Digital Beamforming Array Antenna On-Board Stratospheric Platform For

Quick-Response SDMA in the Band 31/28 GHz

Ryu Miura*1, Masayuki Oodo*1, Yoshihiro Hase*1, Takayuki Inaba*2, Teijiro Sakamoto*2,
and Mikio Suzuki*3
*1
Communications Research Laboratory, Yokosuka, Japan
*2
Mitsubishi Electric Corporation, Kamakura, Japan
*3
Telecommunications Advancement Organization, Yokosuka, Japan

ryu@crl.go.jp, http://www2.crl.go.jp/mt/b181/index-e.html/, http://www.yrp.tao.go.jp/

(i) high radio frequency (e.g. >10 GHz) to facilitate

Abstract
A wireless network using high altitude platforms located in
the stratosphere is attracting interests as a new network
infrastructure. This paper provides the design concept and
basic performance of the prototype of onboard digital
beamforming (DBF) antenna in Ka band, which achieves
quick-response and robust space division multiple access
(SDMA) schemes. The configuration of the prototype DBF
antenna, beamforming algorithm, and pattern measurement
results obtained by offline beamforming in an anechoic
chamber are shown.
sufficient bandwidth for high speed access link;
(ii) directional antennas with high gain to keep signal
quality under AWGN channels;
(iii) multibeam antenna with more than a hundred beams, for
example, in both transmission and reception to cover the
angle range more than about 120 degrees at the antenna
with a high gain and high spectrum utilization
efficiency;
(iv) compensation for foot print variation due to the
fluctuation and drift of the platform caused by the
change of wind and pressure.

Key words Figure 1 shows the examples of reference multibeam

high altitude platform, stratosphere, digital beamforming
antenna, multibeam, SDMA.
1. Introduction
A novel wireless access network using high altitude
platform stations (HAPS) located at the altitude of about 20
km in the stratosphere is attracting interests in several
countries [1]. A broadband wireless access network using
higher frequency than Ka band may be one of the most
suitable applications for communication system using the
HAPS. Small-aperture and low-eirp ground terminals will be
available for wireless access with more than several tens of
Mbps. The antenna on board the HAPS operating in access
link using high frequency will require a multibeam capability
to cover large number of user terminals distributed on the
ground in the angle range more than 90 degrees from the
HAPS with efficient frequency utilization. The multiple
access scheme using the space domain is called the space
division multiple access (SDMA)[2]. The attitude fluctuations
of HAPS must be cancelled in the beam directions for stable
link quality. Digital beamforming (DBF) antenna may be one
of the candidates as the onboard antenna that meets the above
requirement. This paper provides basic performance of the
prototype onboard DBF antenna obtained by the offline test in
Ka band, which achieves quick-response and robust SDMA
schemes.
2. Requirements to the onboard antennas
The antennas onboard HAPS for use in broadband access
would have the following requirements.
footprint patterns projected on the ground by a single
platform with the minimum elevation angle of 20 degrees. Fig.
1 (a) shows the uniform footprint model presented in ITU-R
document [3]. Each shape of the beams must be elliptic to
make the footprint circular in slant directions. However, the
each footprint (=cell) can be mapped easily with regular
hexagons. Narrower and lower side-lobe beams are necessary
for the outer cells than the inner cells, so that the out-of-axis
interference between the HAPS and stations in other services
using the same frequency channels becomes small. Fig. 2 (b)
shows a multiple zone model modified from the uniform
footprint model. The whole coverage is divided in five zones
in radius direction, for example, and the beams with the same
size are used within the each zone. The outer zones need
narrower beams than the inner zones do. Each shape of the
beams can be symmetrical around the direction of the beam,
so that the manufacturing of antenna may be easier than the
previous one. However, overlapping area between adjacent
cells could be large at the boundary of zones.
Active phased array antennas would be suitable to meet
the above requirements because of its potential size, weight,
flexible beam design/control capability, and other many
features. Among them, the DBF antenna generates fixed and
adaptive multiple beams by the combination of active array
antenna and spatial digital signal processing without a
complex feeding network in RF. In the receiving antenna,
multiple beams can be generated by discrete Fourier
transform in the space domain within digital signal processing
circuits. Automatic acquisition and tracking of desired signals
and interference isolation can also be obtained. In the
transmitting antenna, retro-directive spatial power combining
in the desired direction can be obtained by beamforming
using the parameters given from the receiving antenna. DBF
antennas having those features with many elements using
frequency as high as more than 10 GHz may not have been
developed for commercial use.
(a) Uniform footprint model (367 cells)
(b) Multiple zone model (397 cells)
Figure 1: Reference fixed multibeam footprint examples.
3. Prototype DBF antenna
The on-board DBF antenna uses Ka band (31.0-31.3 GHz
in uplink / 27.5-28.35 GHz in downlink) whose use by HAPS
was decided by ITU in several countries at the World
Radiocommunication Conference (WRC-2000, Istanbul).
However, the measurement data presented in this paper was
obtained in 20 GHz for uplink and 30 GHz for downlink,
because the development of this prototype antenna began
before the decision at the conference. The target for
transmission data rate with the prototype DBF antenna will be
about 3 Mbps due to the limitation of processing speed in
digital devices. In spite of such an aspect, achievement of
several tens of Mbps can be expected in near future.
Therefore, the development target of the DBF antenna is
placed on the establishment of a high-performance
beamforming rather than a high-speed transmission in the
meantime.
In general, DBF antennas have the following advantages
when used for the HAPS onboard antenna:
(a) Flexible beam steering for each of the user signals
without fixed cells on the ground, providing automatic
cancellation of platform fluctuation, higher capacity,
higher link quality, and reduced hand-over frequency,
(b) Capability of spatial interference suppression in
reception and transmission and direction-of-arrival
(DOA) estimation for position determination of user
terminals or illegal radio sources,
(c) Robustness to partial defection of antenna elements,
(d) Possibility to increase the antenna gain by additional
antenna elements in the future, and
(e) Capability of high-speed array calibration by signal
processing in transmitting and receiving array.
Therefore DBF antennas may be suitable to achieve SDMA
when used for base stations in wireless access systems and to
facilitate frequency sharing with other radio communication
services without interference.
3.1. Configuration and specifications
Figure 2 shows the block diagrams of receiving (RX)
antenna and transmitting (TX) antenna. Figure 3 shows the
photograph of RX antenna. Their specifications are listed in
Table 1. Because the prototype DBF antenna has as much as
16 antenna elements, the number of multiple beam is very
small compared to the reference multibeam models shown in
Fig. 1. The element spacing is set to be larger than a half
wavelength in order to keep the main-lobe beamwidth less
than 13 degrees even with a small size of the array.
Generation of grating lobes is allowed for this prototype for
experiment. Nevertheless, basic performance can be evaluated
by using this prototype. As the digital signal processing
device for online real-time beamforming, FPGA (Field
Programmable Gate Array) is used. The FPGA is suitable for
high-speed parallel processing along with programmability
and reconfigurability. The antenna is also connected to PC for
offline processing test.
Subjects to be studied on this type of antenna may be the
bandwidth enhancement by employing high-speed digital
devices, overcoming the heat dissipation problem in active
analog devices integrated in a small space, down-sizing of RF
and IF circuits, and the improvement of antenna gain and
axial ratio in large scan angles.
Offline DBF Online DBF/Demod
by PC by FPGA
I/F
A/D A/D A/D A-D converter
D/C D/C D/C Down converter
LNA LNA LNA Low noise amp.
Array
antenna
Multiple
beams
(a) RX antenna
 Offline DBF Online DBF/Mod 3.2. Beamforming algorithm
by PC by FPGA In the SDMA scheme, the same channel, the same time
slot, and the same modulation scheme can be shared with
I/F different user terminals located in different directions from
D/A D/A D/A D-A converter the platform, thereby giving efficient frequency reuse by the
large number of users under the coverage of a platform.
U/C U/C U/C Up converter SDMA will be applied in conjunction with FDMA, TDMA or
CDMA.
HPA HPA HPA High power amp. To achieve SDMA by the DBF antenna, we must
Array antenna overcome some algorithmic hurdles. Because the number of
antenna element in the array and required transmission rate
may increase in future commercial models, the amount of
Multiple beams computation should be reduced as far as possible and the
performance should be robust under low-CNR conditions.
Fast acquisition for desired signal out of many undesired
signals will also be required to meet burst-type transmission
in the packet networks or to reduce overhead sequences for
(b) TX antenna beamforming.
Maximal-ratio-combining beamformer assisted by a
Figure 2: Block diagrams of prototype DBF antenna. reference sequence (MRC-R) is a possible candidate as a
beamforming algorithm to meet the above requirements [4].
DBF processors (FPGA) This beamformer is expressed by the following equations:
Array LNA modules IF circuits
and interfaces
m
2 .
antenna and mixers and mixers bn ( N ) = c k x k ( N ) exp j kn (1)
k =1 m
wn ( N ) = bn* ( N )ri ( N ) , (2)
. (3)
yi (N) = w n ( N )b n ( N ) = b *
n ( N )ri ( N ) b n ( N )
n CSEL n CSEL

where
xk(N): input signal from k-th antenna element at N-th sample
iteration,
Figure 3: Prototype DBF antenna (RX). ck: fixed amplitude weighting for antenna branches
followed by a distribution for low side lobes,
m: total number of antenna element,
Table 1: Specifications. bn(N): n-th fixed multibeam signal given by a spatial DFT
of input signals xk(N),
RF frequency TX: 27.5-28.35 GHz ri(N): replica of known reference sequence contained in i-th
RX:31.0-31.3 GHz desired signal,
(for measurement, TX: 30 GHz, wn(N): beamforming weight factor for n-th fixed multibeam
RX: 20 GHz) signal bn(N),
Array type 4x4 square array (16 elements) yi(N): beamformer output signal,
Radiation element Microstrip antenna *: complex conjugate, and
Element spacing : time averaging or low-pass filtering.
~1.2
Beamwidth <13 degrees
This beamformer assumes output signals from quasi-coherent
Antenna gain 15.7 dBi (TX/RX)
detectors as its input signals, so that the input signals to the
Maximum output power 16 dBm/element beamformer (xk(N)) are in base band. Each of the detectors is
Polarizer Meander line connected to each of the antenna elements. The beamformer
IF frequency 8 MHz firstly transforms the input signals from element space to
A/D sampling rate 32 MHz beam space by DFT in space domain as expressed by eq. (1).
Resolution 12 bit This operation gives fixed multiple beams in reception. The
Bandwidth 4 MHz weight factors wn(N) in beam space are given by complex
Online processors for RX: FPGA (100k gates) 61 correlation between the multibeam signals and a reference
DBF and detection(*) TX: FPGA (100k gates) 31 sequence as expressed by eq. (2). Then the array output signal
Master clock rate 32 MHz is obtained by using the weight factors and the multibeam
Power consumption < 1.6 kW signals as shown in eq. (3). The condition "nCSEL" means
Total weight 74.2 kg (incl. power supplies) the selection of multibeam signals by the weight factors as
(*) not used in this test follows:

If | wn(N)|2 < threshold, then wn(N)=0. (4)

This condition means beam selection according to the criteria
in the complex correlation. By this non-linear process,
isolation between desired and undesired signals is improved
and can be controlled by the fixed amplitude weighting for
antenna branches ck. Because of the simple computation for
weight factors without feedback loops or matrix operations,
easy implementation into high-speed digital devices with
parallel and pipelined architectures is expected. Moreover, the
beam-space-based adaptive beamformer allows providing
variable antenna gain to the adaptive beams according to the
elevation or azimuth angles. For example, using the
multibeam former (MBF) that gives the pattern shown in
Figure 1 (b), adaptive beams with low gain in high elevation
angles and those with high gain in low elevation angles are
easily created (Figure. 4). The block diagram of the MRC-R
beamformer is shown in Figure 5.
Beam-space-based
adaptive multiple beams
User terminals
Low gain for high elevation angle
High gain for low elevation angle
Figure 4: The concept of variable gain according to the
elevation angle
Fixed multiple beams
(MBF output
with variable gains)
SDMA in multi-user environment will be achieved by
multiple beamformer with different reference sequence to
separate user signals, when the directions of arrivals from user
terminals are separate enough. However, when they are not
separate enough, isolation between signals decreases. Such a
situation needs optimum beamforming or hand over to other
resources such as frequency channels, time slots, or spreading
codes. In the offline experiment, we assumed DOA-based
optimum beamforming and evaluated the performance of
DOA estimation by MUSIC algorithm [5].
4. Calibration test
Array antennas usually have the non-uniformity of
amplitude and phase among antenna elements and RF
components, and it could change with temperature and time.
In order to realize accurate beamforming, calibration of array
antenna is required. In the experiment, we used calibration
methods based on digital signal processing that are suitable
for DBF antennas.
For calibration of a RX array antenna, we used the MRC
method [6] and the improved REV (rotating element
electricfield vector) method [7]. Both methods worked
successfully and almost the same calibration accuracy was
obtained between those methods. Figure 6 shows measured
multibeam patterns before and after calibration. For
calibration of a TX array antenna, we used the improved REV
method and synchronous orthogonal code (SOC) method [8].
Both methods worked successfully and almost the same
calibration accuracy was obtained between those methods.
These methods allow fast calibration of DBF array
antennas by serial or parallel digital signal processing for all
the antenna branches.

5
Replica generators Weight power threshold
SQG 10
r1
Frame r2
timing rp 0 or 1 15
Power[dB]

C- Replica/data
Predetermined SEL
amplitude timing
20
weighting
r1b0* LPF Control
b0(N)
x1(N) DEL
c1 DIV 25
r1b1* LPF Control
b1(N)
x2(N) DEL
c2 MBF DIV
30

bm-1(N) r1bm-1* LPF Control

xm(N) DEL y1(N) 35
cm DIV Beamformer 1
Input from Beamformer 2 y2(N)
Q-DET 40
38 34 30 26 22 18 14 10 6 2 2 6 10 14 18 22 26 30 34 38
yp(N) Angle[degree]
Beamformer p
MRC-R
MRC-T
beamformer (a) multibeam pattern before calibration
output

Figure 5: MRC-R beamformer

MMSE (minimum mean square error) algorithms are well

known as optimum beamformers. The above MRC-based
beamformer does not give an optimum solution under the
interference conditions. However, it is expected to have
advantage over the MMSE beamformers in response speed,
robustness, and computation complexity, while maintaining
practically sufficient isolation between multiple access signals,
particularly when it is used with large-scale array antenna in
power-limited channels [4].
 0 is exactly steered to the DOA of desired signal and the gain in
the DOA of undesired signal is suppressed below the side
5
lobe level. The side lobe level can be further reduced by
10
tapered amplitude distribution when the array antenna has
many elements.
15 Figure 9 shows MUSIC spectrum for the two signals with
Power[dB]

20
different separation angles. The number of snapshot was 2048
(=256 symbols). It is seen that the two signals can be resolved
25 with the separation angle less than a half of a beamwidth (~12
degrees).
30
The results shown in Figures 8 and 9 suggest that the
35 MRC-R beamforming would be used when the separation
angle of signals is more than about a beamwidth and the
40
38 34 30 26 22 18 14 10 6 2 2 6 10 14 18 22 26 30 34 38 DOA-based signal detection would be used when it is about
Angle[degree]
between a beamwidth and a half of a beamwidth. Only when
(b) multibeam pattern after calibration the separation angle is less than that, then a hand over action
Figure 6: Calibration result. will be needed.
Desired Undesired
signal signal
5. Beamforming and DOA estimation test -5.6 12
25
RX beamforming and DOA estimation performance of the MRC-R beam DFT beam
prototype DBF antenna was evaluated in the anechoic 20
chamber by offline calculation. The antenna received one
desired signal and one undesired signal. The antenna was 15
connected to a PC and the PC calculated the beamforming Power[dB]

weights in offline. The distance between the TX antenna and 10

RX antenna was about 18 m. Table 2 shows the experimental

parameters. Figure 7 shows the experimental setup in the 5

chamber.
0
Table 2: Experimental parameters
5

Desired signal
Modulation QPSK 10 38 34 30 26 22 18 14 10 6 2 2 6 10 14 18 22 26 30 34 38
Angle[deg]
Bit rate 2 Mbps
Length of reference 15 symbols Figure 8: Measured beam patterns
sequence
SNR 20 dB
Undesired signal
Modulation QPSK 0
Bit rate 2 Mbps
10
Frequency Same as the desired signal
SIR 0 dB
MUSIC(dB)

20
MUSIC spectrum

3.77m 1.77m 30

TX antenna for TX antenna for 40

undesired signal desired signal
50

60

70
30 25 20 15 10 5 0 5 10 15 20 25 30
17.743m -5.6
+12 18.065m (deg)

(a) Separation angle = 17.6 deg.

RX DBF antenna

Figure 7: Experimental setup

Figure 8 shows the measured patterns of the DFT beam

(fixed multiple beams) and the MRC-R beam. MRC-R beam
 [6] Nakamura, T., Miura. R., Oodo, M., and Ikegami, T.,
0 "Calibration of a DBF Receiving Array Antenna by Using
a Reference Sequence", WPMC 2000, pp. 311-314,
10
Bangkok, Thailand, Nov. 2000.
[7] Kojima, N., Inaba, T., Haryu, K., Shiramatsu, K., and
MUSIC(dB)

20
Ebisui, T., Convergency Improvement of Rotating
spectrum

30 Element Electricfield Vector Method Using Amplitude

and Phase of Total Field, 1993 IEICE Fall Conf., B-49,
40 pp. 49, Sapporo, Japan, Sep. 1993.
MUSIC

[8] Oodo, M. and Miura. R., "A Novel Calibration Method

50
for DBF Transmitting Array Antennas", AP-2000, Davos,
60
Switzerland, Apr. 2000.

70
30 25 20 15 10 5 0 5 10 15 20 25 30
(deg)

(b) Separation angle = 4.7 deg.

Figure 9: MUSIC spectrum

6. Conclusion
The design concept and basic performance of a prototype
DBF antenna to be mounted on a HAPS are presented.
Through an offline test in the anechoic chamber, it was
confirmed that the calibration, beamforming to a desired
signal, DOA estimation were achieved as expected. Online
test including the measurement of response in time domain
needs to be done in the next step. Resource management
schemes in combination with SDMA also need to be studied.
In order to increase the possible number of antenna
elements for commercialization of this type of antenna as an
onboard antenna, we need to reduce the size of the RF and IF
circuits and save the power consumption in the digital devices.

Acknowledgment
The authors would like to thank all the staffs engaged in
the national R&D project on the stratospheric platform.

References
nd
[1] Proc. 2 SPSW2000 (Stratospheric Platform Systems
Workshop), Tokyo, Sep. 2000.
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ITU-R F.[Ka-HAPS], Technical and Operational
Characteristics for Fixed Service Using High Altitude
Platform Stations in the Frequency Range 18-32 GHz",
Chairman's Report of the Working Party 9B Meeting,
ITU-R Doc. 9B/44, pp. 40-64, Nov. 2000.
[4] Miura,R., Oodo, M., Kanazawa, A., and Koyama,Y.,
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Access In Power-Limited Channels, IEICE Trans.
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