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

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:

T r(k) = r0 (k) r1 (k) . . . rLf 1 (k) T = r0 (k) r0 (k 1) . . . r0 (k Lf + 1) y(k) =
Lf 1

f0 (k)

f1 (k) . . . f(Lf 1) (k)

Equalizer output: (Lf = equalizer length)

X
i=0

fi (k) r0 (k i) = f T (k)r(k)
EQUALIZATION TUTORIAL Slide 4

KEVIN BANOVIC

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

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, the cost function can be rewritten as follows:
J
M SE

2 E e (k) 2 2 E d (k) 2d(k)y(k) + y (k) 2 T 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
KEVIN BANOVIC EQUALIZATION TUTORIAL Slide 6

2 = E d (k) 2f T p + f T Rf

2 T T T = E d (k) 2f E {d(k)r(k)} +f E r(k)r (k) f {z } | {z } |

p R

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

...

J fLf 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 = R1 p

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 7

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

Minimum Mean-Squared-Error (MMSE) Equalization

Finally, the MMSE is expressed as follows:
min = = = = 2 T T E d (k) 2fo p + fo Rfo 2 1 T 1 T 1 E d (k) 2 R p p + R p R R p 2 E d (k) 2pT R1 p + pT R1 p 2 E d (k) pT R1 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

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) + f J
M SE

Where is constant stepsize that controls the speed and accuracy of the equalizer tap adaptation.

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 9

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

Method of Steepest Descent

For convergence, is chosen as follows [02][03]:
0<< 1 max

Where max is the maximum eigenvalue of R

At the minimum, this method requires a noisy estimate of the gradient during each iteration, which hinders its application in real applications However, it serves as the basis for an entire class of practical algorithms, including the algorithms to follow

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 10

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:
R = r(k)rT (k) p = d(k)r(k)

Substituting these estimates, the gradient becomes:

f J LM S = 2 + 2Rf (k) p 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) + f J = f (k) + 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, and a 2-tap LMS equalizer
0.815 0.404 0.404

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 12

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

Least-Mean-Squares Algorithm (LMS)

MSE Surface 1.8 1.6 1.4 1.2 1
f1

0.8 0.6 0.4 0.2 0 0.4 0.2 0 0.2 0.4 f0 0.6 0.8 1 1.2 1.4

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 13

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

Least-Mean-Squares Algorithm (LMS)

Smoothed squarederror history 4 2 0 2 MSE bound

dB

4 6 8 10 12

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

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) + (csgn(y(k)) y(k)) r (k) {z } |
f J GSA =eGSA (k)

Where csgn() is the complex sign operator, is a constant of the source signal, and * is the complex conjugate operator

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 16

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) + y(k)( 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)}

0 Re{s(n)}

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 18

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) + yR (k)( 2 yR (k)) r (k) | {z }
MMA =eMMA (k) f JR R

fR (k + 1) + j fI (k + 1)

2 fI (k) + yI (k)( 2 yI (k)}) r (k) | {z }

MMA =eMMA (k) f JI I

Where R and I correspond to the real and imaginary components, respectively

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 19

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

Simulation of Blind Algorithms

MSE Curves for Blind Algorithms 10 Stepsize: =103 SNR: 30dB Signal: 16QAM Channel: SPIB #2 Lf: 16

MSE (dB)

10

GSA

CMA MMA

20

30

0.5

1 samples

1.5 x 10

2
4

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 20

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:
Adaptive Equalization [11] Equalization in High-Speed Communication Systems [12]

For more information on blind equalization, 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

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

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

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 23

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

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

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 24

RESEARCH CENTRE FOR INTEGRATED MICROSYSTEMS UNIVERSITY OF WINDSOR

References
[13] J.-J. Werner, J. Yang, D. Harman, and G.A. Dumont, "Blind Equalization for Broadband Access", IEEE Communications Magazine, 1999, pp. 87-93. [14] Signal Processing Information Base. http://spib.rice.edu/spib/directory.html [15] P. Schniter, Adaptive Linear Identifier (ALI) Laboratory, http://www.ece.osu.edu/~schniter/research.html.

KEVIN BANOVIC

EQUALIZATION TUTORIAL

Slide 25