i

754 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, SEPTEMBER 1976

10 dB

ADAPTIVE
ALGORITHM

I O MHZ- F - 6 0 MH~-=
bring the signals into coincidence is presented. For an array of N+ 1
@) elements, the algorithm requires that the power at the summed output
Fig. 6. Spectrumplotat null position.
(a)
Adapted
(b) Adapted pattern null.
pattern
peak. of the arraybemeasured for 6N + 2 test adjustments of thephase
shifter array.

REFERENCES INTRODUCTION
[l] P. W. Howells, “Intermediate frequency sidelobe canceller,” Patent A simplified adaptive receiving antenna system can be
No. 3,202,990, filed May 4, 1959
[2] S. P. Applebaum,“Adaptivearrays,”this issue, pp. 585-598; also visualized in which the signals from an arbitrarily located set of
SPL-TA-66-1. Svracuse Universitv ResearchCorm..Svracuse.
August 1966.‘
_. , N.Y..
~,+ N 1 elements are connected through variable phase shifters
[3] B. Widrow et a[., “Adaptive antenna systems,” Proc. IEEE, vol. 5 5 , to a summing junction and then to an ordinary power-detecting
no. 12. DD. 2143-2159. December 1967. receiver. This communication presents an algorithm for deter-
[4] C. A. B&d,G. P. Martin, G. G. Rassweiler, and C. L. Zahm, “Adap-
tiveprocesslng forantenna arrays.” Radiation Inc., Melbourne, mining the phase shifter adjustments required to bring the
Florida, RADC-TR-72-174, July 1972 (U).
[q R. T. Compton, Jr. “Adaptive antenna arrays for aircraft communica- signals into coincidence based only on the power detected at the
tionssystems,” Final Report 3098-2 Officeof Naval Research, Contract receiver for a discrete group of test adjustments of the phase
No. N00014-67-A-0232-009, January 1972; InterimReport. 3098-1, shifter array. While such a system does notdisplay the capabilities
July 1971.
[6] -, “Anexperimentalspreadspectrumadaptivesystem,”Final for pattern shaping of the more general amplitude- and phase-
Report 2098-4, Contract No. NOOO14-67-A-0232-009, January 1974.
[7] R. J . Huff and K. L. Reinhard, “Coherent multlplexing and array adaptivearray [I], it does automatically steer the pattern
techniques,” Report 2738-9, Ohio State University, June 1972. maximum of an arbitrary group of elements towarda signal
[8] L. E..Brennan, E. L. Pu$, and I . S . Reed, “Control-loop noise in
adaptlvearrayantennas, IEEE Trans. Aerospaceami Electronic incident froman unknown direction of arrival. As afurther
Sysrents, vol. AES-7, no. 2, March 1971. application, the unknown direction of arrival can be estimated
[9] R. T. Compton, Jr. “Adaptivearrays;onpowerequalizationwith
proportlonal control,” Ohio State Electroscience Lab.. QPR-3234-1, by comparing the final phase shifter adjustments to a calibration
Naval Air Systems Command, ContractN00019-71-C-0219, December
1971 (U). table constructed beforehand by receiving and adapting to test
[lo] -, “Prelockup interference protection with adaptive arrays.” Final signals from known directions of arrival.
Report 5234-4, September 1972.
[ l l ] C . Zahm, “Application of adaptive arrays to suppress strong jammers
in thepresence of weak signals,” IEEE Trans. Aerospaceand Electronic DESCRIPTION OF THE PROBLEM
Systems, March 1973.
Fig. 1 shows a phase-adaptive system to combine the signals
from N + 1 antenna elements. The first input signal is taken as
a reference and all signals are normalized to it. The remaining
A Phase Adaptation Algorithm N input signals have amplitudes A = alra2,‘.,aN, and phases
-
Y = t,bl,t,b2,- .,t,b8. After passage through the phase shifter
MARK K. LEAVITT array bearing the adjustment @ = . In,the signal
e ,

phases at the summing junction are given by 0 = 01,02;. -,eN,

Abstract-A simplified adaptive receiving antenna arrayis considered where
for which the element signal phases are adjustable but the amplitudesare
not. An algorithm for determining the phase adjustments necessary to @=Y+@. (1)

The summation of the vector signals at this point can be ex-

Manuscript received August 4, 1975; revised January 19,1976. pressed as a combination of inphase (Si) and quadrature (&)
The authoris with ESL Inc., Sunnyvale, C A 94086.
COMMUNICATIOTS 755

components, is taken for which am= am+ [RJ,. . .,n];since

N N N
si= 1 + an cos en P, = 1 + an2 +2 an cos ( $ n + dm)
n= 1 n= 1 n= 1

given by P, where N N
P = s: + s,2 (3) pm = I + n = 1 an2+ 2 n= 1
an cos + brim + n)
which, substituting (2) and applying trigonometric identities,
can be recast as
j#k
h’ N
P = 1 + n= 1
an2 +2 n= 1
an cos en the difference between the two measurements is given by

The algorithm for N = 1 can be extended to this new function.

Equations (1) and (4)express the relationship of P to the Applying the test adjustments to only the nth variable while
unknowns A and Y and theknown adjustment vector @.Noting holding all other adjustments constant, the subtraction opera-
that P is at a maximum when the phases of the summed signals tions (7) and (8) will remove all but the nth term in (12). To
are coincident, one might be tempted to applyconventional determine +1, the phase shifter test adjustments are given by
gradient-following procedures to the problem of adjusting @ to
maximize P. However, the convergence dynamics of such an Qo = o,o,. . .,o, @
ij= R,7r, * * ,R

iterative procedure would be adversely affected by widely Q1 = 7r,o,. . .,o, @i = O,R,. * ‘,R
differing values for the amplitudes a,; furthermore, there exist
conditions for A , Y, and @, other than the trueoptimum adjust- Q2 -,o,
= -R/2,0,*. e = n/2,2C,. * ‘,X
ment, for which the gradient is zero, making convergence to the m3 = R/2,0,*. ,o, @-3 - - n/2,7f,* f .,K. (1 3)
optimumuncertain. Hence, the objective herein is to instead
find an algorithm forexplicitly calculating!€’ from a set of M + 1 The phase t,h1 can then be computed from
power measurements Po,P1,. . ,PM,taken at predetermined ~1 = /[(Po- PG)- (PI - Pi)]+ A(p2 - pz) - (P3 - Pdl.
phase adjustments ,QM. Then the phase shifter settings
required to produce coincidence are given by @ = -Y. (14)
MEASUREMENT
ALGORITHM
FOR N = 1 The determinations of $2,$3; . are performed in similar
fashion, except that the measurements at @ = 0,O; . - , O and
For N = 1, the expression for P in (4)can be written as
7r,n,. . ,n need not be repeated, and therefore only three additional
P = 1 + a2 + 2a cos ($ + 4). (5) measurement pairs are required for each variable. For example,
to determine $2, the test adjustments are
To eliminate the constant terms, select the test adjustments
bo = 0, 4, = R. Then, (D4 = 0,7r,O,. . -,o, = R,O,R, * * ’,TI

Po = + a’ + 2a cos $
1 m5 = 0 , - n/2,0; - e.0, @F = n,n/Z,?t,* ‘,7r
P, = 1 + a2 + 2a cos ($ + n) (6) qj= 0,7t/2,0,. . .,o, @G X,- z / ~ , R , . . *,n (15)

and taking the differencebetween these two measurements, andthe computation isgiven from
Po - PI = 4a cos +. (7) $2 = /[(Po- PG) - (P4 - P;i>l+ iKP5 - P5) - Vf5- P d I .
In a similar fashion, taking two more measurements, with (1 6 )
adjustments b2 = - ~ / 2 , d3 = 4 2 , one can obtain To determine the N unknown phases, 3N 1 measurement +
P2 - P3 = 4a sin $. (8) pairs are taken, making the total number of measurements
6N + 2.
The phase $ can then be explicitly calculated from A general formula to describe bnmand 4nm,the test settings of
+ = D o - pl) + i(P2- P3). (9)
the nth phase shifter during the mth test measurement pair, is
given by
MEASUREMENT
ALGOR~H M hr > 1
FOR

The algorithm for N = 1 cannot be extended directly to

higher order systems because of the presence of cross-coupling
between the phases of the different elements evidenced by the
last term in (4).However, this term can be eliminated if for every
measurement m, an associated measurement denoted by r7i The general formula for thecalculation of fin is then given by
756 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, SEPTEMBER 1976

CONCLUSIONS
I
I
The phase shifter adjustment requiredto produce coincidence
of N + 1 input signals can be explicitly computed from measure-
ments of the power of the summed output at 6N 2 test + PHASE
SHIFTER
adjustments of the phase shifter array.
RE
FEmc
Es ERROR
[l] B. Widrow, P. E. Mantey, L. J. Griffiths, and B. B. Goode, “Adaptive ALGORITHM
antenna systems,” Proc. IEEE, vol. 55. pp. 2143-2159, Dec. 1967.

DESIRED
RESPONSE
I d (t)
Fig. 1. Adaptivephase-shiftsystem.

Adaptation by Direct Phe-Shift Adjustment in Narrow-Band

Adaptive Antenna Systems I
PAUL A. THOMPSON /

Abstract-Voltage-controlled phase shifters are nsed as theadjnst-

able elements in an adaptive phased-array antenna system for spatial
atering of narrow-band inpots. A gradient-search adaptation algorithm
for adjusting phase angleis developed and appliedto anadaptive antenna
system which can be adapted either to enhance signals or reject inter-
ference.Thetransientbehaviorof this system during adaptation is
analyzed interms of steepest ascent/descent on a multidimensional
trigonometricperformancesurfaceapproximated in two regions by --TI 0
quadratic surfaces. ADJUSTABLE PHASE J,
Fig. 2. Mean-squareerrorfunction.
INTRODUCTION

Adaptive phased-array antenna systems which automatically

adjusttheir directivity patterns to enhance signals and/or BASICADAPTIVE
PHASE SHIFTER
reject interference have received considerable attention recently. Consider the simple adaptive phase-shift system shown in
Such spatial filtering is accomplished primarily through adjust- Fig. 1 in which the phase angle 4 is to be automatically adjusted
ment of the phase angles of the signals received by the individual to cause y to be in-phase with d thereby minimizing the error
array elements. A well-known method of automatically adjusting signal E. Let the input and desired responses be
phase involves the use of phase-lock loops as reported by Svoboda
[l 1, Schrader [ 2 ] ,Ghose [3], and Breese et ai. [4]. An alternate x ( t ) = a, cos (mot + f3 + p ) (1)
approach involving amplitudeadjustment of in-phase and and
quadrature components has been used by Widrow et a f . [5],
Shor [ 6 ] , Applebaum [7], and Riegler and Compton [SI. In
d ( t ) = ad cos (mot + p) (2)
contrast to the above methods, this communication will con- respectively, where a,, ad, no,and 0 are fixed but, in general,
sider the direct adjustment of phase by means of voltage- unknown constantsand p is a random variable which isuniformly
controlled phase shifters. Adaptation will be approached from distributed between 0 and 2n rad. The output, shifted by the
the viewpoint of a gradient-search technique similar to that used adjustable phase 4, is
by Widrow et al. [5] for amplitude adjustment, which will lead y ( t ) = a, COS (mot +e+p - 4) (3)
to an adaptation algorithm with characteristics similar to those
of a phase-lock-loop. and the resulting error signal is
The adaptation algorithm will be developed first for a single-
input phase shifter and then applied to a multi-input system, 4 t ) = d(t) -~ ( t )
whose output power, expressed as a function of the adjustable
phase angles, will serve as a multidimensional performance
= ad COS (mot + p ) - a, cos (mot + f3 + p - 4). (4)
surface. This surface (unlike the quadratic error surface occumng The mean-square value of the error,obtained by squaring
in an amplitude-adjustment adaptive system) can be searched and averaging over the random phase angle p , is
either by steepest-ascent or steepest-descent gradient methods
effecting either coherent addition or cancellation of the signals r A Eb2(t)l
received by the individual elements. Therefore, two modes of
adaptation will be considered; they will be analyzed in terms of
= ad2/2+ a212 - a&, cos ( 4 - 0)
gradient search on one of two quadratic surfaces which approx- = ad2/2+ aX2/2- adaxcos $ (5)
imate thetrigonometric performance surface near its maximum where
and m n
im
i um,respectively. 9P4-6 (6)

ManuscriptreceivedNovember 3, 1975; revisedMarch 10, 1976. This represents the deviation of 4 from its optimum value 8. The
work was supported by the Unlted States Energy Research and Develop- mean-square error function is shown in Fig. 2 together with a
ment Administration. quadratic function which approximates it near its minimum.
The author is with Sandia Laboratories, Albuquerque, NM 87115.