2010 3rd International Conference on Computer and Electrical Engineering (ICCEE 2010)

Performance and Quality Analysis of Adaptive

Beamforming Algorithms (LMS,CMA, RLS & CGM) for Smart Antennas

Abdul Aziz, M.Ali Qureshi

M. Junaid Iqbal, S.Zeeshan A. Zaidi

Umer Farooq, Usman Ahmad.

Assistant Professor, Department of Electronic

Engineering,
University College of Engineering & Technology,
The Islamia University of Bahawalpur, Pakistan.
Email: {abdul.aziz, ali.qureshi}@iub.edu.pk

Deptt. of Electronic Engineering, UCET, IUB, Pakistan

Email: junaid.iqbal19@gmail.com,
engineer.sza@hotmail.com,
dabra29@hotmail.com, usman.ahmad@msn.com

Abstract Due to recent substantial development in the field of

wireless communication, there is a need to maximize spectral
efficiency so that the extensive increase in traffic can be
accommodated efficiently. Smart antenna system is a major
source to maximize spectral efficiency and capacity of the
wireless networks. It consists of an adaptive antenna array that
continuously adjusts its radiation characteristics (beam-width
of main lobe, side lobe levels and position of nulls) to produce
narrow beam in the direction of arrival (DOA) of desired signal
and to place nulls in the DOA of interferer signals so that
maximum SINR (Signal to Interference and Noise Ratio) is
obtained. Smart antennas are becoming more popular now a
days due to extensive advancement in the field of digital signal
processing and real time implementation of adaptive signal
processing techniques on FPGAs. In this paper we analyze
various adaptive beamforming algorithms including LMS
(Least Mean Squares), CMA (Constant Modulus Algorithm),
RLS (Recursive Least Squares) and CGM (Conjugate Gradient
Method) through simulating different parameters like radiation
pattern, amplitude response, mean square error and absolute
weights of an N-element array for a certain number of
iterations. The obtained simulation results are very helpful to
evaluate performance and quality of adaptive beamforming
algorithms.
Keywords- LMS; RLS; CGM; CMA; SINR; Adaptive
Beamforming; Smart Antenna; Digital Signal Processing.

I.

INTRODUCTION

Smart antenna is a system of antenna array which uses

beamforming algorithms to identify spatial signal signature
and is used to compute beamforming vectors to track the
antenna beam on receiver. Smart antennas enhance system
performance, channel capacity, coverage and spectrum
efficiency. Smart antennas use efficient methods to track
multiple users and reduce interferences [1].
We can classify smart antennas in two types either
switched beam or adaptive array systems. Users in the
desired directions are served by the use of multiple fixed
beams in switched beam systems. As the mobile user
changes its position through the cell, the base station
switches between several beams and select the beam that
provides the best performance and accuracy in switched
beam systems. Generally in a switched beam system,
multiple arrays are used with each array covering a certain

978-1-4244-7224-6 /10/$26.00

2010 IEEE

area in a specified direction. If we consider a phase shifting

network then these multiple beams search for the desired
signal in their specific areas and the selection of beam is
controlled by the beam logic controller which is governed
by an algorithm. This algorithm decides and selects the
strongest signal based on the detection of the detector. In
high interference regions this technique proved to be less
efficient [2].
A process of adapting magnitude and phase of the signal
from every antenna element by the use of product of each
users signal and weight vectors is called beamforming [3].
Beamforming, as the name depicts, provides narrow beams
in desired directions as well as reduces the interferences [4].
If the arrival angles of the desired signal are same then fixed
beamforming is used which is a very simple technique but if
the arrival angles change with respect to time then there is a
need to formulate an optimization scheme that adjusts the
weights of arriving signals iteratively. This intelligent
technique of adapting the weights with respect to time is
called adaptive beamforming. So adaptive beamforming is a
technique which separates a desired signal from interfering
signal by using technique of adapting the weights with
respect to time while maximizing the signal to noise ratio
and array output [5].
Adaptive array systems as shown in figure 1 use antenna
arrays controlled by strong signal process capability to
dynamically vary the radiation pattern in accordance with
the varying environment of the signal. Adaptive array
systems provide maximum radiation in users direction and
also nullify interferences at the same time [2].
Adaptive algorithms are formulated on prescribed
performance criteria which are being implemented by a set
of iterative equations to meet that criteria. Performance
criteria mostly includes MMSE, Maximum signal to
interference and noise ratio (SINR), maximum likelihood
(ML), Minimum noise variance and Maximum gain [6].
The two major types of adaptive algorithms are blind
and non-blind. Non-blind algorithms require a pilot signal to
detect the desired signal and update the complex weights.
These algorithms include LMS, RLS, SMI and CGM. In
contrast to non-blind algorithms, blind algorithms do not

V6-302

2010 3rd International Conference on Computer and Electrical Engineering (ICCEE 2010)

need a pilot signal to find the complex weights. Blind

algorithms include CMA, Spectral Self-Coherence Restoral
(SCORE) and Decision Directed algorithm (DD) [3].

C. Recurssive Least Square Algorithm

RLS adaptive algorithm uses method of Least Squares in
approximating weight vector w(k) [13]. In LMS, the weight

A. Least Mean Square Algorithm

The Least Mean Square (LMS) algorithm is the famous
adaptive filtering algorithm in which Gradient Based
approach is employed [7]. It comprises very recent
observations and reduces the Mean Square Error iteratively
[8], [9], [10]. The direction of gradient vector is opposite to
that of steepest descent (SD) [3]. Widrow [10], [11]
propounded SD approximation in terms of weights using
LMS method mathematically written as [7].
for each k
{
e (k) = d(k) wH (k) x(k)
w(k + 1) = w(k) + e * (k) x(k)
}
Where, d(k) = reference signal, x(k) = input data vector, w(k)
= weight vector, e(k) = error signal, = step size.
Stability and convergence rate of LMS algorithm is
controlled by the scalar constant [12]. Step size should
be chosen in a range in which convergence is insured [8].
0 < < 2/max
Where max is the largest Eigen value of correlation matrix
Rxx.
The main advantage of LMS is its low computational
complexity and disadvantage is slow convergence rate [7].
B. Constant Modulus Algorithm
CMA is a well known algorithm of adaptive
beamforming of blind adaptation. This algorithm is derived
keeping in view the constant complex envelope (amplitude)
property of the signal. These signals generally include FM,
FSK, PSK, QAM and PAM. If the arriving signal has
constant amplitude then this algorithm maintains and
restores the amplitude of desired signal [5]. The weights can
be calculated using following equations [7].
for each k
{
y(k) = wH(k) x(k)
e( k ) =

y (k)
y (k)
y (k)

w(k + 1) = w(k) + e * (k) x(k)

}
Where x(k) = input data vector, w(k) = weight vector, e(k) =
error signal and = step size.
Although CMA does not require a pilot signal but it has a
major drawback of slow convergence [7].

Figure 1. Block diagram for adaptive beamforming

vector is selected to reduce the averaged error squares while

in RLS, it is to reduce the cost function which includes sum
of error squares over a time window. The weights can be
calculated using following equations [7].
R1(0) = 1I, small positive constant and
I the N N identity matrix
for each k
{
k(k) = R1(k 1) x(k)
k (k)
g (k) =
+ x H (k )k (k)
-1
k (k)k H (k)
R (k 1)

+ x H (k )g (k)

e (k) = d(k) wH(k) x(k)

w(k + 1) = w(k) + e(k) g(k)
}
R -1 (k ) =

Where is the forgetting factor, it is also called exponential

weighting factor. Its value is such that, 0 1 which
shows that it is a positive constant. =1 indicates infinite
memory and also ordinary least square algorithm is restored
[14].
In comparison to LMS, RLS has faster rate of convergence.
This enhanced performance is achieved at the expense of
huge computational complexity [7].

V6-303

2010 3rd International Conference on Computer and Electrical Engineering (ICCEE 2010)

D. Conjugate Gradient Method

In Conjugate Gradient Method, the gradient is
accelerated by choosing conjugate (orthogonal) paths
iteratively to get optimal solution for weights that results in
faster rate of convergence. It is also called Accelerated
gradient Approach (AG) [8]. The weights can be calculated
using following equations [15].
r(0) = b Aw(0)
g(0) = AH r(0)
for each k
{
H

(k) =

A r (k)
A H g (k)

w(k + 1) = w(k) (k) g(k)

r(k+ 1) = r(k) + (k) A g(k)

(k) =

A H r (k)

In Figure 3, amplitude responses of the four algorithms

from -90 degree to +90 degree are shown. It is evident from
the figure that LMS, RLS and CGM algorithms reject all the
interferences at -30o, -60o and +45o whereas, amplitude
response of CMA algorithm is poor as compared to others.
CMA algorithm did not reject all the interferences; it
suppresses the interferences to some extent.
In Figure 4 and 5, mean square error and absolute
weights for 50 data samples of four algorithms are shown. It
is apparent from the plots that RLS algorithm converges
faster among others and LMS has slowest convergence rate.
CGM has faster convergence rate than LMS but slower
convergence rate than RLS. CMA algorithm depicts unstable
behavior.

A H r (k + 1)

side lobes and has narrowest beamwidth whereas CGM

algorithm has the greater power in the side lobes of radiation
pattern as compared to others. CMA algorithm has widest
beamwidth as compared to others.

g(k + 1) = AH r (k + 1) (k) g(k)

}
Where, w(k) denotes array weights, A is the matrix with
columns containing consecutive samples from array elements,
b is the vector containing consecutive samples of desired
signals, r is residual vector and g(k) is the direction vector
[15].
II.

SIMULATION RESULTS

Simulation for an adaptive antenna array is done in

MATLAB environment. In simulation we analyze radiation
patterns, amplitude response, mean square error and absolute
weights for adaptive beamforming algorithms LMS, CMA,
RLS and CGM. The parameters used for our simulation are
shown in Table 1.
TABLE 1: SIMULATION PARAMETERS
Number of antenna elements (N):

10

Element spacing (d):

0.5

Noise variance (2):

0.001

Total number of data samples (K):

50

Forgetting factor () (for RLS):

0.9

DOA of desired signal:

0o

DOA of interferer signal (I1)

-30o

DOA of interferer signal (I2)

-60o

DOA of interferer signal (I3)

45o

Figure 2. Radiation patterns

In Figure 2, radiation patterns of the four algorithms are

shown. It can be seen that LMS algorithm is the best choice
among the four algorithms because it has least power in the

V6-304

2010 3rd International Conference on Computer and Electrical Engineering (ICCEE 2010)

Figure 3. Amplitude response

Figure 5. Absolute weights

III.

Figure 4. Mean square error

CONCLUSION

In adaptive beamforming, the radiation pattern of smart

antenna is controlled through various adaptive algorithms.
Adaptive algorithm dynamically optimizes the radiation
pattern according to the changing electromagnetic
environment. Here we analyze four popular adaptive
techniques including LMS, CMA, RLS and CGM through
simulation of various parameters like radiation pattern,
amplitude response, mean square error and absolute weights.
Comparative analysis of the four algorithms LMS is the
simplest and more suitable choice because it has the
narrowest beamwidth in the desired direction, least power in
side lobes and complete rejection of interferer signals but it
has slow convergence which limits its application in case of
quickly varying channel conditions and where quick
capturing of the signal is required. While CMA has widest
beamwidth in the desired direction, suppress interference to
some extent and unstable behavior in case of convergence
due to which CMA can be used in applications where
complex envelope of the signal should ideally be constant. In
case of RLS we have narrowest beamwidth, complete
rejection of interference and fastest convergence at the cost
of high computational burden but has greater power in side
lobes as compared to LMS. RLS is the best choice and has
also its application where quick tracking of the signal is
required. At the end, CGM has also narrow beamwidth,
complete rejection of interference, fast convergence as
compared to LMS but has the largest power in side lobes as
compared to others. It finds its application in mobile
communication where it is used to eliminate multipath fading.
ACKNOWLEDGMENT
We would like to thank our respected teachers and
colleagues for their guidance and ever present support.

V6-305

2010 3rd International Conference on Computer and Electrical Engineering (ICCEE 2010)

We are also very much thankful to Dr. Muhammad

Mukhtar, the Vice Chancellor of the university, and
Professor Jan Muhammad Keerio, the Principal of UCET,
for their efforts to facilitate and provide us most suitable
environment for research and development.
REFERENCES
[1]
[2]

[3]
[4]

[5]
[6]

[7]

[8]

[9]

[10]

[11]
[12]

[13]

[14]
[15]

M. Chryssomallis, Smart antennas IEEE antennas and propagation

magazine Vol 42 No 3 pp 129-138, June 2000
S. Rani, P. V. Subbaiah, K. C. Reddy and S. S. Rani, LMS And
RLS Algorithm for Smart Antennas in a W-CDMA Mobile
Communication Environment, ARPN Journal of Engineering and
Applied Sciences, VOL. 4, NO. 6, AUGUST 2009.
M. T. Islam, Z. A. Rashid, MI-NLMS adaptive beamforming
algorithm for smart antenna system applications, July 2006.
M. Ali Qureshi, Abdul Aziz, Hussain Bakhsh, "CIR Improvement
using Antenna Beamforming and Power Control", Proc. 2010
International Conference on Networking and Information Technology,
ICNIT 2010, Manila Philippines, pp. 294-297, ISBN: 978-1-42447577-3
F. Gross, Smart Antennas For Wireless Communication, Mcgrawhill, September 14, 2005.
Constantine A. Balanis, Panayiotis, Introduction to Smart Antennas
(Synthesis Lectures on Antennas) , Series edition 2007 by Morgan &
Claypool.
S. Werner, Reduced complexity adaptive filtering algorithms with
applications to communications systems, Ph.D. dissertation, Helsinki
University of Technology, Helsinki, Finland, Oct. 2002.
R. A. Monzingo and T.W.Miller, Introduction to Adaptive Arrays,
Scitech Publishing Inc., Oct. 2003, Mendham, NJ. ISBN 1-89112124-3.
D. H. Johnson and D. E. Dudgeon, Array Signal Processing:
Concepts and Techniques, Englewood Cliffs, NJ: Prentice-Hall,
1992.
B. Widrow, P. E. Mantey, L. J.Griffiths, and B. B.Goode, Adaptive
antenna systems, Proc. IEEE, vol. 55, no. 12, pp. 21432159, Aug.
1967.
Widrow,B., and M. Hoff, Adaptive Switch Circuits, IREWescom,
Convention Record, Part 4, pp. 96104, 1960.
W. Y. Shiu, Noniterative digital beamforming in CDMA cellular
communications systems, Masters thesis, Queens University,
Kingston, Ontario, Nov. 1998.
B. D. Van Veen and K. M. Buckley, Beamforming: A versatile
approach to spatial filtering, IEEE ASSP Mag., vol. 5, pp. 424, Apr.
1988. doi:10.1109/53.665
Haykin, S.,Adaptive Filter Theory, 4th Edition., Prentice Hall, New
York, 2002.
L.C. Godara,Smart.Antennas,CRC.Press.Jan.2004.

V6-306