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2, May 2010

**Comparitive Analysis of Beamforming Schemes And Algorithems of Smart Antenna Array : A Review
**

Abhishek Rawat , R. N. Yadav and S. C. Shrivastava Maulana Azad National Institute Of Technology Bhopal, INDIA

Abstract— The smart antenna array is a group of antennas in which the relative phases of the respective signals feeding the antennas are varied in such a way that the effective radiation pattern of the array is reinforced in a desired direction and suppressed in undesired directions. Smart antenna are the array with smart signal processing algorithms used to identify spatial signal signature such as the direction of arriving of the signal, and use it to calculate beam forming vector, to track and locate the antenna beam on the mobile/target. An array antenna may be used to point a fixed radiation pattern, or to scan rapidly in azimuth or elevation. This paper explains the architecture; evolution of smart antenna differs from the basic format of antenna. The paper further discusses different Beamforming schemes and algorithms of smart antenna array.

I.

INTRODUCTION

In the past, wireless communication systems are deployed with fixed antenna system with fixed beam pattern. Such configuration can not meet all the requirements of modern communication environments. Smart antennas [1]-[2] are the technology that use a fix set of antenna elements in an array. The signals from these antenna elements are combined to form a movable beam pattern that can be steered to the direction of the desired user. This characteristic makes the smart antenna and minimizes the impact of noise, interference, and other effects that degrade the signal quality. The adoption of smart antenna techniques in future wireless systems is expected to have a significant impact on the efficient use of the spectrum, the minimization of the cost of establishing new wireless networks, the optimization of service quality, and realization of transparent operation across multi technology wireless networks [2]-[5]. Smart antenna systems consist of multiple antenna elements at the transmitting and/or receiving side of the communication link, whose signals are processed adaptively in order to exploit the spatial dimension of the mobile radio channel as shown in Fig.1. A smart antenna receiver can decode the data from a smart antenna transmitter this is the highest-performing configuration or it can simply provide array gain or diversity gain to the desired signals transmitted from conventional transmitters and suppress the interference. No manual placement of antennas is required. The smart antenna electronically adapts to the environment by looking for pilot tones or beacons or by recovering certain

Fig. 1. Principle of smart antenna.

characteristics (such as a known alphabet or constant envelope) that the transmitted signal is known to have. The base station antennas have up till now been omni directional or sectored. This can be regarded as a "waste" of power as most of it will be radiated in other directions than toward the user and the other users will experience the power radiated in other directions as interference [4]. The idea of smart antennas is to use base station antenna patterns that are not fixed, but adapt to the current radio conditions. This can be visualized as the antenna directing a beam toward the communication partner only. II. TYPES AND GEOMETRY OF SMART ANTENNA SYSTEMS

Smart antenna systems can improve link quality by combating the effects of multi-path propagation or constructively exploiting the different paths, and increase capacity by mitigating interference and allowing transmission of different data streams from different antennas [6]. Smart antenna system technologies include intelligent antennas,

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Fig.2 Different array geometries for smart antennas a) Uniform linear array b) Circular array; c) 2-Dimensional grid array d) 3-Dimensional grid array TABLE I. S. COMPARISON BETWEEN THREE BASIC TYPE OF SMART ANTENNA. Switched Lobe A finite number of fixed, predefined patterns or combining strategies (sectors) Dynamically Phased Array It has fixed number of array which can be electronically steered in a particular direction. Easy to move electronically. In this case, the received power is maximized. Adaptive Array An infinite number of patterns (scenario-based) that are adjusted in real time.

Fig.3. Comparison between three basic types of smart antenna.

No

the system continuously updates beam selection, ensuring that user gets optimal quality for their call. The system scans the outputs of each beam and selects the beam with the largest output power as well as suppresses interference arriving from directions away from the active beam’s center.[70] The dynamically phased array smart antenna is an antenna which controls its own pattern by means of feed-back or feedforward control, and it performs gain enhancement for desired signals whereas suppression for interfering signals The phased array antenna consists of multiple stationary antenna elements, which are fed coherently and use variable phase or time delay control at each element to scan a beam to given angle in space. Array can be used in place of fix aperture antennas(reflectors , lenses ), because the multiplicity of elements allows more precise control of radiation pattern, thus resulting in lower side band and careful pattern shaping . The adaptive array system required sophisticated signal processing algorithm to distinguish between desired signal , multipath signal and interference signal. It combine adaptive digital signal processing to the spatial signal processing to achieve greater performance. III. BEAMFORMING SCHEMES OF SMART

ARRAY ANTENNA

1.

2.

This kind of antenna will be easier to implement in existing cell structures than the more sophisticated adaptive arrays, which also means low cost. The signal strength can degrade rapidly during the beam switching.

Complex in nature at the time of installment and best performance in the three types of smart antennas.

3.

It does not null the interference.

Excellent performance interference.

in

phased array, digital beam forming, adaptive antenna systems, and others. Smart antenna systems are customarily categorized, however, as switched beam, dynamically phased array and adaptive array systems [5].Switched lobe creates a group of overlapping beams that together result in omni directional coverage. The overlapping beam patterns pointing in slightly different directions. The SBSA creates a number of two-way spatial channels on a single conventional channel in frequency, time, or code. Each of these spatial channels has the interference rejection capabilities of the array, depending on side lobe level [70].As the mobile moves, beam-switching algorithms for each call determine when a particular beam should be selected to maintain the highest quality signal and

The Beamforming scheme is important factor to convert antenna array into smart antenna. These schemes tilt the radiation pattern into desired direction depending upon conditions. The simplest beamformer has all the weights of equal magnitudes, and is called a conventional Beamformer or a delay-and sum beamformer. This array has unity response in the look direction, which means that the mean output power of the processor, due to a source in the look direction, is the same as the source power to steer the array in a particular direction, the phases are selected appropriately. This beamformer provides the maximum output SNR for the

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case that no directional jammer operating at the same frequency exists, but it is not effective in the presence of directional jammers, intentional or unintentional. Generally null steering and optimal Beamformer are the commonly used in Smart antenna array . A. Null-Steering Beamformer Null-steering beamforming techniques require not only control of phase (as for conventional beamforming), but also independent control of the amplitude. A null-steering Beam former can cancel a plane wave arriving from a known direction, producing a null in the response pattern in this direction. The process works well for canceling strong interference, and could he repeated for multiple-interference cancellation. But although it is easy to implement for signal interference, it becomes cumbersome as the number of interference grows. Although the beam pattern produce by this Beamformer has nulls in the directions of interference [5], it is not designed to minimize the uncorrelated noise at the array output. This can be achieved by selecting weights that minimize the mean output power, subject to the above constraints. The flexibility of array weighting to being adjusted to specify the array pattern is an important property. This may be exploited to cancel directional sources operating at the same frequency as that of the desired source, provided these are not in the direction of the desired source. In situations where the directions of these interferences are known, cancellation is possible by placing the nulls in the pattern corresponding to these directions and simultaneously steering the main beam in the direction of the desired signal. Beam forming in this way, where nulls are placed in the directions of interferences, is normally known as null beam forming or null steering. The cancellation of one interference by placing a null in the pattern uses one degree of the freedom of the array. Null beam forming uses the directions of sources toward which nulls are placed for estimating the required weighting on each element. There are other schemes that do not require directions of all sources. A constrained Beamforming scheme uses the steering vector associated with the desired signal and then estimates the weights by solving an optimization problem. Knowledge of the steering vector associated with the desired signal is required to protect the signal from being canceled. In situations where the steering vector associated with the signal is not available, a reference signal is used for this purpose [54]. B. Optimal Beamformer The optimal Beamformer referred also as the optimal combiner or minimum variance distortion less response beam former (MVDR), does not require knowledge of the direction and the power level of interference ,nor the level of the background noise power , to maximize the output SNR. In this case the weights are computed assuming all source as interference and processor is referred to as a noise along matrix inverse(NAMI) or maximum likelihood (ML) filter ,as it finds the ML estimate of the power of the signal source with the above assumption. Minimizing the total output noise, while keeping the output signal constant, is the same as maximizing the output SNR. This method requires the number of interferers to be less than or equal to L -2, as an array with L elements has L- 1 degrees of freedom, and one has been

utilized by the constraint in the look direction. This may not he true in a mobile-communications environment with multipath arrivals, and the array Beamformer may not be able to achieve the maximization of the output SNR by suppressing every interference. However, the Beamformer does not have to fully suppress interference, since an increase of a few

Fig 4 The structure of a narrow band beam-former[10] (a)without reference signal.and (b) using a reference signal.

decibels in the output SNR can make a large increase in the channel capacity. In the optimization using reference signal method, the processor requires a reference signal instead of the desired signal direction (Fig.4). The array output is subtracted from an available reference signal to generate an error signal, which is used to control the weights. Weights are adjusted such that the mean squared error (MSE) between the array output and the reference signal is minimized. Arrays which use zero reference signals are referred to as powerinversion adaptive arrays. The MSE minimization sachem is a closed-loop method, compared to the open –loop scheme of MVDR (the ML filter), and the increased SNR is achieved at the cost of some signal distortion, caused by the filter. IV. GENERALLY USED SMART ANTENNA ALGORITHMS At present, there are many sorts of algorithms that can be applied to the smart antenna systems. People also put forward many modified algorithms on the basis of the basic algorithms to adapt to different performance demands. Generally, there are two categories: blind algorithm and non blind algorithm. The algorithm that needs the reference signal to adjust the weights gradually is referred to as the blind algorithm. Besides, when the directions of the signals are known, we can determine the channel response firstly, and then determine the weights according to certain principle. This kind of algorithms includes LMS, RLS, SMI, LCMV and so on. Inversely, the blind algorithm doesn’t need the reference signal. The receiver can estimate the transmitted

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signal and treat it as the reference signal to make signal processing. This kind of algorithm makes use of the inherent characteristics of the modulating signal or the characteristics that is independent of the carried information. This kind of algorithms includes CMA, subspace algorithm, MUSIC algorithm, and so on. Moreover, the two kind of algorithm can also be combined, namely, using the non blind algorithm to determine the initial value and then using the blind algorithm to track and adjust, such as SMI+CMA[l]. This method is suitable to the communication system that transmits the pilot symbols. A. LMS Algorithm The LMS algorithm is based on the principle of the steepest descend and is applied to the MSE performance measurement. The LMS algorithm intrudes three categories [52] unconstrained LMS algorithm, normalized LMS algorithm and constrained LMS algorithm. When the weights are subjected to constraints at each iteration, the algorithm is referred to as the constrained LMS algorithm. Otherwise, it is referred to as an unconstrained LMS algorithm. The unconstrained LMS algorithm is mostly applicable when weights are updated using a reference signal and no knowledge of the direction of the signal is utilized. Though the structure of the normal LMS algorithms are very simple, it doesn’t perform well due to its slow convergence rate in situation of fast-changing signal characteristics and the high sensitivity to the eigen value distribution of the covariance matrix of the array signals, which limits its application in CDMA system. The normalized LMS algorithm is a variation of the constant-step-size LMS algorithm, and uses a datadependent step size at each iteration .

(2) Where the inverse matrix is updated as

(3) Where C. Sample Matrix Inversion (SMI) Algorithm The SMI algorithm estimates the weights directly by estimating the covariance matrix R from K independent samples of data by time- averaging. Thus the problem that the rate of the convergence depends on the eigen value distribution can be avoided. The optimum solution obtained from the SMI algorithm is[55 ].

-1

(4)

Where

H

μ ( n) =

μ X

H

( n ) X ( n)

(1)

The algorithm normally has better convergence performance and less signal sensitivity compared to the normal LMS algorithm. When applied to the multi-antenna CDMA mobile systems, using an optimal step-sequence in the update, the algorithm can achieve a fast convergence and a near-optimum steady-state performance at the expense of low increase in the complexity than the normal LMS algorithm[53]. Moreover, a modified and normalized. LMS (MN-LMS) algorithm is presented in [43]. The adaptive filter using this algorithm can track the individual total input phase at each element and the channel estimation and phase calibration are not required for the inverse link improvement. B. RLS Algorithm The RLS algorithm is based on the LS rule to make the error square-sum of the array output in each snapshot least . This algorithm take advantage of all the array data information that obtained after the initiation of the algorithm and using the iteration method to realize the inverse operation of the matrix, so the convergence rate is rapid and can realize the tradeoff between the rate of the convergence and the computing complexity. This algorithm is not sensitive to the eigen value distribution, but compared to the normal LMS algorithm, its computational complexity is high[54].The common solution of the algorithm is

i is a complex sample vector of receiver outputs of length N, N is the number of elements of the array antenna, K is the number of sample vectors used. V is a steering vector of length N which is equal to the un adapted array weights. Forming a sample covariance matrix and solving for the weights provides a very fast rate of convergence. The rate of convergence is dependent only on the number of elements and is independent of the noise and interference environment and the eigen value distribution. Because the complexity of the computing is proportional to N3 so it requires that the algorithm has a strong processing ability when the array is large. To a certain given value of K, the quality of the estimation obtained from the time average is dependent on the input signal-noise ratio (SNR). When the SNR decreases, in order to eliminate noise and interference, a large amount of samples are needed to obtain the estimation more precisely . Ronald L. etc had ever put forward the M-SMI algorithm[66], namely the modified SMI, in which the diagonal loading technique is used, where, the diagonal of the covariance matrix is augmented with a positive or negative constant prior to inversion. Compared to the SM1 algorithm, the diagonally loaded sample covariance matrix

=

(5)

F can be positive or negative, but for the covariance matrix to be positive definite. The positive loading tends to reduce the null depth on weak interfering signal, while it decreases the convergence time. Conversely, negative loading tends to increase the null depth on weak interfering signals while increasing convergence time. The SMI algorithm can get the maximum signal-to-interference-plus-noise (SINR). However, in some applications, such as digital

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communications or satellite television communications, other measures of performance such as SIR may be equally important, the M-SMI can be applied in this situation. D. LCMV Algorithm The algorithms mentioned above all need the reference signal, and the reference signal must have Large correlation with the desired signal. But in actual environment, this is difficult to obtain. So we can make use of the technology of orientation of the reference signal source. In the environment that the signals are dense, we can orient the desired signal and the interference signal sources, and then combine this with the technology of nulling adaptively, thus we can obtain reference nulling with high resolution. It is assumed that there are p desired signals and q interference signals incident on the antenna. The directions of the incident signals are ( θi ….., θp ) and ( θp+1 …….., θp+q ) respectively in which p + q < M . The constrained condition of the LCMV algorithm[57] is:

above environment. The CMA algorithm can solve the problem [58]. It is a typical blind algorithm and only requires that the amplitude of the transmitted signal is constant, such as FM, PSK, FSK etc. CMA is based on the fact that the amplitude of the combined signal fluctuates because of the interference. Thus, in CMA. the amplitude of the combined signal is always observed, and the weights coefficients are adjusted so as to minimize the variation of the amplitude of the signal. When the output amplitude becomes constant, nulls can be formed in the direction of the interference signals on the directional pattern. Moreover, Satoshi Denno etc have put forward the Modified CMA algorithm in [59].The use of adaptive array to reject wideband interferences and track wideband signals has been proven to be more efficient if frequency compensation is used. Among the frequency compensation algorithms, the interpolating techniques have been applied to the CMA. ICMA permits to improve system performances by readjusting the main lobe's direction toward the signal's DOA and increasing the interference null depth [60]. V. FURTHER REMARKES In this paper, we have discussed various Smart antenna array architectures, Beamforming techniques and algorithms. The design and architecture of smart antenna is case sensitive and changed according to the demand of applications. The adaptive array provide excellent result in the presence of interference, but its design is more complex and costly as compared of other two. In Beamforming null steering Beamforming perform well in case of strong interferences, but in need prior information of that. The blind algorithm doesn’t need the reference signal so we can apply them according the communication system demands. REFERENCES

[1] Fang-Biau Ueng, Jun-Da Chen and Sheng-Han Cheng “Smart Antennas for Multi-user DS/CDMA communications in Multipath Fading Channels” IEEE Eighth international symposium on spread spectrum ISSSTA2004, Sydney, Australia, 30 Aug. - 2 Sep. 2004 Alexiou, A. , Haardt, M. “Smart antenna technologies for future wireless systems: trends and challenges “ IEEE Communications Magazine,Volume 42, Issue 9, Page(s):90 - 97 Sept. 2004 A. Rawat “Smart antenna terminal development” National conf. of IETE Chandigadh, India April 2005 A. Rawat ”Design of smart antenna system for military application using mat lab” National conf. of Institution of Engineers in Jaipur , India Aug 2006. Chryssomallis, M.” smarty antennas” Antennas and Propagation Magazine, IEEE Volume 42, Issue 3, Page(s):129 – 136 June 2000 A. Paulraj, R. Nabar, and D. Gore, “Introduction to Space-Time Wireless Communications”, Cambridge Univ. Press, 2003. L. C. Codara, “Application of Antcnna Arrays to Mobile Communications, Part 11: Beam-Forming and Direclion-of-Arrival Considerations,” Proceedings of the IEEE, 85, pp.1195-1245, 8, August 1997 Lal C. Godra, Application of Antenna Array to Mobile Communications, Part U : Beam-Forming and Direction-of-Arrival Considerations”. Proceedings of the IEEE, Vol. 85, No. 8, Page(s): 1213-1218, 1997. Jian-Wu Zhang “The Adaptive Algorithms of the Smart Antenna System in Future Mobile Telecommunication Systems” IEEE International Workshop on Antenna Technology pp347-350, 2005

(6) Where

This algorithm can ensure that the antenna has the gain of 1 in the directions of the desired signals, while the responses in the directions of the interference signals are zero, thus there are deep nulls in the directions of the interference signals, which can be seen from the directional pattern of the antenna, Through these constrained conditions, the interference signals can be suppressed and the output power of the array can be minimized to suppress other signals and noises which are not located in the main lobe of the antenna. The weight vector of the LCMV algorithm is: (7) From above equation, we can see that in DS-CDMA systems, the above two algorithms, namely SMI and LCMV algorithms, can be used by the adaptive antenna array for propagation delay estimation. The large sample maximum likelihood (LSML) is applied to the beam forming output data for estimating to the propagation delay of a desired user in multi-user sceneries. The adaptive antenna array can help the LSML estimator to obtain improved performances as compared to a single antenna based LSML estimator. E. CMA Algorithm In order to adaptively control directions of nulls, some information concerning incident waves such as directions and intensity of incident waves is required. It is , however, very difficult to know the information in some environment. In addition, the directions and intensity may vary with the variation of the environment. Thus the algorithm for controlling the nulls is important especially in the case of

[2]

[3] [4]

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[26] R. Kohno, C. Yim and H. Imai “Array Antenna Beamforming Based on Estimation on Arrival Angles Using DFT on Spatial Domain,” Proceedings of PIMRC 1991, London, UK, ,pp. 38-43 September 1991. [27] Jumarie, G. “Nonlinear filtering: A weighted mean squares approach and a Bayesian one via the maximum entropy principle.”Signal Processing, 21 (1990), 323—338, 1990. [28] Sun, Q., Alouani, A. T., Rice, T. R., and Gray, J. E. “ Linear system state estimation: A neurocomputing approach.” In Proceedings of the American Control Conference, 550—554, 1992. [29] Cohen, S. A. “Adaptive variable update rate algorithm for tracking targets with a phased array radar’. IEE Proceedings, pt. F, 133, 277— 280, 1986 . [30] J.C. Liberti, T.S. Rappaport, “Smart Antennas forWireless Communications: IS-95 and Third-Generation CDMA Applications”,Prentice Hall, NJ, 1999. [31] LAL C. GODAR4, Application of Antenna Array to Mobile Communications, Part U : Beam-Forming and Direction-of-Arrival Considerations”. Proceedings of the IEEE, Vol. 85, No. 8, Page(s): 1213-1218, 1997. [32] Sandgchoon Kim; Miller, S.L. “An Adaptive Antenna array Based Propagation Delay Estimation for DS-CDMA Communication Systems”, Military Communications Conference, 1998. Milcom 98, Proceedings of the IEEE Vol: 1, Page(s):333-337, 1998 . [33] Sandgchoon Kim; Miller, S.L. “An Adaptive Antenna array Based Propagation Delay Estimation for DS-CDMA Communication Systems”, Military Communications Conference, 1998. Milcom 98, Proceedings of the IEEE Vol: 1, Page(s):333-337, 1998 . [34] BLAIR D. CARLSON, “Covariance Matrix Estimation Erron and Diagonat Loading in Adaptive Arrays”. IEEE Transactions on Aerospace and Electronic System. Vol. 24, No. 4, Page(s): 397-401, July 1988. [35] Ronald L. Dilsavor, Randolph L. Moses, “Analysis of Modified SMI method for adaptive Array Weight Control’, IEEE Transactions on Signal Processing, Vol. 41, No. 2, Page(s): 721-726,1993,. [36] Werner, S.; Apolinario, J.A.., Jr.; Lakkso, T.I. “Multiple-antenna CDMA Mobile Reception Using Constrained Normalized Adaptive Algorithms”, Telecommunications Symposium, 199s. ITS ’98 Proceedings. SBT/IEEE International, Vol: 1, Page(s): 353-358 , 1998 [37] Fujimoto, M.; Nishikawa, K.; Sato, K., “A Study of Adaptive Array Antenna System for Land Mobile Communications”, Intelligent Vehicles’95 Symposium, Proceedings of the IEEE, Page(s): 36-41, 2526 Sept, 1995. [38] Demo, S.; Ohira Demo, S.; Ohira, T., “M-CMA for Digital Signal Processing Adaptive Antennas with Microwave Beamforming”,Proceedings of IEEE, Vol. 5, Page(s): 179-187 ,2000 . [39] Hefnawi, M.; Delisle, G.Y. “Adaptive arrays for wideband interference suppression in wireless communications”, Antennas and Propagation Society, 1999. IEEE International Symposium 1999, vok3, Page(s): 1588 - 1591, 1999.

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The smart antenna array is a group of antennas in which the relative phases of the respective signals feeding the antennas are varied in such a way that the effective radiation pattern of the array...

The smart antenna array is a group of antennas in which the relative phases of the respective signals feeding the antennas are varied in such a way that the effective radiation pattern of the array is reinforced in a desired direction and suppressed in undesired directions. Smart antenna are the array with smart signal processing algorithms used to identify spatial signal signature such as the direction of arriving of the signal, and use it to calculate beam forming vector, to track and locate the antenna beam on the mobile/target. An array antenna may be used to point a fixed radiation pattern, or to scan rapidly in azimuth or elevation. This paper explains the architecture; evolution of smart antenna differs from the basic format of antenna. The paper further discusses different Beamforming schemes and algorithms of smart antenna array.

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