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# RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR

**ADAPTIVE EQUALIZATION: A TUTORIAL
**

Kevin Banovic October 14, 2005

Department of Electrical and Computer Engineering, University of Windsor, Windsor, Ontario, Canada N9B 3P4

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR

Adaptive Equalization

Adaptive equalizers compensate for signal distortion attributed to intersymbol interference (ISI), which is caused by multipath within time-dispersive channels. Typically employed in high-speed communication systems, which do not use differential modulation schemes or frequency division multiplexing The equalizer is the most expensive component of a data demodulator and can consume over 80% of the total computations needed to demodulate a given signal [01]

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 2

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Adaptive Equalization s(k) Channel r(k) FIR Equalizer y(k) Decision Device s(k) Equalizer e(k) Error Adjustment Computation Training Sequence Training Mode Symbol Statistics Blind Mode Decision-Directed Mode KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 3 .

. r0 (k − Lf + 1) y (k ) = L f −1 X i=0 fi (k) · r0 (k − i) = f T (k)r(k) EQUALIZATION TUTORIAL Slide 4 KEVIN BANOVIC . . f(Lf −1) (k ) Equalizer output: (Lf = equalizer length) £ ¤T r(k) = r0 (k) r1 (k) . rLf −1 (k) £ ¤T = r0 (k) r0 (k − 1) . . . .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Adaptive Equalization The following quantities are defined for a linear equalizer with a real input signal: Equalizer tap coefficient vector: f (k ) = T Equalizer input samples in the tapped delay line: £ f0 (k) ¤ f1 (k ) . .

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Adaptive Equalization Error signal: e(k) = d(k ) − y (k ) = d(k ) − f T (k)r(k) where ‘d(k)’ is the desired signal KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 5 .

the cost function can be rewritten as follows: J M SE © 2 ª E e (k ) © 2 ª 2 E d (k ) − 2d(k)y (k ) + y (k ) © 2 ª © ª © T ª T T E d (k ) − 2E d(k)f (k)r(k) + E f (k)r(k)r (k)f (k) Where ‘p’ is the cross-correlation vector and ‘R’ is the input signal correlation matrix EQUALIZATION TUTORIAL Slide 6 © 2 ª = E d (k) − 2f T p + f T Rf © 2 ª © ª T T T = E d (k) − 2f E {d(k )r(k )} +f E r(k)r (k) f {z } | {z } | p R KEVIN BANOVIC .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Minimum Mean-Squared-Error (MMSE) Equalization The mean-squared-error cost function is defined as [02]: J M SE = = = When the filter coefficients are fixed.

∂J ∂ fL f − 1 M SE ¸ The optimal equalizer taps ‘fo’ required to obtain the MMSE can be determined by replacing ‘f’ with ‘fo’ and setting the gradient above to zero: 0 = 2Rfo − 2p → fo = R−1 p KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 7 ..RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Minimum Mean-Squared-Error (MMSE) Equalization The gradient of the MSE cost function with respect to the equalizer tap weights is defined as follows: ∇f J MSE = ∂J = ∂f = −2p + 2Rf M SE · ∂J ∂ f0 M SE ∂J ∂ f1 M SE ..

the MMSE is expressed as follows: ξmin = = = = © 2 ª T T E d (k) − 2fo p + fo Rfo © 2 ª £ −1 ¤T £ −1 ¤T £ −1 ¤ E d (k) − 2 R p p + R p R R p © 2 ª E d (k) − 2pT R−1 p + pT R−1 p © 2 ª E d (k) − pT R−1 p Questions: Why is the MSE cost function so popular? Is the calculation of ‘fo’ practical? KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 8 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Minimum Mean-Squared-Error (MMSE) Equalization Finally.

¢ KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 9 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Method of Steepest Descent In practical situations. an analytic description of the cost surface is not available However. points can be estimated by time-averaging and search algorithms are used to descend the surface The method of steepest descent is a gradient search algorithm that adjusts the equalizer tap weights in direction of the negative gradient as follows [02][03]: f (k + 1) = f (k) + µ · −∇f J ¡ M SE Where µ is constant stepsize that controls the speed and accuracy of the equalizer tap adaptation.

it serves as the basis for an entire class of practical algorithms. this method requires a noisy estimate of the gradient during each iteration. µ is chosen as follows [02][03]: 0<µ< 1 λmax Where λmax is the maximum eigenvalue of ‘R’ At the minimum. which hinders its application in real applications However. including the algorithms to follow KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 10 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Method of Steepest Descent For convergence.

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Least-Mean-Squares Algorithm (LMS) The least-mean-squares (LMS) algorithm simplifies the gradient calculation by using instantaneous quantities instead of expected quantities [02] Let us define the following estimates of ‘p’ and ‘R’: ˆ = r(k)rT (k) R ˆ = d(k)r(k) p Substituting these estimates. the gradient becomes: ∇f J LM S ˆ (k) = −2p ˆ + 2Rf ¢ ¡ T = −2 (d(k )r(k )) + 2 r(k )r (k) f (k) ¡ ¢ T = −2r(k ) d(k) − r (k)f (k ) = −2e(k)r(k) {z } | e(k) EQUALIZATION TUTORIAL KEVIN BANOVIC Slide 11 .

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Least-Mean-Squares Algorithm (LMS) The LMS equalizer tap adjustment is as follows: ¢ ¡ LM S f (k + 1) = f (k) + µ · −∇f J = f (k) + µ · e(k )r(k ) The LMS algorithm has two modes of operation: a training mode and a tracking or decision-directed mode In the following example uses Proakis channel B [04]. a stepsize of 5x10-3.815 0.404 0. and a 2-tap LMS equalizer 0.404 KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 12 .

2 0 −0.4 1.8 1.6 1.4 KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 13 .2 0.4 f0 0.4 −0.8 0.6 0.2 1 f1 0.RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Least-Mean-Squares Algorithm (LMS) MSE Surface 1.2 0 0.4 0.8 1 1.6 0.2 1.

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Least-Mean-Squares Algorithm (LMS) Smoothed squared−error history 4 2 0 −2 MSE bound dB −4 −6 −8 −10 −12 0 1000 2000 3000 iteration number 4000 5000 KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 14 .

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Least-Mean-Squares Algorithm (LMS) Questions: What is the relationship between steady-state MSE. the time-to-convergence and the stepsize? KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 15 .

and ‘*’ is the complex conjugate operator KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 16 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Generalized Sato Algorithm (GSA) The generalized Sato algorithm is the first of three blind algorithms that we will be discussing Blind algorithms achieve channel equalization without the transmission of a training sequence The generalized Sato equalizer tap update for complex signals is defined as [05][06]: f (k + 1) = f (k ) + µ · (csgn(y (k ))γ − y (k )) r∗ (k ) {z } | −∇f J GSA =eGSA (k ) Where ‘csgn(·)’ is the complex sign operator. ‘γ’ is a constant of the source signal.

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Constant Modulus Algorithm (CMA) The CMA is a carrier-phase independent blind algorithm that is based on the signal modulus The CMA equalizer tap update is defined as [07][08][09]: f (k + 1) = f (k ) + µ · y (k )(γ 2 − |y (k )|2 ) r∗ (k ) | {z } −∇f J CM A =eCM A (k) As illustrated in the figure to follow. the CMA requires phase-recovery after convergence in order to rotate the constellation KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 17 .

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Constant Modulus Algorithm (CMA) Sent Signal Constellation 2 1 Im{s(n)} Received Signal Constellation 2 1 Im{s(n)} Im{s(n)} 0 −1 −2 −2 0 −1 −2 0 2 −2 0 2 Re{s(n)} Re{s(n)} Equalized Output (CMA) Equalized Output with Carrier Recovery 2 2 1 1 0 −1 −2 −2 Im{s(n)} 0 −1 −2 −2 0 Re{s(n)} 2 0 Re{s(n)} 2 KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 18 .

respectively KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 19 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Multimodulus Algorithm (MMA) The MMA minimizes dispersion of the equalizer output around separate straight contours The MMA equalizer tap update is defined as [10]: fR (k + 1) fI (k + 1) f (k + 1) = = = 2 fR (k ) + µ · yR (k )(γ 2 − yR (k )) r∗ (k ) | {z } MMA =eMMA (k ) −∇f JR R fR (k + 1) + j · fI (k + 1) 2 fI (k ) + µ · yI (k )(γ 2 − yI (k ) } ) r ∗ ( k ) | {z } MMA =eMMA (k) −∇f JI I Where ‘R’ and ‘I’ correspond to the real and imaginary components.

5 x 10 2 4 KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 20 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Simulation of Blind Algorithms MSE Curves for Blind Algorithms 10 Stepsize: µ=10−3 SNR: 30dB Signal: 16−QAM Channel: SPIB #2 Lf: 16 0 MSE (dB) −10 GSA CMA MMA −20 −30 0 0.5 1 samples 1.

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Blind Equalization Questions: What are the advantages of blind equalization? Drawbacks? KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 21 .

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Equalization Tutorials For more information on adaptive equalization in general. check out the following tutorials: Blind Equalization for Broadband Access [13] A comparative performance study of several blind equalization algorithms [06] KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 22 . check out the following tutorials: Adaptive Equalization [11] Equalization in High-Speed Communication Systems [12] For more information on blind equalization.

G. "A comparative performance study of several blind equalization algorithms". Krishnamurthy. Massachusetts. [06] J. Sato. Proceedings of the IEEE special issue on Blind System Identification and Estimation. 1991 KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 23 . Oct. SPIE. June 1975. 1985. Widrow and S. Treichler. 1907-1926.G. New York. M. pp. Harp. McGraw Hill.G. 1565. Vol. Prentice Hall. Chan. New York.P. vol. [04] J. 23.S. “Practical Blind Demodulators for High-order QAM signals". Proakis. “A method of self-recovering equalization for multilevel amplitudemodulation systems". Norwell.R. Gooch. 679-682. pp.C. Sterns. on Communications.K. Digital Communications. IEEE Trans. 102-117. [03] P. 1998 [02] B.J. 2001 [05] Y.R. Vol. R. Adaptive Signal Processing.D. Kluwar Academic Publishers. pp. and C.RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR References [01] J. Shynk. Adaptive Filtering. Larimore and J. 2002. Diniz. 86.

Lin. Vol.H.. IEEE Journal on selected areas in communication. 73. 1998. Liu and X.A. ”Blind equalization using the constant modulus criterion: a review”. G. pp. No. R. November 1980 [08] J. Werner and G.J. Vol 20. on Acoust. 2004. September 1985. Johnson. Dumont. pp. Signal Processing. 86. "A new approach to multipath correction of constant modulus signals".. June 2002.J. 997-1015. Speech. Agee.. 1927-1950. Yang. Vol. 459-472. “The Mulitimodulus Blind Equalization and Its Generalized Algorithms". No. 11. Vol 28. Jr. Treichler and B. J. J. 9. Qureshi. IEEE trans. 4-17. P. pp.N. [09] R. Proceedings of the IEEE.R. 10. 5.A. ASSP-31. "Adaptive equalization". [12] J.D. T. KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 24 . pp. April 1983. No. IEEE Trans. No. Schniter. Casas. and R. Endres. Brown. pp. [10] J. “Self-recovering equalization and carrier tracking in twodimensional data communication systems”. 2. IEEE Circuits and Systems Magazine.RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR References [07] D. "Equalization in High-Speed Communication Systems". Proceedings of the IEEE. No. Godard. on comm. D.U. [11] S. Vol. Behm. 1349-1387. Oct.

ece. 87-93.RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR References [13] J. Adaptive Linear Identifier (ALI) Laboratory.edu/~schniter/research. http://www. http://spib.osu. IEEE Communications Magazine.-J. Yang.html. 1999. KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 25 . J. Werner. "Blind Equalization for Broadband Access".A. D. Harman.html [15] P.rice. Dumont. pp.edu/spib/directory. [14] Signal Processing Information Base. Schniter. and G.