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國立中山大學電機工程學系

碩士論文

在直接序列分碼多重存取系統中以

適應性濾波策略搭配智慧型天線做展頻碼同步

Code Acquisition using Smart Antennas with

Adaptive Filtering Scheme for DS-CDMA Systems.

研究生：郭聖鴻 撰

指導教授：陳巽璋 博士

林士能 博士

中華民國 九十五 年 六 月
 學年度：94
學期：2
校院：國立中山大學
系所：電機工程學系
論文名稱(中)：在直接序列分碼多重存取系統中以適應性濾波策略搭配
智慧型天線做展頻碼同步
論文名稱(英)：Code Acquisition using Smart Antennas with
Adaptive Filtering Scheme for DS-CDMA Systems
學位類別：碩士
語文別：eng
學號：M933010065
提要開放使用：是
頁數：67
研究生(中)姓：郭
研究生(中)名：聖鴻
研究生(英)姓：Kuo
研究生(英)名：Sheng-Hong
指導教授(中) 姓名：陳巽璋
指導教授(英) 姓名：Shiunn-Jang Chern
關鍵字(中)：直接序列分碼多重存取
關鍵字(中)：碼同步
關鍵字(中)：獲取
關鍵字(中)：時間延遲
關鍵字(中)：適應性濾波器
關鍵字(中)：最小均方值演算法
關鍵字(中)：均方誤差
關鍵字(中)：權重向量範數平方
關鍵字(中)：智慧型天線
關鍵字(中)：適應性陣列
關鍵字(中)：聯合適應
關鍵字(英)：Direct Sequence Code Division Multiple Access
關鍵字(英)：DS-CDMA
關鍵字(英)：Code Synchronization
關鍵字(英)：Acquisition
關鍵字(英)：Time Delay
關鍵字(英)：Adaptive Filter
關鍵字(英)：LMS Algorithm
關鍵字(英)：Mean Square Error
 關鍵字(英)：Weight Vector Square Norm
關鍵字(英)：Smart Antenna
關鍵字(英)：Adaptive Array
關鍵字(英)：Joint Adaptation

中文摘要：

展頻碼的同步是直接序列分碼多重存取系統中的關鍵技術，因為只有當本
地端與接收到之展頻碼正確同步之後，才可能成功完成資料的傳輸。展頻碼同
步是由兩個步驟來執行，獲取（粗調）與追蹤（細調），來估測兩個碼之間的
延遲之抵補值(延遲差值)。近來，適應性最小均方濾波策略已被提出，以同一
個適應性濾波器的架構來執行獲取與追蹤，其中使用最小均方演算法來適應性
地調整有限脈衝響應濾波器之權重而尋找延遲之抵補值。一個決策裝置被雇用
在適應性最小均方濾波策略中，當成一個決策變數而來指示展頻碼是否同步。
因此決策裝置扮演很重要的角色，對於在平均獲取時間之同步效能上。在這篇
論文中，只有考慮到展頻碼的獲取。
在這論文中，一個新的決策裝置，稱為權重向量範數平方測試法，被設計
來搭配適應性最小均方濾波策略，在直接序列分碼多重存取系統中做展頻碼同
步。所提出方法之系統機率被推導出來計算平均獲取時間。以偵測機率及平均
獲取時間做數值分析與模擬結果，都驗證所提出方法之效能是優越於傳統的均
方誤差測試法，尤其在訊號干擾雜訊比相對較低的環境。
進一步地，一個有效且聯合調整的展頻碼獲取方法，也就是一個智慧型天
線結合所提出的權重向量範數平方測試法之適應性最小均方濾波策略，被設計
應用在基地台中，其中在進行展頻碼獲取時所有的天線都會被雇用到。這個新
方法是適應性地共同調整展頻碼獲取與智慧型天線之權重係數的一個聯合程
序。數值分析與模擬結果顯示所提出方法，在搭配五根天線時的效能比較於搭
配單一天線時，在輸出訊號干擾雜訊比，偵測機率與平均同步時間之性能上，
大約改善了 7 分貝。

英文摘要：

Pseudo-noise (PN) code synchronizer is an essential element of direct-sequence

code division multiple access (DS-CDMA) system because data transmission is
possible only after the receiver accurately synchronizes the locally generated PN code
with the incoming PN code. The code synchronization is processed in two steps,
acquisition and tracking, to estimate the delay offset between the two codes. Recently,
the adaptive LMS filtering scheme has been proposed for performing both code
acquisition and tracking with the identical structure, where the LMS algorithm is used
to adjust the FIR filter taps to search for the value of delay-offset adaptively. A
decision device is employed in the adaptive LMS filtering scheme as a decision
variable to indicate code synchronization, hence it plays an important role for the
performance of mean acquisition time (MAT). In this thesis, only code acquisition is
considered.
In this thesis, a new decision device, referred to as the weight vector square norm
(WVSN) test method, is devised associated with the adaptive LMS filtering scheme
for code acquisition in DS-CDMA system. The system probabilities of the proposed
scheme are derived for evaluating MAT. Numerical analyses and simulation results
verify that the performance of the proposed scheme, in terms of detection probability
and MAT, is superior to the conventional scheme with mean-squared error (MSE) test
method, especially when the signal-to-interference-plus-noise ratio (SINR) is
relatively low.
Furthermore, an efficient and joint-adaptation code acquisition scheme, i.e., a
smart antenna coupled with the proposed adaptive LMS filtering scheme with the
WVSN test method, is devised for applying to a base station, where all antenna
elements are employed during PN code acquisition. This new scheme is a process of
PN code acquisition and the weight coefficients of smart antenna jointly and
adaptively. Numerical analyses and simulation results demonstrate that the
performance of the proposed scheme with five antenna elements, in terms of the
output SINR, the detection probability and the MAT, can be improved by around 7 dB,
compared to the one with single antenna case.
 This thesis is dedicated to
the memory of my sister in heaven and
everyone who love me
Abstract
Pseudo-noise (PN) code synchronizer is an essential element of direct-sequence
code division multiple access (DS-CDMA) system because data transmission is
possible only after the receiver accurately synchronizes the locally generated PN code
with the incoming PN code. The code synchronization is processed in two steps,
acquisition and tracking, to estimate the delay offset between the two codes. Recently,
the adaptive LMS filtering scheme has been proposed for performing both code
acquisition and tracking with the identical structure, where the LMS algorithm is used
to adjust the FIR filter taps to search for the value of delay-offset adaptively. A
decision device is employed in the adaptive LMS filtering scheme as a decision
variable to indicate code synchronization, hence it plays an important role for the
performance of mean acquisition time (MAT). In this thesis, only code acquisition is
considered.
In this thesis, a new decision device, referred to as the weight vector square norm
(WVSN) test method, is devised associated with the adaptive LMS filtering scheme
for code acquisition in DS-CDMA system. The system probabilities of the proposed
scheme are derived for evaluating MAT. Numerical analyses and simulation results
verify that the performance of the proposed scheme, in terms of detection probability
and MAT, is superior to the conventional scheme with mean-squared error (MSE) test
method, especially when the signal-to-interference-plus-noise ratio (SINR) is
relatively low.
Furthermore, an efficient and joint-adaptation code acquisition scheme, i.e., a
smart antenna coupled with the proposed adaptive LMS filtering scheme with the
WVSN test method, is devised for applying to a base station, where all antenna
elements are employed during PN code acquisition. This new scheme is a process of
PN code acquisition and the weight coefficients of smart antenna jointly and
adaptively. Numerical analyses and simulation results demonstrate that the
performance of the proposed scheme with five antenna elements, in terms of the
output SINR, the detection probability and the MAT, can be improved by around 7 dB,
compared to the one with single antenna case.

i
Contents

Abstract............................................................................................................................... i

Contents ............................................................................................................................. ii

List of Figures................................................................................................................... iv

Chapter 1 Introduction..................................................................................................... 1

Chapter 2 Adaptive Filtering Scheme with Different Decision Device for Code
Acquisition in DS-CDMA Systems

2.1 Introduction....................................................................................................... 4
2.2 Adaptive LMS Filtering Scheme for Code Acquisition ................................. 5
2.2.1 Signal Model.............................................................................................. 5
2.2.2 Adaptive Acquisition System Description ................................................. 7
2.2.3 Adaptation Processes ................................................................................. 7
2.2.4 Mean and Variance of Optimal Weights ...................................................11
2.3 Different Decision Device ............................................................................... 13
2.3.1 Proposed Weight Vector Square Norm (WVSN) Test Method ................ 13
2.3.2 Traditional Mean Square Error (MSE) Test Method ............................... 14
2.4 Acquisition System Probabilities and Mean Acquisition Time ................... 15
2.4.1 The Proposed WVSN Test Method.......................................................... 15
2.4.2 The Traditional MSE Test Method........................................................... 16
2.5 Simulations ...................................................................................................... 16
2.5.1 Numerical Analyses and Simulations for PDF of WVSN and MSE
Test Methods ..................................................................................................... 16
2.5.2 Numerical Analyses and Simulations for System Probabilities and
Mean Acquisition Time of WVSN and Traditional MSE Test Methods ......... 18

Chapter 3 Code Acquisition Using Smart Antennas with Adaptive Filtering

Scheme for DS-CDMA Systems
3.1 Introduction..................................................................................................... 25
3.2 Smart-antennas with Adaptive Filtering Scheme for code Acquisition ..... 26
3.2.1 System Model .......................................................................................... 26
3.2.2 Joint Adaptation Description.................................................................... 27

ii
 3.2.3 Joint Adaptation Processes....................................................................... 27
3.2.4 Mean and Variance of Optimal Weights .................................................. 32
3.3 System Probabilities and Mean Acquisition Time ....................................... 33
3.3.1 The Proposed System............................................................................... 33
3.3.2 The Traditional MSE Test Method........................................................... 34
3.4 Performance of Smart-Antennas................................................................... 34
3.5 Simulations ...................................................................................................... 34

Chapter 4 Conclusions.................................................................................................... 48
Appendix A ...................................................................................................................... 49

Appendix B ...................................................................................................................... 54

Appendix C ...................................................................................................................... 55

Appendix D ...................................................................................................................... 57

References ........................................................................................................................ 65

iii
List of Figures
Chapter 2
Fig.2-1 PDF of interfering signals (user=20 , SINR=0dB)..................................... 8
Fig.2-2 Proposed adaptive DS-CDMA acquisition system..................................... 8
Fig.2-3 Magnitude of tap weights, under the parameters: N t = 31 , µ t = 0.001 ,
SINR: 0(dB), integer path delay is 1 Tc (under H1 ) .......................... 19
Fig.2-4 PDF of traditional MSE method’s decision variable, under the para
-meters: N t = 31 , µ t = 0.001 , SINR: 0(dB), window size S=10,
integer path delay is 1 Tc (under H1 ) and 41 Tc (under H 0 ) .... 20
Fig.2-5 PDF of proposed WVSN method’s decision variable, under the
parameters: N t = 31 , µ t = 0.001 , SINR: 0(dB), integer path
delay is 1 Tc (under H1 ) and 41 Tc (under H 0 ) ......................... 20

Fig.2-6 Averaged MSE, under the parameters: N t = 31 , µ t = 0.001 , SINR:

0(dB) ................................................................................................... 21
Fig.2-7 Magnitude of tap weights, under the parameters: N t = 31 , µ t = 0.001 ,
SINR: 0(dB), non-integer path delay is 1.2 Tc (under H1 )................ 22
Fig.2-8 PDF of traditional MSE method’s decision variable, under the
parameters: N t = 31 , µ t = 0.001 , SINR: 0(dB), window size S=10,
non-integer path delay is 1.2 Tc (under H1 ) and 41.2 Tc (under H 0 ).. 23
Fig.2-9 PDF of proposed WVSN method’s decision variable, under the
parameters: N t = 31 , µ t = 0.001 , SINR: 0(dB), non-integer path
delay is 1.2 Tc (under H1 ) and 41.2 Tc (under H 0 )......................... 23
Fig.2-10 Comparison of Detection Probability between MSE and WVSN test
method provided Pfo =0.01, under the parameters: N t = 31 ,
µ t = 0.001 ......................................................................................... 24
Fig.2-11 Comparison of Mean Acquisition Time between MSE and WVSN test
method, under the parameters: N t = 31 , µ t = 0.001 , the false-alarm
penalty time Tp is 104 chips ......................................................... 24

Chapter 3
Fig.3-1 Proposed joint adaptation scheme for code acquisition ........................... 28

iv
Fig.3-2 PDF of traditional MSE test method with single antenna, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), S=10................. 38
Fig.3-3 PDF of traditional MSE test method with five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB),
S=10 .................................................................................................... 38
Fig.3-4 PDF of proposed WVSN test method with single antenna, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB)....................... 39
Fig.3-5 PDF of proposed WVSN test method with five elements smart antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB)....... 39
Fig.3-6 Averaged MSE with single antenna and five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB)....... 40
Fig.3-7 Input and output SINR with five elements smart-antennas, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), DOA of desired
π
signal= ............................................................................................ 41
6
Fig.3-8 Beam-pattern of five elements smart-antennas, under the parame-
ters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), DOA of desired
π
signal= ............................................................................................ 41
6
Fig.3-9 PDF of proposed WVSN test method with single antenna, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =-10(dB).................... 42
Fig.3-10 PDF of proposed WVSN test method with five elements smart-
antennas, under the parameters: N t = 31 , µ t = µs = 0.001 , SINR
=-10(dB)............................................................................................ 42
Fig.3-11 Averaged MSE with single antenna and five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =-10(dB).. 43
Fig.3-12 Detection Probability for the systems with different number of
antennas provided Pfo equal 0.01, under the parameters: N t = 31 ,
µ t = µs = 0.001 ................................................................................. 44
Fig.3-13 Out of phase False-Alarm Probability for the systems with different
number of antennas, under the parameters: N t = 31 ,
µ t = µs = 0.001 ................................................................................. 44
Fig.3-14 Mean Acquisition Time (MAT) for the systems with different number
of antennas, under the parameters: N t = 31 , µ t = µs = 0.001 , the
false-alarm penalty time Tp is 104 chips ...................................... 45
Fig.3-15 Detection Probability for the systems with different number of

v
 antennas provided Pfo equal 0.01, under the parameters: N t = 31 ,
µ t = 0.01, µs = 0.0001 ...................................................................... 46
Fig.3-16 Out of phase False-Alarm Probability for the systems with different
number of antennas, under the parameters: N t = 31 ,
µ t = 0.01, µs = 0.0001 ...................................................................... 46
Fig.3-17 Mean Acquisition Time (MAT) for the systems with different number
of antennas, under the parameters: N t = 31 , µ t = 0.01, µs = 0.0001 ,
the false-alarm penalty time Tp is 104 chips ................................ 47

vi
 Chapter 1

Introduction

The technique of direct sequence spread spectrum (DS/SS) has been widely used
in commercial mobile communication, e.g., mobile communications based on the
direct-sequence code-division multiple access (DS-CDMA) and global positioning
systems (GPS) [1]-[3]. Pseudo-noise (PN) code synchronizer is an essential element
of DS/SS system because data transmission is possible only after the spread spectrum
receiver accurately synchronizes the locally generated PN code with the incoming PN
code. Hence, the receiver must establish a PN code synchronizer to be fully able to
exploit the advantages of DS-CDMA system, such as interference rejection, multipath
diversity, and multiple-access. Generally, the code synchronization is processed in
two steps, acquisition (coarse alignment) and tracking (fine alignment) [1][3], to bring
the delay offset between two codes. In this thesis, the code acquisition for DS-CDMA
system is only considered.
Code acquisition is initially used to bring the delay offset between the received
and locally generated codes to within the pull-in range of the tracking loop (within
± 0.5 chip). In general, the schemes for code acquisition and tracking processes are
performed, separately, and implemented with different structure, e.g., the correlator or
match filter approach [4]-[9] employed for code acquisition and the delay lock loop
(DLL) [1]-[3] employed for code tracking. Recently, an alternative approach, the
adaptive LMS filtering schemes [10]-[13] has been proposed for performing both
code acquisition and tracking with the identical structure, where an M-tap FIR
adaptive filter is employed, and the LMS algorithm is used to adjust the filter taps to
search for the value of delay-offset adaptively. Since the same adaptive filter could
also be used for code tracking, the need for a separate code tracking loop is eliminated
and, hence, reducing the hardware complexity largely.
As indicated in [10]-[13], the code synchronization problem can be viewed as the
problem of time delay estimation (TDE). That is, the time delay (or delay-offset value)
between the two codes, viz., the transmitting and local codes, can be estimated by
detecting the location of the peak tap-weight of the FIR filter, provided that the value
of time delay is an integer (e.g., integer multiple of the chip time). In practice, the
time delay is not integer (e.g., non-integer multiple of the chip time;
chip-asynchronous) and the delay estimate will be in error due to the difference
between the actual position of the peak and the selected position. The maximum value

-1-
of the error is approximately ± 0.5 chip [11], which could be reduced by
oversampling the received signal during tracking as discussed in [12][13]. The actual
position of the peak of the tap-weight vector can be determined by interpolating
between the samples, for example by using sinc function.
A decision device with mean-squared error (MSE) test method [10]-[13] was
employed associated with the adaptive LMS filtering scheme as a decision variable to
indicate code synchronization. If the MSE value, between the adaptive filter output
and a reference code, does not exceed a preset threshold, the in-phase hypothesis
(correct acquisition) is declared, otherwise, the out-phase hypothesis is declared. In
fact, the decision device plays an important role for the performance of mean
acquisition time (MAT). The MAT performance is function of various system
probabilities (e.g., the detection and false alarm probabilities), and thus it is highly
related to the distribution of probability density functions (PDF) of the decision
variable. However, PDFs with MSE test-method [10]-[13], under different hypothesis
(i.e., in-phase and out-phase hypotheses), overlap each other, dramatically, when the
signal-to-interference-plus-noise ratio (SINR) is low. Under this situation, it yields
low detection probability (or high false alarm probability) and, resulting in poor MAT
performance. To improve this problem, in chapter 2, we will propose a new decision
device, referred to as the weight vector square norm (WVSN) test method, associated
with the adaptive LMS filtering scheme as a decision variable for code acquisition. To
verify the performance of the proposed method, numerical analysis and simulations,
in terms of detection probability and mean acquisition time (MAT), are presented and
compared the conventional MSE test method under the variation of SINR.
One of the multiple-antennas systems is smart-antennas or named adaptive array
[27]. Smart antenna applications of a DS-CDMA wireless communications system
have received much attention recently, because a smart antenna can suppress the
interfering signals whose direction of arrival angles (DOA) are different from that of
the desired signal [20]-[28]. That’s why a smart antenna can reduce the required SINR
for traffic channel data demodulation. The mobiles may transmit signals with low
power because of a high smart antenna gain at a base station, but the received SINR at
a base station may not be sufficient for PN code acquisition if only one element
(antenna) is employed [22]-[25]. Hence, the code acquisition problem has been
extensively investigated in DS-SS or DS-CDMA system with multiple-antennas
[20]-[25]. Code acquisition with the signal subspace techniques [19][20], is not
suitable for systems with long PN code because they required enormous computation
loads. Since the current and near future CDMA mobile applications have employed
the long PN codes, e.g., third-generation (3-G) CDMA system, fast code
synchronization have been required. For adopting the long code cases, code

-2-
acquisition using multiple-antennas with the spatial correlations scheme (based on the
matched filter) [22] has been proposed for DS-CDMA systems in frequency-selective
fading channels. A smart antenna (adaptive antenna array) with the conventional PN
correlator scheme [23]-[25] has been proposed for code acquisition in DS-CDMA
systems assuming one-path fading channel, where a joint process of PN code
acquisition and smart antenna weight-coefficient adaptation is performed. The basic
structure of this scheme is the combination of the spatial filter (i.e., the wiener filter
used in spatial domain) and the temporal filter (i.e., the conventional PN correlator
used in temporal domain). The spatial filter act as a beamformer to suppress
interference, while the temporal filter perform the code acquisition. It is known that
the conventional PN correlator required a code-phase testing procedure is very
time-consuming. To circumvent this problem, in [28] they proposed an adaptive LMS
filter, instead of the conventional PN correlator, as the temporal filter for performing
the code acquisition, where the short PN code is employed and the adaptive filter
length is set to equal the PN code length for eliminating the need of the code-phase
testing procedure. However, for a long code case, the hardware cost of this scheme is
quite high. To overcome this problem, in chapter 3, we will further extend the
proposed adaptive LMS filtering scheme with the WVSN test method of chapter 2 to
couple with a smart antenna for code acquisition. This new scheme is also a process
of PN code acquisition and the weight coefficients of smart antenna jointly and
adaptively. To verify the performance of the proposed scheme with a smart antenna,
numerical analysis and simulations, in terms of detection probability and mean
acquisition time (MAT), are presented and compared to the scheme with single
antenna under the variation of SINR.
This thesis is organized as follows. In chapter 2, a decision device with the weight
vector square norm (WVSN) test method is developed and associated with the adaptive
LMS filtering scheme for code acquisition. The performances of the adaptive LMS
filtering scheme using different decision device, in terms of detection probability and
mean acquisition time (MAT), are evaluated and compared. In chapter 3, a smart
antenna with adaptive LMS filtering scheme is devised for code acquisition, and its
performances are compared with the scheme having only single antenna. Finally, some
conclusions are given in chapter 4.

-3-
 Chapter 2

Adaptive Filtering Scheme with Different Decision Device

for Code Acquisition in DS-CDMA Systems

Direct sequence code-division multiple-access (DS-CDMA) has recently attracted

considerable attention as a promising candidate for use in digital mobile cellular
systems and other wireless networks [1]-[3]. To fully exploit the advantages of
DS-CDMA, the receiver must establish code synchronization between the incoming
and the locally generated pseudo-noise (PN) sequences. Generally, the code
synchronization is processed in two steps, acquisition (coarse alignment) and tracking
(fine alignment). In this chapter, we only consider code acquisition of DS-CDMA
signals.
Many techniques have been proposed for rapid code acquisition, which can be
classified as either serial search or parallel search [5]-[8]. Of these techniques, the
technique based on the matched filter (MF) [7][8], has a faster acquisition time at
expense of a larger system complexity for a large PN code period, as opposed to other
types of acquisition techniques. To reduce the hardware complexity, the adaptive
LMS filtering scheme [10][11] is proposed for code acquisition, where the LMS
algorithm is used to adjust the FIR filter taps to search for the proper delay adaptively.
The same adaptive filter could also be used for code tracking and, hence, eliminates
the need for a separate code tracking loop. In [10][11], the time delay (or delay-offset
value) between the two codes, viz., the transmitting and local codes, can be estimated
by detecting the location of the peak tap-weight of the FIR filter. The maximum value
of the estimated delay error is approximately ± 0.5 chip [11], which could be reduced
by oversampling the received signal during tracking as discussed in [12][13]. Also, it
has been shown in [11] that the adaptive LMS filtering scheme could perform the
non-coherent case because the adaptive filter can compensate for the unknown carrier
phase provided that the phase variations are relatively slow compared to the
adaptation period.
A decision device with mean-squared error (MSE) test method [10]-[13] was
employed associated with the adaptive LMS filtering scheme as a decision variable to
indicate code synchronization. If the MSE value, between the adaptive filter output
and a reference code, does not exceed a preset threshold, the in-phase hypothesis
(correct acquisition) is declared, otherwise, the out-phase hypothesis is declared.
However, PDFs with MSE test-method [10]-[13], under different hypothesis (i.e.,

-4-
in-phase and out-phase hypotheses), overlap each other, dramatically, when the
signal-to-interference-plus-noise ratio (SINR) is low. Under this situation, it yields
low detection probability (or high false alarm probability) and, resulting in poor mean
acquisition time (MAT) performance (because the MAT performance is function of
various system probabilities). To improve this problem, in this chapter 2, we will
propose a new decision device, referred to as the weight vector square norm (WVSN)
test method, associated with the adaptive LMS filtering scheme as a decision variable
for code acquisition. To verify the performance of the proposed method, numerical
analyses of detection probability and mean acquisition time (MAT) will be derived
and compared to the conventional decision device with MSE test method under the
variation of SINR. At the same time, computer simulations are also carried out to
demonstrate the results of numerical analysis.

2.2 Adaptive LMS Filtering Scheme for Code Acquisition

In this section, we will introduce the system model of DS-CDMA signals,
adaptation process in acquisition, and the optimal tap weights of LMS acquisition
system. The most important, the mean and variance of tap weights of LMS acquisition
system will also be mentioned.

2.2.1 System Model

The transmitted DS-CDMA base-band equivalent signal from k th user can be

written as [14],

xk (t ) = pk bk (t )ck (t ) (2-1)

, where bk (t ) , ck (t ) and pk is the data signal, signature waveform and transmitted

power for user k , and,
N −1
ck (t ) = ∑ ck (n) g (t − nTc ) (2-2)
n =0

Tb
, where, N = is the length of PN-code (processing gain) and Tb , Tc is symbol and
Tc

chip duration; ck (n) is the spreading code sequence for user k ; g (t ) is the
pulse-shaping wave form. After passing through the multi-path fading channels, the
received signal can be represent as,
K Lk
x(t ) = ∑ ∑ xk ,l (t ) + nb (t ) (2-3)
k =1 l =1

K is the number of users share this same cell; Lk is the number of paths for user k ;

-5-
nb (t ) is additive white Gaussian noise and xk ,l (t ) is the received l th path
base-band equivalent signal of user k,
xk ,l (t ) = pk β k l bk (t − τ k l )ck (t − τ k l ) (2-4)

, τ k l and β k l is the propagation delay and complex channel response for l th path of
user k . If our acquisition system works in the pilot channel, the transmitted data bits

will always equal to unity, then the received l th path signal of user k becomes

xk ,l (t ) = pk β k l ck (t − τ k l ) (2-5)

1
Taking sampling processes on x(t ) with chip rate ( ), the sampled signal
Tc
becomes
K Lk
x ( n) = ∑ ∑ xk ,l (n) + nb (n) (2-6)
k =1 l =1

Let first user be desired, and the signals of other users are interferences, hence, x(n)

can be divided into two parts:

x(n) = x1 (n) + xI (n) (2-7)

, where, the first part is desired signal:

L1 L1
x1 (n) = ∑ x1,l (n) = ∑ p1 β1l c1 (n − D1l ) (2-8)
l =1 l =1

The delayed discrete spreading signal c1 (n − D1l ) is

∞
c1 (n − D1l ) = ∑
i =−∞
sinc(i -D1l )c1 (n − i ) (2-9)

, and D1l is the sampled time delay,

D1l = τ 1l / Tc (2-10)
The second part is the interfering signals, which are integrated as one term xI (n) ,
K Lk
xI ( n ) = ∑ ∑ xk ,l (n) + nb (n) (2-11)
k =2 l =1

Make two reasonable assumptions to simplify the following analyses: First, the
total received power for all paths of first user is normalized to unity,
L1
that’s ∑ β1l
2
= 1, and p1 = 1 . Second, if the number of users is large enough, then by
l =1

-6-
central limit theorem, xI (n) can be assumed as complex AWGN with zero mean and

variance σ I 2 . As shown in Fig.2-1, when the number of users is up to 20, the PDF of

those 20 users’ signals plus AWGN looked like as which of absolute AWGN. From
1
above two assumptions, the input SINR of acquisition system is 2 .
σI

2.2.2 Adaptive Acquisition System Description

The block diagram of the adaptive filter based DS-CDMA code acquisition system is
shown in Fig.2-2. The adaptive FIR filter has N t coefficients (taps) which are
adjusted using the least mean-square (LMS) algorithm to minimize the mean-square
error (MSE) between the filter output and the input signals. The time uncertainty
region which needs to be searched for the delay offset between the incoming signal
and the locally generated code, assumed to be the code period, is divided into Q cells
each covering a delay interval of N t chips and these cells are tested for acquisition
sequentially. During each test, the input signal of the adaptive filter is chosen as the
locally generated de-spreading code with a certain phase offset relative to some
arbitrary initial phase, and the filter taps are adapted for a period of time toward their
optimum value in the mean square error sense. After the adaptation period, a decision
period is started during which a decision about weight vector’s square-norm is made
with each decision. If decision statistic is large than a preset threshold, the cell under
test is assumed to be an in-phase cell ( H1 ) and the delay offset is estimated from the
location of the tap weight vector peak. Otherwise, the cell is assumed to be an
out-of-phase cell ( H 0 ) and the phase of input signal is adjusted by chips to test the
next cell. This process is continued until all cells are tested, and if acquisition has not
been accomplished then the search is resumed at the first cell.

2.2.3 Adaptation Processes

The error signal of the adaptive acquisition system is defined as difference
between filter output signal d (n) and system input signal x(n) ,
e(n) = d (n)-x(n) (2-12)

, where, d (n) = w tH (n)c1 (n) , w t (n) is N t ×1 adaptive filter weight vector and

c1q (n) ≡ [c1 (n − qN t ) c1 (n − qN t − 1) ...c1 (n − qN t − N t + 1) ]T , q = 0,1,....,Q − 1 (2-13)

, c1q (n) is the q th chips’ segment vector ( N t -dimension) of desired user’s length

-7-
 user=20, SINR=0 dB
0.08
real AWGN
real AWGN+MAI
0.07 imagrary AWGN
imagrary AWGN+MAI
0.06 Theory

0.05
pdf

0.04

0.03

0.02

0.01

0
-4 -3 -2 -1 0 1 2 3 4

Fig.2-1 PDF of interfering signals (user=20 , SINR=0dB)

LMS
Algorithm

e(n)
d (n) Adaptive Filter
wt
x(n)
( Nt tap weights )
−
∑ c1 (n)
LPF
t=nTc +

Desired user’s
VCO: f c Decision Device Local PN Code
2
wt

Shift Nt
chips
No

Yes
Estimate Initiate
comparator Delay Tracking

Fig.2-2 Proposed adaptive DS-CDMA acquisition system.

-8-
 ⎡N⎤
N PN-code; Q = ⎢ ⎥ is the number of searching cells. In order to simplify the
⎢ Nt ⎥

following analyses, without loss generality, let q=0 (the case in the first cell ) , then

c1 (n) ≡ c10 (n) = [c1 (n) c1 (n − 1) ...c1 (n − N t + 1) ]T (2-14)

The weight vector w t is adjusted adaptively to minimize the mean square value
2
of the error signal, E ( e(n) ) . So, define the cost function ξ as

2 2
ξ ≡ E ( e(n) ) = w tH R c1w t − w tH p c x − p cHx w t + E ( x(n) )
1 1
(2-15)

, where R c1 = E[c1 (n) ⋅ c1T (n)] is the auto-correlation matrix of c1 (n) ;

2
p c1 x = E[c1 (n) x∗ (n)] is cross-correlation vector of c1 (n) and x(n) ; E ( x(n) ) is the

received signals’ total power. Further, to obtain the extreme value of cost
2
function ξ ≡ E ( e(n) ) , take gradient operation on ξ respect to w t ,

∂ξ
∇ξ = = 2R c1 w t − 2Pc1 x (2-16)
∂w t
Let equation (2-16) be zero to obtain the corresponding optimal weight vector

w opt
t = R c−11Pc1x (2-17)

In practical application, the optimal weight vector (Wiener solution) can be

approximately obtained by conventional complex Least-Mean-Square (complex LMS)
algorithm. The recursive equation of complex LMS algorithm is [15][16],

w t (n + 1) = w t (n) − µ t c1 (n)e∗ (n) (2-18)

, where µ t is the step size and it decides the convergence rate of the adaptive filter.

From [15][16], the convergence is guaranteed only if

2
0 < µt < (2-19)
λt,max

, where λt,max is the maximum eigen-value of filter input correlation matrix R c1 .So,

in Eq.(2-19), we have bounds on µ t for convergence of the weight vector mean to

the optimum weight vector. Within these bounds, the speed of adaptation and also the

-9-
noise in the weight vector solution are determined by the size of µ t .

From Eq.(2-17), if we want to know what the optimal weight vector is, it’s needed

to realize what the correlation matrix R c1 and vector Pc1x is first. When N is large

(long PN-code) enough, the auto-correlation value of c1 (n) is very small, i.e.
⎧1 τ = 0
rc1 (τ ) = E[c1 (n)c1 (n + τ )] ≅ ⎨ (2-20)
⎩0 τ ≠ 0
, where rc1 (⋅) is auto-correlation function of c1 (n) . In Eq.(2-20), if τ = 0 , the

correlation equal to unity, but when τ ≠ 0 (codes have departure), the correlation of

these two codes will approximate to zero. Therefore, the correlation matrix R c1 will

be identity, that is,

R c1 = E[c1 (n)c1T (n)] ≅ I Nt (2-21)

, where I Nt is an identity matrix of dimension N t . The elements in cross-correlation

vector Pc1 x is defined as the correlation of elements in vector c1 (n) and x(n) ,

Pc1 x = E[c1 (n) x∗ (n)] (2-22)

From Eq.(2-7) to Eq.(2-11), the input signal x(n) can be divided into desired and
interfering parts, that is,

Pc1 x = E[c1 (n) x∗ (n)] = E[c1 (n)( x1 (n) + xI (n))∗ ]

L1
= ∑ β1∗l E[c1 (n)c1 (n − D1l )] + Pc1xI (2-23)
l =1

, because c1 (n) and xI (n) are uncorrelated,

Pc1 xI = E[c1 (n) xI (n)∗ ] = E[c1 (n)]E[ xI (n)∗ ] (2-24)

Note that E[ xI (n)∗ ] =0 , hence, the cross-correlation vector Pc1xI will equal to zero.

Furthermore, we define the auto-correlation vector ∆1l as

∞
∆1l = E[c1 (n)c1 (n − D1l )] = E[c1 (n) ∑ sinc(i -D1l )c1 (n − i )]
i =−∞
∞
= ∑
i =−∞
sinc(i -D1l )E[c1 (n)c1 (n − i )]

- 10 -
 ∞
= ∑
i =−∞
sinc(i -D1l )[ rc1 (−i ), rc1 (−i + 1),..., rc1 (−i + N t − 1)]T (2-25)

, then, the q th element of ∆1l is

∞
∆1l ,q = ∑
i =−∞
sinc(i -D1l )rc1 (−i + q − 1)

∞
= sinc[(q − 1)-D1l )]+ ∑ sinc(i -D1l )rc1 (−i + q − 1) (2-26)
i =−∞
i ≠ q −1

From Eq.(2-20) , the second term of Eq.(2-26) will approximate to zero, hence,

∆1l ,q = sinc[(q − 1)-D1l )] (2-27)

Because sinc function is even,

∆1l ,q ≅ sinc(D1l -q + 1) (2-28)

From Eq.(2-23) to Eq.(2-28), the cross-correlation vector Pc1x could be obtained,

L1
Pc1 x = ∑ β1∗l ∆1l (2-29)
l =1

From Eq.(2-17) , Eq.(2-21) and Eq.(2 -29), we can make a conclusion that the optimal
weight vector is,
L1
w opt
t = R c−11Pc1x = ∑l =1
β1∗l ∆1l (2-30)

Observe Eq.(2-30), the optimal vector w opt

t is the linear combination of ∆1l ,

and β1∗l is the corresponding weight. On the other words, the different paths’ delay

(or different code offset) cause different correlation vectors ∆1l , and the optimal

weight vector w opt

t can response these timing offsets between local generated and

incoming PN-codes.

2.2.4 Mean and Variance of Optimal Weights

Next, in this knot, the steady state mean and variance of weights of LMS filtering
acquisition system will be derived for calculating the PDF of the WVSN method’s
decision variable. Mean of weight vector will equal to the optimal weight vector w opt
t ,
L1
E[w t (n)] = w opt
t = ∑ β1∗l∆1l (2-31)
l =1

- 11 -
If there are at least one local generated PN-code synchronizing with those incoming
PN-codes of multi-path signals, the elements in the correlation vector ∆1l will not all
zeros. At this time, system is under hypothesis H1 . Or else, ∆1l is a zero vector.
Hence, we can obtain the mean of weight vectors under hypothesizes H1 and H 0 ,

⎧ L1
⎪∑ β ∆
∗
under H1
E[w t (n)] = w opt
t = ⎨ l =1 1l 1l (2-32)
⎪ 0 under H 0
⎩

From Appendix-A, the variances of weights under hypotheses H1 and H 0 are

⎧ µ t J min
1

⎪⎪ under H1
2
var[ wt,i (n)] ≡ σ 2
wt =⎨ (2-33)
⎪ µ t J min
0
under H 0
⎪⎩ 2

, where wt,i (n) is the i th element of w t (n) ; J min is the minimum value of cost

function or called minimize mean square error (MMSE). From Appendix-A, the
MMSE value under the hypothesis H1 is,
L1 Lin
= E ( eopt ) = E ( d (n) − (w ) c1 (n) ) = (∑ β1l − ∑ β1l ) + σ I 2
1 2 opt H 2 2 2
J min t (2-34)
l =1 l =1

, where, Lin is number of paths for user 1 in the searching cell; and the MMSE value
under the hypothesis H 0 is,
L1
= ∑ β1l + σ I 2
0 2
J min (2-35)
l =1

1 0
Observe from Eq.(2-34) and Eq.(2-35), J min equal to the noise power, and J min is

the sum of total input signals’ power. Furthermore, assume that the variances of real

and imaginary part of weights wt,i (n) are half of var[ wt,i (n)] ,

var[ wt,i (n)]

var[ wt,Rei (n)] = var[ wt,Imi (n)] = (2-36)
2

, where, wt,Rei (n) and wt,Imi (n) are real and imaginary part of wt,i (n) . Hence, from

Eq.(2-33) to Eq.(2.36), we may summarize the variances of the real and imaginary

part of weights wt,i (n) under hypotheses H1 and H 0 are

- 12 -
 ⎧ µ t L1 Lin

∑ ∑
2 2
⎪ [( β 1l − β1l ) + σ I 2 ] ,under H1
⎪ 4 l =1 l =1
σ t2 ≡ var[ wt,Rei (n)] = var[ wt,Imi (n)] = ⎨ (2-37)
⎪ µt (
L1

∑
2
β1l + σ I 2 ) ,under H 0
⎪⎩ 4 l =1

2.3 Different Decision Device

In the introduction of this chapter, we have stated that the test method of a decision
device dominates the performance of an acquisition system. So, in this section, we
will introduce two decision methods: the traditional MSE and proposed WVSN test
method.

2.3.1 Proposed Weight Vector Square Norm (WVSN) Test Method

Let Z be the decision variable of weight vector square norm (WVSN) test method,
Nt −1

∑ [(w
2
Z ≡ w t ( n) = Re
t,i (n)) 2 + ( wt,Imi (n)) 2 ]
i =0
Nt −1
= ∑ [( A + X (n))
i =0
i i
2
+ ( Bi + Yi (n)) 2 ] (2-38)

, where Ai and Bi are the mean of wt,Rei (n) and wt,Imi (n) ,

E[ wt,Rei (n)] = wt,Re,opt

i = Ai (2-39)

E[ wt,Imi (n)] = wt,Im,opt

i = Bi (2-40)

, and, from [17], X i (n) and Yi (n) are identically distribution and independent

Gaussian variables with zero mean and variance σ t2 .

It’s note that, the sum of the square of Gaussian variables is the Chi-Square
variable and the degree of freedom is depended on how many Gaussian variables are
summed [4]. Therefore, Z is chi-square with degree 2 N t . Define a chi-square
parameter,
Nt −1 Nt −1
ζ t = ∑ ( Ai +Bi ) = ∑ [( wt,Re,opt
2
2 2
i ) 2 + ( wt,Im,opt
i ) 2 ] = w opt
t (2-41)
i =0 i =0

, where, from Appendix-B, the square norm of weight vector under hypotheses are
⎧ Lin
⎪ ∑ β1l ,under H1
2
L1
≅ ∑ β1l ∆1l = ⎨ l =1
2 2 2
opt
wt (2-42)
l =1 ⎪0 ,under H 0
⎩
By the definition of chi-square distribution, the chi-square variable is central if its

- 13 -
parameter ζ t equal to zero, or else, it’s called non-central chi-square [4]. Hence,
under the hypothesis H1 , the PDF of Z is given by,

1 Z Nt −1 ζt + Z Zζ
p1 (Z )= ⋅( ) 2
exp( ) I N −1 ( 2 t ) (2-43)
2σ 2
t ζt −2σ t2 t
σt

Where I m (⋅) is the Bessel function of first kind and order m. p1 (Z ) is non-central
Lin
chi-square distribution with 2 N t degree of freedom and ζ t = ∑ β1l . Under the
2

l =1

hypothesis H 0 , the PDF of Z is,

1 Z
p0 (Z )= Z Nt −1exp(- ) (2-44)
(2σ ) Γ( N t )
2 Nt
t 2σ t2
p0 (Z ) is central chi-square with 2 N t degree of freedom .

2.3.2 Traditional Mean Square Error (MSE) Test Method

The traditional MSE test method takes the sample averaged square error signals as
its decision criterion. Let ϒ be the MSE method’s decision variable,
1 S
ϒ ≡ ∑ e(n − j )
2
(2-45)
S j =1
2
ϒ is window average of e(n) and S is the window length. Under the hypothesis

H1 , the PDF of ϒ is
1 ϒ
p1 (ϒ)= ϒ S −1exp(- 2 ) (2-46)
(2σ e,1 / S ) Γ( S )
2 S
2σ e,1 / S
J ss1
p1 (ϒ) is central chi-square distribution with 2S degree of freedom and σ e2,1 =
2
Nt µ t λt,i −1
[10][11] with J ss1 = J min
1
(1 − ∑ ) , where, λt,i is the i th eigenvalue of R c .
i =1 2 − µ t λt,i 1

Under the hypothesis H 0 , the PDF of ϒ is

1 ϒ S −1 ζt + ϒ ϒζ
p0 (ϒ)= ⋅( ) 2 exp( ) I S −1 ( 2 t ) (2-47)
2σ 2
e ,0 /S ζt −2σ e ,0 / S
2
σ e,0 / S

p0 (ϒ) is non-central chi-square distribution with 2S degree of freedom,

Lin
J − ∑ β1l
0 2
ss Nt µ t λt,i −1
and, σ e2,0 = l =1
[10][11] with J ss0 = J min
0
(1 − ∑ ) .
2 i =1 2 − µ t λt,i

- 14 -
2.4 Acquisition System Probabilities and Mean Acquisition Time
In this section, we will introduce some performance measurements: detection
probability, false-alarm probability and mean acquisition time.

2.4.1 The Proposed WVSN Test Method

In general, the mean acquisition time (MAT) is chosen as the performance index
for code acquisition process. It is highly related to the system probabilities, viz., the
detection probability, the in-phase false alarm probability and the out-of-phase false
alarm probability. The probability of accurately making out the system being in-phase
is,
∞ ∞
1 Z Nt −1 ζt + Z Zζ
Pd′ = ∫ p1 (Z )dZ = ∫ ⋅( ) 2
exp( ) I N −1 ( 2 t )dZ (2-48)
th th
2σ 2
t ζt −2σ t2
σt
t

, where th is the threshold. The probability of the system is not in-phase, but we

make out it being in phase. This kind probability is named out of phase False-Alarm

probability Pfo ,

∞ ∞
1 Z
Pfo = ∫ p0 (Z )dZ = ∫ Z Nt −1exp(- )dZ (2-49)
th th
(2σ ) Γ( N t )
2 Nt
t 2σ t2

And, the in-phase false-alarm probability is that we accurately make out the system
being in-phase, but make an error about the coefficients’ peak position. The
probability is defined as:
Pfi =Pε Pd′ (2-50)
, where Pε is the probability of making an error about the coefficients’ peak position.
If we consider the case of desired user having only one path, the Pε will be
∞ Nt
z 1 mwt,m z
Pε = 1 − ∫ ∏ i =1
(1 − pwt ,i ( z ))
σ t,2m
exp[−
2σ t,2m
( z 2 + mw2t,m )]I 0 (
σ t,2m
)dz (2-51)
0
i≠m

, where,
∞
ς 1 mw ς
pwt ,i ( z ) = ∫ exp[ − (ς 2
+ m 2
)] I ( )dς t,i
(2-52)
z
σ t,2i 2σ t,2i
w 0
σ t,2i
t,i

mwt,m and σ t,m

2
denote the mean and variance of the maximum magnitude weight

under H1 , respectively. Also, parameters mwt,i and σ t,i2 are denoted as other

- 15 -
weights’ mean and variance. Therefore, the probability of accurately making out the

system being in-phase and finding out the delay corresponding weight position is

named as detection probability Pd ,

Pd = Pd′ -Pfi =(1 − Pε )Pd′ (2-53)

The formula for calculating the mean acquisition time is hereby obtained [18]
1 2 − Pd 2 − Pd
E (Tacq ) = {(1 + (Q − 1) )TA + (Pfi + (Q − 1)Pfo )Tp } (2-54)
Pd 2 2

, where TA and Tp are adaptation time and false-alarm penalty time.

2.4.2 The Traditional MSE Test Method

The approach for getting system probabilities for MSE test method is similar to
WVSN method described above, and the mean acquisition time based on LMS
algorithm with MSE test method was derived in [10][11],
1 2 − Pd 2 − Pd
E (Tacq ) = {(1 + (Q − 1) )( STA + Tc ) + (Pfi + (Q − 1)Pfo )Tp S} (2-55)
Pd 2 2

, where, S is the length of average window.

2.5 Simulations
To evaluate the acquisition performances for different test schemes, the numerical
analyses and simulations are presented in what follows.

2.5.1 Numerical Analyses and Simulations for PDF of WVSN and MSE Test
Methods
First, to investigate the distribution of PDF with WVSN - and MSE-test methods,
numerical analysis and computer simulations are carried out for integer and
non-integer time delay cases with these parameters: taps number of adaptive
filter : N t = 31 , step-size of adaptive filter: µ t = 0.001 , length of PN-codes: N =1023 ,
acquisition system input SINR: 0(dB), path’s integer delay is 1 Tc (under H1 ) and
41 Tc (under H 0 ) , non-integer delay is 1.2 Tc (under H1 ) and 41.2 Tc

(under H 0 ), weights initial value: w t = [0....0]T and a window size of the MSE test

method S=10. Each histogram of simulation results is obtained from 5N samples

after an enough adaptation period ( 10N iterations), and repeat 50 times independent

- 16 -
test. Therefore, the total trials number is 5 N ⋅ 50 = 255750 times. The false-alarm

penalty time Tp is 104 chips.

Fig.2-3 is the magnitude of tap weights. If there local generated codes synchronize
with incoming codes, the corresponding tap weights will response those time delays
with peak values. In Fig.2-4, 17-th weight position has peak value and from this
position, the corresponding time delay hereby can be obtained.
Fig.2-4 and 2-5 are PDF of MSE and WVSN methods’ decision variables. Fig.2-4,
the PDF of traditional MSE method’s decision variable has overlap between
hypotheses H1 and H 0 . This phenomenon may result from two reasons: first, the
variance of MSE method’s decision variable is too large; second, the relative
distances between the PDF of MSE method’s decision variable under different
hypotheses is too short. Oppositely, compare with Fig.2-6. The shell of the PDF of
proposed WVSN test method’s decision variable is much sharp than which of MSE
method’s variable because of its smaller weight’s variance. In additional, the relative
distances between the PDF of different hypotheses were also elongated. These
improvements make the PDF of WVSN method’s decision variable between
hypotheses H1 and H 0 having less overlap. Therefore, the proposed decision device
let us more easily to set a feasible threshold and then reduce the probability of
in-phase false alarm.
Fig.2-6 is the averaged MSE versus the number of iterations. The averaged
formula is,
2
ε (n+1)=(1-f gt ) e(n) + f gt ε (n) , f gt = 0.995. (2-56)

Observe from Eq.(2-34), the MMSE under H1 equal to the noise power, therefore
in this simulation (SINR=0 dB), the noise power is unity. In Eq.(2-35), under the
hypothesis H 0 , the MMSE is power of total input signals, so, in this simulation, the
MMSE under H 0 is 2.
Fig.2-7 is the magnitude of tap weights for the case of non-integer delay. Because
the sampled delay is not integer, hence the values of tap weights aside peak tap
weights will not be zero. The Fig.2-8 to 2-9 are the PDF of MSE and WVSN test
method under the case of non-integer delay. In Eq.(2-42) and Appendix-B, when the
number of tap weights is large enough, the correlation vector’s square norm under
H1 will approximate to unity because of the property of sinc function, i.e.,
Nt
⎧ 1 ,under H1
= ∑ sinc[D1l − (q − 1)]2 ≅ ⎨
2
∆1l (2-57)
q =1 ⎩0 ,under H 0

Therefore, form Eq.(2-57) and Eq.(2-42), no matter path delay is integer or not, the

- 17 -
value of weight vector square norm is almost the same. So, in Fig.2-9, the PDF of
WVSN method’s decision variable for non-integer delay is very similar to Fig.2-5
(integer delay). Also observe that, from Fig.2-8 and Fig.2-5, the MSE method is not
affected too.

2.5.2 Numerical Analyses and Simulations for System Probabilities and Mean
Acquisition Time of WVSN and Traditional MSE Test Methods
The meaning of mean acquisition time is how long a system can accurately
estimate the time delay. This factor is thought as a very important performance
measurement for acquisition systems and depends on some system probabilities, such
as probability of detection, probability of false-alarm, etc. As illustrated in Fig.2-10,
the proposed WVSN decision criterion has higher detection probability than
traditional MSE method’s for a given out of phase false-alarm probability, 0.01. The
detection probability for WVSN method has been saturated to one in SINR=-15, but
at this time, the detection probability of MSE method is still quite low.
To continue, let us come to the point of the up most performance measurement,
the mean acquisition time, MAT. In Eq.(2-54) and Eq.(2-55), the formulas of mean
acquisition time for WVSN and MSE method, there is a parameter TA named
adaptation time, which is defined as the time required for convergence, and it is set to
[11][16],
⎧ 4
⎪ µ λ av Tc WVSN method
⎪ t t
TA = ⎨ (2-58)
⎪ 2
T MSE method
⎪⎩ µ t λtav c

, where λtav is averaged eigenvalue of correlation matrix R c1 . This factor TA is

dominated by the step size µ t . In generally, larger µ t would lead to faster

convergence (shorter adaptation time) but a noisier system. As showed in Eq.(2-37),
the step-size µ t and the system weight variance are direct proportional. Therefore,
large µ t will cause the degradation of detection probability provided a fixed

out-of-phase false-alarm probability. And the other one parameter Tp is the false-alarm

penalty time, which is assumed as the worst case Tp = 104 chips, the same as in [18].

The Fig.2-11 is the simulation of MAT for different test schemes and it can be
observed that, the proposed WVSN decision method needs much shorter mean
acquisition time than traditional MSE method. Furthermore, the accuracy of every
simulation is verified by its theoretical analysis.

- 18 -
 SINR=0 dB
1

0.9

0.8

0.7

0.6
magnitude

0.5

0.4

0.3

0.2

0.1

0
0 5 10 15 20 25 30 35
weights

Fig.2-3 Magnitude of tap weights, under the parameters: N t = 31 , µ t = 0.001 ,

SINR: 0(dB), integer path delay is 1 Tc (under H1 ) .

- 19 -
 SINR=0 dB
0.09

0.08 H1 Theory
H0 Theory
0.07 H1 Simulation
H0 Simulation
0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 1 2 3 4 5 6
averaged MSE

Fig.2-4 PDF of traditional MSE method’s decision variable, under the parameters:
N t = 31 , µ t = 0.001 , SINR: 0(dB), window size S=10, integer path delay
is 1 Tc (under H1 ) and 41 Tc (under H 0 ) .

SINR=0 dB
0.09

0.08
H1 Theory
0.07 H0 Theory
H1 Simulation
H0 Simulation
0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4
2
||wt||

Fig.2-5 PDF of proposed WVSN method’s decision variable, under the parameters:
N t = 31 , µ t = 0.001 , SINR: 0(dB), integer path delay is 1 Tc (under H1 )
and 41 Tc (under H 0 ) .

- 20 -
 SINR=0 dB
2.5

H1
H0

2
MSE

1.5

0.5
0 2 4 6 8 10 12 14 16
iterations (x500)

Fig.2-6 Averaged MSE, under the parameters: N t = 31 , µ t = 0.001 , SINR: 0(dB),

- 21 -
 SINR=0 dB
1

0.9

0.8

0.7

0.6
magnitude

0.5

0.4

0.3

0.2

0.1

0
0 5 10 15 20 25 30 35
weights

Fig.2-7 Magnitude of tap weights, under the parameters: N t = 31 , µ t = 0.001 ,

SINR: 0(dB), non-integer path delay is 1.2 Tc (under H1 ) .

- 22 -
 SINR=0 dB
0.09

0.08
H1 Theory
0.07 H0 Theory
H1 Simulation
0.06 H0 Simulation

0.05
pdf

0.04

0.03

0.02

0.01

0
0 1 2 3 4 5 6
averaged MSE

Fig.2-8 PDF of traditional MSE method’s decision variable, under the parameters:
N t = 31 , µ t = 0.001 , SINR: 0(dB), window size S=10, non-integer path
delay is 1.2 Tc (under H1 ) and 41.2 Tc (under H 0 ).

SINR=0 dB
0.07

0.06
H1 Theory
H0 Theory
0.05 H1 Simulation
H0 Simulation

0.04
pdf

0.03

0.02

0.01

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4
2
||wt||

Fig.2-9 PDF of proposed WVSN method’s decision variable, under the para-
meters: N t = 31 , µ t = 0.001 , SINR: 0(dB), non-integer path delay is
1.2 Tc (under H1 ) and 41.2 Tc (under H 0 )

- 23 -
 1

0.9

0.8

0.7
Detection Probability

WVSN Simulation
0.6 WVSN Theroy
MSE Simulation
0.5 MSE Theroy

0.4

0.3

0.2

0.1

0
-25 -20 -15 -10 -5 0
SINR (dB)

Fig.2-10 Comparison of Detection Probability between MSE and WVSN test

method provided Pfo =0.01, under the parameters: N t = 31 , µ t = 0.001 .

7
10
Mean Acquisition Time (chips)

WVSN Simulation
6 WVSN Theroy
10
MSE Simulation
MSE Theroy

5
10

-25 -20 -15 -10 -5 0

SINR (dB)

Fig.2-11 Comparison of Mean Acquisition Time between MSE and WVSN test
method, under the parameters: N t = 31 , µ t = 0.001 , the false-alarm
penalty time Tp is 104 chips.

- 24 -
 Chapter 3

Code Acquisition Using Smart antennas with Adaptive

Filtering Scheme for DS-CDMA Systems

Recently, a smart antenna (i.e., an array of antenna elements with an adaptive

signal processing) has received much attention in the applications of a DS-CDMA
wireless communications system [14], because the smart antenna can suppress the
interfering signals with different arrival angles and significantly improve the
signal-to-interference-plus-noise ratio (SINR) and bit-error-rate (BER) of the desired
user traffic channel data. The mobiles may transmit signals with low power because
of a high smart antenna gain at a base station, but the received SINR at a base station
may not be sufficient for PN code acquisition if only one element (single antenna) is
employed. Hence, code acquisition schemes utilizing smart antenna have been
proposed and discussed in DS-CDMA system [23]-[25]. In [23]-[25], to obtain both
the PN code acquisition and the weight coefficients of smart antenna jointly and
adaptively, they employ a smart antenna as a spatial filter to suppress interference and
the conventional PN correlator as a temporal filter to perform the code acquisition. It
is known that the conventional PN correlator required a code-phase testing procedure
is very time-consuming, especially for the long PN code case. To circumvent this
problem, in [28] they proposed an adaptive LMS filter, instead of the conventional PN
correlator, as the temporal filter for performing the code acquisition, where the short
PN code is employed. This scheme did not need a decision device to perform the
code-phase testing because the adaptive filter length (i.e., the number of the weight
coefficients) is set to equal the PN code length, so it have faster acquisition
performance. However, in this scheme, for a long code case, the hardware cost of
building an adaptive filter is quite high. For example, for a 1023 chip PN code, the
adaptive filter length is 1023.
To accommodate the long PN code case and simultaneously reduce the hardware
cost, in this chapter, the adaptive LMS filtering scheme with the WVSN test method
proposed in chapter 2, will be further extended to couple with a smart antenna for
code acquisition. This new scheme is also a process of PN code acquisition and the
weight coefficients of smart antenna jointly and adaptively. The basic idea of this new
scheme is to utilize the smart antenna to suppress interference and employ the
proposed adaptive LMS filtering scheme with the WVSN test method as a temporal
filter to perform the code acquisition. The weight coefficients of both smart antenna

- 25 -
and adaptive filter are jointly and adaptively obtained by minimizing the
mean-squared error between the beamformer output and the adaptive filter output.
Therefore, the joint recursive formulas for updating the weights of both smart antenna
(spatial filter) and adaptive filter (temporal filter) will be derived in this chapter. By
jointly performing beam-forming and code acquisition, the faster acquisition will be
achieved. To verify the performance of the proposed scheme with a smart antenna,
numerical analysis and simulations, in terms of detection probability and mean
acquisition time (MAT), are presented and compared to the scheme with single
antenna under the variation of SINR.

3.2 Smart-antennas with Adaptive Filtering Scheme for code

Acquisition
In this section, we will introduce the received DS-CDMA signals at antennas, the
process of joint adaptation acquisition, and the optimal tap weights of joint adaptation
acquisition system. Also, the mean and variance of tap weights of LMS filtering based
joint adaptation acquisition system will be derived for comparing with which of the
system having no smart-antennas.

3.2.1 System Model

The received DS-CDMA signal for l th path of user k at antennas can be
represented as a M ×1 signal vector,

x k l (t ) = [ xk l ,1 xk l ,2 ...xk l , M ]T = pk β k l ck (t − τ k l ) ⋅ a k l (3-1)

, where, M is the number of antennas; a k l is the array response, and the m th

element in vector a k l is,

ak l ,m = exp[− jπ (m − 1) sin(θ k l )] , m =1~ M (3-2)

, where θ k l is direction of arrival for l th path of user k . Observe form Eq.(3-1), the

elements in x k l (t ) is just the signal of single antenna multiplies a corresponding

complex array gain ak l ,m . This vector a k l can response the signal’s incoming angle

and the antenna spacing is what can bring on the appearance of array response
vector a k l .Similar to Eq.(2-3), consider the scenario that there are K users in the cell
and each corresponding user has Lk multi-paths, then the total received signals at
antennas are

- 26 -
 K Lk
x(t ) = ∑ ∑ x k ,l (t ) + n b (t ) (3-3)
k =1 l =1

, where, n b (t ) = [nb ,1 (t ) nb ,2 (t ) ...nb , M (t )]T is M ×1 noise vector. As Eq.(2-6) to

Eq.(2-10) , take sampling processes on signal vector x(t ) then divide it as desired and
interfering signal parts to obtain (let first user be desired)
x(n) = x1 (n) + x I (n) (3-4)
, where x1 (n) is desired signal vector,
L1
x1 (n) = ∑ p1 β1l c1 (n − D1l ) ⋅ a1l (3-5)
l =1

and the interfering signal part x I (n) is

K Lk
x I ( n) = ∑ ∑ x k , l ( n) + n b ( n) (3-6)
k =2 l =1

3.2.2 Joint Adaptation Description

In Fig.3-1, we can see that there are two adaptive filters in the acquisition system,
one is named spatial filter and the other one is temporal filter, this conception is first
proposed by [28]. The spatial filter in fact is a beam-former or smart-antennas which
offers the ability of spatial filtering [27] for the acquisition system. The meaning of
spatial filtering is that smart-antennas can sieve out the interfering signals having
different direction of arrival (DOA) from desired signal’s. For a smart-antennas
system, the signal’s direction of arrival is the behalf of its spatial characteristic. By
sieving out the interfering signals from received signal vector x(n) , the output signal
to interference plus noise ratio (SINR) will be improved by these kind processes of
spatial filtering. Even if there are no directional interferences incoming to antennas,
on the other word, there are only omni-directional noise incoming, the smart-antennas
can simple offer the ability for reducing noise by averaging those signals from
antennas (noise mean is zero). Furthermore, the temporal filter is the same as we
descript in Fig.2-2, is an adaptive filter used for acquisition. The difference between
these two adaptive filters’ output signals produce a common error signal, where, the
LMS and CLMS algorithm are used for adjusting those tap weights to minimize the
power of error signal, and the following acquisition processes at steady state is the
same as described in chapter 2.

3.2.3 Joint Adaptation Processes

The error signal in the adaptive acquisition system is the difference between
output signals of smart-antennas and temporal filter,
est (n) = d (n)-y (n) (3-7)

- 27 -
 x(n) CLMS LMS
Algorithm Algorithm

x1(n) e(n)
LPF ws,1 Temporal Filter
t=nTc

x2 (n) y (n ) d (n )
wt
ws,2 c1 (n)
LPF −
Σ +
( Nt tap weights)

.
t=nTc
Σ Desired user’s
PN Code
ws,M
. xM (n)
Decision Device
2
. wt
Shift Nt
Spatial Filter chips
LPF
t=nTc
No
VCO: fc

Estimate
Tracking
comparator Delay
Yes

Fig.3-1 Proposed joint adaptation scheme for code acquisition.

- 28 -
The notation “st” mean that “space-time” error signal. Where, d (n) and y (n) are
output signals of temporal and spatial adaptive filter

d (n) = w tH (n)c1 (n) (3-8)

y (n) = w sH (n)x(n) (3-9)

w t (n) and w s (n) are N t ×1 temporal and M ×1 spatial weight vectors. These

two tap weights are simultaneously adjusted using adaptive algorithm to minimize the
power of error signal est (n) . It’s noted that, a smart-antennas can eliminate
interference by constraining the power from DOA of desired signal and minimize the
power from other directions. Hence, the smart-antennas could increase the system
SINR further improves the performance of the acquisition system. Therefore, the
constraint optimization problem for our acquisition system would be set to minimize
the error signal power and let tap weights to satisfy the spatial constraint in each
iteration,
⎧⎪ min E( est (n) 2 )
⎨ wt ,w s (3-10)
⎪⎩ subject to CsH w s = bs
, where Cs is M × na constraint matrix; b s is a na × 1 vector and na is the
number of linearly independent constraints. From Eq.(3-10), the joint cost function
ξst could be defined as the power of error signal plus corresponding Lagrange

multiplier, λ sH (CsH w s − bs ) , that is

2
ξst = E ( est (n) ) + 2λ sH (CsH w s − bs ) (3-11)

λ s is an na ×1 vector of Lagrange multipliers. Expand Eq.(3-11) to obtain,

ξst = w tH R c x w s − w sH R c x H w t + w sH R x w s + 2λ sH (CsH w s − bs )
1 1
(3-12)

, where R x = E[x(n)x H (n)] is auto-correlation matrix of x( n) ;

R c1 x = E[c1 (n) ⋅ x H (n)] is the cross-correlation matrix of c1 (n) and x(n) . In order

to obtain the extreme value for the cost function, take gradient operation on ξst
respect to w t and let it be zero to obtain the corresponding optimal weight vector of
temporal filter:

- 29 -
∂ξst
= 2R c1 w t − 2R c1 x w s = 0 (3-13)
∂w t
The optimal weight vector of temporal filter is

w opt
t = R c−11R c1x w s (3-14)

By the same way, take gradient on ξst respect to w s ,

∂ξst
= 2R x w s − 2R c1x H w t + 2Cs λ s = 0 (3-15)
∂w s

The optimal weight vector of smart-antennas is,

w s = R −x 1 (R c1 x H w t + Csλ s ) = R −x 1 (R c1 x H R c−11R c1x w s + Csλ s )

= (R x − R c1 x H R c−11R c1x )-1Cs λ s (3-16)

Because the spatial filter’s tap weights have to satisfy the constraint in Eq.(3-10),
therefore, by multiplying the constraint matrix in the left hand of Eq.(3-16), and make
some arrangement to obtain the Lagrange multiplier,

λ s = [CsH (R x − R c1x H R c−11R c1 x )-1Cs ]-1 b s (3-17)

In practical application, we have to use some adaptive algorithm to approximately

obtain the optimal solution in recursive approach, such as LMS or RLS algorithm.

Here, take LMS algorithm as an example. Base on conventional LMS [15][16] and

CLMS [26] algorithm, the joint recursive formulas for spatial and temporal filters are

deduced in Appendix-C,

w t (n + 1) = w t (n) − µ t est∗ (n)c1 (n) (3-18)

w s (n + 1) = Ps [w s (n) + µs est∗ (n)x(n)] + fs (3-19)

, where µ t and µs are the step size for temporal and spatial filter; Ps is a
projection matrix defined as

Ps = IM − Cs (CsH Cs )-1CsH (3-20)

; IM is an identity matrix of dimension M and

fs = Cs (CsH Cs )-1bs (3-21)

Further, deduced in Appendix-D, the conditions for convergence is guaranteed only if

- 30 -
 2 2
0 < µt < and 0 < µs < , where λs,max and λt,max are the maximum
λs,max λt,max

eigenvalue of R c1 and σ I 2 Ps .

Observe from Eq.(3-14), before looking into the properties of optimal weight
vectors, we have to realize some correlation matrices. The cross-correlation matrix

between local PN-code vector c1 (n) and system input signal vector x1 (n) is

R c1 x = E[c1 (n) ⋅ x H (n)] = E[c1 (n) ⋅ (x1 (n) + x I (n)) H ]

L1 L1
= ∑ β1∗l E[c1 (n)c1 (n − D1l (n))] ⋅ a1Hl + R c1 xI = ∑ β1∗l∆1l ⋅ a1Hl (3-22)
l =1 l =1

, where R c1xI equal to zero matrix because c1 (n) and x I (n) are uncorrelated and

the mean of x I (n) is zero. From Eq.(3-5) and Eq.(3-6), the correlation matrix of
input signal vector x( n) is

R x = E[x(n)x H (n)] = E[(x1 (n) + x I (n))(x1 (n) + x I (n)) H ] = R x1 + R xI

L1 L1
= E (∑ β1l1 ck (t − τ 1l1 ) ⋅ a1l1 ∑ β1l 2 ck (t − τ 1l 2 ) ⋅ a1Hl 2 ) + σ I 2 I M (3-23)
l 1 =1 l 2 =1

, where R x1 = E[x1 (n)x1 (n) H ] ; R xI = E[x I (n)x I (n) H ] and σ I 2 is the total power of

interfering signals. If the length of PN-codes is long enough, the correlation value

between codes having timing offset will very small, i.e.,

⎧ 1 l 1 =l 2
E[ck (t − τ 1l1 )ck (t − τ 1l 2 )] = ⎨ (3-24)
⎩0 l 1 ≠ l 2

Then Eq.(3-23) becomes

L1
R x = (∑ β1l + σ I 2 )I M
2
(3-25)
l =1

From Eq.(2-21), Eq.(3-14) and Eq.(3-22), the optimal weight vector of temporal filter
is
L1
w opt
t = ∑ β1∗l ∆1l ⋅ a1Hl w s (3-26)
l =1

Define the scalar projection of a k l onto w s as

< a1l , w s >= w sH a1l =: A1aw

l
s
= (a1Hl w s )* =: ( A1wl s a )* (3-27)

- 31 -
Let the constraint matrix Cs = a11 , as the array response of first path for desired user

(first user) and constrain the power from the DOA of this path as unity ( bs = 1 ), then
the optimal weight vector of temporal filter becomes
L1 L1
w opt
t = ∑ ( β1∗l A1wl s a ) ∆1l = β11∗ ∆11 + ∑ ( β1l A1aws *
l ) ∆ 1l
l =1 l =2
L1
=: β11∗ ∆11 + ∑ η1l ∆1l (3-28)
l =2

Observe form Eq.(3-28), the temporal filter’s optimal weight vector is the linear

combination of correlation vector ∆1l , and the corresponding combination weight is

the overall (from transmitter to the output of smart-antennas system) complex channel
gain η1l .

3.2.4 Mean and Variance of Optimal Weights

In this section, we may state the mean and variance of weights of LMS filtering
based joint adaptation acquisition system. Mean of weight vector will equal to the
optimal weight vector of temporal filter, w opt
t ,
L1
E[w t (n)] = w opt
t = β11∗ ∆11 + ∑ η1l ∆1l (3-29)
l =2

If there are at least one local generated PN-code synchronizing with those
incoming PN-codes of multi-path signals, the elements in the correlation vector ∆1l
will not all zeros. At this time, system is under hypothesis H1 . Or else, ∆1l is a zero
vector. Hence, we can obtain the mean of weight vectors under hypothesizes H1
and H 0 ,

⎧ ∗ L1

= ⎨ 11 11 ∑
⎪ β ∆ + η1l ∆1l under H1
E[w t (n)] = w opt
t l =2 (3-30)
⎪ 0 under H 0
⎩

From Appendix-D, the variances of weights under hypotheses H1 and H 0 are

⎧ µ av J min
1

⎪⎪ under H1
2
var[ wt,i (n)] ≡ σ 2
wt ≅ ⎨ av 0 (3-31)
⎪ µ J min under H 0
⎪⎩ 2
, where, step-size µ av of joint adaptation system is defined as:

- 32 -
 Nt + M

∑µ ts,i
µ =
av i =1
(3-32)
Nt + M
, also, from Appendix-D, the MMSE value under the hypothesis H1 is,
L1 Lin
= (∑ η1l − ∑ η1l ) + σ I 2 / M
1 2 2
J min (3-33)
l =1 l =1

, and the MMSE value under the hypothesis H 0 is,

L1
= ∑ η1l + σ I 2 / M
0 2
J min (3-34)
l =1

Observe from Eq.(3-33) and Eq.(3-34), there are only one- M th of input noise power

remained. That’s because the interferences have been counterpoised by

smart-antennas under the assumption of AWGN. Similarly, assume that the variances

of real and imaginary part of weights wt,i (n) are half of var[ wt,i (n)] ,

var[ wt,i (n)]

var[ wt,Rei (n)] = var[ wt,Imi (n)] = (3-35)
2

, where, wt,Rei (n) and wt,Imi (n) are real and imaginary part of wt,i (n) . Hence, from

Eq.(3-30) to Eq.(3-35), we may summarize the variances of the real and imaginary

part of weights wt,i (n) under hypotheses H1 and H 0 are

⎧ µ t L1 Lin

∑ ∑
2 2
⎪ [( η1l − η1l ) + σ I 2 / M ] ,under H1
⎪ 4 l =1 l =1
σ t2 ≡ var[ wt,Rei (n)] = var[ wt,Imi (n)] = ⎨ (3-36)
µ
⎪ t(
L1

⎪⎩ 4 ∑
2
η1l + σ I 2 / M ) ,under H 0
l =1

3.3 System Probabilities and Mean Acquisition Time

Similarly, in this section, we will also introduce the performance measurements,
detection probability, false-alarm probability and mean acquisition time for the joint
adaptation acquisition system.

3.3.1 The Proposed System

The proposed joint adaptation acquisition system is illustrated in Fig.(3.1).
Compare it with Fig.(2.2), the blocks used for acquisition in those two Figs are
completely the same, so the approach for calculating the PDF of detection variable is
the same as Eq.(2.43) and Eq.(2.44), and the system probabilities are the same as

- 33 -
Eq.(2.48) to Eq.(2.53), and the formula of mean acquisition time is the same as

Eq.(2.54), but the parameter σ t2 in those equations have to be replaced with Eq.(3.36)

and ζ t is replaced with

⎧ Lin
ζ t == ⎨ ∑
2
⎪ η1l ,under H1
l =1 (3-37)
⎪0 ,under H 0
⎩

3.3.2 The Traditional MSE Test Method

Similarly, the approach for calculating PDF of decision variable, system
probabilities and mean acquisition time, are the same as which described in Chapter 2,
but the steady state MSE produced by LMS algorithm under hypothesis H1 is

J ss ,1 = J min
1
⋅ (1 − Φ ) −1 and under hypothesis H 0 is J ss ,0 = J min
0
⋅ (1 − Φ ) −1 , where

maladjustment Φ is defined as,

Nt µ t λt,i M µs λs,i
Φ = (∑ +∑ ) (3-38)
i =1 2 − µ t λt ,i i =1 2 − µs λs,i

3.4 Performance of Smart-Antennas

The input power of signal to interference plus noise ratio is defined as
E (x1H (n)x1 (n))
SINR i = (3-39)
E (x HI (n)x I (n))
The output power of signal to interference plus noise ratio is defined as
L1

∑η
2
2 ∗
E ( y1 (n) ) E[w (n)x1 (w (n)x1 ) ] l =1
H H 1l
SINR o = = s s
= (3-40)
2
E ( y I ( n) ) E[w (n)x I (w (n)x I )∗ ] σ I2 / M
H
s
H
s

3.5 Simulations
The PDF of decision variables, minimum mean square error (MMSE), detection
probability and mean acquisition time are derived in this section for comparing the
performance of the adaptive acquisition system with smart-antennas and merely single
antenna. The simulations are divided into four parts. The first part is Fig.3-2 to
Fig.3-8 and which are simulated with these parameters: taps number of adaptive filter
N t = 31 ; step-size of adaptive filters, µ t = µs = 0.001 ; length of PN-codes, N =1023 ;
system SINR 0(dB); path’s delay is 1 Tc (under H1 ) and 41 Tc (under H 0 );

- 34 -
 a11
weights initial value w t = [0....0]T and w s = , M is the number of antenna, a11 is
M
the array response of the first path for user one, and the mth element of this array
π
response is, a11,m = exp[− jπ (m − 1) sin(θ11 )], m = 1 ~ M , where θ11 is set as ; a
6
window size of the MSE test method S=10. Each histogram of simulation results is
obtained from 5N samples after an enough adaptation period ( 10N iterations) for
convergence, and repeat 50 times independent tests. Therefore, the total trials number
is 5 N ⋅ 50 = 255750 times.
Looking into Fig.3-2 and 3-3, these two Figs are the PDF of MSE decision
variable with single antenna and five elements smart-antennas. In Fig.3-1, the PDF
between hypotheses H1 and H 0 have overlap. In Fig.3-2 the overlap between two
hypotheses has been reduced. This is because the smart-antennas have the ability for
interference rejection making the relative distance between PDF of two hypotheses
drawn. Similarly, look into Fig.3-4 (without smart-antenna) and Fig.3-5 (with five
elements smart-antennas), the PDF with five elements smart-antennas is sharp than
which with single antenna. Also, see Eq.(3-31) to Eq.(3-34), the variance of tap
weights had been reduced by smart-antennas. In Fig.3-6, under the case of desired
user having only single path and SINR=0 (dB), the noise power equal to the minimum
mean square error under the hypothesis H1 , being unity. Similarly, the minimum mean
square error under H 0 equal to the input signals total power, the value is two. In the
case of five antennas, make a contrast to Eq.(3-33), the noise power is only one-fifth

the original noise power, i.e., σ I2 / M with M=5 and σ I2 =1, that is because noise has

been counterpoised .Therefore, the minimum mean square error for five elements
smart-antennas acquisition system under hypothesis H1 is 1/ 5 = 0.2 and under
hypothesis H 0 is 0.2+1=1.2.
The Fig.3-7 and 3.8 can show the performance of smart-antennas system. In
Fig.3-7, make a contrast to Eq.(3-40). The noise power in this simulation is
1
σ I2 / M =0.2, therefore the output SINR is 10 log100.2 = 10 log10
5
= 6.9897 . Of course, the
input SINR is 0 dB because of equal power between desired signal and interference
(in SINR=0 dB). The Fig.3-8 is named beam-pattern of antennas. The smart-antennas
keep the power of those signals coming form DOA of desired signal being unity (0
dB) and minimize the other direction’s power (smaller than 0 dB). The smart-antennas
offer the ability for spatial filtering [27] to eliminate the interference with different

incoming angles from desired signal’s. The theory value is set as w s = a11 / M .

- 35 -
 Fig.3-9, 3-10 and 3-11 belong to simulation part two and the simulation
parameters are all the same as simulation part one but the system SINR is -10 (dB).
Fig.3-12 to Fig.3-14 (the simulation part three) are simulations of system
probability and mean acquisition time via SINR with parameters the same as
simulation part one. Fig.3.12 is detection probability via system SINR. The
square-line, is the simulation for the system with five elements smart-antennas, which
detection probability is higher than plus-line, the system with merely single antenna
around 7 dB. This result agrees with Fig.3-7 and Eq.(3-41). Fig3-13 is the false-alarm
probability via SINR; this probability is limited to 0.01. Fig.3-14 is simulation for
mean acquisition time via SINR. In this simulation, the adaptation time TA is
replaced to be
4
TA = av Tc (3-41)
µλ

, where µλav is
Nt M
(∑ µ t λt,i + ∑ µs λs,i )
µλav ≡ i =1 i =1
(3-42)
Nt + M

and false-alarm penalty time is set to be the worst case Tp = 104 chips, the same as in

[18]. In this Fig, in the case of three and five elements smart-antennas, the low is at
SINR=-21 (dB) because the detection probability is saturated at this SINR. As stated

in chapter 3.2.3, the larger SINR will lead to larger λs,i , hence, the adaptation time

will increase by the ascending SINR. Therefore, the tendency of mean acquisition
time via SINR for three and five elements smart-antennas become ascending after this
SINR=-21 (dB).
Fig.3-15 to Fig.3-17 are also the simulations of system probability and mean
acquisition time via SINR. Which parameters are the same as simulation part four, but
with unequal filter step-size of µs = 0.0001 and µ t = 0.01 . See Eq.(3-42), because
the number of tap weights of temporal filter is generally much more than which of
smart-antennas ( N t = 31, M =3 or 5 in this simulation), hence, the adaptation time is
dominated by temporal filter. Furthermore, see Chapter 3.2.3, a smaller µs can
reduce the risk of disperse in low SINR environments. For these reasons, we can
make a conclusion that a smaller step-size of smart-antennas and larger step-size of
temporal filter will lead to a more stable system and faster acquisition. But, form
Eq.(3-31) and Eq.(3-32), the larger step-size of temporal filter amplifies the variance
of weights, so, the detection probability in Fig.3-15, compare with Fig.3-12, which

- 36 -
was shifted to right hand. This is a problem of tradeoff, but in general, a larger
step-size of temporal filter still directly lead to a faster acquisition system. Similarly,
the performance improvement for mean acquisition time and detection probability
between single antenna and five elements smart-antennas is around 7 (dB), which
quite agrees with theory value.

- 37 -
 antenna=1, SINR=0 dB
0.09

0.08 H1 Theory
H0 Theory
0.07 H1 Simulation
H0 Simulation
0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 1 2 3 4 5 6
averaged MSE

Fig.3-2 PDF of traditional MSE test method with single antenna, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), S=10.

antennas=5, SINR=0 dB
0.09

0.08
H1 Theory
0.07 H0 Theory
H1 Simulation
H0 Simulation
0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 0.5 1 1.5 2 2.5 3
averaged MSE

Fig.3-3 PDF of traditional MSE test method with five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), S=10.

- 38 -
 antenna=1, SINR=0 dB
0.09

0.08
H1 Theory
0.07 H0 Theory
H1 Simulation
H0 Simulation
0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4
||wt||2

Fig.3-4 PDF of proposed WVSN test method with single antenna, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB).

antennas=5, SINR=0 dB
0.07

H1 Theory
0.06 H0 Theory
H1 Simulation
H0 Simulation
0.05

0.04
pdf

0.03

0.02

0.01

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4
2
||wt||

Fig.3-5 PDF of proposed WVSN test method with five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB).

- 39 -
 SINR=0 dB
2.5

M=1,H0
2

1.5
MSE

M=5 H0
1.2
M=1 H1
1

0.5

M=5 H1
0.2

0
0 2 4 6 8 10 12 14 16 18 20
iterations (x500)

Fig.3-6 Averaged MSE with single antenna and five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB).

- 40 -
 antennas=5, SINR=0 dB
8

7
6.9897

Signal to (Interference + Noise) Ratio (dB)

6

5 input SINR
output SINR
4

0
0
-1
0 2 4 6 8 10 12 14 16
iterations (x500)

Fig.3-7 Input and output SINR with five elements smart-antennas, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), DOA of desired
π
signal= .
6
antennas=5, SINR=0 dB
5

Desired Signal's DOA=30o

0

-5

-10
Array Gain (dB)

-15

-20

-25
Theory
Simulation
-30

-35
-100 -80 -60 -40 -20 0 20 40 60 80 100
Azimuth Angle (deg.)

Fig.3-8 Beam-pattern of five elements smart-antennas, under the

parameters: N t = 31 , µ t = µs = 0.001 , SINR =0(dB), DOA of
π
desired signal= .
6

- 41 -
 antenna=1, SINR= -10 dB
0.09
H1 Theory
0.08 H0 Theory
H1 Simulation
H0 Simulation
0.07

0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8
||wt||2

Fig.3-9 PDF of proposed WVSN test method with single antenna, under the
parameters: N t = 31 , µ t = µs = 0.001 , SINR =-10(dB).

antennas=5, SINR= -10 dB

0.09
H1 Theory
0.08 H0 Theory
H1 Simulation
H0 Simulation
0.07

0.06

0.05
pdf

0.04

0.03

0.02

0.01

0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8
||wt||2

Fig.3-10 PDF of proposed WVSN test method with five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =-10(dB).

- 42 -
 SINR= -10 dB

M=1,H0
11
M=1 H1
10
MSE

M=5 H0
3
M=5 H1
2

0
0 2 4 6 8 10 12 14 16 18 20
iterations (x500)

Fig.3-11 Averaged MSE with single antenna and five elements smart-antennas,
under the parameters: N t = 31 , µ t = µs = 0.001 , SINR =-10(dB).

- 43 -
 1

0.9

0.8
Detection Probability

0.7

0.6 M=1 Simulation

M=3 Simulation
0.5 M=5 Simulation
M=1 Theory
0.4 M=3 Theory
M=5 Theory
0.3

0.2

0.1
-25 -20 -15 -10 -5 0
SINR (dB)

Fig.3-12 Detection Probability for the systems with different number of antennas
provided Pfo equal 0.01, under the parameters: N t = 31 ,
µ t = µs = 0.001 .

0.015

0.014

0.013 Theory
out of phase False-Alarm Probability

M=1
0.012 M=3
M=5
0.011

0.01

0.009

0.008

0.007

0.006

0.005
-24 -22 -20 -18 -16 -14 -12 -10 -8 -6 -4
SINR (dB)

Fig.3-13 Out of phase False-Alarm Probability for the systems with different
number of antennas, under the parameters: N t = 31 , µ t = µs = 0.001 .

- 44 -
 6
10
Mean Acquisition Time (chips)

5
10

M=1 Simulation
10
4 M=3 Simulation
M=5 Simulation
M=1 Theory
M=3 Theory
M=5 Theory

3
10
-25 -20 -15 -10 -5 0
SINR (dB)

Fig.3-14 Mean Acquisition Time (MAT) for the systems with different number of
antennas, under the parameters: N t = 31 , µ t = µs = 0.001 , the
false-alarm penalty time Tp is 104 chips.

- 45 -
 1 M=1 Simulation
M=3 Simulation
0.9 M=5 Simulation
M=1 Theory
0.8 M=3 Theory
M=5 Theory
0.7
Detection Probability

0.6

0.5

0.4

0.3

0.2

0.1

0
-24 -22 -20 -18 -16 -14 -12 -10 -8 -6 -4 -2
SINR (dB)

Fig.3-15 Detection Probability for the systems with different number of antennas
provided Pfo equal 0.01, under the parameters: N t = 31 ,
µ t = 0.01, µs = 0.0001 .

0.015

0.014

0.013 Theory
out of phase False-Alarm Probability

M=1
0.012 M=3
M=5
0.011

0.01

0.009

0.008

0.007

0.006

0.005
-24 -22 -20 -18 -16 -14 -12 -10 -8 -6 -4
SINR (dB)

Fig.3-16 Out of phase False-Alarm Probability for the systems with different
number of antennas, under the parameters: N t = 31 ,
µ t = 0.01, µs = 0.0001 .

- 46 -
 6
10
Mean Acquisition Time (chips)

M=1 Simulation
M=3 Simulation
M=5 Simulation
M=1 Theory
M=3 Theory
5
10 M=5 Theory

4
10

-25 -20 -15 -10 -5 0

SINR (dB)

Fig.3-17 Mean Acquisition Time (MAT) for the systems with different number of
antennas, under the parameters: N t = 31 , µ t = 0.01, µs = 0.0001 , the
false-alarm penalty time Tp is 104 chips.

- 47 -
 Chapter 4

Conclusions

In the code acquisition system, the decision variable plays an important role for
the performance of mean acquisition time (MAT). In chapter 2, a new decision device,
referred to as the weight vector square norm (WVSN) test method, has been proposed
associated with the adaptive LMS filtering scheme for code acquisition in DS-CDMA
system. The proposed scheme could perform the non-coherent case provided that the
variations of channel-phase are relatively slow compared to the adaptation period. The
system probabilities of the proposed scheme have been derived for evaluating the
mean acquisition time (MAT). From numerical analyses and simulation results, the
performance of the proposed scheme, in terms of detection probability and MAT, is
superior to the conventional scheme with mean-squared error (MSE) test method,
especially when the signal-to-interference-plus-noise ratio (SINR) is relatively low.
As evident from Fig.2-10, we learned that, under the SINR=−15dB case, the detection
probability of the proposed scheme approaches to one but that of the conventional
MSE scheme approaches to zero, provided that the false alarm probability equals 0.01.
Correspondingly, the proposed scheme has better MAT performance as shown in
Fig.2-11.
In chapter 3, an efficient and joint-adaptation code acquisition scheme, i.e., a
smart antenna coupled with the proposed adaptive LMS filtering scheme with the
WVSN test method, has been devised for DS-CDMA system at a base station. The
performance of the proposed scheme was theoretically analyzed and also simulated in
terms of detection probability and MAT, provided that the false alarm probability
equals 0.01. Theoretical analyses agreed quite well to the simulation results under the
variation of SINR. Moreover, the output SINR, the detection probability and the MAT,
could be improved by around 7 dB when the smart antenna having five elements is
employed. This is because the smart antenna employed in the proposed scheme could
be used to suppress interference.
In addition, in chapter 3, we have derived that the expression of the adaptation
period shown in Eq.(3-42) is composed of the step sizes and eigenvalues of both smart
antenna and adaptive filter. This expression may provide us to choose different
step-size in both smart antenna and adaptive filter to yield different MAT
performance, as shown in Figs.3-14 and 3-17. Of course, the optimum step-size for
MAT performance is a research problem in the future.

- 48 -
 Appendix-A

The Mean and Variance of Weights of Adaptive Filter

Using LMS Algorithm

The mean and variance of weights, and MMSE value of adaptive filter using LMS
algorithm, will be derived for evaluating the performance of mean acquisition time
and system profanities in this appendix. First, recall that the cost function for
acquisition system proposed in chapter 2 is defined in Eq.(2-15),

ξ = E ( e(n) )
2
(A-1)

The minimum mean square error is now obtained by substituting w opt

t into

Eq.(2-15),

ξ min = (w opt
t ) R c w t − ( w t ) p c x − p c x w t + E ( x ( n) )
H opt opt H H opt 2
1 1 1
(A-2)

By assuming R c1 to be identity matrix of dimension N t , the first term of

Eq.(A-2) can be written as

 Lin
≅ ∑
β1l
2
opt 2  under H1
(w ) R c1w t,opt = w
opt H
t t l =1 (A-3)
0
 under H 0

Where Lin is number of paths for user 1 in the searching cell. The second and third
term are

 Lin
≅ ∑
β1l
2
opt 2  under H1
(w ) p c1 x = (w ) w
opt H
t
opt H
t
opt
t = w t l =1 (A-4)
0
 under H 0

We may find that Eq.(A-4) is the same as Eq.(A-3).And, the final term is
L1
E ( x(n) ) ≅ ∑ β1l + σ I2
2 2
(A-5)
l =1

From Eq.(A-3) to Eq.(A-5), the minimum mean square error can be defined as
 1 L1 Lin

 J min ≡ (∑ β1l − ∑ β1l ) + σ I

2 2 2
,under the hypothesis H1
 l =1 l =1
 L1
(A-6)
J 0 ≡
 min ∑
β1l + σ I 2
2
,under the hypothesis H 0
l =1

Furthermore, in this appendix, the steady state variance of weight vector of FIR

- 49 -
filter using the LMS algorithm with WVSN approach under different hypothesis, viz.,
H1 and H 0 , are derived for evaluating the performance of MAT and system
probabilities. It is known that the updating equation of the weight vector with the
adaptive LMS algorithm is

w t (n + 1) = w t (n) − µ t c1 (n)e∗ (n) = w t (n) − µ t c1 (n)[w tH (n)c1 (n) − x(n)]∗ (A-7)

and the optimum weight vector w opt

t can be obtained and given by

w opt
t = R c−11Pc1x (A-8)

where R c1 = E[c1 (n) ⋅ c1T (n)] and Pc1 x = E[c1 (n) x∗ (n)] are defined as the
auto-correlation matrix of input signal and the cross-correlation vector of c1 (n) and
x(n) . To derive the statistics of weight vector under different hypothesis, first, define
the weight-error vector

ε t (n) = w t (n) − w opt

t (A-9)

By subtracting w opt
t from both sides of Eq.(A-9), we get

ε t (n + 1) = w t (n + 1) − w opt
t = w t (n) − µ t c1 (n)[w tH (n)c1 (n) − x(n)]∗ − w opt
t

∗
= w t (n) − w opt
t − µt c1 ( n)c1 ( n) w t ( n) + µt c1 ( n) x ( n)
T

∗
= w t (n) − w opt
t − µt c1 ( n)c1 ( n)( w t ( n) − w t ) − µt c1 ( n)c1 ( n) w t + µt c1 ( n) x ( n)
T opt T opt

∗
= [I Nt − µt c1 (n)c1T (n)](w t (n) − w opt
t ) − µt c1 ( n)c1 ( n) w t + µt c1 ( n) x ( n)
T opt

∗
= [I Nt − µt c1 (n)c1T (n)]ε t (n) − µt c1 (n)c1T (n)w opt
t + µt c1 ( n) x ( n)

∗
= [I Nt − µt c1 (n)c1T (n)]ε t (n) − µt c1 (n)[c1T (n)w opt
t − x ( n)]

∗
= [I Nt − µt c1 (n)c1T (n)]ε t (n) − µt c1 (n)[(w opt
t ) c1 ( n) − x ( n)]
H

= [I Nt − µt c1 (n)c1T (n)]ε t (n) − µt c1 (n)e∗opt (n)

- 50 -
 (A-10)

where e opt (n) = (w opt

t ) c1 ( n) − x ( n) is the estimation error when the optimum
H

solution is achieved. We can show that the expected value of error weight vector of
Eq.(A-10), E[ε(n)] , is expressed as

ε t,mean (n + 1) = E[ε (n + 1)] = [I Nt − µ t R c1 ]ε t,mean (n) − µ t E[c1 (n)e∗opt (n)] (A-11)

Note that the last term of Eq.(A-11) is zero because c1 (n) and e∗opt (n) are

independent. Then

ε t,mean (n + 1) = [I Nt − µt R c1 ]ε t,mean (n) (A-12)

With the initial weight vector ε t,mean (0) , Eq.(A-12) can be rewritten as

ε t,mean (n) = [I Nt − µt R c1 ]n ε t,mean (0) (A-13)

Thus, as n increases without bound, we see that the expected weight vector in (A-13)

reaches the optimum solution only if the right hand side of the equation converges to

zero. Let Q c1 and Λ c1 be the corresponding eigenvector and eigenvalue of R c1 ,

Eq.(A-13) can be represented as

ε 't,mean (n) = [I Nt − µt Λ c1 ]n ε 't,mean (0) (A-14)

, where ε 't,mean (n) = Q c−11ε t,mean (n) . We saw in Eq.(A-14) that such convergence is

guaranteed only if [15][16]

2
0 < µt < (A-15)
λt,max

, where λt,max is the largest eigenvalue of correlation matrix R c1 .

By definition, the correlation matrix of the weight-error vector is designed by

K (n + 1) = E[(ε t (n + 1)ε t H (n + 1)] , we have

K (n + 1) = E{([I − µ t c1 (n)c1H (n)]ε t (n) + eopt

∗
(n)µ t c1 (n))

- 51 -
 ([I − µ t c1 (n)c1H (n)]ε t (n) + eopt
∗
(n)µ t c1 (n)) H }

= (I − µ t E[c1 (n)c1H (n)]) E[ε t (n)ε t H (n)](I − µ t E[c1H (n)c1 (n)])

∗
+ E (eopt (n)eopt (n))µ t 2 R c1

+ E{eopt (n)[I − µ t c1 (n)c1H (n)]ε t (n)c1H (n) µ t }

∗
+ E{eopt (n)µ t c1 (n)ε H t (n)[I − µ t c1H (n)c1 (n)]} (A-16)

Deduce the independence assumption E[eopt (n)c1 (n)] = 0 again [16], the last two

terms in Eq.(A-16) are zeros, then we get from Eq.(A-16),

K (n + 1) = (I − µ t R c1 )K (n)(I − µ t R c1 ) + E (eopt
∗
(n)eopt (n))µ t 2 R c1

= (I − µ t R c1 )K (n)(I − µ t R c1 ) + J min µ t 2 R c1 (A-17)

∗
Where , E (eopt (n)eopt (n))=J min is the minimum mean square error.

Taking eigen-dcomposition on R c1 to obtain

Q c1H R c1Q c1 = Λ c1 (A-18)

Note that the matrix Λ c1 is real valued. Furthermore, let

Q c1H K (n)Q c1 = K t (n) (A-19)

We may rewrite the recursive equation (A-17) in terms of K t (n) and Λ c1 as

follows:

K t (n + 1) = (I − µ t Λ c1 )K t (n)(I − µ t Λ c1 ) + J min µ t 2 Λ c1 (A-20)

The i th element of the diagonal term of K t (n + 1) is

k t,i (n + 1) = (1 − µ t,i λt,i ) 2 k t,i (n) + J min µ t,i 2λt,i (A-21)

When n → ∞, k t,i (n + 1) = k t,i (n) , Eq.(A-21) will becomes

µ t,i J min
k t,i (∞) = ,i = 1, 2,..., N t (A-22)
2 − µ t,i λt ,i

- 52 -
If µ ts,i is small enough, the denominator of (A-22) will be dominated by "2",i.e,

µ t,i J min
kt,i (∞) ≅ (A-23)
2
We note that,
Nt
trace(K (∞)) = ∑ E[( wt,i (n) − wt,opti ) 2 ] (A-24)
i =1

The operator trace( A ) is the sum of diagonal terms of matrix A . Assume all the
weights have the same variance,

var[ wt,i (n)] = E[( wt,i (n) − wt,opti ) 2 ] ≡ σ w2 t , i =1,2,...,N t (A-25)

Then trace(K (∞)) can be reword as,

trace(K (∞)) = N tσ w2 t (A-26)

Form Eq.(A-20) and Eq.(A-26),

N t µ t J min
trace[K t (∞)] = trace[K (∞)] ≅ (A-27)
2
From (A-26) and (A-27), the variance of tap weights is
µ t J min
σ w2 =
t
(A-28)
2
Finally, we may summarize the statistics of weight vectors, using the adaptive LMS
algorithm, evaluated under hypotheses H1 and H 0 . From Eq.(2-30) and Eq.(2-31),
the mean of weight vectors are:

 L1
E[w t (n)] = ∑
 β1∗l ∆1l under H1
l =1 (A-29)
 0
 under H 0

And substitute Eq.(A-6) into Eq.(A-28), the variance of weight vectors under

hypotheses H1 and H 0 are

 µ t L1 Lin

∑ β − ∑ β1l ) + σ I 2 ] ,under the hypothes H1

2 2
 [(
 2 l =1
1l
l =1
σ w2 = (A-30)
 µt (
t L1

 2 ∑
β1l + σ I 2 )
2
,under the hypothes H 0
l =1

- 53 -
 Appendix-B

The Square Norm of Optimal Weight Vector

In this appendix, we will derive the square norm of optimal weight vector. At first,
from Eq.(2-30), square-norm of optimal weight vector can be written as
L1 L1
= (∑ β1∗l1 ∆1l1 ) H ∑ β1∗l 2 ∆1l 2
2
w opt
t (B-1)
l 1 =1 l 2 =1

Assume the delay difference for each paths are large enough, then

 ∆
2
l1 = l 2
∆1Hl1 ∆1l 2 ≅  1l (B-2)
 0 l1 ≠ l 2

From Eq.(B-2), rearrange Eq.(B-1),

L1
= ∑ β1l
2 2
∆1l
2
w opt
t (B-3)
l =1

From Eq.(2-28), the q th element of ∆1l is sinc[D1l − (q − 1)] , therefore,

Nt
∆1l = ∑ sinc[D1l − (q − 1)]2
2
(B-4)
q =1

Assume N t is large enough, Eq.(B-4) will be

Nt
 1 ,under H1
∆1l = ∑ sinc[D1l − (q − 1)]2 ≅ 
2
(B-5)
q =1 0 ,under H 0

Consequently, from Eq.(B-3) and Eq.(B-4), the square-norm of optimal weight vector
is
 Lin
 ∑ β1l ,under H1
2
L1
≅ ∑ β1l ∆1l =  l =1
2
opt 2 2
wt (B-6)
l =1 0
 ,under H 0
Where Lin is the number of paths for user 1 in the searching cell.

- 54 -
 Appendix-C

Joint Recursive Formulas for Spatial and Temporal Filters

The recursive formulas of joint adaptation filtering scheme using CLMS and LMS
algorithm will be derived in this appendix. In the adaptive process for temporal filter,
at each iteration, we have a gradient estimate of the form:
1 ∂ξ st (n)
∇ t ( n) = = c1 (n)c1 (n) H w t (n) − c1 (n)x(n) H w s (n)
2 ∂w t (n)

=c1 (n)[d ∗ (n)-y ∗ (n)]=c1 (n)est∗ (n) (C-1)

With this estimate of the gradient, we can now specify a steepest-descent type of
adaptive Least-Mean-Square (LMS) algorithm from [15],
w t (n + 1) = w t (n) + µ t [-∇ t (n)]

= w t (n) − µ t est∗ (n)c1 (n) (C-2)

By the same way, a gradient estimate of the spatial filter is

1 ∂ξ st (n)
∇ s ( n) = = x(n)x(n) H w s (n) − x(n)c1 (n) H w t (n) + Csλ s
2 ∂w s (n)

= x(n)[ y ∗ (n)-d ∗ (n)] + Csλ s = − x(n)est∗ (n) + Csλ s (C-3)

Then the adaptive constraint LMS algorithm for spatial filter is

w s (n + 1) = w s (n) + µs [-∇s (n)] = w s (n) − µs x(n)est∗ (n) + µsCsλ s (C-4)

The spatial filter tap weights have to satisfy constraint in each iteration, that’s

CsH w s (n + 1) = CsH w s (n) − µsCsH x(n)est∗ (n) + µsCsH Csλ s = bs (C-5)

Now we can solve λ s ,

1 1
λ s = (CsH Cs ) −1[ CsH w s (n) + CsH x(n)est∗ (n) − bs ] (C-6)
µs µs
Substitute Eq.(C-6) into Eq.(C-4) and arrange those terms to obtain:
1 1
w s (n + 1) = w s (n) − µs x(n)est∗ (n) + µsCs {(CsH Cs ) −1[ CsH w s (n) + CsH x(n)est∗ (n) − bs ]}
µs µs

- 55 -
 = [I − Cs (CsH Cs ) −1 CsH ][w s (n) + µs x(n)est∗ (n)] + Cs (CsH Cs ) −1 bs (C-7)

We define,

Ps ≡ [I − Cs (CsH Cs ) −1 CsH ] (C-8)

fs = Cs (CsH Cs ) −1 bs (C-9)

Then the adaptive constrained LMS algorithm [26] for spatial filter can be written as

w s (n + 1) = Ps [w s (n) + µs x(n)est∗ (n)] + fs (C-10)

- 56 -
 Appendix-D

The Mean and Variance of Weight Vector for

Joint Adaptation Acquisition System

In this appendix, the mean and variance of weights and MMSE values will be
derived for evaluating the performance of mean acquisition time and system
probabilities for the proposed joint adaptation acquisition system. At first, recall that
the cost function for our joint adaptation acquisition system proposed in chapter 3 is
defined as:
2
ξst = E ( est (n) ) + 2λ sH (CsH w s − b s ) (D-1)

The minimum mean square error is now obtained by substituting w opt

t and w sopt

into Eq.(3-12),

ξ min
st
= (w opt
t ) R c w t − (w t ) R c x w s − (w s ) R c x w t + (w s ) R x w s
H opt
1
opt H opt opt H
1
H opt opt H
1
opt
(D-2)

By assuming R c1 to be identity matrix of dimension N t , the first term of

Eq.(D-2) can be written as

⎧ Lin
≅⎨∑
2
opt 2 ⎪ η1l under H1
(w ) R c1w t,opt = w
opt H
t t l =1 (D-3)
⎪0 under H 0
⎩
Where Lin is number of paths for user 1 in the searching cell. The second and third
term are

⎧ Lin
≅⎨∑
2
opt 2 ⎪ η1l under H1
(w ) R c1x w s,opt = (w ) w
opt H
t
opt H
t
opt
t = w t l =1 (D-4)
⎪0 under H 0
⎩

We may find that Eq.(D-4) is the same as Eq.(D-3). And, the final term is

(w sopt ) H R x w sopt = (w sopt ) H E[x(n)x(n) H ]w sopt

= (w sopt ) H E[(x1 (n)+x I (n))(x1 (n)+x I (n)) H ]w sopt (D-5)

Because x1 (n) and x I (n) are uncorrelated,

- 57 -
 H
w s,opt R x w s,opt = E[((w sopt ) H x1 (n))((w sopt ) H x1 (n))∗ ] + E[((w sopt ) H x I (n))((w sopt ) H x I (n))∗ ]
L1 L1
= E{[∑ β1l1 c1 (t − τ 1l1 )(w ) ⋅ a1l1 ][∑ β1l 2 c1 (t − τ 1l 2 )(w sopt ) H ⋅ a1l 2 ]∗ }
opt H
s
l 1 =1 l 2 =1

+ (w ) (σ I I M )w
opt H
s
2 opt
s

L1 L1
= E{[∑ η1l1 c1 (t − τ 1l1 )][∑ η1l 2 c1 (t − τ 1l 2 )]∗} + (w sopt ) H (σ I 2 I M )w sopt (D-6)
l 1 =1 l 2 =1

Note that,

⎧ 1 l 1 =l 2
E[c1 (t − τ 1l1 )c1 (t − τ 1l 2 )] ≅ ⎨ (D-7)
⎩0 l 1 ≠ l 2

Therefore, Eq.(D-6) can be written as

L1
(w sopt ) H R x w sopt = ∑ η1l E[c1 (t − τ 1l )c1 (t − τ 1l )] + (w sopt ) H (σ I 2 I M )w sopt
2

l =1
L1
= ∑ η1l + (w sopt ) H (σ I 2 I M )w sopt
2
(D-8)
l =1

Because (w sopt ) H w sopt = 1 , then

M
L1
(w sopt ) H R x w sopt = ∑ η1l + σ I 2 / M
2
(D-9)
l =1

From Eq.(D-3), Eq.(D-4) and Eq.(D-9), the minimum mean square error for
joint adaptation acquisition system is
⎧ 1 L1 Lin

⎪ min ∑ 1l ∑
2 2
J ≡ ( η − η1l ) + σ I 2 / M ,under the hypothes H1
⎪ l =1 l =1
⎨ L1
(D-10)
⎪J 0 ≡
⎪⎩ min ∑
2
η1l + σ I 2 / M ,under the hypothes H 0
l =1

, where Lin is the number of paths for user 1 in the searching cell.
In this appendix, we will also demonstrate the variance of weight vectors. First,
define a cascade weight vector as:

w ts (n) = [w t T (n), w sT (n)]T (D-11)

, the variance of elements in the cascaded weight vector,

var( wts,i (n)) = E[( wts,i (n) − E ( wts,i (n)) 2 ]

= E[( wts,i (n) − wts,opti ) 2 ] = E[ε ts,i (n) 2 ] (D-12)

- 58 -
, where, a cascaded weight-error vector is defined as:

ε ts (n) = [ε ts,1 (n), ε ts,2 (n),...., ε ts,Nt + M (n)]T = w ts (n) − w opt

ts (D-13)

It's clear that, our purpose is to find the expect value of ε ts (n) 2 .

The error signal is:

ets (n) = w tH (n)c1 (n) − w sH (n)x(n)

= [w t (n) − w opt
t ] c1 ( n) − [ w s ( n) − w s ] x ( n) + ( w t ) c1 ( n) − ( w s ) x( n)
H opt H opt H opt H

= ε t (n) H c1 (n) − ε s (n) H x(n) + eopt (n) (D-14)

, where, ε t (n) and εs (n) are temporal and spatial weight-error vector:

ε t (n) = w t (n) − w opt

t (D-15)

ε s (n) = w s (n) − w sopt (D-16)

, and the optimal error signal eopt (n) is:

eopt (n) = (w opt

t ) c1 ( n ) − ( w s ) x( n)
H opt H
(D-17)

From the conventional CLMS algorithm, the cascade recursive equation is

w ts (n + 1) = Pts [w ts (n) − µ ts z (n)ets∗ (n)] + f ts (D-18)

, where

w ts (n) = [(w t (n))T , (w s (n))T ]T

z (n) = [c1T (n), − xT (n)]T (D-19)

⎡I 0 ⎤
Pts = ⎢ ⎥ (D-20)
⎣ 0 Ps ⎦

⎡ µ I Nt 0 ⎤
µ ts = ⎢ t (D-21)
⎣ 0 µs I M ⎥⎦

f ts = ΛH (ΛΛH ) −1 b s = [0TNt ×1 , fsT ]T (D-22)

, and Λ is,

- 59 -
Λ = ⎡⎣0 Cs H ⎤⎦ with Λw ts = bs (D-23)

Let ε ts (n) = [ε t T (n), ε sT (n)]T , then from Eq.(D-14) and Eq.(D-19),

ets (n) = w tsH (n)z (n) = ε tsH (n)z (n) + eopt (n) (D-24)

Hence, the recursive equation of cascaded error weight vector can be obtained,

∗
ε ts (n + 1) = w ts (n + 1) − w opt
ts = Pts [ w ts ( n) − µ ts z ( n)ets (n)] + f ts − w ts
opt

∗
= Pts [ε ts (n) − µ ts z (n)z H (n)ε ts (n)] − Ptsµ ts z (n)eopt (n) + f ts + Pts w opt
ts − w ts
opt

∗
= Pts [I − µ ts z (n)z H (n)]ε ts (n) − Ptsµ ts z (n)eopt (n) + f ts + (Pts − I Nt + M )w opt
ts

∗
= Pts [I − µ ts z (n)z H (n)]ε ts (n) − Ptsµ ts z (n)eopt (n) + f ts − ΛH (ΛΛH ) −1Λw opt
ts

∗
= Pts [I − µ ts z (n)z H (n)]ε ts (n) − Ptsµ ts z (n)eopt (n) + f ts − ΛH (ΛΛH ) −1 b s

∗
= Pts [I − µ ts z (n)z H (n)]ε ts (n) − Ptsµ ts z (n)eopt (n) (D-25)

The matrix Ps performs orthogonal projection onto a subspace orthogonal to the

row space of the constraint matrix Cs H [30][31].The matrix Pts is also a projection

matrix. A projection matrix is a square matrix that is both symmetric and idempotent
[31]. These properties are crucial in subsequent derivations. Let us investigate the
characteristics of Pts . Since Pts performs an orthogonal projection onto a subspace

S Λ ⊥ orthogonal to the subspace SΛ spanned by the rows of Λ , we can find na

mutually orthogonal eigenvectors in S Λ with eigenvalue 0. Similarly, we can also

find M + N -na mutually orthogonally eigenvectors in S Λ ⊥ with eigenvalue 1. We

can easily deduce the following:

E[eopt (n)c1 (n)] = 0 and E[eopt (n)Ps x(n)] = 0 (D-26)

Consequently, the principle of orthogonality in the case of CLMS becomes:

E[eopt (n)Pts z (n)] = 0 (D-27)

, note that Pts is singular if there is at least one constraint. Thus, in general, we
cannot conclude that:

- 60 -
E[eopt (n)z (n)] = 0 (D-28)

Initializing the tap-weights to satisfy the constraint Cs H w s =bs , we find that ε ts (0)

is parallel to the subspace S Λ and ε ts (0) = Ptsε ts (0) . In addition, since the tap-weights
lie on the constraint hyper plane at every adaptation step, i.e.,
ε ts (n) ∈ Range(Pts ) ,then ,
ε ts (n) = Ptsε ts (n), n>0 (D-29)
Since Pts is idempotent, we have:

ε ts (n) = Pts k ε ts (n), k ∈ Z + , n = 0,1, 2,.... (D-30)

By substituting u(n) = Pts z (n) into Eq.(D-25), and from Eq.(D-29), ε ts can be
represent as
∗
ε ts (n + 1) = [I − µ tsu(n)u H (n)]ε ts (n) + eopt (n)µ tsu(n) (D-31)

We can show that the expected value of error weight vector of Eq.(D-31), E[ε ts (n)] ,
is expressed as
∗
ε ts,mean (n + 1) = E[ε ts (n + 1)] = [I − µ ts R u ]ε ts,mean (n) + µ ts E[eopt (n)u(n)] (D-32)

By invoking the independence assumption in Eq.(D-27), Eq.(D-32) becomes

ε ts,mean (n + 1) = [I − µ ts R u ]ε ts,mean (n) (D-33)

Change Eq.(D-33) to the principal-axis coordinate system by using the variable

transform,

Qu ε 'ts,mean (n + 1) = [I − µ ts R u ]Qu ε 'ts,mean (n) (D-34)

then,

ε 'ts,mean (n + 1) = Q −1u [I − µ ts R u ]Quε 'ts,mean (n) = [I − µ tsQ −1u R u Qu ]ε 'ts,mean (n)

= [I − µ ts Λ u ]ε 'ts,mean (n) (D-35)

, where, Λ u is a diagonal matrix consisting of the eigenvalues of R u , and Qu is the

unitary matrix consisting of eigenvectors associated with these eigenvalues.
Furthermore, reasoning inductively, the solution to Eq.(D-35) must be

ε 'ts,mean (n + 1) = (I − µ ts Λ u ) n ε 'ts,mean (0) (D-36)

The result in Eq.(D-36) shows that the LMS algorithm is stable when

- 61 -
lim(I − µ ts Λ u ) n = 0 (D-37)
n→∞

In this form, the convergence conduction is satisfied by choosing step-size as,

2
0 < µt < (D-38)
λt,max

and
2
0 < µs < (D-39)
λs,max

, where µt and µs are the step-size of temporal and spatial filter. And, λt,max is the

maximum eigenvalue of correlation matrix R c1 ; λs,max is the maximum eignevalue of

matrix Ps R x PsH = σ I2 Ps .

By definition, the correlation matrix of the weight-error vector ε ts (n) is

K (n) = E (ε ts (n)ε ts H (n)) (D-40)

Hence, applying this definition to the stochastic difference

∗
K (n + 1) = E{([I − µ ts u(n)u H (n)]ε ts (n) + eopt (n)µ ts u(n))

∗
([I − µ ts u(n)u H (n)]ε ts (n) + eopt (n)µ ts u(n)) H }

= (I − µ ts E[u(n)u H (n)]) E[ε ts (n)ε ts H (n)](I − µ ts E[u H (n)u(n)])

∗
+ E (eopt (n)eopt (n))µ ts 2 R u + E{eopt (n)[I − µ ts u(n)u H (n)]ε ts (n)u H (n)µ ts }

∗
+ E{eopt (n)µ ts u(n)ε H ts (n)[I − µ ts u H (n)u(n)]} (D-41)

From Eq.(D-27), the last two terms of Eq.(D-41) are zeros [16][29], then
∗
K (n + 1) = (I − µ ts R u )K (n)(I − µ ts R u ) + E (eopt (n)eopt (n))µ ts 2 R u

= (I − µ ts R u )K (n)(I − µ ts R u ) + J min µ ts 2 R u (D-42)

∗
Where, E (eopt (n)eopt (n))=J min is the minimum mean square error.

Furthermore, let

Q H K (n)Q = K ts (n) (D-43)

- 62 -
We may rewrite the recursive Eq.(D-42) in terms of K ts (n) and Λ u as follows:

K ts (n + 1) = (I − µ ts Λ u )K ts (n)(I − µ ts Λ u ) + J min µ ts 2 Λ u (D-44)

The i th element of the diagonal term of K ts (n + 1) is

k ts,i (n + 1) = (1 − µ ts,i λu ,i ) 2 kts,i (n) + J min µ ts,i 2 λu ,i (D-45)

When n → ∞, k ts,i (n + 1) = k ts,i (n) , Eq.(D-45) will become

µ ts,i J min
k ts,i (∞) = ,i = 1, 2,..., N t + M (D-46)
2 − µ ts,i λu ,i

If µ ts,i is small enough, the denominator of Eq.(D-46) will be dominated by "2",i.e,

µ ts,i J min
kts,i (∞) ≅ (D-47)
2
We note that :
Nt + M
trace(K (∞)) = ∑i =1
E[( wts,i (n) − wts,
opt 2
i) ] (D-48)

The operator trace( A ) is the sum of diagonal terms of matrix A . Assume all the
weights has the same variance,

var[ wts,i (n)] = E[( wts,i (n) − wts, i ) ] ≡ σ w ts , i =1,2,...,N t + M

opt 2 2
(D-49)

Then trace(K (∞)) can be reword as,

trace(K (∞)) = ( N t + M ) ⋅ σ w2 ts (D-50)

form Eq.(D-44) ,
Nt + M

∑µ ts,i J min
trace[K ts (∞)] = trace[K (∞)] ≅ i =1
(D-51)
2
We define the "average" variance of tap-weights as:
trace[K (∞)] trace[K ts (∞)]
σ w2 ts = k av (∞) = = ktsav (∞) = ,M>1 (D-52)
Nt + M Nt + M
Then the approximating weight variance is
µ av J min
σ w2 ≅ (D-53)
ts
2
where ,

- 63 -
 Nt + M

∑µ ts,i
µ =
av i =1
,M>1 (D-54)
Nt + M

In the case of only one antenna, in Eq.(D-11), the w s (n) will always be unity

because of the w s (n) have to satisfy the uni-norm power constraint in each iteration.

Therefore, in Eq.(D-16), ε s ( n) will equal to zero. In other word, w s (n) have no

contribution to the variance of weights. Consequently, form Eq.(D-48) and

Eq.(D-49) ,
Nt + M Nt
trace(K (∞)) = ∑i =1
E[( wts,i (n) − wts, i ) ] = ∑ E[( wt,i ( n) − wt,i ) ]
opt 2

i =1
opt 2

Nt

∑µ t,i J min
≅ i =1
= N tσ w2 t (D-55)
2
Therefore, the variance of weights for the case of single antenna,
µ t J min
σ w2 ≅ (D-56)
t
2
We can find that Eq.(D-56) is the same as Eq.(A-28) in Appendix-A.

Finally, we may summarize the statistics of weight vectors for adaptive acquisition
system with smart-antennas (M>1) under hypothesis H1 and H 0 . From Eq.(3-28)
the mean of weight vectors are:

⎧ ∗ L1

E[w t (n)] = ⎨ 11 11 ∑
⎪ β ∆ + η1l ∆1l under H1
l =2 (D-57)
⎪ 0 under H 0
⎩

Substitute Eq.(D-10) into Eq.(D-53), the variance of weight vectors under hypotheses

H1 and H 0 are
⎧ µ av L1 Lin
[(∑ η1l − ∑ η1l ) + σ I 2 / M ] ,under the hypothes H1
2 2
⎪
⎪ 2
σ w2 ≅ ⎨ av L l =1 l =1
(D-58)
⎪µ (
ts 1

⎪⎩ 2 ∑
2
η1l + σ I 2 / M ) ,under the hypothes H 0
l =1

- 64 -
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