Performance analysis of music and esprit doa estimation algorithms for adaptive array smart antenna in mobile communication

Performance Analysis of MUSIC and ESPRIT DOA Estimation algorithms for
adaptive array smart antenna in mobile communication
1
T.B. LAVATE.
Department of E&T/C, College of Engg. Pune.
Pune, Maharastra, India.
lavate.tb@rediffmail.com,
tukaram.lavate@gmail.com
2
Prof. V.K. KOKATE
Department of E&T/C Indira College of Engg. &
Management Pune.
Pune, Maharastra, India.
vkkokateetc@gmail.com
3
Prof. Dr. A. M. SAPKAL
Department of E&T/C, College of Engg. Pune.
Pune, Maharastra, India
ams.extc@coep.ac.in
Abstract:
Adaptive array smart antenna involves the array processing to
manipulate the signals induced on various antenna elements in
such way that the main beam directing towards the desired
signal and forming the nulls towards the interferers. Such
smart antennas are widely used in wireless mobile
communications as they can increase the channel capacity and
coverage range. In adaptive array smart antenna, to locate the
desired signal, various direction of arrival (DOA) estimation
algorithms are used. This paper investigates and compares
MUSIC and ESPRIT, DOA estimation algorithms which are
widely used in the design of smart antenna system. MUSIC
and ESPRIT algorithms provide high angular resolution and
hence they are explored much in detail by varying various
parameters of smart antenna system .However simulation in
this paper shows that MUSIC algorithm is highly accurate and
stable and provides high angular resolution compared to
ESPRIT and hence MUSIC algorithm can be widely used in
mobile communication to estimate the DOA of the arriving
signals.
Keywords- MUSIC, ESPRIT, Smart antenna, DOA.
I. INTRODUCTION
One of the most promising techniques for increasing the
capacity in 3G cellular is the adaptive array smart antenna.
The smart antenna technology is based on antenna arrays
where the radiation pattern is altered by adjusting the
amplitude and relative phase on the different elements. If
several transmitters are operating simultaneously, each
source creates many multipath components at the receiver
and hence receive array must be able to estimate the angles
of arrival in order to decipher which emitters are present
and what are their angular locations. This information in
turn can be used by the smart antenna to eliminate or
combine signals for greater fidelity or suppress interferers to
improve the capacity of cellular mobile communication .
The various DOA estimation algorithms are Bartlett, Capon,
Min-norm, MUSIC and ESPRIT. But MUSIC and ESPRIT
algorithms are high resolution and accurate methods which
are widely used in the design of smart antennas and hence
their performance is evaluated in following sections. With
use of MUSIC algorithms smart antennas add a new
possibility of user separation by space through space
division multiple access (SDMA).
II. DOA ESTIMATION ALGORITHMS
The purpose of DOA estimation is to use the data received
by the array to estimate the direction of arrival of the signal.
As shown in Fig. 1, the results of DOA estimation are then
used by the array to design the adaptive beam former in
such way as to maximize the power radiated towards the
users and to suppress the interference. In short the
successful design of adaptive array smart antenna depends
highly on the performance of DOA estimation algorithm. In
the design of adaptive array smart antenna for mobile
communication the performance of DOA estimation
algorithm depends on many parameters such as number of
mobile users and their space distribution , the number of
array elements and their spacing, the number of signal
samples and SNR. Number of DOA estimation algorithms
have been developed and categorized into two methods viz.
conventional and subspace methods.
Conventional methods also called classical methods
which first compute a spatial spectrum and then estimate
DOAs by local maxima of the spectrum. Methods that fall
under this class are Bartlett, Capon methods. But these
methods suffer from lack of angular resolution. For this
reason high angular resolution subspace methods such as
MUSIC and ESPRIT algorithms are most used.
A. MUSIC Algorithm
MUSIC is an acronym which stands for Multiple
Signal classification. It is high resolution technique based
Second International Conference on Computer and Network Technology
978-0-7695-4042-9/10 $26.00 © 2010 IEEE
DOI 10.1109/ICCNT.2010.45
308
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on exploiting the eigenstructure of input covariance matrix.
MUSIC makes assumption that the noise in each channel is
uncorrelated making correlation matrix diagonal. The
incident signals are somewhat correlated creating non
diagonal signal correlation matrix
.
ω1
ω2
ωM
Beamformer
Source
Estimation
Processor
∑ Mobilelocation
data
DOA Estimation
Algorithms
eg; Music, ESPRIT
X1(k)
X2(k)
XM(k)
Ѳ1
Ѳ2
ѲD
M signalports
Figure 1 M element antenna array with D arriving signals.
If the number of signals impinging on M element array
is D, the number of signal eigenvalues and eigenvectors is
D and number of noise eigenvalues and eigenvectors is M-
D. The array correlation matrix with uncorrelated noise and
equal variances is then given by
Rxx = A*Rss*AH
+n
2
*I (1)
Where A= [a(θ1) a(θ2) a(θ3) --- a(θD)] is M x D array
steering matrix
Rss=[s1(k) s2(k) s3(k) ---- sD(k)]T
is D x D source
correlation matrix
Rxx has D eigenvectors associated with signals and M – D
eigenvectors associated with the noise. We can then
construct the M x (M-D) subspace spanned by the noise
eigenvectors such that
VN =[v1 v2 v3 ------- vM-D] (2)
The noise subspace eigenvectors are orthogonal to array
steering vectors at the angles of arrivals θ1, θ2, θ3, θD and
the MUSIC Pseudospectrum is given as
P MUSIC(θ) = 1/abs((a(θ)θH VN VN
H
a(θ)) (3)
However when signal sources are coherent or noise
variances vary the resolution of MUSIC diminishes. To
overcome this we must collect several time samples of
received signal plus noise, assume ergodicity and estimate
the correlation matrices via time averaging as
1 K
Rxx = ∑x(k)*x(k)H
(4)
K k=1
and
Rxx = A*Rss*AH
+ A*Rsn + Rns *AH
+ Rnn (5)
The MUSIC Pseudospectrum using equation (3) with
time averages now provides high angular resolution for
coherent signals.
B. ESPRIT Algorithm
ESPRIT stands for Estimation of Signal Parameters via
Rotational Invariance Techniques which is another subspace
based DOA estimation algorithm. It does not involve an
exhaustive search through all possible steering vectors to
estimate DOA and dramatically reduces the computational
and storage requirements compared to MUSIC. The goal of
the ESPRIT technique is to exploit the rotational invariance
in the signal subspace which is created by two arrays with a
translational invariance structure. ESPRIT assumes that
there are D < M narrowband sources centered at the centre
frequency f0. ESPRIT further assumes multiple identical
arrays called doublets and these arrays are displaced
translationally but not rotationally. Fig. 2 shows four
element linear array which is composed of two doublets.
d
y
x
Ar ray-1
Ar ray-2
Ѳ1Ѳ2
ѲD S2(k)
Figure 2 Four element linear array with two doublets.
The two subarrays , array-1 and array-2 are displaced by
distance ‘d’. The signals induced on each of the arrays are
given by
x1(k) = A1*s(k) + n1(k)
and
x2(k) = A1*Λ*s(k) + n2(k)
309

where Λ = diag{ejkdsin(θ1) ejkdsin(θ2) ----- ejkdsin(θD)}
= D x D diagonal unitary matrix with phase shifts
between doublets for each DOA.
Creating the signal subspace for the two subarrays
results in two matrices V1 & V2. Since the arrays are
translationally related, the subspaces of eigenvectors are
related by a unique nonsingular transformation matrix ф
such that
V1ф =V2
There must also exist a unique nonsingular
transformation matrix T such that
V1 = AT and V2 =AΛT and finally we can derive
T ФT-1 = Λ (6)
Thus the eigenvalues of ф must be equal to the diagonal
elements of Λ such that
λ1 = ejkdsin(θ1), λ2 = ejkdsin(θ2) ----- λD = ejkdsin(θD)
Once the eigenvalues of ф, λ1 ,λ2, ------ λD are
calculated, we can estimate the angles of arrivals as
θi =sin-1
(arg(λi)/kd) (7)
Clearly the ESPRIT eliminates the search procedure &
produces the DOA estimation directly in terms of the
eigenvalues without much computational and storage
requirements.This eigenstructure method has shown
excellent accuracy and resolution in many experimental and
theoretical studies.
III. SIMULATION RESULT
The MUSIC & ESPRIT methods of DOA estimation are
simulated using MATLAB. A uniform linear array with M
elements has been considered here.
A. Simulation results of MUSIC DOA estimation
algorithm.
-30 -20 -10 0 10 20 30 40
-40
-35
-30
-25
-20
-15
-10
-5
0
5
10
AOA Degrees
Pmu(db)
M=5
Figure 3 MUSIC spectrum for M=5 & A0A= -5, 10, 25 degrees.
-30 -20 -10 0 10 20 30 40
-40
-35
-30
-25
-20
-15
-10
-5
0
5
10
AOA Degrees
|P(θ)|db
M=5
M=11
M=5
M=11
Figure 4 MUSIC spectrum for varying number of array elements.
-30 -20 -10 0 10 20 30 40
-40
-35
-30
-25
-20
-15
-10
-5
0
5
10
AOA Degrees
|P(θ)|db
K=10
K=100
K=10
K=100
Figure 5 MUSIC spectrum for varying number of snapshots.
Table 1 DOA ESTIMATION BY MUSIC & ESPRIT FOR VARYING SNR.
(Input θ =25 deg, M=4, k=100)
SNR (dB) MUSIC (θ) ESPRIT(θ)
-20 21.66 -39.08
-19 24.00 23.47
0 24.66 26.02
9 25.00 25.67
20 25.00 25.21
21 25.00 24.99
Fig. 3 shows the MUSIC spectrum for uniform linear array
with five elements and SNR=20 dB, K=100 for direction of
arrivals -5, 10, 25 degrees. Spacing between elements is
assumed to be 0.5λ. Fig. 4 shows the MUSIC spectrum for
same angles of arrivals stated above but the number of array
elements is increased from 5 to 11.When number of
elements in array is increased to 11 MUSIC spectrum takes
the form of sharper peaks in which angular resolution is
310

improved. The number of signal snapshots used to generate
realistic signal model is a key factor in the realization of
practical antennas . Fig. 5 shows the music spectrum
obtained for snapshots equal to 10 and 1000. Increased
snapshots leads to sharper MUSIC spectrum peaks
indicating more accurate detection and better resolution.
B. Simulation results of ESPRIT, DOA estimation
algorithm
Simulation of ESPRIT algorithm for linear uniform array
with four elements is carried out by varying different
parameters of linear array.
Table 2 DOA ESTIMATION USING ESPRIT FOR VARYING ANGULAR
SEPARATION (M=4, SNR=20 dB, K=100)
TABLE 3 DOA ESTIMATION USING ESPRIT FOR VARYING NUMBER OF
SNAPSHOTS K. (M=4, SNR=20 DB)
TABLE 4 DOA ESTIMATION USING ESPRIT FOR VARRYING NUMBER OF
SIGNALS.(M=4, SNR=20DB,K=100)
Table 2 illustrates that the percentage error in DOA
detection using ESPRIT algorithm decreases as angular
separation between arriving signals increases. Table 3
illustrates that when number of samples are increased the
error becomes small. Table 4 illustrates how the ESPRIT
algorithm can successfully detects 2 incident signals on
array of 4 elements and how it completely fails if the
number of incident signals increased to 4. Table 1 indicates
DOA estimation by both MUSIC and ESPRIT with respect
to SNR. This table clearly indicates that MUSIC provides
high resolution and accurate detection of an angle of arrival
than that of ESPRIT.
IV. CONCLUSION
This paper presents the results of direction of arrival
estimation using ESPRIT & MUSIC. These two methods
have greater resolution and accuracy and hence these are
investigated much in detail. The simulation results of both
MUSIC and ESPRIT show that their performance improves
with more elements in the array, with large snapshots of
signals and greater angular separation between the signals.
These improvements are seen in form of the sharper peaks
in the MUSIC and smaller errors in angle detection in the
ESPRIT. However Table 1 shows that there are more errors
in DOA estimation by using ESPRIT compared to the
MUSIC algorithm. Clearly MUSIC is more stable and
accurate and provides high resolution and this adds new
possibility of user separation through SDMA and can be
widely used in the design of smart antenna system.
REFERENCES
[1] L.C.Godara,“Application of antenna arrays to mobile communication
II: Beamforming & direction of arrival considerations”, Proceedings
of IEEE, volume 85,issue 8,August 1997, pages 1195-1245.
[2] Lal. C. Godara,“Limitations and capabilities of directions of arrival
estimation techniques using an array of antennas: A Mobile
communications perspective ,” proceedings of IEEE, pp 327-
333,1996.
[3] Paulraj and T. Kailath,“Eigenstructure methods for direction of
arrival estimation in the presence of unknown noise field”, IEEE
Transaction Acoustic, speech and signal processing, Vol.Assp. 34,
No.1, pp. 1302, Feb. 1986.
[4] J. C. Liberti, T. S. Rappaport,“ Smart antenna for wireless
communications,” Prentice Hall India,1999.
[5] Frank Gross ,“ Smart antennas for wireless communication,”
McGraw Hill. New York, 2005.
Sr,no, θ Input (deg) θ ESPRIT (deg)
1 10 9.43
25 23.94
2 20 20.02
80 80.27
K=10
θ Input (deg) θ ESPRIT (deg)
80 79.39
20 19.92
K=1000
80 80.04
20 20.00
No. of signals θ Input (deg) θ ESPRIT (deg)
2 20 20.08
40 39.96
4
10 24.46
30 32.34
50 -44.52
70 -18.82
311

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