Smart antennas and MAC protocols in MANET

Lili Wei 2004-12-02

Contents
Smart antennas basic concepts and algorithms Background knowledge System model Optimum beamformer design Adaptive beamforming algorithms DOA estimation method Schemes using directional antennas in MAC layer of ad hoc network Vaidya scheme1 Vaidya scheme2 Nasipuri scheme Bagrodia scheme

Part I : Smart antennas

-- basic concepts and algorithms

Background Knowledge
Basic challenge in wireless communication: ---- finite spectrum or bandwidth Multiple access schemes: FDMA TDMA CDMA

SDMA
Spatial Division Multiple Access ---- Uses an array of antennas to provide control of space by providing virtual channels in an angle domain

Directional Antennas
Sectorised antenna Smart antenna

1) switched beam system Use a number of fixed beams Select one of several beams to enhance receive signals

2) adaptive array system Be able to change its antenna pattern dynamically;

System Model
Uniform Linear Array of M elements
X! l d sin U ! c c

x1 (t ) ! m(t )e j 2Tf ct
U U
d

x2 (t ) ! m(t  X )e j 2Tf c (t X )

xM (t ) ! m(t  ( M  1)X )e j 2Tf c (t ( M 1)X )

System Model
Narrow Band array processing Assumption:

m(t ) } m(t  X )

x1 (t ) ! m(t ) e j 2Tf ct

x2 (t ) ! x1 (t ) e

 j 2T d sin U Pc

xM (t ) ! x1 (t ) e

 j 2T ( M 1) d sin U Pc

1 d  j 2T sin U e Pc  j 2T 2 d sin U Pc SU ( e /  j 2T ( M 1) d sin U Pc e

Array response vector

System Model
The Beam-former Structure
w 1
2 x1 (t ) x 2 (t )
* 1

y (t ) ! w x (t )
* i i i !1
y (t )

* w1

! w X (t )
w1 w w( 2 / wM x1 (t ) x (t ) X (t ) ( 2 / x M (t )

w
M

xM (t )

* M

A simple example
Design a beamformer with unit response at 600 and nulls at 00, -300, -750

Optimum Beamformer Design

Signal in AWGN and Interference
w 1 2
x1 (t )  i1 (t )  n1 (t )
* 1

r (t ) ! X (t )  i (t )  n(t )
y (t )

x2 (t )  i2 (t )  n2 (t )

* w1

X (t ) ! m(t )e j 2Tf ct SU
y (t ) ! w r (t )
H

* wM

xM (t )  iM (t )  nM (t )

R ( E r (t )r (t ) H
RI  N

(t )  n(t ) i (t )  n(t ) H ( E i

Optimum Beamformer Design

Under different criterions
Maximum SINR beamformer

w max SINR !

1 RI N SU 1 SU RI N SU H

Mean-Square-Error optimum beamformer

w MMSE ! PR SU

1

P ( E m(t )

Optimum Beamformer Design

Under different criterion
Minimum-Variance-Distortionless-Response beamformer

w MVDR !

R 1 SU SU R SU
H 1

Maximum Likelihood optimal beamformer

1 I N U H 1 U I N U

w ML !

Practical Issues
Issues
In practice, neither R nor RI+N is available to calculate the optimal weights of the array; In practice, direction of arrival (DOA) is also unknown.

Solution
Adaptive beamforming algorithms the weights are adjusted by some means using the available information derived from the array output, array signal and so on to make an estimation of the optimal weights; DOA estimation methods

Adaptive Beamforming Algorithms

Block diagram of adaptive beamforming system

Adaptive Beamforming Algorithms

SMI Algorithm (Sample Matrix Inverse) 2. LMS Algorithm (Least Mean Square) 3. RLS Algorithm (Recursive Least Square) 4. CMA (Constant Modulus Algorithm)
1.

Adaptive Beamforming Algorithms

1. SMI Algorithm (Sample Matrix Inverse)
Estimate R using N samples:

! 1 RN N

r r
i i !1

! n  1 R  rn rn Rn n 1 n n

Use matrix inversion lemma:

n  1 1 Rn 1 rn rn Rn 1 ) 1 Rn 1  Rn ! H n 1 (n  1)  rn Rn 1 rn
1 H 1

1 R0 ! cI c"0 k ! 1,2,....

Then:

1 wn ! Rn SU

Adaptive Beamforming Algorithms

2. LMS Algorithm (Least Mean Square)
According to orthogonality principle (data| error) of MMSE beamformer:

E r (t ) r (t ) H w  d * (t )
Solution:
H

_ 
H

a 0 !

* * wn 1 ! wn  Q rn ( rn w n  d n ) ! wn  Q rn en

en ( wn r n  d n
Need training bits and calculate the error between the received signal after beamforming and desired signal; The step size u decides the convergence of LMS algorithm; Based on how to choose u, we have a set of LMS algorithm, unconstraint LMS, normalized LMS, constraint LMS.

Adaptive Beamforming Algorithms

3. RLS Algorithm (Recursive Least Square)
Given n samples of received signal r(t), consider the optimization problemminimize the cumulative square error
n

min F
k !0

nk

ek

Solution:
* wn ! wn 1  R 1 (n) rn (rn w n 1  d n ) H

In some situation LMS algorithm will converge with very slow speed, and this problem can be solved with RLS algorithm.

Adaptive Beamforming Algorithms

4. CMA (Constant Modulus Algorithm)
Assume the desired signal has a constant modulus, the existence of an interference causes fluctuation in the amplitude of the array output. Consider the optimization problem:
2 2 H 1 2 min E w r (t )  A 2

Solution:

wn 1 ! wn  Q rn rn wn ( wn rn  A2 )
This is a blind online adaptation, i.e., dont need training bits CMA is useful for eliminating correlated arrivals with different magnitude and is effective for constant modulated envelope signals such as GMSK and QPSK

DOA Estimation Method

MF Algorithm (Matched Filter) 2. MVDR Algorithm 3. MUSIC Algorithm (MUltiple SIgnal Classification)
1.

DOA Estimation Method

1.

MF Algorithm (Matched Filter)

P ! E y (t )

The total output power of the conventional beamformer is:

_ a
2

2 H H H H ! E w r (t ) ! w E r (t ) r (t ) w ! w R w

The output power is maximized when w ! SU 0 The beam is scanned over the angular region say,(-900,900), in discrete steps and calculate the output power as a function of AOA The output power as a function of AOA is often termed as the spatial spectrum The DOA can be estimated by locating peaks in the spatial spectrum This works well when there is only one signal present But when there is more than one signal present, the array output power contains contribution from the desired signal as well as the undesired ones from other directions, hence has poor resolution

DOA Estimation Method

2. MVDR Algorithm
This technique form a beam in the desired look direction while taking into consideration of forming nulls in the direction of interfering signals.

min E y (t )
Solution:

_ a min w !
2

Rw 1
H

subject to w SU ! 1

PMVDR (U ) !

SU R 1 SU

By computing and plotting pMVDR over the whole angle range, the DOAs can be estimated by locating the peaks in the spectrum MVDR algorithm provides a better resolution when compared to MF algorithm MVDR algorithm requires the computation of a matrix inverse, which can be expensive for large arrays

DOA Estimation Method

Comparison of resolution performance of MF and MVDR algorithms

Scenario: Two signals of equal power at SNR of 20dB arrive at a 6-element uniformly spaced array at angles 90 and 100 degrees, respectively

DOA Estimation Method

3. MUSIC Algorithm (MUltiple SIgnal Classification)
MUSIC is a high resolution multiple signal classification technique based on exploiting the eigenstructure of the input covariance matrix. Step 1: Collect input samples and estimate the input covariance matrix

! 1 R N

r r
i i !1

Step 2: Perform eigen decomposition

RV ! V0

0 ! diag{P1 , P2 ,- , PM }
V ! q1 , q2 ,- , qM

P1 u P2 u - u PM

DOA Estimation Method

3. MUSIC Algorithm (MUltiple SIgnal Classification)
Step 3: Estimate the number of signals based on the fact : The first K eigen vectors represent the signal subspace, while the last M-K eigen vectors represent the noise subspace The last M-K eigen values are equal and equal to the noise variance find the D smallest eigen values that almost equal to each other

K !M D
Step 4: Compute the MUSIC spectrum

PMUSIC (U ) !

1 SU V V SU
H H n n

Vn ! qK 1 , q K  2 ,- , qM

find the K largest peaks of Pmusic to obtain estimates of DOA

DOA Estimation Method

Comparison of resolution performance of MVDR and MUSIC

Scenario: Two signals of equal power at SNR of 20dB arrive at a 6-element uniformly spaced array at angles 90 and 95 degrees, respectively

Summary of Part I
System model Optimum beamformer design Adaptive beamforming algorithms 1) SMI 2) LMS 3) RLS 4) CMA DOA estimation method 1) MF 2) MVDR 3) MUSIC

Part II: Schemes using directional antennas in MAC layer of ad hoc network

RTS/CTS mechanism in 802.11

A B C D E

RTS

RTS

CTS

CTS

DATA

DATA

ACK

ACK

RTS/CTS mechanism in 802.11

Nodes are assumed to transmit using omni-directional antennas. Both RTS and CTS packet contain the proposed duration of data transmission The area covered by the transmission range of both the sender(node B) and the receiver (node C) is reserved during the data transfer This mechanism reduce collisions due to the hidden terminal problem However, it waste a large portion of network capacity.

Vaidya Scheme 1
Assumption:
Each node knows its exact location and the location of its neighbors Each node is equipped with directional antennas If node X received RTS or CTS related to other nodes, then node X will not transmit anything in that direction until that other transfer is completed That direction or antenna element would be said to be blocked While one directional at some node be blocked, other directional at the same nodes may not be blocked, allowing transmission using the unblocked antenna

Vaidya Scheme 1
A B
DRTS

OCTS

OCTS

DRTS OCTS DATA DATA ACK OCTS

ACK

Vaidya Scheme 1
Utilize a directional antenna for sending the RTS (DRTS), whereas CTS are transmitted in all directions (OCTS). Data and ACK packets are sent directionally. Any other node that hears the OCTS only blocks the antenna on which the OCTS was received.

A possible scenario of collisions

A B
DRTS

DRTS

OCTS

OCTS

DATA

DRTS

ACK

Vaidya Scheme 2
A node uses two types RTS packets: DRTS and ORTS according to the following rules: 1) if none of the directional antennas at node X are blocked, then node X will send ORTS; 2) otherwise, node X will send a DRTS provided that the desired directional antenna is not blocked.

Vaidya Scheme 2
F A
ORTS DRTS OCTS

B
ORTS

OCTS

DATA

ACK

Performance
5 4 3 2 1 10 9 8 7 6 15 14 13 12 11 20 19 18 17 16 25 24 23 22 21
Connections 1 2 3 4 5 21 22 23 24 25 802.11 157.50 89.90 22.00 89.29 157.94 516.63 Scheme1 146.73 85.31 91.39 82.30 153.30 559.03 Scheme2 165.89 81.30 105.03 82.83 163.37 598.42

Throughput

Simulation mesh Topology (5X5)

But what if we have no location information ?

Nasipuri Scheme
Node A that wishes to send a data packet to B first sends an omni-directional RTS packet Node B receives RTS correctly and responds by transmitting a CTS packet, again on all directions. In the meanwhile, B can do DOA estimation from receiving RTS packet Similarly, node A estimates the direction of B while receiving the CTS packet. Then node A will proceed to transmit the data packets on the antenna facing the direction of B.

Nasipuri Scheme
CTS 3 CTS 4

B
2 CTS RTS 3 RTS 4 Data 1 CTS

A
2 RTS 1 RTS

Nasipuri Scheme

Bagrodia Scheme
Directional Virtual Carrier Sensing(DVCS)
Three primary capabilities are added to original 802.11 MAC protocol for directional communication with DVCS: 1) caching the Angle of Arrival (AOA) 2) beam locking and unlocking 3) the use of Directional Network Allocation Vector (DNAV)

Bagrodia Scheme
1. AOA caching
Each node caches estimated AOAs from neighboring nodes whenever it hears any signal, regardless of whether the signal is sent to it or not When node X has data to send, it searches its cache for the AOA information, if the AOA is found, the node will send a directional RTS, otherwise, the RTS is send omnidirectionally. The node updates its AOA information each time it receives a newer signal from the same neighbor. It also invalidates the cache in case if it fails to get the CTS after 4 directional RTS transmission.

Bagrodia Scheme
2. Beam locking and unlocking
(3)Data (2)CTS

A
(4)ACK (1)RTS

B B

When a node gets an RTS, it locks its beam pattern towards the source to transmit CTS The source locks the beam pattern after it receives CTS . The beam patterns at both sides are used for both transmission and reception, and are unlocked after ACK is completed.

Bagrodia Scheme
3. DNAV setting
DNAV is a directional version of NAV(used in the original 802.11 MAC), which reserves the channel for others only in a range of directions.
In the fig: Three DNAVs are set up towards 300, 750 and 3000 with 600 width. Until the expiration of these DNAVs, this mode cannot transmit any signals with direction between 0-1050 or 270-3300 , but is allowed to transmit signals towards 1052700 and 330-3600

Available directions for transmission

Bagrodia Scheme
A network situation where DVCS can improve the network capacity with DNAVs
A C

Bagrodia Scheme
Performance

Summary of Part II
Comparison of four schemes
RTS 802.11 Vaidya 1 Vaidya 2 Nasipuri Bagrodia omni dir. dir./omni omni dir./omni CTS omni omni omni omni dir. Data omni dir. dir. dir. dir. ACK omni dir. dir. dir. dir.

Conclusion
smart antenna is a technology for wireless systems that use a set of antenna elements in an array. The signal from these antenna elements are combined to form a movable beam pattern that can be steered to a desired direction smart antennas enable spatial reuse and they increase the communication range because of the directivity of the antennas smart antennas can be beneficial for wireless ad hoc networks to enhance the capacity of the network To best utilize directional antennas, a suitable MAC protocol must be designed If the locations are unknown , DOA estimation may be needed before sending directional signals

reference
J.C.Liberti, T.S.Rappaport, Smart antennas for wireless communications: IS-95 and third generation CDMA applications L.C.Godara, Application of antenna arrays to mobile communicaitions, part I: performance improvement, feasiblility, and system considerations L.C.Godara, Application of antenna arrays to mobile communications, part II: beam-forming and direction-of-arrival considerations Y.b Ko, V.Shankarkumar and N.Vaidya, Medium access control protocols using directional antennas in ad hoc networks A.Nasipuri, S.Ye, J.You and R.Hiromoto, A MAC protocol for mobile ad hoc networks using directional antennas M.Takai, J.Martin, A.Ren and R.Bagrodia, Directional virtual carrier sensing for directional antennas in mobile ad hoc networks S.Bellofiore, J.Foutz, etc.. Smart antenna system analysis, integration and performance for mobile ad-hoc networks (MANETs)