1206 IEEE ANTENNAS AND WIRELESS PROPAGATION LETTERS, VOL. 19, NO.
7, JULY 2020
Fast and Robust Variable-Step-Size LMS Algorithm
for Adaptive Beamforming
Babur Jalal , Student Member, IEEE, Xiaopeng Yang , Senior Member, IEEE,
Quanhua Liu , Senior Member, IEEE, Teng Long, Fellow, IEEE, and Tapan K. Sarkar , Life Fellow, IEEE
Abstract—Conventional least-mean-square (LMS) algorithm is
one of the most popular algorithms, which is widely used for
adaptive beamforming. But the performance of the LMS algorithm
degrades significantly because the constant step size is not suitable
for varying signal-to-noise ratio (SNR) scenarios. Although numer-
ous variable-step-size LMS (VSS-LMS) algorithms were proposed
to improve the performance of the LMS algorithm; however, most
of these VSS-LMS algorithms are either computationally complex
or not reliable in practical scenarios since they depend on many
parameters that are not easy to tune manually. In this letter, a fast
and robust VSS-LMS algorithm is proposed for adaptive beam-
forming. The VSS is obtained based on normalized sigmoid func-
tion, where the sigmoid function is calculated by using the mean
of instantaneous error first and then normalized by the squared
cumulative sum of instantaneous error and estimated signal power.
The proposed algorithm can update the step size adaptively without
tuning any parameter and outperform state-of-the-art algorithms
with low computational complexity. The simulation results show
better performance of the proposed algorithm.
Index Terms—Adaptive beamforming, least mean square (LMS),
sigmoid function, variable step size (VSS).
I. INTRODUCTION
DAPTIVE beamforming plays a vital role in widespread
A applications like radar, sonar, communication, and navi-
gation systems. Many adaptive beamforming algorithms [1]–[4]
have been proposed in the last few decades. The weight vec-
tors of these algorithms are computed based on three different
principles, i.e., minimum variance [1], constant modulus [2],
and minimum mean square error [3], [4]. The constant-step-size
least-mean-square (CSS-LMS) algorithm is one of the most
popular adaptive beamforming algorithms, which is based on
Manuscript received March 8, 2020; revised April 24, 2020 and May 12,
2020; accepted May 12, 2020. Date of publication May 18, 2020; date of current
version July 7, 2020. This work was supported in part by the National Natural
Science Foundation of China under Grant 61860206012, Grant 61671065, and
Grant 31727901 and in part by the 111 project of China under Grant B14010.
(Corresponding author: Xiaopeng Yang.)
Babur Jalal, Xiaopeng Yang, and Teng Long are with the School of Informa-
tion and Electronics, Beijing Institute of Technology, Beijing 100081, China,
and also with Key Laboratory of Electronic and Information Technology in
Satellite Navigation, Ministry of Education, Beijing 100081, China (e-mail:
babar356@yahoo.com; xiaopengyang@bit.edu.cn; longteng@bit.edu.cn).
Quanhua Liu is with the Beijing Institute of Technology Chongqing Innova-
tion Center, Chongqing 401120, China (e-mail: liuquanhua@bit.edu.cn).
Tapan K. Sarkar is with the Department of Electrical Engineering and
Computer Science, Syracuse University, Syracuse, NY 13244 USA (e-mail:
tksarkar@syr.edu).
Digital Object Identifier 10.1109/LAWP.2020.2995244
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the principle of minimum mean square error. The CSS-LMS
algorithm is computationally low complex and capable of con-
verging to the optimal Wiener solution effectively. The con-
vergence rate and mean square error of the LMS algorithm is
governed by CSS; however, the CSS exhibits a tradeoff between
the convergence speed and mean square error. Moreover, the
performance of the CSS-LMS algorithm [5] also deteriorates in
varying signal-to-noise ratio (SNR) scenarios because the CSS is
only suitable for certain SNR scenarios. To improve the perfor-
mance of the CSS-LMS algorithm, two adaptive beamforming
algorithms LLMS and LLMS1 [3] were proposed, which are
based on a combined LMS-LMS technique that involves two
sections of the LMS algorithm. Both algorithms perform better
than CSS-LMS algorithm but they are high computationally
complex and require two suitable constant step sizes, which
are not easy to tune in varying signal scenarios. Furthermore,
several variable-step-size (VSS) LMS algorithms were proposed
to solve the problems associated with the CSS-LMS algorithm.
A fast variable-step-size least-mean-square (MRVSS-LMS) al-
gorithm [6] was proposed, which is based on the weighted
sum of squared instantaneous error. Another variable-step-size
normalized least-mean-square (VSS-NLMS) algorithm [7] was
proposed, which is based on mean square error and estimated
system noise power. A shrinkage widely linear complex-valued
least mean squares (SWL-CLMS) algorithm [4] was proposed,
where the step size is derived by determining the relationship
between the noise-free a posteriori and a priori error signals, and
the noncircular properties of the signal of interest, respectively.
Although the performance of these algorithms is somewhat bet-
ter than the CSS-LMS algorithm, they are either computationally
complex or not reliable in practical scenarios since they depend
on many parameters that are not easy to tune manually.
In this letter, a fast and robust VSS-LMS algorithm is pro-
posed for adaptive beamforming. The VSS is obtained based
on normalized sigmoid function, where the sigmoid function
is calculated by using the mean of instantaneous error first and
then normalized by the squared cumulative sum of instantaneous
error and estimated signal power. The proposed algorithm can
update step size adaptively without tuning any parameter and
outperform state-of-the-art algorithms with low computational
complexity.
Notation: Matrices and vectors are represented by boldface,
uppercase, and lowercase letters, respectively, (. )∗ denotes com-
plex conjugate, (. )H is a conjugate transpose, | · | represents
absolute value, E(. ) stands for mathematical expectation and
tr(. ) is a trace operator.
JALAL et al.: FAST AND ROBUST VARIABLE-STEP-SIZE LMS ALGORITHM FOR ADAPTIVE BEAMFORMING 1207

II. SIGNAL MODEL where λmax represents the largest eigenvalue of covariance ma-
Consider N narrowband source signals with K snapshots trix R = E[x(i)xH (i)]. Furthermore, the proposed algorithm
from the directions θ0 , θ1 , . . . , θN −1 , impinge on uniform linear also guarantees the convergence of mean square error, the suf-
array (ULA) of M (N < M ) omnidirectional antenna elements ficient condition that ensures the convergence of mean square
spaced by half wavelength and the effect of mutual coupling is error [8] is given by
not considered. The received signal x(i) ∈ CM ×1 at ith snapshot E[μ2VSS (∞)] 2
is written by 0< ≤ (10)
E[μVSS (∞)] 3tr(R)
N
 −1
where E[μVSS (∞)] and E[μ2VSS (∞)] are the mean and mean
x(i) = a(θ0 )s0 (i) + a(θn )sn (i) + n(i) (1) square behavior of step size in steady state, which are given by
n=1   
where s0 (i) is the desired signal and sn (i), n = 1, . . . , N − 1 eδ̃e (∞) 2 2 −1
E[μVSS (∞)] = E (δe (∞) + σx (∞))
are the complex envelop of interferences, a(θ0 ) and a(θn ) are the eδ̃e (∞) + 1
steering vectors of desired signal and interferences, respectively. (11)
n(i) ∈ CM ×1 is a zero mean additive white Gaussian noise.   2
eδ̃e (∞)
III. PROPOSED ALGORITHM E[μ2VSS (∞)] = E (δe2 (∞) + σx2 (∞))−1 .
eδ̃e (∞) + 1
In this section, the proposed VSS-LMS algorithm is derived (12)
for adaptive beamforming. The weight vector is computed
The mean square error [8] is given by
adaptively with the VSS by minimizing the error between the
reference signal d(i) and the output of beamformer y(i) [4], E[e2 (i)] = min + ex (i) (13)
which is expressed by
where min is minimum value of mean square error, and ex (i) is
2 2 excess mean square error. After convergence of the algorithm,
J[w(i)]  |d(i) − y(i)| = |s0 (i) − w (i)x(i)| H
(2)
the steady-state value of mean square error is given by
where the reference signal d(i) = s0 (i) [4], and w(i) is the
E[e2 (∞)] = min + ex (∞) (14)
weight vector, which is calculated by
where the excess mean square error ex (∞) is much less than
w(i + 1) = w(i) + μVSS (i)x(i)e∗ (i) (3)
minimum mean square error min [8], i.e., ex (∞)  min . There-
where μVSS (i) is the VSS. The general form of the sigmoid fore, the mean of instantaneous error δ̃e (i) is approximated by
√
function is expressed by δ̃e (∞) ≈ min , whereas the cumulative sum of instantaneous
ez error δe (i) is approximated by
f (z) = z → ±∞. (4) √
ez +1 lim δe (i) = δe (∞) ≈ lim i min . (15)
i→∞ i→∞
The proposed VSS μVSS (i) is derived by replacing z with
mean of instantaneous error in (4) first and then normalized by The estimated signal power σx2 (i) is considered that
squared cumulative sum of instantaneous error, and estimated E[σx2 (∞)] = tr(R) when i approaches to infinity. After some
signal power, which is given by mathematical derivations on (11) and (12), the mean and mean
  square values of step size in steady state are obtained by
eδ̃e (i)  2 −1 √
μVSS (i) = δe (i) + σx2 (i) (5) f ( min )
eδ̃e (i) + 1 E[μ(∞)] ≈ 2 i→∞ (16)
[i min + tr(R)]
√
where δ̃e (i) is the mean of instantaneous error e(i) and δe (i) is f ( min )2
E[μ2 (∞)] ≈ 2 i → ∞. (17)
the cumulative sum of instantaneous error, which is calculated [i min + tr(R)]2
by
By substituting (16) and (17) into (10), the sufficient condition
δe (i) = δe (i − 1) + |e(i)| (6) for convergence of mean square error is satisfied, which is given
by
where the instantaneous error e(i) is estimated by √
f ( min ) 2
e(i) = d(i) − wH (i)x(i). (7) 0< 2 ≤ i→∞ (18)
[i min + tr(R)] 3tr(R)
σx2 (i) is the estimated signal power, which is calculated by √
where f ( min ) is a sigmoid function, which always holds the
√
σx2 (i) = xH (i)x(i). (8) property of 0 < f ( min ) < 1, whereas i, min, and tr(R) are
the constants that are greater than zero. Therefore, the ratio of
The proposed algorithm always satisfies the sufficient condi- E[μ2 (∞)] and E[μ(∞)] (10) is always greater than zero and less
tion for convergence of mean weight vector, which can easily 2
than 3tr(R) in steady state.
be derived as follow according to [8] By considering the above-mentioned analysis, it is found that
2 the proposed algorithm (5) can choose step size adaptively,
0 < E[μVSS (i)] < (9)
λmax where it gets a big step size at the initial stage that accelerates

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1208 IEEE ANTENNAS AND WIRELESS PROPAGATION LETTERS, VOL. 19, NO. 7, JULY 2020

TABLE I TABLE II
PSEUDOCODE OF PROPOSED ALGORITHM SIMULATION PARAMETERS OF ALGORITHMS

the convergence speed. When the proposed algorithm converges

to the optimal solution, it obtains small step size, and achieves
stability and low mean square error. It is seen that the proposed
algorithm can satisfy the conditions for convergence of mean
weight vector and mean square error effectively.
The array pattern is calculated by obtaining the optimal weight
vector, which is expressed by
p(θ) = |wH a(θ)| (19)
where a(θ) is array steering vector. The adaptive beamformer
provides the maximum power in the direction of desired signal,
whereas it suppresses the interferences [4] i.e.,
wH a(θ0 ) ≈ 1
wH a(θn ) ≈ 0. n = 1, . . . , N − 1 (20) Fig. 1. Array patterns of MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS, SWL-
CLMS, and proposed algorithms.
The proposed algorithm is summarized in Table I.

IV. SIMULATION AND DISCUSSION

In this section, the performance of the proposed algorithm
is evaluated by the numerical simulations in terms of array
pattern, output signal-to-interference-plus-noise ratio (SINR),
mean square error and computational complexity, and compared
with MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS, and SWL-
CLMS algorithms. In these simulations, a ULA consisting of 16
omnidirectional antenna elements apart by half-wavelength is
considered. The desired signal of 10 dB SNR from θ0 = 0◦ and
two interferences with the same interference-to-noise ratio of
10 dB from θ1 = −50◦ to θ2 = 40◦ are assumed. The adaptive
array pattern is determined by one Monte Carlo simulation,
whereas the output SINR and the mean square error are calcu-
lated by an average of 200 independent Monte Carlo simulations.
The simulation parameters used for MRVSS-LMS, LLMS1 ,
LLMS, VSS-NLMS, and SWL-CLMS algorithms are given in
Table II.
A. Analysis of Array Pattern
The adaptive array pattern of the proposed algorithm is in-
vestigated and compared with MRVSS-LMS, LLMS1 , LLMS,
VSS-NLMS, and SWL-CLMS algorithms, and the results are
illustrated in Fig. 1. It is found that the proposed algorithm
can provide maximum gain in the direction of desired signal
θ0 = 0◦ , and suppress interferences with deep nulls of –30 dB
in the directions of θ1 = −50◦ and θ2 = 40◦ , which are much
deeper than MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS, and
SWL-CLMS algorithms.
B. Analysis of Output SINR
The output SINR of the proposed algorithm versus SNR, the
number of elements and iterations is analyzed and compared
with optimal, MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS,
and SWL-CLMS algorithms, and the results are illustrated in
Fig. 2(a)–(c), respectively. It is observed that the output SINR
of the proposed algorithm is much better than MRVSS-LMS,
LLMS1 , LLMS, VSS-NLMS, and SWL-CLMS algorithms, and
very close to the optimal value. Furthermore, the impact of
angle of arrival (AOA) of interference on the output SINR of
the proposed algorithm is also examined with the desired signal
from θ0 = 0◦ and interference from the range of −90◦ to 90◦ ,
and compared with optimal, MRVSS-LMS, LLMS1 , LLMS,
VSS-NLMS, and SWL-CLMS algorithms, and the simulation
results are depicted in Fig. 2(d). It is seen that the interference
does not affect the output SINR of the proposed algorithm when
its AOA is outside the main beam of the array. The proposed
algorithm provides larger output SINR than MRVSS-LMS,
LLMS1 , LLMS, VSS-NLMS, and SWL-CLMS algorithms, and
almost the same as that of optimal value.

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JALAL et al.: FAST AND ROBUST VARIABLE-STEP-SIZE LMS ALGORITHM FOR ADAPTIVE BEAMFORMING
Fig. 2. Output SINR of optimal, MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS,
SWL-CLMS, and proposed algorithms. (a) Versus SNR. (b) Versus number
of elements. (c) Versus number of iterations. (d) Versus AOA of interference
(degree).
Fig. 3. Performance of MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS, SWL-
CLMS, and proposed algorithms. (a) Mean square error. (b) Tracking
performance.
C. Analysis of Mean Square Error
The mean square error of the proposed algorithm is in-
vestigated and compared with MRVSS-LMS, LLMS1 , LLMS,
VSS-NLMS, and SWL-CLMS algorithms, and the results are
reported in Fig. 3(a). It is found that the proposed algorithm
provides faster convergence speed than MRVSS-LMS, LLMS1 ,
LLMS and SWL-CLMS algorithms, whereas its convergence
rate is the same as that of the VSS-NLMS algorithm. The mean
square error of the proposed algorithm is much smaller than
MRVSS-LMS, LLMS1 , LLMS, VSS-NLMS, and SWL-CLMS
algorithms. Furthermore, the tracking ability of the proposed al-
gorithm is assessed by interrupting the input signal periodically
after every 150 iterations and compared with MRVSS-LMS,
LLMS1 , LLMS, VSS-NLMS, and SWL-CLMS algorithms, and
the results are reported in Fig. 3(b). It is found that the proposed
algorithm can detect a sudden interruption in the input signal,
and show a rapid increase in mean square error. Moreover, it
is also observed that the mean square error of the proposed
algorithm remains smaller than MRVSS-LMS, LLMS1 , LLMS,
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1209
TABLE III
COMPUTATIONAL COMPLEXITIES OF ALGORITHMS
Fig. 4. Computational complexities of MRVSS-LMS, LLMS1 , LLMS, VSS-
NLMS, SWL-CLMS, and proposed algorithms.
VSS-NLMS, and SWL-CLMS algorithms even when the input
signal is interrupted.
D. Analysis of Computational Complexity
The computational cost of the proposed algorithm is deter-
mined by calculating the number of complex multiplications
per iteration and compared with MRVSS-LMS, LLMS1 , LLMS,
VSS-NLMS, and SWL-CLMS algorithms, and the results are
given in Table III and Fig. 4. All algorithms require the computa-
tions for weight vector and array pattern. The total computational
cost of the proposed algorithm per iteration is O((3M + 4) +
M Θ), where the computational cost for calculating weight
vector is O((3M + 4), and for array pattern is O(M Θ), Θ
represents the angular range to be scanned. It is observed that the
proposed algorithm has lower computational cost than LLMS,
LLMS1 , VSS-NLMS, and SWL-CLMS algorithms. Although
the computational cost of the proposed algorithm is slightly
higher than the MRVSS-LMS algorithm, the proposed algorithm
significantly outperforms the MRVSS-LMS algorithm.
V. CONCLUSION
In this letter, a fast and robust VSS-LMS algorithm has been
proposed for adaptive beamforming. The VSS is obtained based
on the normalized sigmoid function, where the sigmoid function
is calculated by using the mean of instantaneous error first and
then normalized by the squared cumulative sum of instantaneous
error and estimated signal power. The numerical simulations
have been conducted to verify the effectiveness of the proposed
algorithm. It has been found that the proposed algorithm can
update the step size adaptively without tuning any parameter and
outperform state-of-the-art algorithms with low computational
complexity.
1210 IEEE ANTENNAS AND WIRELESS PROPAGATION LETTERS, VOL. 19, NO. 7, JULY 2020

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