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ABSTRACT: In this article, the particle swarm optimization algorithm is used to calculate
the complex excitations, amplitudes and phases, of the adaptive circular array elements. To
illustrate the performance of this method for steering a signal in the desired direction and
imposing nulls in the direction of interfering signals by controlling the complex excitation of
each array element, two types of arrays are considered. A uniform circular array (UCA)
and a planar uniform circular array (PUCA) with 16 elements of half-wave dipoles are
examined. Also, the performance of an adaptive array using 3-bit amplitude and 4-bit phase
shifters are studied. In our analysis, the method of moments is used to estimate the response
of the dipole UCAs in a mutual coupling environment. V C 2007 Wiley Periodicals, Inc. Int J RF
Keywords: smart antennas; adaptive beamforming; method of moments; mutual coupling; uni-
form circular arrays; particle swarm optimization algorithm; adaptive array
42
UCA for Adaptive Beamforming Using PSO 43
amplitude-only synthesis, PSO performs better early The most important method is based on controlling
on, but can be outperformed by the GA at a higher the complex weights since this technique utilizes
number of iterations. For phase-only synthesis, both fully the degrees of freedom for the solution space.
algorithms have comparable performance, while GA Furthermore, the sidelobe level and the main beam
slightly outperforms PSO for complex synthesis. In characteristics can be controlled directly. On the
recent years, various versions of the PSO algorithm other hand, it is also the most expensive approach
have been successfully used in linear [12, 13] and cir- considering the cost of both phase shifters and vari-
cular antenna array synthesis problems [14, 15]. The able attenuators for all elements. Furthermore, when
PSO is applied to an 18-element planar uniform cir- the number of elements in the antenna array
cular array (PUCA) using phase-only control strategy increases, the computational time to find the values
for a synthesized beam pattern [14]. Also, the crossed of element amplitudes and phases will also increase.
PSO algorithm is applied to synthesize a PUCA of 19 This allows a trade-off between the quality of the
elements with center-fed elements using a complex constrained pattern and the complexity of the elec-
weight control strategy [15]. tronic control.
Many of the attempts on antenna array synthesis PSO is used to adjust the weights of phase shift
assume that the elements of the array are represented and amplitude of the excitation of each element of
by isotropic point sensors isolated from one another the array for beam synthesis. In this paper the PSO
[10, 12–14, 16, 17] or the element pattern can be algorithm program was implemented using MAT-
modeled as a cosine function [9, 11, 15]. However, in LAB-software version 7.0.4 and linked to a FOR-
practice, the elements of antenna arrays have finite TRAN code program to simulate the antenna arrays
physical dimensions and specific radiation character- using Microsoft Developer Studio 97.
istics. Since most of the beamforming algorithms The paper is organized as follows. In Section II, a
ignore the effects of mutual coupling, especially in brief introduction to the PSO algorithm is presented.
closely spaced antenna elements, the predicted sys- In Section III, the objective function is described. In
tem performances may not be accurate. Therefore, to Section IV, the antenna array design is explained.
evaluate accurately the resulting system performance Numerical results will be discussed in Section V.
of practical antenna arrays, the electromagnetic influ- Finally, Section VI presents the conclusions.
ence among the elements must be carefully consid-
ered. More recently, much attention has been paid to
the effects of mutual coupling [18–20], and there II. PSO ALGORITHM
have been studies integrating the GA with the method
of moments (MoMs) [21]. PSO has attracted a lot of attention since its introduc-
In this paper, for adaptive arrays using space divi- tion in 1995 by Kennedy and Eberhart [24]. Many
sion multiple access, the optimal radiation pattern researchers have worked on improving PSO perfor-
design of smart antennas is developed based on the mance in various ways and developed many interest-
particle swarm optimization (PSO) technique. Two ing variants. A new inertia weight parameter was
types of arrays are considered in free space, the first incorporated into the original PSO algorithms by Shi
one is a uniform circular array (UCA) and the second and Eberhart [25]. In PSO, each solution is a point in
is a PUCA [16]. The array consists of center-fed half- the search space and may be regarded as a ‘‘particle’’
wave dipoles. The dipoles are identical and oriented in the algorithm. In general, each particle flies
perpendicular to the plane of the array. The goal is to through the D-dimensional problem space by learning
maximize the beam of the radiation pattern towards from the best experiences of all the particles. There-
the intended user or Signal of Interest (SOI) and fore, the particles have a tendency to fly towards bet-
ideally obtain nulls in the directions of interfering ter search area over the course of search process. In a
signals or Signal not of Interest (SNOI). The perform- new version of the PSO algorithm [26], each particle
ance of designed arrays is assessed using a full EM is attracted towards the best previous positions visited
analysis based on the MoMs [22]. In this analysis, the by its neighbors. In this case, we take into account
mutual coupling effects between the array elements two neighbors on each side. For an D-dimensional
are fully taken into account. problem, the position of the ith particle is represented
The methods of beam pattern synthesis based on as Xi 5 (xi1, xi2,. . ., xiD). Each row of the position
controlling the complex weights (the amplitude and matrix represents a possible solution to the optimiza-
phase), the excitation amplitudes only, the phase val- tion problem. The rate of the position change (veloc-
ues only, and the element position only have been ity) for particle i is represented as Vi 5 (vi1, vi2,. . .,
extensively considered in the literature [3, 11, 23]. viD). To update the velocity matrix at each iteration k,
Figure 2. (a) Antenna array geometry of a UCA. (b) Antenna array geometry of a PUCA.
xmax xmin location (position) using Eq. (2). After this process is
x ¼ xmax 3 iter ð3Þ
iter0 max carried out for each particle in the swarm, the process
is repeated until the number of iteration is finished.
where, xmax is the initial weight (0.9), xmin is the final Figure 1 shows a flowchart diagram of the main steps
weight (0.4), iter0 max is 0.75 of the maximum iteration of the PSO algorithm used in this paper.
number, and iter is the current iteration number. The It should be noted that the array geometry does
value of x is fixed to xmin after iter0max . The PSO algo- not affect the performance of the PSO algorithm. As
rithm used in this paper is very close to the crossed the number of array elements, the level of quantiza-
PSO algorithm used in [15], but in our algorithm a cir- tion of the amplitude and phase, and the boundaries
cular neighborhood topology [30] is used in addition for each variable increase, the PSO algorithm
to utilizing time-varying maximum velocity which requires more time for convergence.
decreases linearly from VDmax to 0.1VDmax over the full
range of the search. Also, some parameters like c1, c2,
and Dt are adjusted to obtain the best results, besides
III. OBJECTIVE FUNCTION
using soft and hard boundary conditions.
Now it is necessary to see how an individual is
The objective function provides the interface between
represented in a PSO algorithm. For example, if we
the physical problem and the optimization algorithm.
have (D/2) antenna elements, each element excitation
has two variables (amplitude and phase). So for our
array beamforming synthesis problem, the D-dimen-
sional position vector is mapped to (D/2) amplitude
and (D/2) phase weights. In the beginning, a popula-
tion of I particles is generated with random positions
(values) in the range of the solution space. Then a
random velocity is assigned to each particle. As in all
evolutionary computation techniques, there must be
some function or method to evaluate the goodness of
a position. The fitness function must take the position
and return a single number representing the value of
that position. By obtaining the fitness values, the
Pbest, Gbest, and Nbest positions will be known.
Then the new particle velocity (the amount of change Figure 3. Radiation pattern comparison between our
in the particle’s position) can be calculated by Eq. GA, PSO result and Ioannides and Balanis RLS result for
(1). Now it is simple to move each particle to its next isotropic PUCA.
XN XM
Objectiv function ¼ i¼1
ai Gðui Þ j¼1
bj Gðuj Þ
ð4Þ
Figure 5. (a) Amplitude and (b) phase excitation for Figure 6. (a) Amplitude and (b) phase excitation for
each dipole element of the UCA. each dipole element of the PUCA.
Figure 8. Radiation patterns for PUCA with respect to u Figure 9. Radiation patterns comparison for UCA with
in different planes of y. discrete and precise feeding.
Figure 10. (a) Amplitude and (b) phase excitation for Figure 11. Radiation patterns comparison for PUCA fed
each element of the UCA. with discrete and precise feeding.
get the result. The PSO algorithm shows better per- Figures 7 and 8 show the radiation patterns for the
formance than GA and RLS in directing the maxi- UCA and PUCA with respect to u in different planes of
mum towards the direction of the SOI while placing y (908, 1008, 1208, 1308), respectively. These figures
deeper nulls towards the angles of SNOIs. Therefore, indicate that a good behavior from the two types of
we will focus on applying the PSO algorithm for arrays can be obtained in different planes. Note that, as
beamformig the antenna array.
Next, the more practical half-wave dipole ele-
ments (with mutual coupling) will be used for pat-
tern synthesis. Figure 4 illustrates the resulting
beam pattern for a UCA compared with the beam
pattern of a PUCA. Figures 5 and 6 show the
required amplitude and phase excitations of each
element of the UCA and PUCA corresponding to
the desired beam pattern of Figure 4. A first obser-
vation from these plots is that a good performance
is obtained from PSO even when the mutual cou-
pling between elements is fully taken into account.
Also, it is noted that the PUCA achieves deeper
nulls towards the angles of interfering signals com-
pared with the UCA. The PSO algorithm with a
swarm size of 100 and 200 iterations in this case Figure 12. (a) Amplitude and (b) phase excitation for
required about 14.5 min to get the result. each element of the PUCA.
TABLE III. Amplitude and Phase Excitation for Each Element of the UCA and PUCA for Exact and
Discrete Feeding
UCA PUCA
Element No. Exact Discrete Exact Discrete
1 3.00 ff 287.958 3.0 ff 08 2.92 ff 273.858 3.0 ff 2458
2 2.92 ff 265.448 3.0 ff 458 2.89 ff 235.428 2.5 ff 1358
3 3.00 ff 83.398 3.0 ff 1808 3.00 ff 21808 3.0 ff 2908
4 2.96 ff 2115.188 3.0 ff 2458 1.00 ff 1808 3.0 ff 458
5 2.16 ff 52.648 1.5 ff 1808 1.55 ff 1808 1.5 ff 458
6 2.37 ff 2104.448 3.0 ff 2458 1.94 ff 25.418 3.0 ff 1808
7 2.07 ff 215.768 3.0 ff 458 3.00 ff 127.468 3.0 ff 2908
8 1.14 ff 176.698 1.5 ff 1808 2.87 ff 1808 3.0 ff 08
9 3.00 ff 64.008 2.5 ff 21808 2.84 ff 270.118 3.0 ff 1808
10 1.54 ff 160.398 2.5 ff 21808 3.00 ff 133.258 3.0 ff 2458
11 2.98 ff 13.358 3.0 ff 458 2.56 ff 233.838 2.5 ff 1808
12 2.95 ff 179.938 3.0 ff 2908 1.20 ff 2142.048 3.0 ff 1358
13 2.85 ff 27.808 1.0 ff 1808 3.00 ff 13.138 3.0 ff 21808
14 3.00 ff 179.568 3.0 ff 2458 3.0 ff 150.608 3.0 ff 2458
15 2.99 ff 53.708 3.0 ff 1808 2.12 ff 220.608 3.0 ff 1808
16 3.00 ff 261.928 3.0 ff 458 2.33 ff 167.798 3.0 ff 08
Directivity (dB) 12.92 12.10 11.87 10.71
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BIOGRAPHIES
Korany R. Mahmoud was born in Cairo, the Vice Dean for Student Affairs in the same faculty. He was
Egypt, on August 1975. He received his working for the general organization for technical and vocational
B.S. and M.S. degrees in Communications training for 6 years from 1989 to 1995 in Saudi Arabia. Main inter-
and Electronics Engineering from Univer- est is in signal processing and its medical applications.
sity of Helwan (Egypt) in 1998 and 2003.
He is currently working toward the Ph.D. Rajeev Bansal received his Ph.D. in
degree in the area of analyzing the smart Applied Physics from Harvard University
antenna arrays using optimization techni- in 1981. Since then he has taught and
ques at Helwan University in collabora- conducted research in the area of Applied
tion with the University of Connecticut, USA. His current Electromagnetics at the University of Con-
research interests are in the area of antenna design and array necticut where he is currently a Professor
beamforming using optimization techniques. of Electrical Engineering. His technical
contributions include Handbook of Engi-
Mohamed I. Eladawy graduated from the neering Electromagnetics (2004), two pat-
Department of Electrical Engineering, Fac- ents (1989 and 1993), and over 75 journal/conference papers.
ulty of Engineering of Assiut University in Dr. Bansal has served as an Editor/Reviewer of Journal of Electro-
May 1974; M.Sc. from Cairo University in magnetic Waves and Applications as well as an Associate Editor of
May 1979; Ph.D. from Connecticut State Radio Science, IEEE Antennas and Propagation Magazine, and
University, School of Engineering, in May IEEE Microwave Magazine. He is a member of the Electromag-
1984. He worked as an Instructor at the netics Academy, the Connecticut Academy of Science and Engi-
Faculty of Engineering, Helwan University neering (CASE), and the Technical Program Committee of the
since 1974. Currently he is a Professor at IEEE International Microwave Symposia. He has served as a Con-
the Department of Communication and Electronics Engineering and sultant to the Naval Undersea Warfare Center, Newport, RI.