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Efficient Beamforming with Multi-Active Multi-Passive Antenna Arrays

Conference Paper · June 2018

DOI: 10.1109/SPAWC.2018.8445890

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 Ecient Beamforming with Multi-active
Multi-passive (MAMP) Antenna Arrays
G. K. Papageorgiou, D. K. Ntaikos and C. B. Papadias, Fellow IEEE,
Athens Information Technology, 44 Kissias Ave., 15125, Athens, Greece.
Email: {gepa, dint, cpap}@ait.gr
September 8, 2018

Abstract
In this paper, we present a stochastic scheme for the joint determi-
nation and adaptation of baseband weights and parasitic loads in multi-
active multi-passive (MAMP) antenna arrays. We consider a rectangular
MAMP antenna array architecture, which is modeled taking into account
the mutual coupling between all its elements. We attempt to optimize
the reactance loads and baseband weights, so that the radiation pattern
of the rectangular MAMP array matches the one of a uniform linear array
(ULA) with more active elements. Our results indicate that the consid-
ered MAMP antenna array is comparable, in terms of beamforming per-
formance, to an all-active ULA of 50% more active elements. Thus, the
complexity and cost of the antenna can be reduced accordingly without a
compromise on the quality of the produced beam. Given the limited prior
art in this eld, we believe that this work will pave the way for MAMP
arrays to become a strong contender for future multi-antenna systems
that require high spatial selectivity with specic hardware, size and cost
constraints.

1 Introduction

Parasitic antennas, in their simplest form, are single-RF (Radio Frequency)

chain devices that contain a single active element surrounded by multiple par-
asitic elements loaded via variable reactances [1]. Gyoda and Ohira in 2000 [2]
introduced the electronically steerable passive array radiators (ESPARs), which
enabled the adaptive control of the radiation pattern by adjusting the antennas
reactances. The latter regulate the current on the parasitic elements via the
electromagnetic mutual coupling between neighboring elements, which in turn
inuences the spatial radiation sensitivity and thus, provides the adaptive trait.
ESPAR arrays have attracted interest for next generation wireless communica-
tion systems [3, 4, 5, 6, 7]. They oer the potential to increase channel capacity,

1
enhance quality-of-service (QoS), improve RF spectrum usage, extend coverage
and reduce power consumption on wireless networks [8].
Typical ESPAR arrays are implemented using a single active element and
a number of parasitic ones, placed within a specic geometry, e.g., circular,
linear, rectangular, etc. Variable loads, i.e., varactors, are connected on the
parasitic elements in order to control the imaginary part of their impedance. By
tuning the varactors' responses one can change their impedance, thus altering
the magnitude of the induced currents, hence, modifying the far eld radiation
pattern of the antenna [8]. The key feature is its ability to shape a directive
beam, thus improving the gain (or the range) of the transmission, without an
increase on the number of RF chains. The research activity in the past years has
mainly focused around ESPAR antennas with a single active element, denoted as
single-active multi-passive (SAMP) antennas. However, the potential of MAMP
antenna arrays has been largely unexplored. In this work we aim to examine
the MAMP antenna technology in order to: a) reduce the hardware cost and
complexity or b) increase the performance of a given antenna with the addition
of these passive elements.
Beamforming is the technique that shapes the beam of an antenna array
so its gain towards certain directions of interest is maximized, while the power
leakage in other directions is minimized [9, 10, 11]. In classical all-active arrays,
e.g., uniform linear arrays (ULAs), beamforming involves array signal process-
ing. That is, signals derived from individual active antenna elements are appro-
priately weighted and summed to produce the output of the array. Additionally,
in parasitic antenna arrays, beamforming is assisted by varying the loads on the
parasitic antenna elements. This observation, presented initially in [2], has been
of great importance in this context.
In this paper, we show that MAMP arrays can be comparable, in terms of
beamforming and steering capability, to all-active ULA arrays with 50% more
active elements. To the best of our knowledge, it is the rst time that this
important trait of MAMP arrays is regarded in the literature. For the joint cal-
culation of the MAMP array's load-weight values, we propose a novel stochastic
scheme. Moreover,we take into account the mutual coulping between all of the
MAMP array's elements to generate a radiation pattern that is realistically close
to the desired one. Our algorithm is an extension of the stochastic beamforming
algorithm presented in [12], thereby we optimize both the reactance loads and
the baseband weights of the active elements. The results indicate that by using
passive elements with multi-antennas, the hardware cost and the complexity of
the antenna can be reduced without a compromise on the quality of the beam.
The structure of the paper is summarized as follows: a short summary of
the state-of-the-art for ESPAR antennas is presented in Section 3. In Section 2,
the geometry of the antenna is selected and the modeling is presented accord-
ingly. Section 4 is devoted to the description of our novel method and Section 5
displays our ndings via extensive simulations. Finally, Section 6 presents the
conclusions of this work.
Notation: Capital calligraphic letters are employed to denote sets, e.g., S,
and Sc is used for its complement set, while 1 : 3 is used for describing the

2
 Z
Y

Active elements
Passive elements

Figure 1: A rectangular MAMP antenna array with Na = 4 active (red) and

Np = 6 passive elements (blue) per active (or 24 passive ones in total).

set {1, 2, 3}. φ and M , while bold roman

Roman letters denote scalars, e.g.,
capital letters denote matrices, e.g.,X and bold lowercase letters are reserved
for vectors, e.g., v . Moreover, diag(·) denotes the respective square diagonal
matrix of a vector. The notation x S denotes the entries of vector x restricted
over the set S . The real and imaginary parts of a vector are denoted by <(·)
and =(·), respectively. The identity matrix is denoted by I and 1 is the vector
with 1 in each entry. Finally, the symbol  denotes element-wise division.

2 Rectangular MAMP Antenna array

We consider a rectangular geometry for the MAMP antenna array consisting of

Na active elements (dipoles) parallel to the z-axis (whose centers lie on the x -
axis) equally spaced at λ/2, and, Np (even number) passive elements per active1
(whose centers lie parallel to the y -axis) equally spaced at pλ , with p < 0.5 (to
enhance the mutual coupling eect). The antenna array is presented in Fig. 1.
In our evaluation we have considered linear dipoles for the antenna elements
with equal length l = λ/2 and radius r = λ/100 [13] (Ch. 8), and are considered
to be ideal (there are no losses). The mutual coupling eect is often neglected

1 The number of passive elements in total is N N .

a p

3
in other studies for inter-element distance greater than λ/2, since it becomes
smaller as the distance increases. In this conguration we take into account
all mutual coupling eects that may appear among all the side-by-side iden-
tical linear dipoles (active-active, active-passive, passive-passive), regardless of
the intensity of the mutual coupling's strength, and thus, compute the actual
impedance matrix Z. It should be noted that, since p < 0.5 our structure is not
a uniform one (as demonstrated in Fig. 1), as opposed to Uniform Rectangular
Arrays (URAs), where all active elements are placed at equal distances. Finally,
the set of active dipoles (as well as its complement) play an important role. For
example, in Fig. 1, S = {4, 11, 18, 25} and S c = {1, . . . , 28} \ S.
The radiation intensity of the MAMP antenna at a given azimuth angle φ is
given by:
a(φ) := iT s(φ), (1)

where s(φ) is the respective steering vector and i is the complex normalized
current vector on the antenna elements given by

i = i(X, v) := (Z + X)−1 v, (2)

where v is the voltage vector (with zero values except from Na indices corre-
sponding to the active elements) and

X := diag(x), xT = [x1T , . . . , xTNa ] (3)

corresponds to the load reactance matrix that adjusts the radiation pattern of
the MAMP antenna; each vector xi corresponds to the loads of the i -th column
(ordered in increasing values over the x -axis) of the MAMP antenna and has
values

xi := [ j xi (1), . . . , j xi (NP /2), Ra, j xi (NP /2 + 1), . . . , j xi (NP )]T , (4)

for i = 1, . . . , Na , where Ra ∈ R+ is the input impedance of the active element,

while the rest of its entries correspond to the passive elements.

3 State-of-the-art

In [12, 14], the authors have exploited the cross-correlation coecient (CCC)
between the estimated beam pattern and a desired one in order to optimize
an objective function with respect to the loads of the SAMP antenna. The
minimization task was approached by using the steepest gradient scheme based
on a simultaneous perturbation stochastic approximation (SPSA) method, [15,
16, 17, 18]. The gradient was approximated by using the two-sided nite-
dierence method (FDM) [19]. Additionly, in [12], the authors have incorpo-
rated a smoothing technique, which ideally provides better convergence proper-
ties [20]. However, since only a single active element was considered, the steering
of the beam was primarily enabled due to the circular geometry of the proposed
antenna. In other words, beam steering could not be achieved solely by the

4
tuning of the loads, supposing that a linear geometry had been selected. Their
algorithm is known as Stochastic Beamforming Algorithm (SBA).
One rather straightforward solution for optimizing the radiation pattern of
a MAMP antenna array and enabling the rotation of the beam is to directly
extent the SBA proposed in [12] for the MAMP antenna array and compute
only the values of the loads. The initialization for the non-zero values of the
voltage vector is based on the steering vector of the respective ULA at a certain
direction φ0 , i.e., v S = sULA
∗ (φ0 ). However, as we will present in the experimental
evaluation section, the performance of this approach is quite limited. After
extensive experimentation, we devised the following extensions of the SBA for
the MAMP antennas, depending on the selection of its smoothing sequence
M :
(βm )m= 1

• SBA-SS1: Stochastic Beamforming Algorithm with the smoothing se-

quence 1, similar to the one used in [12], i.e., {40, 35, 30, . . . , 0.1, 0.05, 0.01}.
• SBA-SS2: Stochastic Beamforming Algorithm with the smoothing se-
quence 2, βm = βm−1 /2, β0 = 5, m = 1, . . . , 15. This selected sequence
has optimal decaying, as reported in [21].

4 Stochastic Beamforming Algorithm for MAMP

Antenna Arrays

The cost function that we attempt to optimize can be viewed as a function of

both the reactance loads and the voltage vector. Thus, for a selected antenna
array structure that determines the set S of active elements, the targeted cost
function that we attempt to minimize is:

| b H a(x S c , w)|
L(x S c , w) := 1 − , (5)
k bk 2 k a(x S c , w)k 2
 
<(v S )
where w= , and
=(v S )

a(x S c , w) = ST (Z + diag (I S x S + jI S c x S c ))−1 v(w), (6)

v(w) = I S w1: Na + jw(Na +1):2 Na , S = [s(φ1 ), . . . , s(φ N )] is the steering matrix

of the MAMP antenna and b is the radiation pattern of the desired beam. The
optimization in (5) is non-linear with respect to both variables x S c and w .
Therefore, we attempt to solve the optimization task with a double stochastic
approach.
Our proposed scheme follows the SPSA iterative approach for the optimiza-
tion of both the loads and the baseband weights. After the initialization of both
loads and weights, the values of the loads are computed according to SPSA for
an initial smoothing step βm, while the weights are kept xed. At the 8-th row
a vector δx that belongs to the Binomial distribution is selected at random. In

5
Algorithm 1 Stochastic Beamforming Algorithm for MAMP arrays
1: function SBA-MAMP( b, (βm )m=1, S, Z, S, τ, Nm, Ter , eps )
M

2: m ← 0, x S c = [0, . . . , 0]T ,w ← [1T , 0T ]T

3: while m < M do
4: m ← m + 1, n ← 0, k ← 0
5: errx ← 1/eps, errw ← 1/eps
6: while n < Nm and errx ≥ Ter do
7: n ← n + 1, xold ← x S c
8: Create: δ x ∼ B(1, 1/2) with values ±1
9: x +S c = x S c + βm δ x, x −S c = x S c − βm δ x
   
10: Lx+ = L x +S c , w , Lx− = L x −S c , w
ξ x = 2β1m Lx+ − Lx− 1  δ x


11:
kxS c −x ol d k 2
12: x S c = x S c − τξ x, errx = kx ol d k 2 +eps
13: end while
14: while k < Nm and errv ≥ Ter do
15: k ← k + 1, wold ← w
16: Create: δw ∼ B(1, 1/2) with values ±1
17: w + = w + βm δ w , w − = w − βm δ w
18: Lv+ = L (x S c , w + ) , L
v− = L (x S c , w − )
19: ξw = 2β1m Lv+ − Lv− 1  δw
kw−w ol d k 2
20: w = w − τξw, errw = kw ol d k 2 +eps
21: end while
22: Er(m) ← L(x S c , w) . Given by (5) and (6)
23: end while
24: end function
Ensure: Er(m), x S c , w

row 10 the new costs are computed according to (5) and(6). Next, the two-side
FDM (approximation of the gradient) is computed and the updated direction
is given in row 12. The loop is repeated until convergence. Next, after the
convergence of the rst iterative process to the values of the loads, i.e., xSc ,
the SPSA algorithm is used in a similar manner for the computation of the
baseband weights, i.e., vector w. The process is repeated M times for various
smoothing steps βm . Our proposed scheme is summarized in Algorithm 1.
A smoothing technique was also employed here, as proposed in [20], so that
the algorithm is not easily trapped to local minima. This is achieved by letting
βm → 0 as m → M. However, it should be noted that there is no guarantee
that the algorithm converges to a global minimum. The smoothing sequence
that we use for SBA-MAMP is the one of SBA-SS2 of Section 3. For the rest
of the parameters the following values were empirically selected after extensive
experimentation: τ = 100, Nm = 10, 000, Ter = 10−6 , eps = 10−10 .

complexity of the SPSA iteration is O (Na Np + Na )
3
Finally, and the com-

6
 O Mn(Na Np + Na )3


plexity of the SBA-MAMP is . The worst case complexity
is for n = Nm . However, the relative error criterion for the termination of the
SPSA iteration is usually met sooner, thus, the actual value of n is much lower.

5 Experimental Evaluation

In this section, we evaluate the performance of the proposed SBA-MAMP in

terms of beamforming. We attempt to match the radiation pattern of a MAMP
antenna with Na active elements to the beam of a ULA with N > Na active
elements. Our proposed method is compared to SBA-SS1 and SBA-SS2, while
we also estimate the error.
In the rst experiment, we consider a MAMP antenna array with 4 active
elements and 6 passive elements per active (thus 24 passive in total). Our goal
is to match the radiation pattern of a ULA with 6 active elements at (a) endre
and (b) broadside modes.
The normalized gain is depicted in Cartesian coordinates in Figure 2 and
in polar coordinates in Figure 3. The estimated beams are directly compared
to the 4-element ULA antenna beam (which has the same number of active
elements as the MAMP antenna array) and the 6-element ULA antenna beam.
Moreover, in Table ??, the half power beam width (HPBW) and the side lobe
level (SLL) of the beams are observed and compared; the best results are listed
in bold.
The initial values for the voltage vector are set at sU (0◦ ) and sU (90◦ ), respec-
tively, of a 4-element ULA antenna. It is observed that for the beam pointing at
0◦ (endre mode) the front lobe is signicantly suppressed for the load-weight
solution computed by our proposed scheme, i.e., ISBA. In particular, the HPBW
is reduced to 57◦ , which is even lower than that of the 6-element ULA antenna.
Moreover, the SLL is lower than that of the SBA method. Regarding the broad-
◦
side mode (90 ), it turns out that the SBA method prevails. In fact, this is more
than expected due to the fact that no rotation is involved. Recall that at this
√
direction sU Na is an all-ones vector, thus no change in the voltage vector is
necessary. Finally, we calculated the value of the cost function, L(x, v), for the
estimated solutions, averaged over 100 iterations. The results are listed in Table
??, where it is observed that the estimation performed by the ISBA has been
reduced up to 9% for the endre mode.
This section is devoted to the evaluation of the proposed iterative scheme
in terms of beamsteering. In Figure 4, the normalized gain is depicted for
each method, in polar coordinates, at a steering direction of 30◦ and 45◦ . The
estimated beams are the result of an attempt to match a MAMP beam with
a 6-element ULA. The beams estimated by the SBA and our proposed ISBA
method are directly compared to the 4-element ULA and the 6-element ULA
beams. Moreover, in Table ??, the half power beam width (HPBW) and the
side lobe level (SLL) of the beams are observed and compared; the best results
are listed in bold.
The initial values for the voltage vector are set at sU (30◦ ) and sU (45◦ ), re-

7
 30
SBA-SS1 45◦
SBA-SS2 45◦
SBA-MAMP 45◦
25 SBA-SS1 90◦
SBA-SS2 90◦
SBA-MAMP 90◦
Average error (%)

20

15

10

5
0 2 4 6 8 10 12 14 16

(a) Beamforming error

Error at 45 degrees - 4 act. & 6 pas/act. matched to a 6-ULA

90°
120 ° 1 60°
0.8

°
150 0.6 30°

0.4

0.2

180 ° 0 0°

210 ° 330 °
Original ULA beam
Matched ULA beam
SBA-SS1
SBA-SS2 240 ° 300 °
SBA-joint opt. °
270
SBA-seq.

(b) Beamforming

Figure 2: Comparison of the MAMP antenna array beams with 4 active ele-
ments, estimated by the SBA and the ISBA algorithms, vs 4 and 6-element
ULA beams at (a) endre and (b) broadside modes, in Cartesian coordinates.

8
 90°
1
120° 60°

0.8

150° 0.6 30°

0.4

0.2

180° 0 0°

210° 4-ULA 330°

6-ULA
SBA
ISBA
240° 300°
270°
(a) 0◦

90
1
120 60
0.8

150 0.6 30

0.4

0.2
4-ULA
6-ULA
180 0 SBA 0
ISBA

210 330

240 300
270
(b) 90◦

Figure 3: Comparison of the MAMP antenna array beams with 4 active ele-
ments, estimated by the SBA and the ISBA algorithms, vs 4 and 6-element
ULA beams at (a) endre and (b) broadside modes, in Polar coordinates.

spectively, to match these of a 4-element ULA. It is observed that the additional

adaptive computation of the weights, instead of calculating only the loads, en-
hances the estimation of the beam pattern. This is also veried by the results
in Table ??, where the value of the cost function, L(x, v), for the estimated so-
lutions, averaged over 100 iterations are calculated. It is veried that the ISBA
has better matching properties compared to the SBA. The estimated L value
has been reduced by 5% for the direction of 45◦ .

9
 90°
1
120° 60°

0.8

150° 0.6 30°

0.4

0.2

180° 0 0°

210° 4-ULA 330°

6-ULA
SBA
ISBA
240° 300°
270°
(a) 30◦

90°
1
120° 60°

0.8

150° 0.6 30°

0.4

0.2

180° 0 0°

210° 4-ULA 330°

6-ULA
SBA
ISBA
240° 300°
270°
(b) 45◦

Figure 4: Evaluation of the SBA and the ISBA performance at adaptive steering
of the beam towards (a) 30◦ and (b) 45◦ , for the MAMP antenna array with 4
active elements.

6 Conclusion

In this paper, we presented our work on a novel algorithm for the joint calcu-
lation of load reactances and baseband weights of MAMP antenna arrays for
the purpose of beamforming and beamsteering. We have appropriately modeled
the mutual coupling eects that are induced among all the MAMP antenna's
elements, in order to calculate accurately the loads of the parasitic elements. So
far, this was seemingly neglected in the related literature. First, we extended

10
the previously proposed SBA algorithm, which is based on the SPSA method,
to t the MAMP array's parameterization. Then, we proposed a novel itera-
tive scheme i.e., the ISBA, for the joint calculation of the parasitic loads and
baseband weights of the MAMP antenna array based on an alternating stochas-
tic procedure. It was demonstrated that the considered MAMP antenna array
can achieve approximately the shape of an all-active ULA of 50% more active
elements. Moreover, we showed that the proposed ISBA algorithm performs
better than the SBA algorithm. First of all, it produces a narrower beam to-
wards the desired direction. Furthermore, the matching of the estimated beam
to the desired one is enhanced by up to 9%.

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