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Phased-Array and Radar


Astounding Breakthroughs An Update
Dr. Eli Brookner, Life Fellow IEEE

Software for the design of phased arrays.


Abstract-In recent years phased arrays have seen
breakthroughs that lead to capabilities not possible in the past. This paper is an updated version of [2].
This is exemplified by the development of GaAs integrated
microwave circuits called monolithic microwave integrated II. GaAs MMIC TIR MODULES
circuits (MMIC). This integration has reached the point where it
is possible to now build a low cost 35 GHz phased array for a Monolithic Microwave Integrated Circuits (MMICS), i.e.,
missile seeker costing $30/element (total cost of array including
microwave integrated circuits [22,33], has extensively
all electronics divided by number of elements). This is made
possible here because integration allows the whole TIR module to successfully been applied to active electronically steered
be put on a single chip. For some application it will be possible in arrays (AESAs) over the last decade providing lower cost,
the near future to put multiple receivers or transmitters on a more reliable, lighter weight, smaller volume systems
single chip now. The advances provided by Moore's Law has [1,29,30,33]; see Fig. 1. The MMIC APG-79 AESA radar on
now made it is feasible to do digital beam forming (DBF) with all the F/A-18 ElF allows simultaneous. air-to-air and air-to-
its numerous advantages. It is now possible to do DBF for a 2,500
ground modes. This means it can defend itself while at the same
element array at the element level, a major breakthrough. Also
time deliver it weapon to the target. This is achieved with only a
covered will be: the potential for GaN and SiC chips which have
the capability of a factor of ten or more higher peak power than small increase in cost of the radar over the older mechanically
GaAs chips; arrays with instantaneous bandwidths of up to 33:1; scanned system [25]. AESA has permitted the Wedgetail MESA
SiGe low cost TIR modules; low cost MEMS passive arrays; a AESA L-band arrays to be placed on the top of a Boeing 737-300
real radar application for Multiple-Input Multiple-Output without the need of a rotodome as used on AWACS system; see
(MIMO) as opposed to fantasy has been demonstrated by Fig. 1. It has 360° coverage, the 2 back-to-back dorsal arrays
Lincoln Lab MIT which allows coherent combining of two provide ±60° coverage broadside while the antenna above them
radars to achieve a 9 dB increase in sensitivity; MIMO also provides endfire coverage of ±30°.
makes possible the optimum removal of clutter in OTH and
airborne radars by permitting adaptive control of the transmit
III. SEA-BASED X-BAND (SBX) RADAR [26]
antenna pattern in the receiver.
Index Terms-Radar, active-phased arrays, monolithic The Sea Based X-Band (SBX) 24-story-high phased-array
microwave integrated circuits, MMIC, MEMS, TIR nodule, radar, shown in Figs. 1 (lower right hand comer) is a NEW
phased array, AESA, electronic scanning, ESA, SBX, XBR, WONDER OF THE WORLD [26]. It is the most powerful
GBR-P, AN/APG-79, F/A-18EIF, low-cost AESA, GaAs, GaN, phased-array radar in the world. It is placed on an oil platform
SiC, SiGe, CMOS, digital beam forming, DBF, ELIM-2248, MF- built in St. Petersburg Russia for this USA tracking and
STAR, digital signal processing, adaptive arrays, sidelobe discrimination Ground-Based Radar. The radome is 103 ft high,
canceler, SLC, STAP, Ultra-Wideband Antenna, Space-Based
120 ft in diameter. It is 65% populated with 45,056 T /R modules.
Radar, SBR, VED, tube, Vacuum Electron Device, traveling
wave tube, TWT, packaging, Haystack Radar, Multiple-Input It has 352 subarrays with 128 T/R modules each. The subarrays
Multiple-Output, MIMO, SAR, ISAR. are clocked to suppress grating lobes. It uses time delay steering
at the subarray level.

I. INTRODUCTION IV. LOW COST PHASED ARRAYS


The areas of breakthroughs covered are: 1) GaAs MIMIC, 2) Who said AESAs have to be expensive? On DARPA funding
Sea-Based X-band (SBX) radar; 3) 35 GHz $19k active phased the feasibility of a low-cost, $19 K, 35-GHz seeker AESA was
array; 4) Low cost MEMS phased array, 5) GaN, SiC, 6) SiGe, demonstrated by Raytheon [52]. It consisted of --600 notch
CMOS, 7) Digital beam fonning, 8) Digital signal processing, 9) radiating elements. The low cost was made possible because the
Adaptive arrays, 10) Space-time adaptive processing (STAP), 11) whole T/R module could be placed on a single MMIC chip. This
Packaging and assembly, 12) MIMO, 13) Ultra wideband arrays, in tum was made possible because the peak power per element
14) Tube advancements, 15)Solid State "bottle" radars; 16) only needed to be 40 mW. This results in a low cost of
$30/element when the cost of the whole array is divided by the
number of elements. DARPA also funded development of $10 X-
RadarCon-2008, May, 26-30, 2008, Rome, Italy Eli Brookner is with band, 10's mW, single chip T/R module [4].
Raytheon Company in Sudbury, Massachusetts 01776 (Phone: 978-440-4007; A 76 GHz photoetched Rotman Lens array costing only a few
e-mail: EliBrookner@raytheon.com).

1-4244-1539-X/08/$25.00 ©2008 IEEE


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dollars was developed for automotive cruise control [8]. CMOS; see Sect. VIII. GTRI is developing a SiGe single chip
T/R module for use in an AESA radar. Its initial design had a
V. LOW COST ME MS PHASED ARRAYS peak power of --50 mW using a 2 stage power amplifier (PA).
If only we had a low loss phase shifter. Then we could go back Work is under way to achieve 1 W peak by using 3 stages [19].
to the passive architecture electronic scanned phased array with The cost per element of an AESA using such a module is
one module feeding many phase shifters, like 10. This could expected to be 1/1OOth that of GaAs array using high power T/R
potentially reduce the cost of an electronically scanned phased modules [19]. The low power per module is made up for in a
array by a factor of about 10. Micro-ElectroMechanical systems radar by using a larger array, one that possibly folds on itself.
(MEMS) offer this promise. MEMS switches have improved their
reliability by 3 orders of magnitude over what was reported Oct. VIII. CMOS
2003 in [4] to a life of 600 billion switches [53, 5]. There is still CMOS now operates at microwave frequencies. It too uses a Si
need for improvement in the loss. The loss through a 4-bit phase substrate and is the technology widely used in the computer
shifter used in a 1-D scanned RADANT space-fed lens antenna is industry. It holds the promise of low cost and low power for the
--1.25 dB. Two lenses are needed for 2-D scan so that the two- receiver parts of T/R modules. Like SiGe, it has the advantage of
way loss for a 2-D scanned RADANT array would be --5 dB, but allowing the integration of many functions on a single chip, even
progress is being made [5]. more so than SiGe. One chip can have RF, IF, baseband,
microprocessor, memory, tunable filters and AIDs - a system on
VI. GAN, SIC a chip (SOC). It can be combined with GaAs or GaN for the
Wide bandgap GaN and SiC MMIC chips offer the potential microwave power amplifier and low noise figure receiver. Using
GaN has the advantage of being robust enough that a limiter may
of one to two orders increase in T/R module power. SiC is
not be needed. Si together with CMOS offer the possibility of the
primarily for frequencies below S-band while GaN will go
integration of many receiver and/or transmit channels on a single
from L-band to 50 GHz; see Fig. 2 [50]. These technologies
chip; see Sect. XIII.
would make it possible to upgrade an existing AESA by
replacing the GaAs T/R modules with GaN or SiC T/R
IX. DIGITAL BEAM FORMING (DBF)
modules having 10 times the power. This provides a 78
percent increase in track range [28]. The major advantages of DBF has arrived for microwave AESAs radars. We see it on
GaN [44, 27] are: It has highest power density of any existing the SMART-L, SMART-S, SMARTELLO, MESAR-1 and -2,
technology (3-6 W/mm for GaN versus 0.5-1.5 for GaAs). SAMPSON, AMSAR, MEADS UHF and X-band search and fire
This permits smaller chip size and lower cost for a given control radars, ROTHER, OTH, and S4R [1-3]. DBF provides
power. Smaller FET size permits wider bandwidth because of many significant advantages over analog beam fonning
higher impedance. It uses higher operating voltage (28-48V [1,2,3,29,30]. For large arrays I used to say DBF is only being
for GaN vs 5-20V for GaAs) leading to more efficient power done at subarray. This is no longer true, Elta is doing it at the
system. It has a superior thermal conductivity (170 W/m2-K element level for their 2,500 element EL/M-2248, a major
for GaN vs 47 for GaAs; it is 490 for SiC) which permits breakthrough; see Fig. 3. Four such Multi-Function Surveillance
higher power for a given channel temperature. A phenomenal Track and Guidance Radars (MF-STARs) are being placed on
900W peak has been demonstrated with a single GaN Elta's new generation military ship to provide 3600 coverage [48,
transistor package [51, 49]. Some venders have achieved 80- 49]. It is their "AEGIS" ship. It is an S-band solid-state AESA.
90% efficiencies with --lOW output power using hybrid GaN Using DBF eliminates the analog combining hardware, analog
devices in class E amplifiers [50]. CREE provides commercial down-converting and all the errors associated with them. This in
SiC hybrid devices putting out 10-60W for up to 4 GHz and tum will lead to ultra-low sidelobes. It will allow the
GaN hybrid devices putting out 15-120W from UHF to 40 implementation of multiple beams pointing in completely
GHz [16]. Their goal is to provide in one package 550 W different directions. It will enable the adaptive use of different
peak and 30-40 W average linear using a single stage FET. parts of the antenna for different applications at the same time. It
CREE supports the design of MMIC SiC and GaN chips. For permits simultaneous reduction by a factor of almost 2 of the
GaN MMIC they provide 60 W saturated from 2.5-4 GHz and transmit RF average search power and search occupancy [6]. The
25 W saturated from 5-6 GHz. See [16-18,49,50,51] for cost savings gained from these simultaneous reductions will be
detailed surveys of state-of-the-art on GaN and SiC. far greater than the increased cost in signal processing incurred.
At the same time the search angle accuracy is improved by about
VII. SIGE 40 percent [6]. DBF will also pennit better adaptive array
SiGe has the advantage of using Si as a substrate, the processing; see Sect. X. Fig. 3 also shows the Chinese "AEGIS".
technology of the low-cost, commercial integrated-circuit No information is available on it.
industry and whose extensive resources can be draw upon. It
offers the potential of higher perfonnance at low cost. SiGe does X. DIGITAL SIGNAL PROCESSING (DSP)
not compete with GaAs with respect to microwave output power
or noise figure. It offers low cost and the ability to integrate many DBF is made possible in part by the advances in DSP.
functions on a single chip. On one chip in addition to microwave Moore's Law still marches on. Moore himself expects it to go
power amplifiers and low noise figure receiver, it can have AIDs another 10-15 years. DSP in some cases is moving forward
and digital circuitry. It can have CMOS on the same chip, Si faster than expected. Back in 2000 the DSP road map

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predicted 600 GFLOPS on a 9U board (-13in by 14 in) by the being too great. To reduce the complexity adaptive array
year 2016. Mercury Computer Systems provides a processor processing has been done at the subarray level. This reduces the
rd
that gives>180 GFLOPS in a box roughly 1/3 the size of a number of elements from like 1,000- 10,000 to a few tens. This is
9U board consuming 225 W. The processor uses one IBM cell what is done on the MESAR and AMSAR radars [41].
chip developed for the Sony Play Station. Three of these With the advances on DBF it is now possible to think of
would produce 540 GFLOPS - the year 2016 is here today. achieving the performance of fully adaptive processing
Sept. 2007 Intel demonstrated a 12 inch wafer consisting of without its complexity. In fact, the equivalent jammer
chips with 1.9 billion transistors using 35 nm line widths. suppression of a fully adaptive array without its computation
IBM announced Dec. 2007 they now know how to build on Si and transient penalties can be achieved. This can be
chips optical modulators 1/100-1/1000 the size possible with accomplished with Adaptive-Adaptive Array processing [7].
existing technology - a major breakthrough. Data would This involves no more than locating digitally where the
transfer at 100 times speed (10 Gb/s modulation) at 1110th the jammers are, then pointing beam at these jammers (these
power (5 pj/bit) offered with wires. Potential for 100-1 OOOs beams are effectively eigenbeams [9,10,24,36,40]) and using
cores on a future single chip, a super-computer on a chip [54]. these beams as sidelobe cancellers for the main beam; see
Fig. 4 shows the state-of-the-art of AIDs. The venders are Fig. 5 ). For a 3,000-element array having to cope with 10
Analog Devices, Linear Technology, and Atmel-Grenoble for the jammers we now have to invert an 10xl0 matrix instead of a
'01-'05 points, AKM, Maxim, Rockwell and Analog Devices for 3,000x3,000 matrix and the transient time is reduced by a
'96-'00. Moore's Law for AIDs is 0.28 bits/yr from '99-05. factor of 300. In a classical fully adaptive array one does not
make use of the location of the jammers. But we can easily
XI. ADAPTIVE ARRAY PROCESSING determine their location rather than to put on blinders. This
method is equivalent to the method of Principal Components
The development of adaptive array processing represents a [9]. The jammers can easily be located by doing a Fast Fourier
major step forward in increasing the usefulness of phased arrays. Transform across the array. This will not locate jammers less
It started with the invention by P. W. Howells of the sidelobe than a beamwidth apart but for many applications it may be
canceller (SLC). The SLC nulls out jammers whose signals enter good enough. If better jammer cancellation is needed, then
the main antenna through its sidelobes. It nulls out the jammer by two squinted beams about 3/4 of a beamwidth apart can be
using auxiliary antennas placed close to the main antenna. These used for each located jammer. This is because for closely
auxiliary antennas receive the jammed signals that are received spaced jammers, less than a beamwidth apart, the eigenbeams
through the main antenna side lobes. By appropriate processing are a sum and difference beams [10]. Alternately the Music
of the auxiliary antenna signals it is possible to generate jammer algorithm can be used; see [13]. Adaptive-Adaptive Array
signals having the same amplitude and phase as those coming in Processing is in the same spirit as the knowledge aided
through the main beam side lobes. By subtracting these signals techniques DARPA has been recently funding known as
from the jammed signals in the main channel the jammer KASSPER (Knowledge Aided Sensor Signal Processor &
interference is cancelled. If a phased array is used to form the Expert System) [42,56] which they have applied to STAP
main beam, elements forming the array can be used as auxiliary processing discussed in next section.
antennas thus serving dual use. It is useful to look at the side lobe
canceller physically from another point of view. Specifically the XII. SPACE-TIME ADAPTIVE PROCESSING (STAP)
combination of the main antenna and the auxiliary elements with
its processing can be view as a new antenna system. As such its STAP is adaptive array processing for when a pulse doppler
antenna side lobe pattern will have nulls in the directions of the waveform is used. It provides adaptive nulling of ground clutter
jammers while it also has its main beam pointing in the direction and jammers on a moving platform where it places a 2-D
for which targets are to be detected. Very little is published re Doppler-angle null where the clutter is [9]. It can also be used to
radars using SLC because of the sensitivity of such information. cancel out ground clutter for a ground based pulse Doppler radar
For a phased array there exists another more effective way for [37]. STAP is being used on the new aircraft carriers based
canceling jammers coming in through the side lobes and even in Hawkeye E2-D surveillance AN/APY-9 radar shown in Fig. 3
through the main lobe. It is to adjust adaptively the amplitude and [39]. It uses a linear passive electronically scanned array (ESA)
phase weights of the array so as to put nulls in the directions of having 18 elements which can either be rotating (4, 5, 6 rpm) or
the jammers while maintaining the main beam pointing in the stationary with the array electronically steered [39]. It is used in
direction for which targets are to be detected. These amplitude the littoral environment [39]. Ref. [56] gives techniques for
and phase weight adjustments are made based on the jammed reducing the number of reference signal samples needed to do
signals seen by the array. These jammer signals let the array STAP.
processor know the directions of the jammers and in tum the
weights to be applied to put nulls in the direction of the jammers
XIII. PACKAGING AND ASSEMBLY
are determined. This type of adaptive processing is known as a
fully adaptive array processor. Here again it is useful to view the It is now possible to package and assemble active phased
fully adaptive array from another physical point of view. We can arrays having low cost, light weight, small volumes. The
view the fully adaptive array processor as a SLC; see [9, 40]. technique involves the use of commercial Printed Circuit Boards
Fully adaptive arrays have been too difficult to implement for (PCB) and no packages for individual T/R modules. An X-band
building block array of 128 elements and TIR modules was built
large arrays up to now, the hardware and the processing load
having a size of 7.4xl0.1xO.21 in. [20,57]. Its T/R module chips

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are flip-chip mounted on the back side of the PCB. No case is achieve low peak power. Raytheon has developed a solid state
used for the modules. Small light weight circulators e.g. being replacement for the airport surface surveillance radar at X-band,
developed by [55] could be used. A packaging approach using the ASDE-X [45].
low and high temperature cofired ceramic (LTCC/HTCC) for the
multilayer board is presented in [21]. The ultimate in packaging XVIII. SOFTWARE FOR THE DESIGN OF PHASED
and RF integration is the placement of many receivers or ARRAYS
transmitter channels, or both, on a single chip together with their
combiner. This was done with 8 receiver channels integrated onto Powerful software is available now {like HFSS, PARANA,
a single chip [23]. This should be possible for some radar
and CST) that allows the prediction of the performance of
applications in the near future. FutlIre plans are to integrate 16 to
32 receiver channels on a single chip and 16 transmit channels on antennas to very high accuracy without the need for costly
a single chip operating from 30-50 GHz [23]. trial and error constructions and measurements. An array
designed in the mid '70's required much trial-and-error and
XIV. MIMO measurements. Today it can be designed without trial-and -
error to a small fraction of a dB using Ansoft's HFSS.
Lincoln Lab MIT demonstrated one can coherently combine 2
identical radars to achieve a 9 dB increase in sensitivity [11]. XIX..OTHER BREAKTHROUGHS WORTH MENTIONING
They first transmit from each radar orthogonal waveforms at the 1) SAR rectangular to polar transformation; 2) SAR with 4 in.
same carrier frequency to achieve the coherence on receive. They resolution at 6.5 Km; Fig. 7, [46]; 3) Interferometer SAR [34]; 4)
next use identical waveforms and vary the phase and delays of the Carabas; 5) Maximum entropy methods; 6) Parabolic equation for
transmitted waveforms to achieve coherence on transmit on the propagation analysis (TEMPER, AREPS); [31,35]; 7) Haystack
target as well as coherence on receive. This provides a 9 dB upgrade to 3cm (-1 in.) ISAR image resolution; Fig. 8, [47].
increase in sensitivity over single radar. By combining N radars
they get an increase in sensitivity of N 3 • Another application for ACKNOWLEDGMENT
MIMO is for OTH, airborne and ground radars. With MIMO it is
possible by transmitting orthogonal waveforms from separate I thank Raymond Hale, Colin Whelan and John DeFalco of
transmit elements or subarrays to identify and isolate the signals Raytheon for their inputs on GaN, SiC, SiGe and CMOS. I thank
from each transmit element or subarray. This then permits the Carl Scheffres, Publisher of the Microwave Journal, for giving
adaptive control at the receiver of the transmitter pattern so as to me permission to use material from Ref. 2 for this paper.
achieve optimum clutter rejection [15]. Fig. 6 shows this for the
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[54] Green, 1. et aI., Optics Express, 12/10/07
[55] Harris, V. G., Next Generation Ferrite Material for Circulators,"
Fig. 3 Elta EL/M2248, Northrop-Grumman E2-D, Chinese "AEGIS.
Military Radar Conf., June 26-27, 2007

5
1552 6

SANDIA LABS. Ku-BAND SAR IMAGES


17.3° DEPRESION ANGLE

20 ~--------------
1986·1990
~ ~.,... /, 1/2 bltA
.c ~ ······..~!'!.!rtna'OCta~e .1991·1995
~ 16. ••••••• !'Oisel
o • ....••/ 1 .. 1996·2000
'- • ••••••••• reb/ito
~:::s 12 • .., •• '~"~~;~~~~"e-
• •••• ~/I1'Y)
.2001·2005

c
Q)
8 +------------=.=---r-nl·r···-.:--,
A. •••••••
>
~ 4 +-- .A...__----j

:!
W
O+----~---r---.----,.-------j

0.1 10 100 1000 10000


Fig. 7. 4in. Resolution at 6.5 Km [46]
Sampling rate (million samples/sec)

SIMULA1ID··UPGRADED
Fig. 4. Highest-performance COTS (commercial off-the-shelf) ADCs HAYST~CK,"Aft..IMAGI.
(analog-to-digital converters), 1986-2005. From [32]

;1 i
~ i ROTATION

Adaptive-Adaptive
Arra
~ <I • HAYSTACK HUSIR
DOPPLER RES X-BAND 95 GHZ
Equivalent to ARc=A/(2A8) COMPACT RANGE DATA
Eigenbeams (J. USOFF, RADARCON·2007, BOSTON, MA)

.....__........__._N +-- Array Fig. 8. Simulated Upgraded Haystack ISAR Images [47]

Dr. Eli Brookner received his BEE from The


OBF: FORMS J BEAMS City College of the City of New York, '53,
POINTING AT JAMMER SLC MEE and DrSc from Columbia University' 55
and '62.
Output
& ONE AT TARGET He has been at the Raytheon Company
since 1962, where he is a Principal
Engineering Fellow. There he has worked on
the ASDE-X radar, ASTOR Air Surveillance
Fig. 5. Adaptive-Adaptive Array [7].
Radar, RADARSAT II, Affordable Ground
Based Radar (AGBR), major Space Based
Radar programs, NAVSPASUR S-Band
opnlllZATIONOFTRANSMIT BEAM upgrade, CJR, COBRA DANE, PAVE PAWS,
AT RECEIVIR FOR MAX SIC MSR, COBRA JUDY, THAAD, Brazilian
SIVAM, SPY-3, AEGIS, BMEWS, UEWR,

~-~. Surveillance Radar Program (SRP), and COBRA DANE Upgrade. Prior to
Raytheon he worked on radar at Columbia University Electronics Research
TRANSMITTE Lab. [now RRI], Nicolet and Rome AF Lab.
ARRAY He received the IEEE 2006 Dennis 1. Picard Medal for Radar Technology
& Application "For Pioneering Contributions to Phased Array Radar System
Designs, to Radar Signal Processing Designs, and to Continuing Education
Programs for Radar Engineers"; IEEE '03 Warren White Award; Journal of
AT RECENIiR c~ SCAN TRANS. the Franklin Institute Premium Award for best paper award for 1966; IEEE
BEAM INAZ'~P'()R~HAR Wheeler Prize for Best Applications Paper for 1998. He is a Fellow of the
TRANS. ARRAY TOLOC~tE IEEE, AIAA, and MSS.
TARGETS IN EL a A1,;ALTlRlMTlVEL He has published four books: Tracking and Kalman Filtering Made Easy,
GENERATE STAeKlO''-CIIVI John Wiley and Sons, Inc., 1998; Practical Phased Array Antenna Systems
WHICH COVER ReGIQN·I,U.IJMINATED (1991), Aspects of Modem Radar (1988), and Radar Technology (1977),
ON TRANIMITIOASNOT TO ADJUSTS Ai & 8iOF Artech House. He gives courses on Radar, Phased Arrays and Tracking
WASTE TRANS. ARRAY AT REC. around the world (22 countries). Over 10,000 have attended these courses. He
TO MAXIMIZE SIC was banquet speaker and keynote speaker six times. He has over 110 papers,
talks and correspondences to his credit. In addition, he has over 80 invited
talks and papers.
Fig. 6 Optimization of Transmit Beam at Receiver for Max SIC

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