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IEEE TRANSACTIONS ON ACOUSTICS, SPEECH, AND SIGNAL PROCESSING, VOL. ASSP-31, NO. 4, AUGUST 1983 [17] S. Zacks, The Theory of Statistical Inference. New York: Wiley, 1971. [ 181 J. D. Markel and A. H. Gray, Jr., Linear Prediction of Speech. New York: Springer-Verlag, 1976. [ 191 S . Kay and J. Makhoul, On the statistics of the estimated reflection coefficients an of autoregressive process, IEEE Trans. Acoust., Speech, Signal Processing, submitted for publication. Steven M. Kay (M175S76-M78) was born in Newark, NJ, on April 5, 1951. He received the B.E. degree from Stevens Institute of Technology, Hoboken, NJ, in 1972, the M.S. degree from Columbia University, New York, NY, in 1973, and the Ph.D. degree from the Georgia Institute of Technology, Atlanta, in 1980, all in electrical engineering. From 1972 to 1975 he was with Bell Laboratories, Holmdel, NJ, where he was involved with transmission planning for speech communication systems and the simulation and subjective testing of speech processing algorithms. From 1975 to 1977 he attended the Georgia Institute of Technology to study communication theory and digital signal processing. From 1977 to 1980 hewas with the Submarine Signal Division, Raytheon Company, Portsmouth, RI, where he engaged in research on autoregressive spectral estimation and the design of sonar systems. He is presently an Assistant Professor of Electrical Engineering at the University of Rhode Island, Kingston, and a consultant to industry. His current interests are spectrum analysis, detection andestimation theory, and adaptive filtering. Dr. Kay is a member of TauBeta Pi and Sigma Xi.

[5] S . M. Kay and S . L. Marple, Jr., Spectrum analysis-A modern perspective,Proc. IEEE, pp. 1380-1419, Nov. 1981. [6] G. J. Jenkins and D. G. Watts, Spectral Analysis and Its Applications. San Francisco, CA: Holden-Day, 1968. [ 71 D. E. Bowyer et al., Adaptive clutter fitering using autoregressive spectralestimation, IEEE Trans. Aerosp.Electron.Syst., pp. 538-546, July 1979. [ 8 ] C. Gibson et al., Maximum entropy (adaptive) filtering applied to radar clutter, presented at the IEEE ICASSP, Washington, DC, API. 2-4, 1979. [9] C. W. Helstrom, Statistical Theory of Signal Detection, 2nd ed. New York: Pergamon, 1968. [ 101 A. Nuttall and P. Cable, Operating characteristics for maximum likelihood detection of signals in Gaussian noise of unknown level, Naval Underwater Syst. Cen., Tech. Rep. 4242, Mar. 27, 1972. [ 111 L. Scharf and D. Lytle, Signal detection in Gaussian noiseof unknown level: An invariance application, IEEE Trans. Inform. Theory, vol. IT-17, pp. 404-411, July 1971. I121 P. Hoel, S. Port, and C. Stone, Introduction to Statistical Theory. Boston, MA: Houghton Mifflin, 1971. [ 131 M. Kendall and A. Stuart, The Advanced Theory of Statistics, VoZZZ, New York: Macmillan, 1977. [14] S . Kay, More accurate autoregressive parameterand spectral estimates for short data records, presented at the ASSP Workshop Spectral Estimation, Hamilton, Ont., Canada, Aug. 13-18, 1981. [ 151 A. T. Whalen, Detection of Signals in Noise. New York: Academic, 197 1. [ 161 G.E.P. Box and G. J. Jenkins, Tim Series Analysis: Forecasting and Control. San Francisco, CA: Holden-Day, 1970.

Adaptive Beam Forming Using a Cascade Configuration

Abstract-A new technique for adaptive beam forming based on the Davies cascade array configuration [ 111 is presented. First of all it is shown that an n-element linear array can be reconfigured as a number of subarrays of two elements each. This twoelement array is capable of steering one null in an arbitrary direction while maintaining a desired gain in some other prespecified look direction. T o adaptively perform this function a t any cascade stage, the inverse of a (2 X 2) correlation matrix of the signal vector at a subaqay is computed and substituted in the expression fortheconstrainedoptimum weight vector. Similar processing is performed at subsequent stages of the cascade configuration. At each stage of adaptationa noise source contributingmaximum powel at that stage is nulled out. Simulation Studies carried out verify the validity of this approach and demonstrate thefast convergence property of the proposed technique.
Manuscript received October 23, 1981; revised March 19, 1982. R. Khanna was with the Center for Applied Research in Electronics, Indian Institute of Technology, New Delhi, India. He is now with the Naval Headquarters, D.W.E. Sena Bhavan, New Delhi 11001)1, India. B. B. Madan is with the Department of Electrical Engineering, Indian Institute of Technology, New Delhi 110016, India.

I. INTRODUCTION

HE beam pattern of an adaptive array can be controlled to respond to some environment by weighting the output (or input) of the individual elements. These weights may be adjusted according to various algorithms [I ] -[5] based on some criterion of optimality. The theory adaptive arrays was first outlined byAppelbaum of [ l ] , where theoptimizationcriterionadopted was that of maximizing the signal-to-noise ratio (SNR) at the array output. The algorithm for computing optimum the weight vector required the knowledge of the correlation matrix the received of signal vector and its inverse. Widrow et al. [2] proposed the use of a pilot signal and the array weights are adjusted iteratively so that the array output is tuned to this pilot signal. Griffiths [3] proposed a technique in which the pilot signal is replaced by the cross correlation statistics of the desired signal and the array-element outputs. Recently, Frost [4] has

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suggested a constrained leastmean-square (LMS) algorithm, where the desired signal is indirectly specified by invoking a linear constraint on the array weights which ensures that the P hasp array always maintains adesiredresponse in someprespecshttier ified look direction. All the above-mentioned techniques iteratively estimate the optimum weight vector using gradient descent methods. A gradient descent method requires a proper setting of the step size that controls the contradictory requirements of speed of convergence and the misadjustment noise. Thesealgorithms therefore exhibit slow rate of convergence towards the optimal solution. This is particularly true when the eigenvalues of the received signal correlation matrix R,, have a large spread. A number of techniqueshave been suggested to despread the range of eigenvalues of R x x . Goddard [5] has suggested an approach based on Kalman filtering [6J for a related problem I o u t p u t of channel equalization. Based on Goddard's approach, a conFig. 1. Davies null-steering network. strained adaptive beam forming algorithm has been developed in [ 7 ] (see also [8] ). This algorithm exhibits fast convergence the reverse is not true, i.e., a lower stage set t o produce a null rate but at the expense of increased computational complexity. can be disturbed by the errors one of the upper stages. in A technique based on the extraction ofa particular eigenvalue Every stage of this cascade network consists of a number of has been described by White [9] using a cascade network sug- identical subarrays of two elements each. It is easy to visualize gested by Nolen [lo] . that a two-element array offers two degrees of freedom which This paper presents a newapproach toadaptive beam forming can beutilized to placeanullin one particular direction 8 based on the Davies cascade array configuration [ 111 . Each while maintaining a desired response in some other direction, stage ofthis cascade network is capable of nulling out one say broadside (8 = 0"). The outputs x 1 and x2 of the twointerferencesource whilemaintaining a' desired responsein element array are processed by the weights w1 and w 2 , respecsome other specified lookdirection.Thestructure of the tively, such that resultingprocessor lends itself to easy computationofthe weights due tothe fact the that processor consider can only w1 t i v z = 1 one stage at atime. Weights within anyone stage can be computed efficiently because we need tocomputepnly a w1 + w2 ei@' = 0 two-dimensional weight vector.Further,by relying directly where 1 is the desired response, and on the correlation matrices of two-dimensional signal vectors for computing the weights, the convergence speed can be 2rrd Q =-sin 8 increased. h
,

11. CASCADE ARRAYCONFIGURATION

Consider a linear uniformly spaced array of N elements. The corresponding Davies cascade connection is shown in Fig. 1 . The complete cascade network consists of (N - 1) stages, which e -i@ are more orless identical. Ai each stage, the inputs are formed w1= -~ into pairs as shown in Fig. 1. In other words, at the first stage 1 - ei@ an N-element array can be reconfigured as (N - 1) subarrays of two elements each. The outputs of this two-element array are combined in such a manner so as to achieve a null for signal arriving from a particular direction. The (N - 1) outputs from this stage can then be thought of as outputs from (N - 1 ) eleIt can therefore be concluded that every stage of the cascade ments of an array. Processingsimilar to that in the stagecan network is capable of steering a null in any one arbitrarydirecfirst again be performed so as to pIace a nullin some other direction. tion while maintaining a desired response in some other look Such a processing can be carried out for(N - 1) stages to obtain direction. nulls in the array pattern in ( N - 1) independent directions. 111. ADAPTIVE CASCADE CONFIGURATION Some of theadvantages of this scheme areas follows. 1) At any time we have to work with only a two-element The idea just outlined can be used in an adaptive manner so array, therebyminimizing the computational effort. that the array responds to operating environment in an opti2 ) A null produced by one of the upper stages cannot be mum manner. The problem can be formally stated to be the disturbed by the errors in any of the lower stages. However, following.

where X is the wavelength of the signal and d is the interelement spacing as shown in Fig. 2 . Equation (1) can be easily solved to yield the desired solution for w1 and w 2

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ADJUSTABLE WEIGHTS

i
1ST
STAGE

I
2ND STAGE

I
I
3RD STAGE

I
I

Fig. 2. Four-element adaptive cascade array processor.

Findthe weights wk,l and w k , 2 at the kth stage such that the power at'the output of this two-element array is minimized subject totheconstraintthatthearray maintains a desired gain in the look direction. Assuming the look direction to be the array broadside and the desired gain to be unity,the two-dimensional optimum weight vector WOpt(k) given in [4] : is

The superscript * denotesthecomplex conjugate transpose operation, and the subscript n is used to indicate the nth sampling interval. Equation (5) can be iteratively written as
R k

n- 1 (n) = - k ( n R
n

l)+plXk(n)X;(H)

(6)

with initial condition Rk (0) = 0. The estimate of the optimum weight vector at the kth cascade stage and nth iteration can therefore be written as

where R , ( k ) is the (2 X 2) correlation matrix of the signal components x k , l and x k , 2 , obtained at the input to the kth stage two-elementarray,and C is called thelook direction vector given by (for broadside look direction)

c=

[;I.

and

The weight vector given by (7) is capable of producing one Therefore, to find an estimate of the optimum weight vector null whde maintaining a constant gain in the look direction. A at the kth'stage, we require to compute the inverse of only a possible implementation of thisadaptive array is shown in (2 X 2) matrix. Since the true value of the correlation matrix Fig. 2. is not known, we can instead work with the estimated correlaThe question arises: in which direction is the null produced? tion matrix Rk(n)which is given by The answer: approximately that direction as specified by the eigenvector corresponding to thelargest eigenvalue of the overI n Rk (n>=x k (n>xk* (n) (5 1 all correlation matrix of the input signal vector available at the n i=1 k t h cascade stage. This will correspond to nulling of that noise sourcewhich is contributingmaximum power at this where stage. It can therefore be asserted that at the first stage of the cascade network, the interferencesignal with maximum power will be nulled out. Once this source has been nulled out, the

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output from the first stage will contain very little residual contribution from this source. The second cascade stage can then null out the second mostpowerful noise source, and so on. The above argumentis particularly justified when eigenvalues of the correlation matrix of the inputsignal vector, arriving on the array face, exhibit a large spread. This is specifically the situation in which ordinary gradient descent algorithms result in very slow convergence [I 21 . On the other hand, the present method does not suffer from this drawback because, in effect, it considers only one noise source at a time. However, if there are two or more nearly equal power sources present, the performance of the array is likely to deteriorate because of mutual interaction between such sources.

independent interfering noise sources, assumed t o be located at -4.5" and 50' to the array normal. Finally, independent white Gaussian noise is added to each sensor input to account for the presence of ambient isotropic noise and other broadband sources of noise. Various parameters defining this simulatedenvironmentatthestart-uptimearesummarized in Fig. 3. The performance of the adaptive array and the corresponding environment is shown in Fig. 3. The output of the first three stages individually is shown in Fig. 3(a)-(c). The composite array beam pattern has been plotted in Fig. 3(d). At the startup time, noise A at - 45" was about 15 lb stronger and noise B at 50" was 10 lbstronger thanthe desired signal. Since noise A is stronger of the two sources, the firststage attempts IV. MATRIX REPRESENTATION to reject this noise source first. This is indicated by - 10 dB The final output y ( k ) of the IZ stage cascade processor can be attenuation at - 45 " in Fig. 3(a). The second stage then prowritten as ceeds to steer 6 null in the direction of the second noise source y(k)=G~-l(k)G~-2(k)...G2(k)Gl(k)X(k) (8) as shown by - 17 dB attenuation at about50". The third stage where X ( k ) is the (N X 1) overall array input signal vector, findsa portion of noise A still persisting at its input and it proceeds to eliminate it by placing once again a null at about G1(k) is an (N - 1) X N gain matrix obtained from the first stage weight vector, 45 'as shown in Fig. 3(c).

o...
G ( k )= 1

Overall response of the cascade array processor is illustrated where IN-l is an ( N - 1) X N-dimensional diagonal matrix with unity diagonalterms, and UN-,is a"unity upper diagonal in Fig. 3(d). It may be remarked here that the nulls are not noise sources. This is matrix" having only upper off-diagonal entries as nonzeros. In locatedexactly in thedirectionsof partly due to the fact that a particular noise source cannot be general then, GL(~) be written as can seen in isolation, and its direction is affected to some extent GL(k)=WL,l(k)IN-L+WL,2(k)UN-L. (11) by thepresence of other noise sources. To verify the adaptive nature of this technique, the environThe matrices IN - L and UN - are both of dimension (N - L ment is nowmodified. Fig. 4 shows theadaptationofthe 1) x ( N - L). composite beam pattern to the new environment. The beam The weight matrix G,(k) is such that when postmultiplied regions. by the signal vector X@), it produces an output signal vector of pattern hasfinally settled as shownbythedarker Within about five iterations, a deep null of about -40 dB is dimension ( N - 1) which contains minimal contribution from themostpowerfulinterference. Similarly, thesecond stage placed at - 25", i.e., in the direction of noise source A , and a weight matrix G2(k) operates on this new signal vector and null of about 20 dB is placed at 30" in the direction of noise produces an ( N - 2)-dimensional output signal vector having source B . Fig. 5 shows the performance of each cascade stage and the nocontributionfromthetwomost powerful interference composite beam pattern at the end of the tenth iteration when sources. This processing can be carried out untilall interference the noise sources are located very close t o each other. It may sources have been nulled out. be observed from this figure that since the noise sources are V. SIMULATION PERFORMANCE AND RESULTS close t o each other, one noise source interferes with the other. To studytheperformanceoftheadaptive cascade array As a result the cascade processor in its effort to null out both processor, a simulation study has been carried out on an HP the sources produces a broad null somewhere in between the 1000 minicomputer. The simulated array is assumed to be a two noise source directions. The final part of the simulation study is concerned with the four-element linear arraywithinterelement spacing of h/2 comparison of the speed of convergence of the present algofollowed by a three stage cascade processor. with of constrained LMS algorithm [4]. The The simulated environment consists of a desired signal arriving rithm that from the broadside direction normal to the array face, and two convergence performance is based on the comparison of the

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5

0
-5
-10

-15
-2 0 -25

- 90

-L 5

90

-30 - 90
5

-L5

L5

90

0
-5
-10

-15 -20

- 25
-90 -L5 X-AXIS

L5

90

-30

-90

- L5
Y-AXIS

0
IN

L5

90

IN DEGREES

DBS

Fig. 3. Stage by stage and composite response of the adaptive cascaded array operating in the environment consisting of (a) 0 dB broadside signal; (b) +14 dB noise source A at -45'; (c) +10 dB noise sourceB at 50"; (d) 0 dB white noise at each element.
5

0
-5

- 10
~

I5

-20 -25
-30

-35
-LO

-L5

- 50 - 90 - 60 - 30 0 30 60 90 Fig. 4. Composite beam pattern of the array when the noise sources A andB are changed to (a) +17 dB at -25"; (b) +13 dB at 30".

processor, the overall estimated weight vector is computed as

W r ( k ) = G-l(k)G~-2(k)...Gl(k). ~ (13)

The relative performance of the two algorithms for a sample run for the environment described in Fig. 3 is shown in Fig. 6.

VI. CONCLUSIONS This paper has dealt with thedevelopment of a new technique for adaptive beam forming using Davies' cascade network. The resulting algorithm has the property that it attempts to null out essentially one particular interference source at every stage X- A X I S IN D E G R E E S Y - AXIS IN DES of the cascade network. Adaptation at any stage is carried out (a) mj Fig. 5 . Adaptive array response for closely-spaced noise Sources (a) +dB by estimating iteratively only a two -dimensional weight vector, at 50"; (b) +dB at 2 5 " . which can be found directly by computing the inverse of a (2 X 2) correlation matrix. Since the estimated weight vector misadjustment noise is based on the inverse of the estimated correlation matrix, its convergence rate is faster compared to gradient descent methIIE(k)ll = II Wept - W(k)II (12 ) ods, which use only the instantaneous value of the signal vector. In addition, the present algorithm is robust in that it does not where Wept is the optimum weight vector for a given environment and W(k)is the estimated weight vector. For the cascade require knowledge of the step size.

KHANNA AND MADAN: ADAPTIVE BEAM FORMING

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0.01 0

20

40
ITERATION

No k

60

80

Fig. 6. Convergence rate behavior for a sample run with an operating environment the same as that found inFig. 3.
REFERENCES [ l ] S. P. Appelbaum, Adaptive arrays, IEEE Trans. Antennas Propagat., vol. AP-24, pp. 585-598, Sept. 1976. [2] B. Widrow, P. E. Mantey, L. J. Griffiths,and B. B. Goode, Adaptive antenna systems, Proc. IEEE, vol. 55, pp. 21432158, Dec. 1967. [ 31 L. J. Griffiths, A simpleadaptivealgorithm for real-timeprocessing in antenna arrays, Proc. IEEE, vol. 57, pp. 1696-1704, Oct. 1969. [4] 0.L. Frost 111, An algorithm for linearly constrained adaptive array processing, Proc. IEEE, vol. 60, pp. 926-935, Aug. 1972. [5] D. Goddard, Channel equalization using a Kalman filter for fast data transmission, IBM J. Res. Develop., vol. 18, pp. 267-273, May 1974. to linearfilteringandpredic[6] R. E. Kalman,Anewapproach tion theory, J. Basic Eng. Trans. ASME, vol. 95, 196 1. [7] B. B. Madan, A rapidly converging algorithm for adaptive beam forming, in Proc. Indo- British Con8 Appl. Dig. Syst., Indian Inst. Technol., New Delhi, India, Sept. 12-15, 1978. [SI J. E. Hudson, Estimation of linearly constrained parameters via the Kalman filter, Electron. Lett., vol. 15, pp. 319-320, May 1979. D. White, Adaptive cascade networks deep for nulling, [9] W. IEEE Trans. Antennas Propagat., vol. AP-26, pp. 396-402, May 1978. [ 101 J. C. Nolen, Synthesis of multiple beam networks for arbitrary illuminations, Bendix Corp., Radio Div., Baltimore, MD, Tech. Rep., Apr. 21, 1965. [ 111 D.E.N. Davies, Independentangularsteeringforeachzeroof directionalpatternfora lineararray, IEEE Trans. Antennas Propagat., vol. AP-15, pp. 296-298, Mar. 1967. [ 121 D. G. Luenberger, Optimization by Vector Space Methods. New York: Wiley, 1969.

RavinderKhanna was bornJanuary 1, 1953. He received the B.Sc. (Eng.) degree in electrical engineering from PanjabEngineeringCollege, Chandigarh, India, in 1975. He was deputed to the Indian Institute of Technology, Delhi, during 1979-1981 t o complete the M.Tech. degree in underwater electronics. He was commissioned in the Indian Navy in 1975 where he is presently holding the rank of Lieutenant. His researchinterestsare i n the area of signal processingand sonar systems.

B. B. Madan (S72-S76-M76) was born Sep1949 in New Delhi, He India. tember 21, received the B.E. mons.) degree inelectrical engineering from Birla Institute of Technology and Science, Pilani, India, in 1970, andthe M.Tech. and Ph.D. degreesinelectrical engineering from the Indian Institute of Technology, Delhi, in 1972 and 1976, respectively. From 1972 to 1976 he was with the Centre. for Applied Research in Electronics(C.A.R.E.), where he had been working problems relating on to digital signal processing for radar/sonar systems. Since 1976, he has been with the Department of Electrical Engineering, Indian Institute of Technology, Delhi, where he presently holds the rank of Assistant Professor. He is also an associated faculty member of the Underwater Electronics Group at C.A.R.E., Indian Institute of Technology, Delhi. His teaching and research interests arein the area of computer architecture, digital signal processing, and VLSI architecture forsignal processing and microprogramming.