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IEEE ANTENNAS AND WIRELESS PROPAGATION LETTERS, VOL. 2, 2003

DOA Estimation of Ultra-Wideband EM Waves With MUSIC and Interferometry

Akimasa Hirata, Member, IEEE, Takeshi Morimoto, and Zen Kawasaki, Member, IEEE
AbstractIn this paper, we propose a direction-of-arrival (DOA) estimation technique for ultra-wideband electromagnetic waves, which allows for the effect of the antenna mutual coupling. This technique is comprised of a ultra-wideband interferometry, multiple signal classification (MUSIC), and databases. The effectiveness of our scheme is demonstrated through numerical examples. Index TermsDirection-of-arrival (DOA) estimation, interferometry, multiple signal classification (MUSIC), mutual coupling of antennas, ultra-wideband (UWB) electromagnetic waves.

II. MODELING OF MUTUAL COUPLING The duration of impulsive EM waves from power equipment and lightning discharges is at most hundreds nanoseconds. Thus, the DOA estimation for multiple sources is not needed unlike monochromatic waves, when we choose a proper time window [6]. Then, an antenna array with two antennas is generalized for the DOA estimation of UWB waves. For the at the th incidence of an EM wave, the induced voltage antenna is given by the following [7]:

I. INTRODUCTION

ARIOUS techniques of direction-of-arrival (DOA) estimation for electromagnetic (EM) waves have been developed in accordance with the spread of wireless communications [1], [2]. As a result, most of the DOA techniques are applicable only for static monochromatic waves. In other words, less attention is paid to the DOA estimation for ultra-wideband (UWB) EM waves. Impulsive EM waves from electric power equipments [3] and lightning discharges [4] are a typical example of UWB waves. Their DOA estimations are important from the viewpoint of EM compatibility. The frequency spectrum of such EM waves is largely dependent on the kind of sources, temperature, humidity, and so forth. Therefore, sufficient intensity of EM waves could not be always obtained by using conventional monochromatic approaches. For a class of EM waves with a UWB spectrum, mutual coupling between antennas would not be negligible, especially at the lower frequency band, leading to an obvious error in the DOA estimation. In order to overcome this problem, we demonstrated the effectiveness of a database for the compensation of the error [5]. Note that, in the paper, the ratio of bandwidth to the center frequency was limited at most 40%. In this paper, we propose a hybrid scheme for the DOA estimation of UWB waves. This scheme is comprised of three steps: 1) a UWB interferometry; 2) the compensation of estimated DOAs obtained by the UWB interferometry with a database; and 3) an application of a coupling matrix and the MUSIC algorithm for the frequency band where the antenna distance is smaller than a half of a wavelength.

(1) where denotes the induced current at the th antenna feeding point, and the self impedance of the antennas, and and the mutual impedances between the antennas 1 and 2. and due to the symmetrical geNote that is a Fourier ometry of the antenna (see Fig. 1). In addition, frequency ( ). Observed phase difference between the antennas is not identical to that without the influence of the antenna coupling taken into account. For a plane wave incidence with the angle (see Fig. 1),a matrix to compensate this difference is proposed and given by the following [8], [9]: (2) and are the freestanding and active element where is given by the following: pattern, respectively. Note that

where and denote the speed of light in vacuum and the antenna distance. For a reference wave whose angle of incidence is known, the matrix can be determined. III. SIGNAL PROCESSING From the discussion in Section II, a signal processing in the frequency domain is needed to compensate the effect of the antenna mutual coupling. Thus, time-domain signals received by the antenna array is transformed in the frequency domain by the fast Fourier transformation (FFT). Then, the algorithm mentioned below is applied. A. UWB Interferometry We have extended a conventional interferometry for static monochromatic waves to UWB waves [5], [6]. In the UWB interferometry, a classical interferometry for static monochromatic waves is carried out for each Fourier component.

Manuscript received June 17, 2003; revised August 11, 2003. This work was supported in part by the Ministry of Education, Science, Sports, and Culture, Grant-in-Aid for Scientific Research (A), 14254001, 2003. The authors are with Department of Communciations Engineering, Osaka Univeristy, Suita 565-0871, Japan. (e-mail: hirata@comm.eng.osaka-u.ac.jp). Digital Object Identifier 10.1109/LAWP.2003.819668

1536-1225/03$17.00 2003 IEEE

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Fig. 1. Geometry of the problem: (a) top view and (b) side view. H = 1:5 m, d = 2:0 m, and r = 0:3 m.

Then, the phase difference and estimated DOA at each Fourier frequency are given by the following [6]:

affects the correlation matrix, resulting in a broaden MUSIC spectrum or less resolution of DOA estimation [9]. To overcome this problem, the compensation scheme in Section II has been carried out as pre-processing of the MUSIC. (3) D. Proposed Algorithm 1) The UWB interferometry is carried out. 2) A database is used to compensate the error of the phase difference due to the antenna mutual coupling for the DOAs obtained by 1). Note that this database has the relation of the angle of incidence versus the estimated DOA over the UWB frequency band. The resolution of this database is 10 and, thus, an interpolation is used to improve the accuracy. In order to determine a proper value of the DOA from estimated DOAs at Fourier frequencies, the weighting function is used. 3) With the use of the estimated DOA in 2), the antenna mutual coupling is compensated by the coupling matrix, and then the MUSIC algorithm is carried out. This procedure is applicable only to the frequency band where the antenna distance is smaller than a half wavelength of the wave. Note that the coupling matrix with the resolution of 10 is also restored in the memory of the computer. Then, the weighting function is used again to determine the DOA from the estimated DOAs at the Fourier frequencies. IV. NUMERICAL RESULTS Fig. 1 illustrates the geometry of the problem. The antenna array on the perfect conductor is comprised of two circular plate antennas [11]. The diameter of the plate is 30 cm. The distance between the antennas is 2.0 m. The frequency band we pay attention is from 50150 MHz. The ratio of the bandwidth to the center frequency is 100%. It should be noted that the antenna distance is determined so that the radiation resistance of the antenna is not so degraded due to the mutual coupling [7]. Note also that the circular plate antenna is commonly used for lightning observation because of relatively broadband characteristics and omnidirectional radiation pattern on the horizontal plane. The return loss of this antenna depends on the frequency of EM waves (smaller than 3 dB at least over the above frequency band). However, it does not matter since the phase difference between the antennas is essential to DOA estimations. In addition, the geometry without any sharp edge is fairly suitable in the operation under the circumstance with high voltage, like

B. Weighting Function A proper DOA of a UWB wave should be determined from DOAs estimated at Fourier frequencies. For this purpose, a weighting function derived on the basis of the intensities of Fourier components is introduced [4]. The weighting function at each Fourier frequency is defined as the ratio of Fourier power spectrum to total power spectrum. C. Music Algorithm To estimate the DOA of a wave from the signals received at the array, the super-resolution algorithm MUSIC is often used [1]. The feature of this is less sensitive to white noise and applicable to the frequency band where the antenna distance is smaller than a half of a wavelength. This algorithm is based on the ensemble-averaged correlation matrix for the antenna outputs. The MUSIC spectrum is computed by performing an eigenanalysis on the correlation matrix. The space spanned by the eigenvectors consists of two disjoint subspaces: signal and noise subspaces. For the antenna array comprised of two antennas, the larger and the smaller eigenvalues belong to the signal and noise subspaces, receptivity. In terms of the orthogolonal characteristics of eigenvectors in the signal and noise subspaces, the MUSIC spectrum in the frequency domain is given by the following:

(4) where and denotes the eigenvector corresponding to noise space and the scanning vector. Note that this is equivalent to that of the MinNorm method [10] for the antenna array comprised of two antennas. In addition, it is noteworthy that the mutual coupling of antennas

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IEEE ANTENNAS AND WIRELESS PROPAGATION LETTERS, VOL. 2, 2003

Fig. 2. The dependence of estimated DOA on the angle of incidence.

Fig. 4. The frequency dependence of estimated DOA and SN ratio: high intensity of an EM wave appears around (a) 50 MHz and (b) 120 MHz. Fig. 3. The frequency dependence of the compensated DOA.

lightning observation. For an incidence of an UWB wave, induced EM fields are calculated by the finite-difference time-domain (FDTD) method [12]. Then, the induced voltage at each antenna is calculated by (1). Fig. 2 shows the estimated DOA with the UWB interferometry for incidences of a far-field EM pulse. Note that no compensation has been applied. As seen from this figure, the difference between the angle of incidence and an estimated DOA is larger at lower frequency and for lower angle of incidence. These are caused by the mutual coupling of antennas. Note that these correspondences between the angle of incidence and the estimated DOA are stored as a database for the step 2). Also, at the frequency band lower than 75 MHz, the coupling matrix is calculated and stored as a database for the step 3). Fig. 3 shows the estimated DOA when no white Gaussian noise exists. The angle of incidence is 45 . As is evident from this figure, the effectiveness of the compensation is observed. The point to be stressed is that the DOA is reasonably estimated for the databases with the resolution of 10 . Fig. 4 demonstrates the effectiveness of our algorithm when white Gaussian noise exists. This figure also shows the signal-to-noise ratio (SNR) for the received signal at each Fourier component. Cases of (a) and (b) are far-field incidences with the angle of incidence of 45 , where the high intensity of EM wave appears around 50 MHz and 120 MHz, respectively.

In the case of (a), the estimated DOA is 52.1, 45.8, and 44.7 at the steps 1), 2), and 3), respectively, while it is 47.2, 45.1, and 45.1 in the case of (b). The estimated DOA is found to converge to the angle of incidence with the progression of our algorithm. Note that in the latter case, the effect of step 3) is negligible, since the majority of power spectrum exists in the frequency band higher than 75 MHz. V. SUMMARY In this paper, we proposed a new DOA estimation technique for UWB waves, which allows for the effect of the antenna mutual coupling. This technique was comprised of the UWB interferometry, MUSIC, and databases. For the circular plate antenna array, we pay attention to UWB frequency band, i.e., the ratio of the bandwidth to the center frequency is 100%. The effectiveness of our proposal was demonstrated through numerical examples. REFERENCES
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[4] R. Mardiana and Z.-I. Kawasaki, Dependency of VHF broad band lightning source mapping on Fourier spectra, Geophys. Res. Lett., vol. 27, no. 18, pp. 29172920, Sept. 2000. [5] T. Morimoto, A. Hirata, and Z. Kawasaki, Direction-of-arrival estimation for ultra-wideband EM waves with an interferometry, Microwave Opt. Tech. Lett., vol. 37, no. 1, pp. 1718, Apr. 2003. [6] R. Mardiana, Z. Kawasaki, and T. Ushio, Broadband radio interferometry utilizing a sequential triggering technique for locating fast-moving electromagnetic sources emitted from lightning, IEEE Trans. Instrum. Meas., vol. 49, no. 2, pp. 376381, Apr. 2000. [7] J. D. Kraus and R. J. Marhefka, Antennas for All Applications, 3rd ed. New York: McGraw-Hill, 2002. [8] B. Friedlander and A. J. Weiss, Direction finding in the presence of mutual coupling, IEEE Trans. Antennas Propagat., vol. 39, pp. 273284, Mar. 1991.

[9] T. Su and H. Ling, On modeling mutual coupling in antenna arrays using the coupling matrix, Microwave Opt. Tech. Lett., vol. 28, no. 4, pp. 231237, Feb. 2001. [10] H. Kim and M. Viberg, Two decades of array signal processing research The parametric approach-, IEEE Signal Processing Mag., vol. 13, pp. 6797, July 1996. [11] E. P. Krider and R. C. Noggle, Broadband antenna systems for lightning magnetic fileds, J. Appl. Meteorol., vol. 14, pp. 252256, 1975. [12] A. Taflove and S. Hagness, Computational Electrodynamics: The Finite-Difference Time-Domain Method, 2nd ed. Norwood, MA: Artech House, 1998.