ADAPTIVE ANALOG BEAMFORMING

SYED KHALID HUSSAIN

260621774, syed.hussain3@mail.mcgill.ca

1
Outline:

 INTRODUCTION
 TYPES OF BEAMFORMING
 ADAPTIVE ANALOG BEAMFORMING ALGORITHMS
 MODIFIED STRUCTURE AND EXTENDED ALGORITHMS
 RESULTS
 CONCLUSION

2
Introduction:

 Beamforming

 Is a spatial filtering technique – ability to enhance energy from a particular

direction while suppressing from the others. [4]

 Analogous to frequency domain analysis of time signals –like frequency selective

filter focus on particular frequency, spatial filtering focus on particular direction.

 Spatial filtering depends on the Weiner filter theory, i.e., to compute statistical
estimate of the unknown random signal using a random signal that contains
some information of it.

3
Introduction:

 Applications Of Beamforming Technology:

Applications Description

Radar Phased Array Radar, Synthetic Aperture Radar

Sonar Under Water Source Location And Classification

Communications Directional Transmission and Reception, Smart Antenna System

Imaging Medical Diagnosis and Treatment using Tomography and Ultrasonic

Geophysical Seismic Arrays for Oil Exploration and Detection of Under Ground
Exploration Nuclear Test

4
Types:

 Types of Beamforming

 Based on the accessibility of Rx signal

to the beamformer, there are two types

I. Digital Beamforming :
 Also known as Multiport Beamforming. Multi-port Beamforming Architecture
 Beamformer can access signals on all antenna-elements.
 For digitally sampled data, approaches like conjugate-gradient and Least-square
are used for better convergence speed of beamforming algorithms.
 Not very economical as one RF downconverter and ADC has to be used at each
antenna element.

5
 Types:

II. Analog Beamforming :

 Also known as Single-port beamforming.
 Beamformer has no knowledge of signals
on individual antenna-elements.
 For analog data, approaches like gradient
based Perturbation algorithm is used to
update the weights.
 Economical as a only one RF
downconverter and ADC is used.

Single-port Beamforming Architecture

6
Adaptive Analog Beamforming Algorithms:

 Assumptions

• Narrowband signal processing, i.e., signals are characterized by single

amplitude and single phase term.
• M antennas receive signals through flat-Rayleigh fading from Q users.
• Users are placed at a far field.

 Signal arrived at the antenna array is given by

𝑄−1

𝒙 𝑡 = ෍ ℎ𝑞 𝑖𝑞 𝑡 𝒔 𝜃𝑞 + 𝑛(𝑡)
𝑞=0
where,
𝑖𝑞 (𝑡) is the transmitted signal from 𝑞 𝑡ℎ user
ℎ𝑞 is the channel coefficient
𝒔(𝜃𝑞 ) is the steering vector
𝑛(𝑡) is the AWGN noise.
9
Adaptive Analog Beamforming Algorithms:

 Analog Beamforming Algorithms :

Mostly used Analog beamforming algorithms for adaptive estimation of MSE
parameter are:

i. Gradient-based Perturbation Algorithm [1] :

• gradient estimation in single output beamformer is made by perturbing
the weight and correlating the resultant power sequence with the
perturbation sequence.
• Three power measuring perturbation systems are proposed in [1].

 Single receiver perturbation system :

• Perturbation sequence is defined as
𝑺 = 𝜹 1 ,𝜹 2 ,….,𝜹 𝐾 , K = length of the perturbation sequence

• Weight perturbation using sequence is given as

𝒘+ = 𝒘 + 𝛾𝜹(𝑖), 1 ≤ 𝑖 ≤ 𝐾, 𝛾 is a positive scalar.

10
Adaptive Analog Beamforming Algorithms:

 unbiased MSE gradient estimate, i.e., 2 Rw for a single receiver system is given as
𝐾
1
𝒈1 𝒘 = ෍ 𝑓1 (𝒘+ , 𝑖)𝜹(𝑖)
𝛾𝐾
𝑖=1
where, 𝑓1 𝒘+ , 𝑖 is the instantaneous array output power .

 for comparison purposes instantaneous MSE is used, i.e.,

𝐾
′
1
𝒈1 𝒘 = ෍ 𝑑 𝑖 − 𝒘𝐻
+𝒙 𝑖 𝜹 𝑖
𝛾𝐾
𝑖=1

 weight is updated using CLMS algorithm

𝒔0
𝒘 𝑖+1 = 𝑷0 𝒘 𝑖 − 𝛼𝒈 𝒘 𝑖 +
𝑀

where, P0 is projection operator matrix

𝛼 is the step-size
𝒔0 is the steering vector of the desired signal
M is the number of antennas
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Adaptive Analog Beamforming Algorithms:

• Properties of perturbation sequence

• Orthogonality
• Odd symmetry

 Dual Receiver Perturbation System :

• The weight perturbation and gradient
equation becomes
Single Receiver Perturbation System

𝒘+ = 𝒘 + 𝛾𝜹 𝑖 ,
𝒘− = 𝒘 − 𝛾𝜹 𝑖 ,
1
𝒈2 𝒘 ′ = σ𝐾 𝑑 𝑖 − 𝒘𝐻 𝐻
+ 𝒙 𝑖 − 𝒘− 𝒙 𝑖 𝜹 𝑖
𝛾𝐾 𝑖=1

• Properties of perturbation sequence

• Orthogonality

Dual Receiver Perturbation System

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Adaptive Analog Beamforming Algorithms:

 Dual Receiver Perturbation with a reference

receiver:
• The weight perturbation and gradient
equation becomes

𝒘+ = 𝒘 + 𝛾𝜹 𝑖 ,
1
𝒈2 𝒘 ′ = σ𝐾 𝑑 𝑖 − 𝒘𝐻 𝐻
+𝒙 𝑖 − 𝒘 𝒙 𝑖 𝜹 𝑖
𝛾𝐾 𝑖=1
Dual Receiver Perturbation System
With Reference Receiver
• Properties of perturbation sequence
• Orthogonality
• Odd symmetry

13
Adaptive Analog Beamforming Algorithms:
ii. dmr-based algorithm [3] :

 Correlations between the Rx signal are estimated by using definition of output

power and the known desired signal.

𝑃 𝒘 ≝𝐸 𝒘𝐻 𝒙 𝑖 𝒙𝐻 𝑖 𝒘 = 𝒘𝐻 𝑹𝒘

𝛼 𝒘 ≝ 𝐸 𝑦 𝑖 𝑑∗ 𝑖 = 𝒘𝐻 𝒛

 Weight is updated using Weiner-Hopf relation

𝑹𝒘𝑚𝑚𝑠𝑒 = 𝒛

 P and α is estimated by using block of K output samples

1
𝑃෠ 𝒘
෥ 𝑚 = 𝐾 σ𝑚𝐾
𝑖= 𝑚−1 𝐾+1 𝑦 𝑖 𝑦∗ 𝑖 = 𝒘
෥𝐻
𝑚𝒓ො

1
𝛼ො 𝒘𝑚 = 𝐾 σ𝑚𝐾
𝑖= 𝑚−1 𝐾+1 𝑦(𝑖)𝑑
∗ (𝑖)
= 𝒘𝐻
𝑚𝒛ො

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Adaptive Analog Beamforming Algorithms:

where,
෥ ≝ 𝒘𝐻 ⊗ 𝒘,
𝒘 ⊗ is the kronecker-product

 weight is updated after 𝑀 2 samples

 Regularization of estimated R is done for it’s accurate inversion.

 Dominant-mode-rejection [4] is used as a regularization method and it decomposes

matrix R as follows

𝐽 𝑀
෡ 𝑑𝑚𝑟 = ෍ 𝜆መ 𝑚 𝒒
𝑹 ෝ𝐻
ෝ𝑚 𝒒 ෝ𝐻
ෝ𝑚 𝒒
𝑚+ ෍ 𝒒 𝑚 𝛼𝑑𝑚𝑟
𝑚=1 𝑚=𝐽+1
𝐽 𝑀
1 1
෡ −1
𝑹 𝑑𝑚𝑟 = ෍ 𝒒 ෝ𝐻
ෝ𝑚 𝒒 𝑚 + ෍ 𝒒 ෝ𝐻
ෝ𝑚 𝒒 𝑚
𝜆መ 𝑚 𝛼𝑑𝑚𝑟
𝑚=1 𝑚=𝐽+1

15
Modified Structure:

 Modified beamforming structure leads to an

extension of single-port algorithms.
 Information at the output of each ADC
is utilized to achieve better performance
and to reduce computations.
 Weights are still updated after 𝑀2 samples.

 Autocorrelation values in matrix form are given

by
Single-port structure with multiple ADCs

𝒓෠෤ = (𝑾
෪𝐻 )−1 𝑷
෡

 Dotted lines in the matrices show 2 ADCs are used, each samples half of the array.

16
Extended Algorithm:

 Estimates of the1st and 4th quadrant of R, i.e., 𝑀2 Τ𝐷 mean-power estimates of main-

2
diagonal partitions that use information of each individual ADC ( (𝑀Τ𝐷) weights are
reused for estimates of each partition) can be found by using K samples

(𝑢)
𝑃෠𝑢 (𝒘𝑚 ) = E 𝑦𝑢 𝑖 𝑦𝑢∗ 𝑖 ,
𝑚𝐾
1
= ෍ | 𝑦𝑢 𝑖 𝑦𝑢∗ 𝑖 | ,
𝐾
𝑘= 𝑚−1 𝐾+1
𝑚𝐾
1 𝑢 𝐻 (𝑢)
= ෍ | 𝒘𝑚 𝒙𝑢 𝑖 × 𝒙𝐻
𝑢 (𝑖) 𝒘𝑚 |,
𝐾
𝑘= 𝑚−1 𝐾+1

where,
𝑢 = 1, … , # of ADCs, 𝑚 = 1, … , (𝑀Τ𝐷)2 for each 𝑢,

 𝒘(𝑢) is the 𝑀Τ𝐷 long sub-vector (𝑤𝑏 , … , 𝑤𝑗(𝑢) ) of w with 𝑏𝑢 , 𝑗𝑢 being the indices of
𝑢
the first and last element, respectively of 𝑢𝑡ℎ ADC, i.e., 𝒘 = [0, … , 0, 𝒘 𝑢 , 0, … , 0]𝑇

{
𝑏𝑢 − 1

17
Extended Algorithm:

 Mean-power estimates of main-diagonal partitions in matrix form can be written as

where,
𝑢 = 1, … , # of ADCs, 𝑐 = 𝑀 Τ𝐷 − 1 , 𝑧𝑢 = (𝑢 − 1) 𝑀2 Τ𝐷 + 𝑐

 For the case of 6 antenna-elements and 2 ADCs,

𝑃෠1 (𝒘1 ) 𝑃෠1 (𝒘7 ) 𝑃෠1 (𝒘13 ) 𝑃෠2 (𝒘22 ) 𝑃෠2 (𝒘28 ) 𝑃෠2 (𝒘28 )
∆1 = 𝑃෠1 (𝒘2 ) 𝑃෠1 (𝒘8 ) 𝑃෠1 (𝒘14 ) ∆2 = 𝑃෠2 (𝒘23 ) 𝑃෠2 (𝒘29 ) 𝑃෠2 (𝒘29 )
𝑃෠1 (𝒘3 ) 𝑃෠1 (𝒘9 ) 𝑃෠1 (𝒘15 ) 𝑃෠2 (𝒘24 ) 𝑃෠2 (𝒘30 ) 𝑃෠2 (𝒘36 )

2
 Since the 𝑀2 Τ𝐷 estimates of main-diagonal partitions reuse (𝑀Τ𝐷) weights D
times, therefore the weight structure of 1st estimates of each main-diagonal
partition, i.e., 𝒘1 and 𝒘22 can be given as
𝒘1= [𝑤𝑎 , 𝑤𝑏 , 𝑤𝑐 , 0,0,0]𝑇 𝒘22= [0,0,0, 𝑤𝑎 , 𝑤𝑏 , 𝑤𝑐 ]𝑇

18
Extended Algorithm:

 Remaining 𝑀2 (𝐷 − 1)Τ𝐷 estimates, i.e., off-diagonal partitions, that use information

of combined ADCs can be found by

𝑃෠𝑢,𝑣 (𝒘𝑚 ) = E (𝑦𝑢 𝑖 + 𝑦𝑣 (𝑖))(𝑦𝑢 𝑖 + 𝑦𝑣 (𝑖))∗ ,

𝑚𝐾
1
= ෍ | 𝑦𝑢 𝑖 + 𝑦𝑣 𝑖 |2 ,
𝐾
𝑘= 𝑚−1 𝐾+1
𝑚𝐾
1 𝑢 𝐻 𝑣 𝐻
= ෍ | 𝒘𝑚 𝒙 𝑢 𝑖 + 𝒘𝑚 𝒙 𝑣 𝑖 | 2 ,
𝐾
𝑘= 𝑚−1 𝐾+1

where,
𝑢, 𝑣 = 1, … , # of ADCs s. t. u ≠ 𝑣 𝑚 = 1, … , 𝑀2 Τ𝐷 ,

 The weight indices 1, … , 𝑀2 Τ𝐷 represent a separate set of 𝑀2 Τ𝐷 weights from the

overall 𝑀2 weights.

19
Extended Algorithm:

 Mean-power estimates of off-diagonal partitions in matrix form can be written as

where,
𝑢, 𝑣 = 1, … , # of ADCs, 𝑧𝑢 = (𝑢 − 1) (𝑀𝐷 + 𝑀Τ𝐷 − 1) + (𝑀/𝐷)

 For the case of 6 antenna-elements and 2 ADCs

𝑃෠1,2 (𝒘4 ) 𝑃෠1,2 (𝒘10 ) 𝑃෠1,2 (𝒘16 ) 𝑃෠2,1 (𝒘19 ) 𝑃෠2,1 (𝒘25 ) 𝑃෠2,1 (𝒘31 )
∆1,2 = 𝑃෠1,2 (𝒘5 ) 𝑃෠1,2 (𝒘11 ) 𝑃෠1,2 (𝒘17 ) ∆2,1 = 𝑃෠2,1 (𝒘20 ) 𝑃෠2,1 (𝒘26 ) 𝑃෠2,1 (𝒘32 )
𝑃෠1,2 (𝒘6 ) 𝑃෠1,2 (𝒘12 ) 𝑃෠1,2 (𝒘18 ) 𝑃෠2,1 (𝒘21 ) 𝑃෠2,1 (𝒘27 ) 𝑃෠2,1 (𝒘33 )

20
Extended Algorithm:

 In case, if single antenna-element is left out, say 𝑎 𝑡ℎ element, then it will be directly
input to 𝑑 𝑡ℎ ADC and (2𝑀 − 1) mean-power estimates out of 𝑀2 (𝐷 − 1)Τ𝐷 can be
found by

(𝑑)
𝑃෠𝑑 (𝑤𝑚 ) = E 𝑦𝑑 𝑖 𝑦𝑑∗ (𝑖) ,
𝑚𝐾
1
= ෍ | (𝑦𝑑 𝑖 |2 ,
𝐾
𝑘= 𝑚−1 𝐾+1
𝑚𝐾
1 𝑑 ∗
= ෍ |𝑤𝑚 𝑥𝑑 𝑖 × 𝑥𝑑∗ 𝑖 𝑤𝑚 |2 ,
𝐾
𝑘= 𝑚−1 𝐾+1

where,
𝑎=𝑀, 𝑑 = 𝐷, 𝑚 = 1, … , 2M − 1

21
Extended Algorithm:

 Mean-power estimates of the 𝑎𝑡ℎ element of 𝑑 𝑡ℎ ADC in vector form can be written as

 For the case of 7 antenna-elements and 3 ADCs

T
𝑃෠3 𝒘7 , 𝑃෠3 𝒘14 , 𝑃෠3 𝒘21 , 𝑃෠3 𝒘28 , 𝑃෠3 𝒘35 , 𝑃෠3 𝒘42 , 𝑃෠3 𝒘43 , …
∆3 =
…𝑃෠3 𝒘44 , 𝑃෠3 𝒘45 , 𝑃෠3 𝒘46 , 𝑃෠3 𝒘𝟒7 , 𝑃෠3 𝒘48 , 𝑃෠3 𝒘29

 Thus, mean-power matrix for the case of 6 antenna-elements and 2 ADCs can be
given as

∆𝑢 𝑢=1 ∆𝑢,𝑣 𝑢 = 2, 𝑣 = 1

∆𝑢,𝑣 𝑢 = 1, 𝑣 = 2 ∆𝑢 𝑢=2

22
Extended Algorithm:

 Cross-correlation values are computed separately for each ADC and then estimates
are concatenated for all M elements, i.e., 𝒛෠෤ = [𝒛෠෤1 , … , 𝒛෠෤ 𝐷 ] 𝑇

(𝑢)
𝛼ො 𝑢 𝒘𝑚 = 𝐸 [𝑦𝑢 (𝑖)𝑑 ∗ (𝑖)],
𝑢 𝐻
= 𝐸 𝒘𝑚 𝒙𝑢 (𝑖)𝑑 ∗ 𝑖 ,
𝑚𝐾
1 𝑢 𝐻
= ෍ 𝒘𝑚 𝒙𝑢 𝑖 𝑑 ∗ 𝑖 ,
𝐾
𝑘= 𝑚−1 𝐾+1

𝑢 𝑢 𝐻 𝑢
𝒛෠෤ 𝑢 = (𝑾𝑚 𝑾𝑚 )−1 𝑾𝑚 𝜶
ෝ𝑢

where,
𝑢 = 1, … , # of ADCs, 𝑚 = 1, … , 𝑀2

23
Extended Algorithm:

 Perturbation algorithm is modified s.t

i. Perturbed weights are applied separately on the antenna elements of each

ADC
ii. MSE gradient is estimated by using the final output.
iii. Weights are updated using the gradient projection algorithm and applied on
the corresponding antenna element.

(𝑢)
𝒘+ 𝒘(𝑢) , 𝑖 = 𝒘(𝑢) + γ𝜹(𝑢) 𝑖 ,
𝐾 𝐾
′
1 1
𝒈1 𝒘 = ෍ 𝑑 𝑖 −𝑦 𝑖 𝜹 𝑖 = ෍ | 𝑑 𝑖 − 𝒘𝐻
+ 𝒙(𝑖)|𝜹(𝑖) ,
𝛾𝐾 𝛾𝐾
𝑖=1 𝑖=1

𝒔0
𝒘 𝑖 + 1 = 𝑷𝟎 𝒘 𝑖 − 𝛼𝒈 𝒘 𝑖 +
𝑀

24
Results :

 Following assumptions are made

• M = 6 element ULA
• {Desired signal } 𝑖0 𝑘 ~𝑄𝑃𝑆𝐾, AOA (𝜃0 ) = 𝜋Τ9 , Variance (σ2 2
0 ) = 1, σ𝑁 =0.1
• {Interfering signal} 𝑖𝑞 𝑘 ~𝐶𝑁 0, 𝜎𝑞2 , 𝑞 = 1, … , 𝑄

 For interference, 4 scenarios are considered

A. No interference.
2
B. 3 interfering signals with 𝜃1 = − 𝜋Τ18, 𝜃2 = 5𝜋Τ18, 𝜃3 = −2𝜋Τ9, and σ1 =
σ22 = σ23 = 0.5 respectively.
2
C. Same as (b) except σ1 = σ22 = σ23 = 1.
2
D. 1 interfering signal with 𝜃1 = − 𝜋Τ18 & σ1 =10.

 Performance parameter
• switching behavior of analog weights ~ 𝑇𝑤
• Quantization behavior ~ B-bit phase shifter & amplitude control element

 step-size 𝛼= 0.0025.

25
Results :

 Criteria for choosing Weights:

 Weight matrix is full-row rank s.t weights
are linearly independent.
 Weight matrix minimizes the errors of R & z.
 Weight matrix and it’s Kronecker-product is
invertible.

Weight Matrix for dmr

based Algorithm

26
Results :

 Comparison of dmr and perturbation based algorithm :

27
Results :

 Comparison of dmr and perturbation based algorithm :

28
Results :

 perturbation based algorithm for three power measuring system:

29
Results :

Weight Matrix for

Extended dmr Algorithm

30
Results :

 Comparison of Extended dmr and perturbation based algorithm :

31
Results :

 Comparison of Extended dmr and perturbation based algorithm :

32
Conclusion :

 Perturbation algorithm is the mostly used single-port beamforming algorithm but it

needs fast switching of weights and thus high-resolution of analog weights.

 Algorithm in [3] overcomes the need for these requirements with even better
performance which makes it, a cost effective and promising candidate for high data
rate applications.

 Extension of algorithm in [3] for modified beamforming structure gives advantage of

low computations with better convergence rate and steady state MSE. Performance
enhancement is also noticed for extended perturbation algorithm when used with
the modified structure.

33
References

[1] A. Cantoni, “Application of orthogonal perturbation sequences to adaptive

beamforming,” Antennas and Propagation, IEEE Transactions on, vol. 28,
no. 2, pp. 191–202, 1980.
[2] L. C. Godara and A. Cantoni, “Analysis of the performance of adaptive
beam forming using perturbation sequences,” Antennas and Propagation,
IEEE Transactions on, vol. 31, no. 2, pp. 268–279, 1983.
[3] B. Lawrence and I. N. Psaromiligkos, “Single-port mmse beamforming,”
in Personal Indoor and Mobile Radio Communications (PIMRC), 2011
IEEE 22nd International Symposium on, pp. 1557–1561, IEEE, 2011.
[4] H. L. Van Trees, Detection, estimation, and modulation theory. John
Wiley & Sons, 2004.
[5] Hema Singh and Rakesh Mohan Jha, “Trends in Adaptive Array
Processing,” International Journal of Antennas and Propagation, vol. 2012, Article ID
361768, 20 pages, 2012. doi:10.1155/2012/361768

34