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
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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]

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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 ) ƒ 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 ƒ The following quantities are defined for a linear equalizer with a real input signal: ƒ Equalizer tap coefficient vector: f (k ) = T ƒ Equalizer input samples in the tapped delay line: £ f0 (k) ¤ f1 (k ) . .

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Adaptive Equalization ƒ 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) ƒ 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 ƒ The mean-squared-error cost function is defined as [02]: J M SE = = = ƒ When the filter coefficients are fixed.

∂J ∂ fL f − 1 M SE ¸ ƒ 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 ƒ 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 ƒ Finally.

¢ KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 9 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Method of Steepest Descent ƒ ƒ ƒ 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’ ƒ At the minimum. which hinders its application in real applications However. including the algorithms to follow ƒ KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 10 .RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS – UNIVERSITY OF WINDSOR Method of Steepest Descent ƒ For convergence.

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

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