . . 229
7.6.2 Periodic Ambiguity Results . . . . . . . . . . . . . . . 230
7.7 Random Binary Phase Modulation . . . . . . . . . . . . . . . 234
7.7.1 Model of RBPC Transmitter . . . . . . . . . . . . . . 236
7.7.2 Periodic Ambiguity Results . . . . . . . . . . . . . . . 236
7.8 Millimeter Wave Noise Radar . . . . . . . . . . . . . . . . . . 238
7.9 Correlation Receiver Techniques . . . . . . . . . . . . . . . . 238
7.9.1 Ideal Correlation . . . . . . . . . . . . . . . . . . . . . 239
7.9.2 Digital-Analog Correlation . . . . . . . . . . . . . . . 239
7.9.3 Fully Digital Correlation . . . . . . . . . . . . . . . . . 241
7.9.4 Acousto-Optic Correlation . . . . . . . . . . . . . . . . 242
7.10 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . 243
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247

8 Over-the-Horizon Radar 249

8.1 Two Types of OTHR . . . . . . . . . . . . . . . . . . . . . . . 249
8.2 Sky Wave OTHR . . . . . . . . . . . . . . . . . . . . . . . . . 252
8.2.1 Characteristics of the Ionosphere . . . . . . . . . . . . 253
8.2.2 Example of F2-Layer Propagation . . . . . . . . . . . 259
8.2.3 Doppler Clutter Spectrum . . . . . . . . . . . . . . . . 259
8.2.4 Example Sky Wave OTHR System . . . . . . . . . . . 261
8.2.5 Sky Wave Processing . . . . . . . . . . . . . . . . . . . 261
8.3 Sky Wave LPI Waveform Considerations . . . . . . . . . . . . 265
8.3.1 Phase Modulation Techniques . . . . . . . . . . . . . . 265
8.3.2 Costas Frequency Hopping . . . . . . . . . . . . . . . 266
8.3.3 Reducing the CIT . . . . . . . . . . . . . . . . . . . . 266
8.3.4 Multiple Waveform Repetition Frequencies . . . . . . 266
8.3.5 Out-of-Band Emission Suppression . . . . . . . . . . . 270
8.4 Sky Wave Maximum Detection Range . . . . . . . . . . . . . 271
8.5 Sky Wave Footprint Prediction . . . . . . . . . . . . . . . . . 274
 Table of Contents xi

8.6 Surface Wave OTHR . . . . . . . . . . . . . . . . . . . . . . . 276

8.6.1 Example Surface Wave OTHR System . . . . . . . . . 281
8.7 Surface Wave LPI Waveform Considerations . . . . . . . . . . 282
8.7.1 FMICW Characteristics . . . . . . . . . . . . . . . . . 282
8.7.2 FMICW Ambiguity Space . . . . . . . . . . . . . . . . 287
8.8 Surface Wave Maximum Detection Range . . . . . . . . . . . 288
8.9 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . 295
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299

9 Case Study: Antiship LPI Missile Seeker 301

9.1 History of ASCM Seeker Technology . . . . . . . . . . . . . . 301
9.2 The Future for ASCM Technology . . . . . . . . . . . . . . . 302
9.3 Detecting the Threat . . . . . . . . . . . . . . . . . . . . . . . 305
9.4 ASCM Target Scenario . . . . . . . . . . . . . . . . . . . . . . 306
9.4.1 Low RCS Targets . . . . . . . . . . . . . . . . . . . . . 306
9.4.2 Sea Clutter Model . . . . . . . . . . . . . . . . . . . . 308
9.4.3 Linear FMCW Emitter Power Management . . . . . 310
9.4.4 Target-to-Clutter Ratio . . . . . . . . . . . . . . . . . 312
9.5 ASCM Ship Target Model . . . . . . . . . . . . . . . . . . . . 315
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316

10 Network-Centric Warfare and Netted LPI Radar Systems 319

10.1 Network-Centric Warfare . . . . . . . . . . . . . . . . . . . . 319
10.1.1 NCW Requirements . . . . . . . . . . . . . . . . . . . 322
10.1.2 Situational Awareness . . . . . . . . . . . . . . . . . . 323
10.1.3 Maneuverability . . . . . . . . . . . . . . . . . . . . . 323
10.1.4 Decision Speed and Operational Tempo . . . . . . . . 324
10.1.5 Agility . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
10.1.6 Lethality . . . . . . . . . . . . . . . . . . . . . . . . . 326
10.2 Metrics for Information Grid Analysis . . . . . . . . . . . . . 326
10.2.1 Generalized Connectivity Measure . . . . . . . . . . . 326
10.2.2 Reference Connectivity Measure . . . . . . . . . . . . 328
10.2.3 Network Reach . . . . . . . . . . . . . . . . . . . . . . 329
10.2.4 Suppression Example . . . . . . . . . . . . . . . . . . 331
10.2.5 Extended Generalized Connectivity Measure . . . . . 333
10.2.6 Entropy and Network Richness . . . . . . . . . . . . . 333
10.2.7 Maximum Operation Tempo . . . . . . . . . . . . . . 336
10.3 Electronic Attack . . . . . . . . . . . . . . . . . . . . . . . . . 337
10.4 Information Network Analysis Using LPIsimNet . . . . . . . . 338
10.5 Netted LPI Radar Systems . . . . . . . . . . . . . . . . . . . 342
10.5.1 Advantages of the Netted LPI Radar Systems . . . . . 346
10.5.2 Netted LPI Radar Sensitivity . . . . . . . . . . . . . . 348
xii Detecting and Classifying LPI Radar

10.5.3 Signal Model . . . . . . . . . . . . . . . . . . . . . . . 349

10.5.4 Netted Radar Electronic Attack . . . . . . . . . . . . 352
10.6 Netted Radar Analysis Using LPIsimNet . . . . . . . . . . . . 353
10.6.1 Monostatic LPI Emitter and the SNR Contour Chart 353
10.6.2 Three Netted LPI Emitters . . . . . . . . . . . . . . . 354
10.6.3 Two Netted LPI Emitters with Jammer . . . . . . . . 358
10.7 Orthogonal Waveforms for Netted Radar . . . . . . . . . . . . 358
10.7.1 Orthogonal Polyphase Codes . . . . . . . . . . . . . . 362
10.7.2 Addressing Doppler Shift Degradation . . . . . . . . . 365
10.7.3 Orthogonal Frequency Hopping Sequences . . . . . . . 370
10.7.4 Noise Waveforms . . . . . . . . . . . . . . . . . . . . 374
10.8 Netted Over-the-Horizon Radar Systems . . . . . . . . . . . . 377
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380

PART II: INTERCEPT RECEIVER STRATEGIES

AND SIGNAL PROCESSING 385

11 Strategies for Intercepting LPI Radar Signals 387

11.1 EW Intercept Receiver Techniques . . . . . . . . . . . . . . . 387
11.1.1 Traditional Approach . . . . . . . . . . . . . . . . . . 387
11.1.2 The Look-Through Problem . . . . . . . . . . . . . . . 388
11.1.3 Modern Network-Centric Concepts Arriving . . . . . . 389
11.2 Detecting the LPI Radar with UAVs . . . . . . . . . . . . . . 391
11.3 Noncooperative Intercept Receivers . . . . . . . . . . . . . . 392
11.3.1 Comparison of Classic Receiver Architectures
for Detecting LPI Waveforms . . . . . . . . . . . . . . 392
11.3.2 Digital EW Receivers . . . . . . . . . . . . . . . . . . 396
11.3.3 Direct RF Sampling . . . . . . . . . . . . . . . . . . . 398
11.4 Demodulation of the LPI Waveform . . . . . . . . . . . . . . 400
11.5 EW Receiver Challenges . . . . . . . . . . . . . . . . . . . . . 400
11.6 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . 402
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403

12 Wigner-Ville Distribution Analysis of LPI Radar

Waveforms 405
12.1 Wigner-Ville Distribution . . . . . . . . . . . . . . . . . . . . 406
12.1.1 Continuous WVD . . . . . . . . . . . . . . . . . . . . 406
12.1.2 Example Calculation: Real Input Signal . . . . . . . . 409
12.1.3 Example Calculation: Complex Input Signal . . . . . 411
12.1.4 Two-Tone Input Signal Results . . . . . . . . . . . . . 414
12.2 FMCW Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 419
12.3 BPSK Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 421
12.4 Polyphase Code Analysis . . . . . . . . . . . . . . . . . . . . 426
 Table of Contents xiii

12.5 Polytime Code Analysis . . . . . . . . . . . . . . . . . . . . . 429

12.6 Distinguishing Between Phase Codes . . . . . . . . . . . . . . 431
12.7 FSK and FSK/PSK Analysis . . . . . . . . . . . . . . . . . . 438
12.8 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 444

13 Choi-Williams Distribution Analysis of LPI Radar

Waveforms 445
13.1 Mathematical Development . . . . . . . . . . . . . . . . . . . 446
13.2 LPI Signal Analysis . . . . . . . . . . . . . . . . . . . . . . . 448
13.2.1 FMCW Analysis . . . . . . . . . . . . . . . . . . . . . 449
13.2.2 BPSK Analysis . . . . . . . . . . . . . . . . . . . . . . 449
13.2.3 Polyphase Code Analysis . . . . . . . . . . . . . . . . 455
13.2.4 Polytime Code Analysis . . . . . . . . . . . . . . . . . 455
13.2.5 FSK and FSK/PSK Analysis . . . . . . . . . . . . . . 458
13.3 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464

14 LPI Radar Analysis Using Quadrature Mirror Filtering 467

14.1 Time-Frequency Wavelet Decomposition . . . . . . . . . . . . 468
14.1.1 Basis Functions . . . . . . . . . . . . . . . . . . . . . . 468
14.1.2 Short-Time Fourier Transform Decomposition . . . . . 469
14.1.3 Wavelets and the Wavelet Transform . . . . . . . . . . 469
14.1.4 Wavelet Filters . . . . . . . . . . . . . . . . . . . . . . 472
14.2 Discrete Two-Channel Quadrature Mirror Filter Bank . . . . 474
14.3 Tree Structure to Filter the Lowpass Component . . . . . . . 476
14.4 Tree Structure to Filter the Highpass Component . . . . . . . 477
14.5 QMFB Tree Receiver . . . . . . . . . . . . . . . . . . . . . . . 478
14.6 Example Calculations . . . . . . . . . . . . . . . . . . . . . . 482
14.6.1 Complex Single-Tone Signal . . . . . . . . . . . . . . . 482
14.6.2 Complex Two-Tone Signal . . . . . . . . . . . . . . . . 485
14.7 FMCW Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 487
14.8 BPSK Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 489
14.9 Polyphase Code Analysis . . . . . . . . . . . . . . . . . . . . 494
14.10 Polytime Code Analysis . . . . . . . . . . . . . . . . . . . . . 495
14.11 Costas Frequency Hopping Analysis . . . . . . . . . . . . . . 499
14.12 FSK/PSK Signal Analysis . . . . . . . . . . . . . . . . . . . 499
14.13 Noise Waveform Analysis . . . . . . . . . . . . . . . . . . . . 499
14.14 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 506
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 509
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510
xiv Detecting and Classifying LPI Radar

15 Cyclostationary Spectral Analysis for Detection of LPI

Radar Parameters 513
15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513
15.1.1 Cyclic Autocorrelation . . . . . . . . . . . . . . . . . . 514
15.1.2 Spectral Correlation Density . . . . . . . . . . . . . . 515
15.2 Spectral Correlation Density Estimation . . . . . . . . . . . . 516
15.3 Discrete Time Cyclostationary Algorithms . . . . . . . . . . . 520
15.3.1 The Time-Smoothing FFT Accumulation Method . . 520
15.3.2 Direct Frequency-Smoothing Method . . . . . . . . . . 522
15.4 Test Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
15.5 BPSK Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 528
15.6 FMCW Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 531
15.7 Polyphase Code Analysis . . . . . . . . . . . . . . . . . . . . 535
15.8 Polytime Code Analysis . . . . . . . . . . . . . . . . . . . . . 540
15.9 Costas Frequency Hopping Results . . . . . . . . . . . . . . . 540
15.10 Random Noise Analysis . . . . . . . . . . . . . . . . . . . . . 543
15.11 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548

16 Antiradiation Missiles 551

16.1 Suppression of Enemy Air Defense . . . . . . . . . . . . . . . 551
16.1.1 The Beginning of SEAD . . . . . . . . . . . . . . . . . 553
16.1.2 Early ARM Developments . . . . . . . . . . . . . . . . 554
16.1.3 Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . 555
16.1.4 Post Vietnam . . . . . . . . . . . . . . . . . . . . . . . 556
16.1.5 Miniature Air-Launched Decoys . . . . . . . . . . . . . 558
16.2 Antiradiation Missile Seeker Design . . . . . . . . . . . . . . . 559
16.2.1 Antenna Design . . . . . . . . . . . . . . . . . . . . . . 559
16.2.2 Receiver and Signal Processing . . . . . . . . . . . . . 566
16.2.3 Dual-Mode Design . . . . . . . . . . . . . . . . . . . . 567
16.2.4 Signal Processing . . . . . . . . . . . . . . . . . . . . . 571
16.2.5 Future ARMs–Addressing the LPI Emitter . . . . . . 572
16.3 ARM Performance Metrics . . . . . . . . . . . . . . . . . . . 577
16.4 Former Soviet Union and Warsaw Pact Allies . . . . . . . . . 578
16.4.1 AA-10 Alamo . . . . . . . . . . . . . . . . . . . . . . . 578
16.4.2 AS-4 Kitchen . . . . . . . . . . . . . . . . . . . . . . . 579
16.4.3 AS-5 Kelt . . . . . . . . . . . . . . . . . . . . . . . . . 580
16.4.4 AS-6 Kingfish . . . . . . . . . . . . . . . . . . . . . . . 581
16.4.5 AS-9 Kyle . . . . . . . . . . . . . . . . . . . . . . . . . 582
16.4.6 AS-11 Kilter . . . . . . . . . . . . . . . . . . . . . . . 584
16.4.7 Kh-27 . . . . . . . . . . . . . . . . . . . . . . . . . . . 585
16.4.8 AS-12 Kegler . . . . . . . . . . . . . . . . . . . . . . . 585
16.4.9 AS-16 Kickback . . . . . . . . . . . . . . . . . . . . . . 587
 Table of Contents xv

16.4.10 AS-17 Krypton . . . . . . . . . . . . . . . . . . . . . . 587

16.5 United States . . . . . . . . . . . . . . . . . . . . . . . . . . . 589
16.5.1 Shrike . . . . . . . . . . . . . . . . . . . . . . . . . . . 589
16.5.2 Standard ARM . . . . . . . . . . . . . . . . . . . . . . 591
16.5.3 HARM . . . . . . . . . . . . . . . . . . . . . . . . . . 591
16.5.4 AARGM . . . . . . . . . . . . . . . . . . . . . . . . . 592
16.5.5 Affordable Reactive Strike Missile . . . . . . . . . . . 593
16.5.6 Sidearm . . . . . . . . . . . . . . . . . . . . . . . . . . 593
16.5.7 Rolling Airframe Missile . . . . . . . . . . . . . . . . . 594
16.5.8 Army UAVs . . . . . . . . . . . . . . . . . . . . . . . . 595
16.6 France . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 596
16.7 United Kingdom . . . . . . . . . . . . . . . . . . . . . . . . . 597
16.8 Taiwan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 598
16.9 Germany . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600
16.10 Israel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 601
16.10.1 Harpy . . . . . . . . . . . . . . . . . . . . . . . . . . . 601
16.10.2 STAR-1 . . . . . . . . . . . . . . . . . . . . . . . . . . 603
16.11 China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604
16.12 Anti-ARM Techniques . . . . . . . . . . . . . . . . . . . . . . 606
16.12.1 Decoys . . . . . . . . . . . . . . . . . . . . . . . . . . 607
16.12.2 Gazetchik . . . . . . . . . . . . . . . . . . . . . . . . 610
16.12.3 AN/TLQ-32 ARM-D Decoy . . . . . . . . . . . . . . 611
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616

17 Autonomous Classification of LPI Radar Modulations 619

17.1 Classification Using Time-Frequency Imaging . . . . . . . . . 620
17.2 Classification Authority and Automation . . . . . . . . . . . . 621
17.2.1 Human-Computer Interface Considerations . . . . . . 621
17.2.2 Automation and the Human Operator . . . . . . . . . 622
17.2.3 Autonomous Modulation Classification . . . . . . . . . 623
17.3 Nonlinear Classification Networks . . . . . . . . . . . . . . . . 624
17.3.1 Single Perceptron Networks . . . . . . . . . . . . . . . 625
17.3.2 Multilayer Perceptron Networks . . . . . . . . . . . . 629
17.3.3 Radial Basis Function . . . . . . . . . . . . . . . . . . 632
17.4 Feature Extraction Signal Processing . . . . . . . . . . . . . . 634
17.4.1 Marginal Frequency Adaptive Binarization . . . . . . 634
17.4.2 Classification Results with Multilayer Perceptron . . . 638
17.4.3 Classification Results with Radial Basis Function
Network . . . . . . . . . . . . . . . . . . . . . . . . . . 642
17.4.4 Discussion of Classification Results . . . . . . . . . . . 647
17.5 Modified Feature Extraction Signal Processing . . . . . . . . 648
17.5.1 Lowpass Filtering for Cropping Consistency . . . . . . 648
17.5.2 Calculating the Marginal Frequency Distribution . . . 651
xvi Detecting and Classifying LPI Radar

17.5.3 Principal Components Analysis . . . . . . . . . . . . . 656

17.5.4 Classification Using Modified Feature Extraction . . . 660
17.5.5 Classification Results with the Multilayer Perceptron . 667
17.5.6 Classification Results with the Radial Basis Function . 674
17.6 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 682
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 682
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 685

18 Autonomous Extraction of Modulation Parameters 687

18.1 Emitter Clustering . . . . . . . . . . . . . . . . . . . . . . . . 687
18.2 Polyphase Parameters Using Wigner-Ville Distribution–Radon
Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 688
18.2.1 Time-Frequency Algorithm Description . . . . . . . . 689
18.2.2 Testing the Algorithm . . . . . . . . . . . . . . . . . . 694
18.3 Polyphase Parameters from Quadrature
Mirror Filtering . . . . . . . . . . . . . . . . . . . . . . . . . . 695
18.3.1 Wavelet Decomposition Algorithm Description . . . . 695
18.3.2 Testing the Algorithm . . . . . . . . . . . . . . . . . . 699
18.4 FMCW Parameters from Cyclostationary Bifrequency Plane . 699
18.4.1 Cyclostationary Algorithm Description . . . . . . . . . 700
18.4.2 Testing the Algorithm . . . . . . . . . . . . . . . . . . 703
18.5 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . 705
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705

APPENDIXES

A Low Probability of Intercept Toolbox 709

A.1 Introduction to the LPIT . . . . . . . . . . . . . . . . . . . . 709
A.2 Naming Convention and Example . . . . . . . . . . . . . . . . 710

B Generating PAF Plots Using the LPIT Files 713

C Primitive Roots and Costas Sequences 715

C.1 Primes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 715
C.2 Complete and Reduced Residue Systems . . . . . . . . . . . . 716
C.3 Primitive Roots . . . . . . . . . . . . . . . . . . . . . . . . . . 717

D LPIsimNet 721
D.1 Overview of LPIsimNet Architecture . . . . . . . . . . . . . . 721
D.1.1 Loading the Default Sensor Network . . . . . . . . . . 722
D.1.2 Building a Scenario File and Running the Simulation . 722
D.2 Setting the Node Properties . . . . . . . . . . . . . . . . . . . 726
D.3 Viewing the Simulation Results . . . . . . . . . . . . . . . . . 728
 Table of Contents xvii

D.4 Adding a Moving Jammer to the Scenario . . . . . . . . . . . 731

D.5 Netted Radar with a Jammer . . . . . . . . . . . . . . . . . . 733

E PWVD for FMCW with ∆F = 500 Hz 741

F PWVD for Frank Code with T = 64 ms 745

G PWVD Results for P1, P2, P3, and P4 Codes 749

G.1 P1 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 749
G.2 P2 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 749
G.3 P3 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 752
G.4 P4 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 752

H PWVD Results for Polytime Codes T2, T3, and T4 759

H.1 T2(2) Polytime Code . . . . . . . . . . . . . . . . . . . . . . . 759
H.2 T3(2) Polytime Code . . . . . . . . . . . . . . . . . . . . . . . 763
H.3 T4(2) Polytime Code . . . . . . . . . . . . . . . . . . . . . . . 763

I QMFB Results for FMCW with ∆F = 500 Hz 771

J QMFB Results for 11-Bit BPSK 773

K QMFB Results for Frank Signal with Nc = 16 777

L QMFB Results for P1, P2, P3, and P4 781

L.1 P1 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 781
L.2 P2 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 782
L.3 P3 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 782
L.4 P4 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 788

M QMFB Results for T2, T3, and T4 797

N Cyclostationary Processing Results with FMCW,

∆F = 500 Hz 805

O Cyclostationary Processing Results with Frank Signal,

Nc = 16 809

P Cyclostationary Processing Results for P1, P2, P3,

and P4 813
P.1 P1 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 813
P.2 P2 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 816
P.3 P3 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 816
P.4 P4 Code Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 816
xviii Detecting and Classifying LPI Radar

Q Cyclostationary Processing Results for T2, T3, and T4

Polytime Codes 821
Q.1 Polytime T2(2) Code Analysis . . . . . . . . . . . . . . . . . 821
Q.2 Polytime T3(2) Code Analysis . . . . . . . . . . . . . . . . . 821
Q.3 Polytime T4(2) Code Analysis . . . . . . . . . . . . . . . . . 823

List of Symbols 829

Glossary 841

About the Author 847

Index 849
Foreword

In the foreword of Detecting and Classifying Low Probability of Intercept

Radar, 1st Edition, I noted that there is considerable interest in radars that
can “see and not be seen,” commonly called low probability of intercept or
“LPI” radars. If anything, interest has grown in the intervening years and
this new book on the subject is both timely and welcome. The problem of LPI
radar design is difficult to solve for long range radars because the signal avail-
able to the listener is reduced by the square of the distance from transmitter
to listening receiver, whereas signal available to the radar receiver decreases
in proportion to the fourth power of the distance between the radar and its
target. Phillip E. Pace has included the many facets of LPI radar from his
earlier work and has added valuable insights in nearly every area. He has
also added much that is entirely new to this volume, including topics of noise
radar and network centric warfare and radar netting. He also considers the
interception problem and has added material on use of the Choi-Williams
distribution, as well as chapters on autonomous extraction and recognition
architectures. This coverage of both the radar and interception problems in
one volume provides a valuable reference work for this important technical
field.
As radar interception techniques evolved over the past half-century, the
generally high signal strength available to the intercept receiver led to inter-
cept receivers which detect each radar “pulse” using threshold detection and
then estimate parameters such as carrier frequency, angle of arrival, pulse du-
ration, time of arrival, polarization, and other single pulse parameters. These
form pulse descriptor words and are further sorted, “deinterleaved” and an-
alyzed to discern PRI patterns. This approach to signal interception and
threat recognition requires a high probability of detection for each individual

xix
xx Detecting and Classifying LPI Radar

pulse. Antiradiation missiles and other approaches to suppression of enemy

air defenses makes reduction of peak power a matter of radar survivability.
This in turn forces a reexamination of the single pulse detection approach for
signal interception as well as a reexamination of the use of high peak power
transmissions for performing radar functions.
Whether you are interested in techniques used in the design of LPI radar
or in techniques which may be useful for countering such LPI designs, this
book provides a good starting point for rethinking both the radar problem
and the interception problem.

Richard G. Wiley, Ph.D.

Vice President-Chief Scientist of Research Associates of Syracuse, Inc.
East Syracuse, New York
December, 2008
Preface

Introduction

The second edition of Detecting and Classifying Low Probability of Intercept

Radar is designed to meet the needs of electrical engineering, physics, and
systems engineering students at the senior undergraduate and beginning
graduate levels and especially those of practicing engineers. A low proba-
bility of intercept (LPI) radar course must present, as they say, both sides
of the story. Whereas radar proper has little appeal and seems even less
pointed to most of these students, the subject becomes highly significant to
them when it is presented along with the digital intercept receiver and signal
processing techniques for counter-LPI. My experiences as a student, engineer,
and teacher have led to the thought that a successful text for this study must
present both the radar design characteristics as well as the noncooperative
detection strategies and algorithms. In doing so, the course provides an inter-
esting opportunity to study the various trade-offs that are involved not only
in intercept receiver architectures but also in the design of LPI waveform
modulations.
This book has grown out of research and teaching in the field of network-
centric radar electronic warfare, signal processing, and wideband digital re-
ceiver technologies at the Naval Postgraduate School. Even though the first
edition of this book was published barely four years ago, based on the helpful
reviews published in the IEEE Aerospace and Electronic Systems Magazine
and the feedback from the many students in industry and universities, it be-
came evident that a new edition was needed to incorporate the suggested
topics and changes to the contents.
LPI radar systems are seeing unprecedented levels of growth. In many
countries, new milestones are being established for streamlined acquisition of
these emitters for all types of applications. On the other hand, the recent

xxi
xxii Detecting and Classifying LPI Radar

advances in LPI radar technology have pushed the door open for the de-
sign of extremely sensitive intercept receivers and high-speed signal proces-
sors for autonomous LPI emitter detection, classification, and counter-LPI
operations.

What’s New
LPI radar techniques added to this second edition include; random noise radar
waveforms, their periodic ambiguity characteristics, and the different types
of correlation receivers used (Chapter 7); sky wave and surface wave over-
the-horizon radar systems and their move away from the traditional wave-
forms to the incorporation of new LPI modulations (Chapter 8); netted LPI
radar sensors and orthogonal polyphase modulations, network-centric warfare
principles, frequency hopping waveforms, and information network analysis
(Chapter 10).
New intercept receiver strategies and signal processing algorithms supplied
in the second edition include; the Choi-Williams time-frequency analysis of
LPI waveforms (Chapter 13); antiradiation missiles and the new seeker de-
signs for detecting LPI emitters (Chapter 16); autonomous feature
extraction and classification algorithms for identifying the intercepted modu-
lation (Chapter 17); and autonomous modulation parameter extraction signal
processing (Chapter 18).
A distinguishing feature of this book is investigating the LPI techniques
that go beyond the use of a single emitter and use a network to integrate sev-
eral distributed sensors to provide additional aspects of the target. Employing
a sensor network can unfold new capabilities in many important applications.
Secondly, this book examines extending the detection and classification algo-
rithms to execute autonomously, independent of any human interpretation to
the extent desired. Executing these modulation decisions autonomously can
draw these techniques closer to providing the intercept receiver the real-time
response capability needed for fast, reactive counter-LPI.

Course Structure
The book is written to serve not only as a textbook, but also as a reference for
the practicing radar and digital intercept receiver design engineer. The layout
was intended to be applicable to many different course structures including,
a one-semester (two quarters) course of study in low probability of intercept
radar systems design (Part I) and the noncooperative detection and classifi-
cation of these types of emitters (Part II). The book is especially appropriate
for 2-, 3-, and 4-day short courses. For the prerequisites, it is assumed that
the student has at least senior-level academic experience in engineering and
 Preface xxiii

mathematics, and has the ability to write and run computer programs. A
course in radar and a course in signal processing would provide a very useful
background.

Overview of the Book

As with the first edition, this book is divided into two parts with the main
objective in Part I being the unified presentation of the fundamental design
principles of LPI radar. This includes a thorough treatment of the numerous
types of wideband modulations that can be used to reduce the probabil-
ity of a noncooperative intercept receiver’s ability to extract the waveform
parameters (which may easily lead to an effective jammer response). The
main objective in Part II is to present the intercept receiver time-frequency
and bifrequency signal processing techniques that can extract the wideband
waveform parameters. Autonomous classification and parameter extraction
algorithms are also an objective such that a real-time jammer response can be
developed–just what we did not want to happen in Part I! In summary, a bal-
anced coverage is provided of both LPI radar and waveform design concepts
(Part I) and the signal processing techniques for LPI waveform detection and
characterization for counter-LPI (Part II).
Each chapter ends with exercises that are an essential part of any course
using the text. A key feature of this book is the extensive use of MATLAB.
The CD accompanying this book contains many programs that should be
used for the problem exercises in order to further the understanding of the
concepts, and also to generate new and useful results that are of special
interest to the reader. The exercises are often used to complete the reader’s
understanding of a concept or to present different applications of ideas in the
text.
A distinguishing feature of this book is that it includes many graphical
illustrations of the results, especially in Part II. It is hoped that this will lead
to a better understanding of the underlying principles of waveform design and
will provide a clearer visualization of how the waveform parameters can be
extracted. As they say, “a picture is worth a thousand words.” Identification
of the waveform parameters is the first step to the development of autonomous
classification and parameter extraction algorithms.
The text contains sufficient mathematical detail to enable the average
undergraduate electrical engineering and physics student to follow, without
too much difficulty, the flow of analysis and design. A certain amount of
analytical detail, rigor, and thoroughness allows many of the topics to be
investigated further with the aid of many references. A brief overview of each
chapter is given below.
xxiv Detecting and Classifying LPI Radar

PART I:
Fundamentals of LPI Radar Design

In Chapter 1, an introduction to LPI radar is presented which provides the

reasons for the LPI requirement that include advanced intercept receivers
and the threat of antiradiation missiles. The characteristics of LPI radar
that distinguish them from conventional radar are also presented, as well as
the LPI radar architectures emphasizing continuous waveform (CW) radar.
The detection range of the LPI radar is examined and the advantage of the
LPI radar is quantified in terms of the intercept range and processing gain.
To illustrate the analysis, several examples using the Pilot LPI radar are
presented.
In Chapter 2, an updated and comprehensive review of the applications
that utilize LPI radar technology is presented. Applications include altime-
ters, surveillance, navigation, and landing radar for unmanned aerial vehicles
(UAVs). Also discussed are the tactical multimode airborne radar, antiship
capable missile (ASCM) seekers, and torpedo seekers.
In Chapter 3, the ambiguity analysis of LPI waveforms is introduced in
order to quantify their delay-Doppler properties. The concepts are used
throughout Part I to examine the various waveforms being studied. The
mathematical tools include the autocorrelation function (ACF), the periodic
autocorrelation function (PACF), and the periodic ambiguity function (PAF).
The effect of weighting functions on the PAF is also discussed. The low prob-
ability of intercept toolbox (LPIT) is a collection of MATLAB routines that
enable the student to quickly design all of the LPI waveforms. The LPIT is
introduced in Appendix A. Appendix B discusses the download of MATLAB
code from N. Levanon’s Web site in order to compute the ACF, PACF, and
PAF.
Chapter 4 investigates the characteristics of frequency modulation CW
(FMCW) LPI radar. A detailed architecture is analyzed. Mathematical for-
mulations of the transmitted waveform and the received signal are developed,
and there is an analysis of the receiver-transmitter isolation problems being
overcome (single antenna systems). The search mode signal processing is
described, including the details of the system components (e.g., filter band-
widths, analog-to-digital converter speeds, and so forth). Track mode process-
ing techniques are also presented. Nonlinearities in the frequency sweep wave-
form are addressed, and the PAF of the FMCW is analyzed. As an example
of an FMCW LPI radar, details of the Parallel Array for Numerous Differ-
ent Operational Research Activities (PANDORA) are presented. Finally, the
technology trends and latest developments in FMCW emitters are presented.
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 The Relations of Sex and Age

§ 45. So far we have been considering the quality of the company

as determined by social position, which, if not an absolutely artificial
distinction, is at least frequently such, so that it may be even
reversed by circumstances. There are great distinctions made by
nature which are indelible, and which must therefore be reckoned
with as permanent factors in our theory—I mean those of age and
sex.
There are, properly speaking, three grades of age worth
considering—youth, maturity, and old age; but from our point of
view we are justified in regarding mature life as the normal state,
and shall therefore consider the duties of the mature man and
woman as they come in contact with the extremes. It is not worth
while writing any advices for the old, as they are beyond the age of
improvement, though by no means always stripped of their social
qualities; indeed, the position of very old people, who have
maintained their faculties, is quite exceptional in modern society, and
will require a few words of comment in the present connection.

A collection of very old people is of course hardly to be found; so

that the practical case before us is the occurrence of one, or at most
two, very old people in a company, and the consequent
modifications in ordinary society likely to make this element effective
and agreeable. It may almost be assumed that however lively the
old person is, he (or she) will not be able to converse when many
people are talking in the room, and to assert himself in even a small
crowd. There must be comparative silence while he is speaking, and
special attention should be paid him. Under these circumstances it
almost follows as a matter of course that he should be discreetly
drawn out to tell such experiences as are beyond the memory of the
rest, which from their pictures of bygone manners or long dead
celebrities are very interesting, and admirably suited for the best
social recreation. The many Recollections, Diaries, Autobiographies,
etc., now published from the papers of the mere observers of their
age, such as Greville, and which are generally too trivial and minute
to make good books, form the staple of excellent conversation when
told by the very actor or observer. Of course there is a considerable
chance of his becoming tedious; it is one of the most frequent
defects of age, but if a man’s hobby makes him tedious, it also may
make him very interesting; and the first and best receipt to make a
man agreeable is to make him talk about what he likes best.

The most successful conversations with old men are, however, not
those with the old raconteur, who is in the habit of narrating his
experiences and expects to be asked to do so, but with some
modest and apparently dull old person who is successfully probed by
intelligent and sympathetic questions, till he is actually reminded of
long-forgotten scenes, which have perhaps not been suggested to
him for years, and then he draws from his memory, with the help of
further questions, some passage of life and adventure of the highest
interest. Many a time have I seen an old person, at first regarded as
an obstacle, prove the highest advantage to the conversation, and it
is for this reason that in a book of theory the reader should be
reminded of his duty to see that so valuable an item does not escape
him. It is generally easy enough to gather from the old gentleman
(or lady) where he has lived, what society he has frequented, and
what are his strongest impressions as to the contrasts between his
own early days and ours.

There is, moreover, in discussing the gossip and the scandal of a

bygone generation an amount of freedom—I had almost said licence
—allowed which would be intolerable as regards living society, and a
very old person may be allowed to say things which younger people
should avoid. I do not mention this as an advantage in itself—far
from it—but as an additional possibility in making conversation lively,
and in avoiding that stagnation in talk which, from our present point
of view, is the extremest crime known to society.

It is also obvious that as old people are unable to talk loudly and
with vivacity, the dialogue between two, or a couple of listeners
added to the questioner, will be the most likely way to attain the end
in view. To stop an old person who is becoming tedious is probably
the most difficult of all social duties, and requires the most delicate
tact. The respect due to age takes from our hands those weapons of
sarcasm, banter, or even blunt interruption which are our natural
defences against obtrusive youth; nor do I know of any general
directions which can help a host or hostess in this grave and not
uncommon difficulty. It is of course useless to lecture old people,
either in this book or elsewhere, on the dangers of tediousness.
 § 46. I turn now to conversation with people much younger than
ourselves, not of course with babies, or very young children, the art
of amusing whom can hardly be called the art of conversation. I
mean rather such ordinary cases as going in to dinner with a person
much younger than yourself, whose main interests must therefore be
foreign to yours; or else the entertaining of a party of young people
who have met for purposes of sport, but are also to be regarded as
guests at a table where conversation asserts its universal
importance.

What modifications in our talk are here desirable?

In the first place it is but natural that the older person should lead
the discourse, and suggest the topics which will elicit sympathy from
the young. And of course the easiest way to begin is to make people
talk about themselves—this being a subject which interests most
young people exceedingly. But it is by no means an universal rule.
The life of the young, of schoolboys, and of young girls, is often very
monotonous, and really affords no scope for conversation beyond
the first ordinary inquiries into their tastes, habits, and what they
read. If you find a strong taste for any special thing, such as music
or cricket, you may work out that subject.
But if, as is too often the case, the youth has not thought seriously
about anything, it is surely best to draw from your own stores, and
tell experiences which will be new and interesting from their
curiosity, such as the ways and habits of the lower animals which
you may have observed, the manners of men, or of strange cities
which you have visited, the feats you have seen performed. These
things are seldom suitable for other kinds of society, when any
display of your own experiences is offensive; but in talking to young,
fresh, and ingenuous people, the novelty of the information you give
them will generally obscure their critical or fault-finding sense, and
even if they are very sceptical as to facts,—the young and
inexperienced in our day are usually so,—they will fully appreciate
the effort to make them feel happy.

§ 47. It is perhaps not till then that you will succeed in probing out
some interesting nook in their short experience. They have been in
accidental contact with some great or notorious person, and have
seen him in his leisure moments; they may have lived in a peculiar
country, where either the sport or the natural features are very
interesting, and upon which they can have the distinction of
instructing older and wiser people.
I have met quiet country gentlemen, who in their youth had seen
active service in the army, and fought in remarkable campaigns, who
never spoke of these things among their neighbours, so that when
some intelligent stranger drew from them their experiences, it came
like a revelation to those who for years had voted them stupid and
dull members of their county society.
So important and so neglected is this duty of probing for the
strong point of others, which is naturally brought forward, in
connection with the effort to talk with the young and inexperienced,
that I am disposed to lay this down as a practical rule: if you find the
company dull, blame yourself. With more skill and more patience on
your part it is almost certain you would have found it agreeable. If
even two or three people in a company acted on this rule, how
seldom would our social meetings prove a failure!
 § 48. We come now to a still more indelible contrast than that of
age, and ask what effects, advantageous or otherwise, has the
contrast of sex upon conversation? It is a problem very difficult
indeed to solve, for while it is a great law of nature that the very
instincts of each sex urge it to please the other, it is on the contrary
a great law of society that (perhaps for this very reason) a large
number of topics are not to be discussed by the sexes in common. It
is then a case where nature stimulates and tradition restrains: which
shall we declare to be stronger? That depends altogether upon the
character of the society in which we live. If it be perfectly free—let
us say the society of the Navigator Islands—there the natural
attraction of opposite sexes must make their conversation far more
agreeable than that of men or women separately.
So it is too among those exceptional sets of people in civilised
countries, who brave public opinion so far as to speak their minds to
the other sex, and whose conversation is accordingly considered too
free by the average of people around them. In this it is natural that
the more restrained sex should take the initiative; but if any woman
makes bold to speak with perfect freedom among men, and if she be
gifted with the ordinary talents for conversation, she will be more
agreeable than an intelligent man who says the same things—or
rather she will say things in a fresher way; the very situation is
somewhat piquant, and so she will certainly gain by the contrast of
sex. A small party of men and women of this sort ought to produce
the most amusing conversation possible. But I need only hint how
easily such a society may transgress the due limits, and degenerate
into what the later Athenians thought brilliant, and collected in a
special book. Nor will freedom, far less audacity, in conversation
redeem ignorance, rudeness, or graver vices.

Take another kind of society, either one of Puritanical strictness—I

remember when the word girl was thought rather improper in
religious Dublin society, you should say young person—or else that
sort of foreign society which, from suspicion and fear, prohibits any
intimacy between young men and women, or brands such intimacy
as foreign to good society. There can be no doubt that here contrast
of sex is fatal to conversation, which must needs be constrained,
conventional, and occupied with topics either too trivial or too
serious for proper recreation. Women living under these conditions
find no interest in studying the subjects that interest men—
especially politics; and so it comes to pass that in the greater part of
orderly modern English society, a company of men only is thought
more agreeable than a mixed one—even though the ladies be not so
strict as in the extreme cases mentioned, but merely confined to
domestic and moral topics, to the exclusion of public affairs.
§ 49. This being the general aspect of the problem, it only remains
to apply the principles already attained in the case of a dialogue with
one of the other sex. In old times, that extreme form of courtesy
called gallantry was thought the proper way to please a woman. It is
now almost vulgar, and the man who desires to flatter an intelligent
woman most keenly, and interest her, will take care to treat her as
an intellectual equal, not as a plaything or a pet. A man who seizes
the opportunity of a conversation to consult a lady on some social
difficulty, or makes her for the moment his confidante in some
matter not to be divulged, will be almost sure to find her agreeable
and sympathetic.
 Men, especially elderly men, are far more easily flattered by
women, and more easily carried away by such flattery. For this
reason I think it unnecessary, nay, perhaps mischievous, to give any
advices to ladies how to use this powerful engine in society. The real
difficulty under which they labour as to conversation is to hit off the
right mean between prudery and its opposite, to know how far to
speak out frankly, and when to put a bridle on the talker who
threatens to overstep the bounds of the reverence due to ourselves
and to one another.

This reverence is, of course, due most especially to youth, and

elderly people who discuss before young boys and girls any topics
not perfectly pure, are guilty of such a crime in conversation as can
hardly be punished too severely. Before other elderly people the
case is somewhat different, and things may then be said or implied
which should not be selected for discussion in the presence of the
young. But above all, let us be strict in checking this kind of licence,
which is so apt to take possession of the baser minds among us, and
degrade conversation—the recreation of intellect and the mirror of
social goodness—into a serious mischief.

§ 50. What I have said above concerning the duty of treating the
other sex as strict equals in conversation, is but another instance of
the principle already laid down (§ 40), that no really bright social
intercourse is possible without equality. There is, in fact, nothing so
democratic as good conversation, nothing so Protestant, for we must
seem to assert our private judgment, even where we assent. And as
a man does best to seek a woman’s opinion, and ask her advice, so
as to make her feel on the same plane, a woman who desires to be
agreeable should differ without hesitation from the opinions
expressed by men, and assert her independence of judgment, and
her consequent right to take part in a real conversation. A woman
who does this, even stupidly, and without good reasons, is better
than those who sit down and acquiesce in whatever is said by men;
this latter is the acknowledgment of inferiority which is subversive of
all pleasant talk.
 Degrees of Intimacy

§ 51. The only other classification of the members of a small

society worth making here is in accordance with the various degrees
of their previous intimacy. They may either be a family party
consisting of near relations, or a friendly party consisting of intimate
friends, or a party of casual acquaintances who meet not
unfrequently, or a chance collection of almost strangers. In all these
cases there is naturally some modification to be made in the rules
and conditions of agreeable talking. And first of all let us warn those
who think it is not worth while taking trouble to talk in their family
circle, or who read the newspaper at meals, that they are making a
mistake which has far-reaching consequences. It is nearly as bad as
those convent schools or ladies’ academies, when either silence or a
foreign tongue is imposed at meals, and concerning which I have
already spoken. Whatever people may think of the value of theory,
there is no doubt whatever that practice is necessary for
conversation, and it is at home, among those who are intimate, and
free in expressing their thoughts, that this practice must be sought.
It is thus, and thus only, that young people can go out into the world
properly provided with the only universal introduction to society—
agreeable manners.
 Here, then, conversation is not so much a recreation as a duty,
and so becomes too grave a matter for this book. I will merely say a
word upon the position of a guest who is introduced into such a
party, to whose daily trifles, family feuds, or friendships, he is a
stranger. It is of course the first duty of the family not to monopolise
the topics by discussing family histories unknown and uninteresting
beyond their circle. Menander long ago complained of the misfortune
[11]
of falling into a party of this kind. On the other hand, the stranger
must assume a temporary interest in affairs outside his ordinary life,
and merely for the sake of his hosts. But if he is appealed to as an
umpire by members who habitually differ in opinion (and this he will
easily note), let him be very wary of giving a decision, and rather
discover that there is truth on each side of the question.

11. Cf. my Social Life of Greece, p. 317.

§ 52. Far easier is the position of a party of intimate friends. They

have probably become friends simply because they enjoy each
other’s society, and have many topics of interest in common. It
requires no exertion to make them talk, and they will readily
condone moments of taciturnity and depression in one or more
members of the party. They want no advice, and need no
instruction, for this is the only true and permanent human bond
which makes men and women ever sympathetic, and ever agreeable
to one another.

§ 53. As regards a company of strangers, on the contrary, all the

principles stated in the earlier parts of this book will have their
clearest application. To interest or to fascinate a stranger requires all
the gifts there enumerated, and in proportion as we possess them,
and take pains to use them, we shall succeed in turning the stranger
into the friend. There is no greater test of conversational powers
than to go into a company of strangers, to make them feel at home,
to turn their minds to some common thought, and establish an
agreeable and sociable spirit where there was at first nothing but
coldness and diffidence. To do this single handed is a feat beyond
the power of most people. But if several persons make an effort in
the same direction, the combination will effect what a single genius
can hardly accomplish.
Nothing proves more conclusively the value of practice in these
things than the fact that the higher classes, who are compelled
through constant moving about both at home and abroad to
converse frequently with casual acquaintances, and who in various
society often meet strangers—these are the people in whom we
generally observe ease in conversation under such conditions. We
set it down to good breeding, but this means that not only they but
their ancestors have been practising it. Hereditary virtues have not
been created with less labour than any other virtues. Generally they
require the efforts of several generations, and are therefore the most
arduous and meritorious of all.
 The Topics of Conversation—Serious and
Trivial

§ 54. Having now exhausted the subjective side, that is to say the
qualities in the speaker and the conditions among the hearers which
make or mar conversation, it is natural to proceed to the objective
side and see how far we can classify the topics which form the
matter of our talk. Of course a division of the actual subjects under
specific heads would require an encyclopædia, and even then would
never be complete, for the very essence of good conversation is to
wander through all possible things in heaven, in earth, and under
the earth without bond or limit, the only universal condition being
that we should range far and near and seek all possible variety, or
rather let ourselves drift from point to point, and not determine to
hold a fixed course. The quantity, therefore, of subjects being
infinite, and so not to be described, we must content ourselves with
regarding them in quality as either serious or trivial; in relation to
the speakers, as either universal or personal; in the mode of
treatment, as handled either in council, in controversy, or in
exposition.
 § 55. Our theory has declared itself long ago against over-
seriousness in conversation. This caution is specially necessary
nowadays,—when people read so many books and work so hard,—
lest they should regard conversation as a deliberate method of
instruction and channel of improvement. Nay, these very objects will
be far better attained indirectly and by the way, while the company
is indulging in talk as a recreation.

But it is almost needless to say that the most solid and lasting
recreation, the most excellent refreshment of the soul, is to be had
from very serious converse, especially where not more than two or
three are gathered together, and to exclude this precious comfort
from any theory of conversation would be absurd. On the other
hand, when two people are earnestly engaged on a really serious
topic, we may leave them to themselves, and need not intrude upon
them any idle considerations as to their manner of treating it. For
this is not conversation in the proper sense. ‘In this frame of mind,’
says Hawthorne in his Transformation (chap. ii.), ‘men sometimes
find their profoundest truths side by side with the idlest jest, and
utter one or the other, apparently without distinguishing which is the
more valuable or assigning any considerable value to either.’ He hits
the truth exactly. Great seriousness is as detrimental to a general
talk as excessive trifling. For as the latter fails after a few moments
to interest people who have any sense, so the former fails to
recreate or amuse, and is in fact earnest work invading the proper
domain of leisure.

There is therefore no general direction here possible save to avoid

both extremes, or rather to avoid persistence in either extreme, for it
is better to have them in turn, than to cultivate subjects which are
indifferent. Brilliant talk should alternate between grave and gay,
and above all shun dryness, detail, minuteness—in a word,
tediousness.

The moment at which by common consent people talk trivialities is

the moment of first introduction. And here the weather is almost
invariably the first pawn to be moved. It is amazing what triteness
and endless repetition is tolerated by society on this point. The facts
stated are common property, and agreed to by all, so that the first
object of ordinary people seems to be to express nothing while they
are saying something. Yet I suppose what is sanctioned by almost
universal practice must have some good reason behind it, and is
perhaps meant to give people time to observe each other without
apparent rudeness. This method of opening the game seems,
however, so stale that every sensible person should have some
paradox or heresy about the weather ready whereby he may break
through this idle skirmishing and make the people about him begin
to think as soon as possible. On the other hand it is easy to overdo
this attempt, and begin with something so serious that the
unprepared audience is frightened and chilled. Thus there can be no
greater blunder than to inquire suddenly about the state of a man’s
soul, a sort of coup which many pious people have actually thought
a decent introduction to a conversation.
 The Topics of Conversation—General and
Personal

§ 56. Here we have before us one of the most difficult of

problems, and which I shall rather state than attempt to solve.
Should we aim at making our conversation universal in subject, or
should we prefer it to be on personal topics, such as gossip or
scandal—the character of some mutual friend, an enemy, and so
forth? There is not the smallest doubt that if we wish it to be
profitable and improving, personal topics should be avoided, and
that we should talk not about people but about things. And when an
assembly of really cultivated people discusses literary questions,
such as the comparative merits of poets or novelists, there is not
only great pleasure to be gained from such a society, but the after-
taste is good, and you feel that your leisure has not been in vain.

On the other hand it is idle to deny that in most companies people

have not read or thought enough to join in such a conversation or to
enjoy it, whereas details of personal life, the latest anecdote, the
facts or surmises about some scandal, the adverse criticism of some
acquaintance—all this kind of thing, ranging from harmless gossip
into libellous scandal, is deeply interesting to almost everybody, and
though by no means improving is always entertaining.

But even so let the scandalmonger beware. If his ordinary topics

are the characters of his acquaintances, he will soon find himself
shunned or treated with suspicion by society; and nothing so
completely kills all the pleasure of a company as a protest from any
one present that he will not have his absent friend maligned, and
that he denies the truth of what has just been said. To apologise to
him for the statement or to resist him with argument is equally fatal,
for the whole ease and good temper required for pleasant talk has
vanished for that occasion.
§ 57. For this reason, unless the talk consists of confidences
between two people who thoroughly understand one another, in
which case I hold personal topics to be far the easiest and the most
agreeable, it should be our duty to raise if possible the gossip about
individuals into reflections upon classes or even principles. Thus if a
young lady tells you that such a man is conceited, you may raise the
question how far conceit is excusable, or whether it may not be
commendable, whether it means a false estimate of poor
endowments or a just estimate of considerable attainments, and so
forth. Or else you may inquire whether men or women are the more
conceited as a rule, and whether Aristotle was not right in setting
down over-bashfulness as a vice. Beginning then with the characters
of individuals, which is the easiest prologue, and in which somebody
will always be ready to start, disengage the general or common
feature, and you will not only avoid personalities, but enable those
who have no knowledge and interest about the person described to
join in the broader discussion of social ethics. And let it not be
imagined that because these things have been discussed millions of
times they are therefore trite and dull. Just as each succeeding
philosopher insists on thinking out again for himself what seems to
have been thoroughly exhausted by his predecessors, so every
member of society thinks himself capable of deciding over again
upon questions which have been settled by thousands of other
people to their own satisfaction.

I said just now that when two people only are conversing,
personal topics are most suitable, and of all these the confessions of
either to the other are the best. In the first place nothing is so
agreeable to most men as to have their own history the object of
sympathy, and that is the meaning of the trite adage: Talk to people
about themselves, and not about yourself. And again, nothing can be
more fascinating than genuine autobiography—I mean confessions
of human experience not set down for the public, not trussed and
cooked for their use, but the real out-speaking of a human heart.
This it is which makes autobiographies so popular as books, though
as soon as any one begins to confess to the public, all the real depth
and intimacy of his experience vanishes, generally to make way for
exhibitions of morbid vanity. It is only one man in a million who has
the modesty and the shamelessness, the innocence and the
[12]
impudence to unveil all his real life to the world of strangers.

12. I may cite the autobiographies of Benvenuto Cellini and of Alfieri in their
complete Italian form as the most real, if not the only real, specimens I
know.
Topics of Conversation—Modes of Treatment

§ 58. Finally, we may distinguish the mode in which all subjects

may be treated, just as the old rhetoricians divided the various
modes of oratory; for, as we said at the outset, conversation may be
in theory regarded as informal rhetoric. The old division, then, of
orations was based on the form which the company of hearers and
speakers assumed. Was it a deliberative assembly, which sat in
conclave, as it were, to find out the truth or the right thing to do
upon an open question? Then the proper form of eloquence was the
Deliberative, that of the Senate-house or Parliament suggesting
[13]
arguments with gravity and modesty, receiving with deference
and attention the views of others, stimulating all to give their
opinions. Was it a judicial court, where the question was a dispute,
and the speakers had their line determined as plaintiffs or
defendants? Then the form was the Controversial, in which each side
was bound to make the best of its own case, and the worst of the
adversary’s; in which each speaker was to bid for the favour of the
court, and only limit the violence of his invective by the fear of
alienating the judges of the case, and so defeating the object he had
in view. Lastly, was the meeting one which merely came together to
be impressed or amused by the display of a single speaker, to whom
the topic was prescribed, and whose duty it was to excite the
emotions and enlist the sympathy of his hearers? Then the proper
form was the Florid, or Epideictic, as they called it, where display
was the object, where pomp and ornament were in their proper
place.

13. I need hardly say that the present Houses of Parliament in England and
elsewhere, if we except the House of Lords, will not serve as specimens.

§ 59. These distinctions are with reasonable reservations clearly

applicable to conversation. The best kind is when the subject is
discussed by the company as if at an informal council, in which each
member gives his opinion, and contributes something to the
common stock; where each is not only listened to in turn, but is
expected to speak, and where the variety of views and of the
expression of them constitutes the very charm of the company. The
more people succeed in adopting this form of discussion, the more
successful their society will be. The most perfect host and hostess
are those who induce all their guests to talk, and elicit even from the
silent and the bashful some stray flash of intelligence, which gives
additional flavour to the spiritual repast.

It may happen, however, that the topic is taken up by two leading

minds in the company, and discussed as a controversy, each putting
forth his strength to wrestle with his friendly adversary. Then it may
be desirable for the rest to take sides in sympathy, and encourage
the conflict of wit or argument. This sort of society may be
exceedingly pleasant, provided the disputants keep their temper, and
provided they do not monopolise too great a share of the time and
attention of the rest. There is hardly a company which will not tire of
the discussion of a single subject, however important or interesting.
Nevertheless the controversial form is distinctly an agreeable and
often highly instructive form of conversation, and many a society of
ordinary people attain to the enjoyment of an excellent evening by
encouraging two leading spirits to show their powers.

The same good result may be obtained when the company comes
together for the purpose of hearing some remarkable person, who is
held out as the attraction of the party. It is not conversation, in any
real sense, unless it stimulates others to speak; but still we must
include in our survey those cases where the funny man, or the Arctic
traveller, or the superannuated detective, or the escaped nihilist,
undertakes to tell his experiences, and delight us with ‘real fiction.’
This is truly the epideictic or show-off style, in which the solitary
speaker is supposed to delight and display himself without a rival, or
with a rival silenced before him. Indeed, it is matter of common
remark that two or three such talkers are apt to neutralise one
another and produce no effect. Each is supposed to be afraid of the
other, or jealous of the other, and so wanting in that spontaneity or
abandon only attained in a congenial atmosphere. This is not my
experience of Irish wits, of whom a wise English friend often
remarked to me: There is no use in asking one Irishman to dinner;
you must ask another to draw him out.
 Epilogue

§ 60. The theory of conversation here attempted seems to be

completely contained in the foregoing paragraphs, so far as the
author has been able to investigate it. No doubt many of his readers
will wonder that a subject so interesting can be made so dry, and
will complain (in spite of § 5) that he has not given at least a few
specimens of what he approves. If he is unable to compose them,
why not cull them from the best novel literature of the day? It is, of
course, quite easy to give such examples, which can be found in
thousands from the comedies of Sheridan to the stories of Lever—
who was himself, like Sheridan, a great master of conversation. But
who ever profited directly in his own conversation by reading
conversations? Who could ever transfer to ordinary intercourse the
imaginary dialogues of romance? They may be elaborate and
studied, like those of Walter Scott’s heroines, and indeed the lovers’
dialogues of almost all novelists; or they may be perfectly natural
and easy, like those of Charles Lever just referred to. But in either
case they are stereotyped in their book, and are useless even as
models. One may quote from them an occasional brilliant or foolish
remark, as one may from any book, but that is all.
 There is always this difficulty about any practice, which has never
been reduced to rule, that the laws of it, when set forth in order,
seem trivial and dull; nor will the student believe that such valuable
and complicated results can be derived from mere truisms. We are
quite accustomed to that surprise in the case of logic. The whole
system of human reasoning in all its wonderful intricacy is built up
from a few general principles in themselves perfectly and necessarily
obvious, just as the prose of Ruskin and the poetry of Browning are
expressed in combinations of twenty-six letters. But as in this case
the theory of composing words is easy enough, and yet the art a
mystery, which only very few can ever attain in perfection,—each,
too, after his own fashion, and stamped with his own genius,—so
the theory of conversation may be reduced to a small number of
general observations, and yet the perfect practice of it is a mystery,
which defies analysis—one of the myriad manifestations of human
genius which all can admire but no one can ever explain.

THE END

Printed by R. & R. Clark, Edinburgh

Transcriber’s Notes:

Missing or obscured punctuation was silently

corrected.
Typographical errors were silently corrected.
Inconsistent spelling and hyphenation were
made consistent only when a predominant
form was found in this book.
*** END OF THE PROJECT GUTENBERG EBOOK THE PRINCIPLES
OF THE ART OF CONVERSATION ***

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