PROJECT PROPOSAL

FOR CONSIDERATION UNDER

TECHNOLOGY SYSTEMS DEVELOPMENT

(TSD) PROGRAMME

Effect of Adaptive Filters and Windowing Function on Bandwidth ,

Directivity and Time of Digital Beamforming

SUBMITTED BY
Muthyala R Gowtham
Master of Technology in Communication Systems
Christ University Faculty of Engineering
Bangalore

CONTENTS
S.No
1

ITEMS
Cover Sheet

Page No(s)
3

Project Summary

Core Proposal

Bio-Data of the Principal Investigator/ CoPrincipal Investigator

16

Budget Estimates

17

Undertaking from the Principal

Investigator

19

Endorsement from Head Of the Organisation

20

Endorsement from Collaborating Industry/ Agency

21

1. COVER SHEET

For office use

File No:
Date of Receipt:

1.

Project Title:Effect of Adaptive Filters and Windowing on Bandwidth,

Directivity and Time of Digital Beam forming.

2.

Principal Investigator (PI):

Name:

Muthyala R Gowtham

Designation:

Student

Address:

Christ University

Telephone No: 9620623956

E-mail: muthyala.gowtham@mtech.christuniversity.in
Date of birth: 01-08-1990

3.

Names and Addresses of Collaborating Organisations

Christ University Faculty of Engineering,
Kengeri Campus,
Mysore Road,
Bangalore.

4.

Duration of the Project

The project duration lasts for 6 months

5.

Budget for the Project

(Amount in Lakhs of Rupees)

S.No

ITEM

CUFE
Share

Other
Agencies
Share

Total

6.

Project Objectives
The primary objectives are,
Digital Beam Forming
Directivity & BW Measurements
Usage of Adaptive Algorithms

2. PROJECT SUMMARY

1. Project Title: Effect of Adaptive Filtering and Windowing on Bandwidth, Directivity

and Time of Digital Beam forming.
2. Principal Investigator: Muthyala R Gowtham
3. Collaborating University: Christ University
4. Duration:6 months
5. Total Budget: xxx
5.1 Christ University Share:xxx
5.2 Collaborators Share: xxx
6.

Objectives:
Digital Beam Forming
Directivity & BW Measurements
Usage of Adaptive Algorithms

7. Innovative Elements/Components of the Project:

Reduction of side lobes such that increasing the directivity, error minimizing time
using different windowing functions and adaptive filters.
8. Outcome/ Deliverables and their
Expected Impact (In bullet form):
Improved solution to reduce interference levels
Improvement of system capacity
Reduce the overall cost of network
9. Target Beneficiaries:Mobile Wireless Operators
10.Brief Technical Details , giving Justifications for the Project, the underlying
Scientific Basis and the Methodology:
10.1 Aim of Project:
The antenna array exhibit flexibility in the design of radiation patterns.
Conventionally, arrays are designed by controlling excitation levels, phase levels and
5

space distribution of elements. In practice, for pre designed radiating elements in the
array, one of the above parameters is considered for the design keeping the others fixed.
When the elements of the array are uniformly excited, the first side lobe level is found to
be -13.5 dB. It is of interest here to reduce the side lobe levels, increase the directivity by
decreasing the beam width and also to reduce the time required to minimize the error
minimization time using different window functions and adaptive filters.
10.2 Introduction:
There is an ever-increasing demand on mobile wireless operators to provide voice and
high-speed data services. At the same time, these operators want to support more users per
base station to reduce overall network costs and make the services affordable to subscribers.
As a result, wireless systems that enable higher data rates and higher capacities are a pressing
need. Smart antenna technology offers a significantly improved solution to reduce
interference levels and improve the system capacity. With this technology, each user's signal
is transmitted and received by the base station only in the direction of that particular user.
This drastically reduces the overall interference in the system.
Digital beam forming (DBF) technology is progressed with the development of
adaptive algorithms and architectures. Multiple Beam formation using the same antenna array
is achieved by using the LMS algorithm. The performance criteria of a digital beam forming
system are the number of antenna elements, the IF sampling rate, the RF frequency and the
number of iterations required to converge. Least Mean Square (LMS) and Recursive Least
Square (RLS) algorithms are being chosen to update complex weights to form the beam in
the desired direction.
10.3 Digital Beam forming:
In digital beam forming, as all know the operations of phase -shifting and amplitude
scaling for each antenna element, and summation for receiving, are done digitally. Either
general-purpose DSPs or dedicated beam forming chips are used [1]. Digital processing
requires that the signal from each antenna element is digitized using an A/D converter. Since
radio signals above shortwave frequencies (>30 MHz) cannot be directly digitized at a
reasonable cost, so as a result the digital beam forming receivers uses the analog RF
translators
to shift the signal frequency down before the A/D converters.

Fig.1: Digital Beam forming Receiver

One set of antenna elements RF translators, and A/D converters can be shared by a
number of beam formers. All RF translators and A/D converters share common oscillators.
Within the digital beam former, all digital down-converters have common clock, and are set
for the same center frequency and bandwidth. Their digital local oscillators are in-phase so
that all phase shifts are identical [5]. Each DDC baseband output is multiplied by the complex
weight for its antenna element, and the results are summed to produce one baseband signal
with directional properties. A demodulator would then follow to recover information.
10.4 Adaptive Filter Algorithms:
The LMS and RLS Adaptive Algorithms: The LMS (least mean squares) algorithm is an
approximation of the steepest descent algorithm which uses an instantaneous estimate of the
gradient vector (L.C. Godara, 1997).The task of the LMS algorithm is to find a set of filter
coefficients c that minimize the expected value of the quadratic error signal, i.e., to achieve
the least mean squared error. The basic idea behind LMS filter is to approach the optimum
filter weights, by updating the filter weights in a manner to converge to the optimum filter
weight. The algorithm starts by assuming small weights and at each step, by finding the
gradient of the mean square error (MSE), the weights are updated. That is, if the MSEgradient is positive, it implies, the error would keep increasing positively, if the same weight
is used for further iterations, which means we need to reduce the weights. In the same way, if
the gradient is negative, we need to increase the weights. The RLS (recursive least squares)
algorithm is another algorithm for determining the coefficients of an adaptive filter. In
contrast to the LMS algorithm, the RLS algorithm uses information from all past input
samples along with the current samples to estimate the (inverse of the) autocorrelation matrix
of the input vector. To decrease the influence of input samples from the far past, a weighting
factor for the influence of each sample is used.

10.5 Windowing Techniques:

Taylor, Hamming, Blackman and Uniform Window Functions
Taylor window allows you to make trade-offs between the main lobe width and side
lobe level. The Taylor distribution avoids edge discontinuities, so Taylor window side lobes
decrease monotonically. Taylor window coefficients are not normalized. Taylor windows are
typically used in radar applications, such as weighting synthetic aperture radar images and
antenna design.
The uniform window is really no window at all. It is sometimes called the boxcar
function because it looks like a boxcar, a pulse that is unity for all values of time [3].The
uniform window provides the best frequency resolution and amplitude accuracy, but can only
be used if the measured signal is periodic in the time record. This condition is rarely met with
naturally occur- ring signals, but can be met in controlled testing.

3. CORE PROPOSAL
1. Title of the Project: Effect of adaptive Filtering and Windowing on Bandwidth,
Directivity and Time of Digital Beam forming
2. Duration : 6 months
3. Names of Participating Universities: Christ University
4. Objectives of the Proposal:
a. Digital Beam Forming
b. Directivity & BW Measurements
c. Usage of Adaptive Algorithms
5. Fulfillment of Technology Qualifiers Criteria:
Please tick if the proposal is

based on established R&D outcome/results

conforming to national / international specifications
potentially useful, demand driven and required by other agencies and
users
a development of technology for multiple applications
an adaptation of existing technology for its applications other than
originally intended
meeting a critical national need ( present/ future ) and strengthening
technological capabilities for the same
an application of advanced science and technology with a promise of
giving competitive solutions

6. Origin and Justification of the Proposal

The origin of the proposal is with the development of Smart Antenna Technology
which uses the advanced DSP Processors and advanced algorithms, which are used
for solving the present major problem in Mobile Communications i.e, the Bandwidth
(available) for accommodation of the increasing users. Hence this proposal can yield a
better solution for the Network operators.
7. Summary Outline of the Project:
7.1 Smart Antenna:
For collecting the information from the enemy countries the technology of smart antennas
are used. The growing cell phone industry was also later attracted to the smart
antennatechnology. The digital radio technology that was embedded in the mobile
phone,wireless networks, and satellite communication industries could also create a
newopportunities for the smart antennas in the late 1990s, the developments in the
multipleinput multiple output antenna system was also in cooperated to the wireless
technologies.

The LMS algorithm was developed by Stanford University Professor Bernad Widrow
and Ted Hoff that automatically adjusts an antennas directivity pattern to reinforce
desired signals. For recovering direct sequence spread spectrum signals in the presence of
narrowband co-channel interference, Ted Compton at Ohio State University later
developed an adaptive antenna technique. Comptons method, developed in 1974, only
requires the knowledge of the desired signals pseudorandom noise (PN) code and not its
direction of arrival.
To reduce co-channel interference in digital mobile networks Jack Winters showed in
1984 that received signals from multiple antennas can be combined using the optimum
combining technique.
7.2 Digital Beam forming:
Digital Beam forming (DBF) combines antenna technology with high performance
up/down conversion, analog to digital conversion and digital signal processing to provide
receivers with very high spatial selectivity. Digital signal processing is used in DBF
technology to estimate the direction in which incoming RF energy is incident on an antenna
array.DBF receivers multiply each users signal by complex weight vectors that adjust the
excitation amplitudes and phases of the signal from each antenna element. DBF concepts first
evolved in sonar and radar systems and with the advent of multimillion gate FPGAs it has
become feasible to perform DBF for sixteen or more antenna elements at up to 10 GHz
carrier frequency. Digital beam formers can be deterministic or adaptive when they track an
arriving signal as it moves across in azimuth or elevation. DBF technology is rapidly making
forays into areas like SDR using advanced phased array antennas to dramatically lower CCI
(Co-channel interference). When compared to the conventional phased array antennas it
offers additional flexibility and precision in the digital domain which has further led to
significant improvements in beam forming of multiple independent beams, adaptive pattern
nulling, space-time adaptive processing (STAP), direction finding (DF). The adaptive nature
of DBF algorithms discussed herein allows the nulls of an antenna radiation pattern to be
steered in the directions of interference signals. DBF systems today utilize predominantly
digital receivers; the received RF signals are detected and digitized at the element level. The
RF signal from an antenna element is down-converted, digitized and further digitally down
converted. The adaptive algorithm must process the baseband signal. Each element has its
own ADC and DDC channel. Digital beam formers tend of have IF frequencies in excess of
10MHz. This requires ADCs with sampling rates upwards of 30 MSPS with 16 bit resolution.
Commercial High speed ADCs consumes high power. The hardware expense and power
consumption increase linearly with the number of antenna elements when one ADC is used
per antenna element. The processing complexity of receiving system increases as the number
of array elements in the array grow.

10

Fig a: Transmitter Section

Fig b. Receiver Section

For beam forming, the complex baseband signals are multiplied by the complex
weights to apply the phase shift and amplitude scaling required for each antenna element.

11

Fig. c: Complex Multiplier

Fig d. DBF Receiver

12

7.3 Adaptive Filter Algorithms:

Weight Generation Methods
Weights have a significant impact on the output of the antenna array. Since the
array factor is a linear function of the weights, weighting methods are well
developed and can be selected to meet a wide range of objectives [7]. The
objectives are pattern steering, nulling energy from specific directions relative to
an array, minimizing the Mean Squared Error (MSE) between a desired output
and the actual output, or minimizing the side lobe level outside a specified beam
width in linear arrays.
Algorithms:
The LMS (least mean squares) algorithm is an approximation of the steepest
descent algorithm which uses an instantaneous estimate of the gradient vector
(L.C. Godara, 1997).The task of the LMS algorithm is to find a set of filter
coefficients c that minimize the expected value of the quadratic error signal, i.e.,
to achieve the least mean squared error. The basic idea behind LMS filter is to
approach the optimum filter weights, by updating the filter weights in a manner to
converge to the optimum filter weight. The algorithm starts by assuming small
weights and at each step, by finding the gradient of the mean square error (MSE),
the weights are updated. That is, if the MSE-gradient is positive, it implies, the
error would keep increasing positively, if the same weight is used for further
iterations, which means we need to reduce the weights. In the same way, if the
gradient is negative, we need to increase the weights. The RLS (recursive least
squares) algorithm is another algorithm for determining the coefficients of an
adaptive filter. In contrast to the LMS algorithm, the RLS algorithm uses
information from all past input samples along with the current samples to estimate
the (inverse of the) autocorrelation matrix of the input vector. To decrease the
influence of input samples from the far past, a weighting factor for the influence
of each sample is used.

7.4 Windowing:
Taylor window allows you to make trade-offs between the main lobe width and
side lobe level. The Taylor distribution avoids edge discontinuities, so Taylor
window side lobes decrease monotonically. Taylorwindow coefficients are not
normalized. Taylor windows are typically used in radar applications, such
asweighting synthetic aperture radar images and antenna designthe uniform
window is really no window at all. It is sometimes called the boxcar function
because it lookslike a boxcar, a pulse that is unity for all values of time. The
uniform window provides the best frequency resolution and amplitude accuracy,
but can only be used if the measured signal is periodic in the time record.This
condition is rarely met with naturally occur- ring signals, but can be met in
controlled testing.

13

8. Expected Outcome :

Fig: Single Beam Radiation using Hamming window and LMS Algorithm at 45degree

14

Fig: Single Beam Radiation using Hamming window and RLS Algorithm at 45degree
9. Deliverables of the Project
The deliverables of the Project is the efficient code with simulation results so that they
can be useful for the respective applications for network operators. The code can be
modified according to our applications.
10. Methodology
The methods followed are as follows,
First we need to choose which type of Antenna Arrays would be liked to use.
Based upon that we need to build code for antenna array pattern.
Second, on decision of choosing required model, we need to generate the
Beam forming with appropriate inputs. Then by applying the algorithms described
earlier simulate the code.
Lastly based upon the results choose the best algorithm and technique for the
particular application.
11. Work Plan
Using the MATLAB software and following the above prescribed methodology.

15

4.BIO-DATA OF THE PRINCIPAL INVESTIGATOR

1. Name: Muthyala R Gowtham
2. Gender: Male
3. Date of Birth: 01-08-1990
4. Designation :Student (M.Tech)
5. Postal Address: S/o M Radha Krishnaiah,
4th Lane Ravindranagar, KP Gate Road,
A K Nagar PO,
Nellore-524004.
Andhra Pradesh
6. Phone Numbers:09494144383, 09620623956
7. Email Id:muthyala.gowtham@mtech.christuniversity.in
8. Qualification:
S.No.
1

Degree
B Tech

M Tech

Institution
Priyadarshini
college
Engineering & Technology
Christ university Faculty
Engineering

Year
of 2011
of 2015

9. Sponsored Projects:
S.
No

Title

Sponsoring
Agency

Period

RFID
Based PRIK
Control System

6 months

Amount
(Rupees
lakhs)
xx

Effect
of CUFE
Windowing on
Directivity
&
BW

6 months

xx

in

16

5. BUDGET ESTIMATES
1. Break-up of the Total Budget :
1st Year
2nd Year
3rd Year
D Collabor D Collabor D Collabor D
S ator*
S ator*
S ator*
S
T
T
T
T

S.
No

Item

1.
2.

Manpower
Consumable
s
Contingency
Other Costs
(Outsourcing,F
abrication,
Testing,
Patents, etc.)
Travel
Permanent
Equipment
Overhead
Charges
Total

3.
4.

5.
6
7

Total
Collabor
ator*

2. Itemised Budget
a.Man Power:
Budget for Salaries
Designation

Qualification Salary per

month

Number
Persons

of

Amount
(Rupees in Lakhs)

b. Consumables:
1st Month

3rd Month

6th Month

Total

Justification including
the basis of cost
estimates/quotations

17

c. Contingencies
Budget for Contingencies
1st Month

3rd Month

6th Month

Total

Justification including
the basis of cost
estimates

3rd Month

6th Month

Total

Justification including
the basis of cost
estimates

6th Month

Total

Justification including
the basis of cost
estimates

d. Others
1st Month

e. Travelling
1st Month

3rd Month

f. Budget for Equipment relevant to this project

Description Foreign/Indigenous Unit
Number Total Justification
(Rupees in
of
LandedCost
of
relation
in
to
Project
Equipment
(CIF+Custom Items
Lakhs)
requirement
Duty+ others
)

18

6. UNDERTAKING FROM THE PRINCIPAL INVESTIGATOR

Project Title:Effect of Adaptive Filtering and Windowing on Bandwidth, Directivity
and Time of Digital Beam forming
1. I have carefully read the terms and conditions of the Technology Systems Development
Programme and I agree to abide by them.
2. I have not submitted this or a similar Project Proposal elsewhere for financial support.
3. I shall ensure that no item/equipment shown available in the Project Proposal from my
Organization, shall be purchased under the Project.
4. I undertake that idle capacity of the permanent equipment procured under the Project will
be made available to other users.
5. I have enclosed the following :
a. Endorsement from the Head of the Organization (on letter head)
b. Endorsement from the Collaborating Industry/Agency
c. Project Proposal complete in all respect (15 hard copies and a soft copy)

Principal Investigator:

Name Muthyala R Gowtham

Signature

MRGowtham

Date

19/9/2014

Place

Bangalore

19

7. ENDORSEMENT FROM HEAD OF ORGANISATION

Project Title :Effect of Adaptive Filtering and Windowing on Bandwidth, Directivity
and Time of Digital Beam forming
1.

Affirmed that the Organisation welcomes the participation of Dr/Mr/Ms Muthyala R

Gowthamas the PI for the Project and that in the unforeseen and legitimate event of
discontinuation by the PI, the Co-PI will assume full responsibility for completion of the
Project. Information to this effect, endorsed by me, will be promptly sent to DST
2.

Affirmed that the equipment and basic as well as other administrative facilities as per

the terms and conditions of the award of the Project, will be made available to the
Investigator(s) throughout the duration of the Project
3.

The Organisation shall ensure that the financial and purchase procedures are followed

as per the prevailing norms of the Organisation, within the allocated budget.
4.

The Organisation shall provide timely the Statement of Expenditure and the

Utilisation Certificate of the Funds under the Grant as required by DST in the prescribed
format.

(Head of Organisation)
Seal/Stamp
Date
Place

20

8. Endorsement from collaborating Industry/ Agency

(On the official letter- head)
I have gone through the Project Proposal entitled Effect of Adaptive Filtering
and Windowing on Bandwidth, Directivity and Time of Digital Beam forming
submitted by) Muthyala R Gowtham of Christ University for DST funding and
noted the obligations and responsibilities indicated in our name as stated below :
1. Contribution in financial terms (Rupees in Lakhs)
2. Contribution in kind (List activities)

I hereby affirm that my Organisation/Industry is committed to participate in

the Project to the full extent as indicated in the Project Proposal including the
financial liabilities accruing therefrom as detailed above. A summary profile of
my Organisation is given below:
Name of Organisation
Nature of Business
Number of Employees
Annual Turn over
The Annual Report for the preceding financial year is enclosed.

(Head of the Industry/Agency)

Seal/Stamp
Date
Place

21

REFEREES REPORT
Please tick in the boxes and enter your comments in the space provided. Please be as
objective as possible, as PAC relies substantially on referees reports.
DST Reference No :
PROJECT TITLE :
PRINCIPAL INVESTIGATOR :
1. Suitability under Technology Qualifiers Criteria (Tick one or more)
The Technology is
Based on established R&D outcome/ results.
Conforming to national / international specifications
Potentially useful, demand driven and required by other agencies and users (name them)
A development of technology for multiple applications
An adaptation of existing technology for its applications other than originally intended
Meeting a critical national need ( present/ future ) and/or strengthening technological capabilities for the
same
An application of advanced science and technology with a promise of giving competitive solutions

Please tick one :

Suitable
Not Suitable
If considered `Suitable, indicate the Qualifiers criteria being satisfied by
ticking the appropriate box (es). If considered `Unsuitable, skip all other
items and directly go to item (9)
2. Objectives:
Please tick one :

Precise and well

formulated
Vague and lacking
precision/ focus

22

3. Work Plan including Methodology and Time Schedules:

Please tick one :
Well planned and
practical
Needs revision
Impractical

4. Opinion on Proposed Budget and Manpower :

4.1 Justification for Equipment in relation to the Project Objectives:
4.2 Spares and Consumables:
4.3 Travel :
4.4 Expenditure on other Items (Fabrication etc):
4.5 Total Budget :
4.6 Manpower requested :
1. Opinion on Professional Competence of PI and the Project Team with regard to the
Project under review:
5.1

5.2
5.3
5.4

6.

PIs Publication Record in the related Area

a)

International Journals

b)

National Journals

c)

International Conferences/National Conferences

Patents
PIs Experience in the related Area(s)
General Opinion on Competence of PI, Co-PI and the Team

Track Record and Commitment of the Industrial Collaborator, if any. (Opinion

may be given only on the basis of reliable information)

23

7.

Comments on Involvement of PI in other Projects (too many or unrelated)

8. General Comments on the Project Proposal as a whole

9. Rating of the Project

(Please tick one)

Excellent:
Very Good:
Good:
Fair:
Poor:

10. Recommendations
(Please tick one)

Recommended
Needs Revision
(Give Suggestions)

Not Recommended
(Give Critical View)

Signature
Name
Address
Phone(s)
Fax
Email

Date:
For official Use Only
Date on which the Proposal was sent to the Referee:
Date on which the Referees Report was received:

24