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4, APRIL 2005

Yong Ching Lim, Fellow, IEEE, Yue Xian Zou, Member, IEEE, and N. Zheng

Abstract—In the implementation of an adaptive notch filter will outperform a fixed step-size algorithm if appropriate step

using the least mean squares (LMS) algorithm, the zero of the sizes are obtainable. Several techniques for obtaining the step

filter is steered toward the input sinusoid based on the gradient sizes have been reported in the literature to support the variable

information. The convergent may be speeded up if a larger step

size is used when the zero of the notch filter is far away from the step-size LMS (VSLMS) algorithm [6]–[12]. All of these al-

frequency of the input sinusoid. The gradient provides informa- gorithms derive the step-size based on the estimation errors at

tion on the direction where the zero should be steered but does several time instants (i.e., time domain averaging).

not provide information on the distance between the zero and Harris et al. [6] suggested a method that makes use of the sign

the frequency of the sinusoid. Conventional variable step-size

change between consecutive gradient estimates to determine the

algorithms determine the step size based on a (linear/nonlinear)

weighted average of the gradient estimate at several sampling step size. If the signs of the gradient estimates for several con-

instances (time domain averaging). In this paper, we propose a secutive input samples are unchanged, it is assumed that the dis-

new method for extracting information on the distance between tance between the zero of the notch and the frequency of the

the frequency of the input sinusoid and the zero of the notch. We sinusoid is large; the step size is then increased by a predeter-

use three (or more) notches, namely, a main notch and two (or

more) pilot notches implemented with minimal additional cost.

mined factor. If the signs of the gradient estimates alternate for

The pilot notches are used to analyze the gradient estimates at several consecutive samples, it is assumed that the zero of the

the same sampling instance but at several frequency points as notch filter has converged; the step size is thus decreased by a

the main notch. Simulation results show that our new piloted predetermined factor.

notch technique is significantly superior to step-size determination The step size may also be made a function of the gradient es-

based on a time-averaging technique. Novel theoretical analysis

is presented. Our method can be used in conjunction with most timate. After an adaptive algorithm has converged, the expected

existing algorithms to determine the step size. value of the gradient estimate will tend to zero. Hence, the mag-

Index Terms—Adaptive notch filter, fast convergence, least mean nitude of the expected value of the gradient estimate is a measure

squares algorithm, low misadjustment, pilot notches, steering di- of the state of convergence. The expected value of the gradient

rection, variable step-size algorithm. estimate can be estimated by lowpass filtering the gradient esti-

mate. Let denote the lowpass filtered value of the gradient

estimate at time . The step size can be made proportional to the

I. INTRODUCTION

magnitude of or to a function of the magnitude of .

[1]–[5], the notch frequency is updated every sampling in-

stance and eventually converges to the frequency of the input

This approach has been adopted by Karni et al. [7] and Shan et

al. [8].

Farhang [19] and Mathews and Xie [13] proposed using the

sinusoid. There are many reports on the analysis, improvement product of consecutive gradient estimates to update the step size.

of convergence speed, and complexity reduction for adaptive This is developed based on the fact that for an adaptive algo-

filters [14]–[16]. The convergence rate and the misadjustment rithm, after convergence has been achieved, the solution will

after convergence are influenced by the adaptation step size [2]. wander around the optimum point; this causes the gradient es-

A larger adaptation step size will result in a faster convergence timate to change sign rapidly. If the product of consecutive gra-

rate but will yield a larger misadjustment. Ideally, a large step dient estimates is negative, then there is a change in the sign of

size should be used when the distance between the zero of the these two consecutive gradient estimates.

notch and the frequency of the sinusoid is large in order to im- There is another class of very important notch filters—the in-

prove the convergence rate. A small step size should be em- finite impulse response (IIR) adaptive line enhancer with con-

ployed if the zero of the notch has converged to the frequency of trolled bandwidth. Farhang [20] proposed a novel technique that

the sinusoid. As a consequence, a variable step-size algorithm is eminently suitable for controlling the bandwidth of the line

enhancer such that its bandwidth is increased when its frequency

Manuscript received July 3, 2003; revised April 16, 2004. This work was response peak is far from the input sinusoid’s frequency to as-

supported in part by Temasek Laboratories at NTU, Nanyang Technological sure fast convergence. The bandwidth is decreased when the line

University, Singapore Polytechnic, and National University of Singapore. The

associate editor coordinating the review of this manuscript and approving it for enhancer has locked on to the input sinusoid. Excellent results

publication was Dr. Behrouz Farhang-Boroujeny. had been obtained. The study of the adaptive notch filter with

Y. C. Lim is with the School of Electrical and Electronic Engineering, time-varying bandwidth has also been reported in [21] and [22].

Nanyang Technological University, Singapore 639798 (e-mail: ele-

limyc@pmail.ntu.edu.sg). In [23], an implementation using Constantinides [24] transfor-

Y. X. Zou is with the School of Electrical and Electronic Engineering, Singa- mation was proposed. A technique for implementing the adap-

pore Polytechnic, Singapore 139651. tive notch filter using an allpass filter section was presented in

N. Zheng is with the Department of Electrical and Computer Engineering,

National University of Singapore, Singapore 119260. [25]. The adaptive notch filter is a special class of IIR adaptive

Digital Object Identifier 10.1109/TSP.2005.843742 filters, an excellent treatment of which is available in [26].

1053-587X/$20.00 © 2005 IEEE

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1311

tance between the notch frequency and the frequency of the sinu-

soid, leading to a new method in step-size determination. It should

be noted that our technique produces additional information on

the distance between the notch frequency and the frequency of

the sinusoid; it does not replace existing techniques; it can be ap-

plied concurrently with existing techniques. Our technique uses

three (or more) notches, namely, a main notch and two (or more)

Fig. 2. Pole-zero positions of the IIR notch filter.

pilot notches implemented with minimal additional cost. The zero

of the main notch is sandwiched between the zeros of the pilot

notches. The pilot notches are used to provide the information on The time-varying transfer function of the notch filter at

whether the distance between the frequency of the sinusoid and time is given by

the zero of the main notch is large. If the frequency of the sinusoid

is sandwiched between the zeros of the pilot notches, the signs of (1)

the gradient estimates for the pilot notches will point in opposite

directions. This situation can be detected by examining the signs where is the adjustable weight at time , and is the

of the gradient estimates of the three notches. If they are not all distance of the pole from the origin. The poles and zeros of

equal, it is an indication that the frequency of the sinusoid is sand- the notch filter are shown in Fig. 2. The notch frequency at

wiched between the zeros of the two pilot notches; a smaller step time , which is denoted by , is given by the zeros of

size is preferred. If all the signs of the gradient estimates are the and, thus, is given by

same, a larger step size is selected.

This paper is organized as follows. Section II presents a very (2)

brief description of the adaptive notch filter for the purpose of

defining notations. The concept of the pilot notches is presented A large number of excellent algorithms [28]–[30] for updating

in Sections III and IV. Simulation results demonstrating the supe- has been developed. A direct application of Widrow’s

riority of our new piloted notch technique are shown in Section V. technique will lead to

New theoretical analysis on the steering directions obtained by

the notches when the input signal is a sinusoid contaminated with (3)

white noise is discussed in Section VI. Novel theoretical analysis

where is the adaptation step size at time . In the con-

on the probability of producing a correct estimate for the steering

ventional fixed step size LMS algorithm, is fixed and is

direction is presented in Section VII. The effectsof notch position,

not a function of . We will use (3) as a reference for discus-

signal-to-noise ratio (SNR), and pole radius on steering direction

sion, but all currently existing methods for updating , in-

estimation are presented in Sections VIII– X, respectively. Novel

cluding those variable bandwidth algorithms, may be used in-

theoretical analysis on the improvement in steering direction es-

stead. The implementation complexity, theoretical analysis, and

timation that is obtainable jointly from the main and pilot notches

performance figures will certainly depend on the actual algo-

is discussed in Section XI. The applications of the piloted notch

rithm used for updating . Examples of applying the pi-

technique in conjunction with various weight update equation are

loted notch concept to other algorithms for updating are

presented in Section XII.

illustrated in Section XII.

A disadvantage of such a formulation is that there is a lack of

II. ADAPTIVE NOTCH FILTER information as to how far away the notch frequency is from the

Fig. 1 shows the structure of a second-order IIR adaptive frequency of the sinusoid. Algorithms that makes use of infor-

notch filter. It consists of a pole followed by a zero [27]. An ad- mation on sign changes in [6], [13], [19] are in fact

vantage of having the pole precede the zero over that of the zero attempting to estimate the distance of the notch frequency from

preceding the pole is that after convergence, the pole enhances the frequency of the sinusoid through time domain averaging.

the SNR, which in turn reduces the bias of the zero estimate. In this paper, we introduce pilot notches to perform analysis at

1312 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 53, NO. 4, APRIL 2005

In (7) and (8), and have positive values and are functions

of . They correspond to the effect of and on

and . The values of and need not be determined

accurately since the pilots only serve as rough indicators of the

frequency of the sinusoid. Substituting (7) and (8) into (5) and

(6), respectively, (z) and (z) become

(9)

(10)

, respectively. Thus

(11)

(12)

The implementation structure for obtaining and is

shown in Fig. 4. Since the values of and have no effect

on the accuracy of the estimate of the frequency of the sinu-

several frequency points near the main notch. This provides ad- soid, they can be selected as a convenient power-of-two so that

ditional information for determining the distance between the and can be obtained from that of by simple

notch frequency and the frequency of the sinusoid. shift-add operations [31]–[33]; in this case, the additional cost

for obtaining and is minimal.

III. PILOT NOTCHES

We will refer to the notch presented in the above section as IV. ADAPTATION STEP SIZE

the main notch. We will now introduce two pilot notches into The function of the pilot notches is to provide information

the system. The notch frequency of one of them is higher on whether the frequency of the sinusoid is far from that of

than and the other one is lower than that of the main notch. the main notch. The signs of ,

See Fig. 3. Furthermore, we arbitrarily choose and provide information on the relative posi-

tion of the frequency of the sinusoid and that of the notches.

(4) This issue will be discussed further in Sections VI and VII. If

is a pure sinusoid without additive noise, a positive value

We also assume that the frequency of the input sinusoid is larger of implies that the frequency of the sinusoid

than and less than the difference between half of the sam- is higher than the notch frequency of . Obviously, in

pling frequency and , i.e., the notch frequency of the lower this case, the frequency of the sinusoid must also be higher

frequency pilot is larger than zero, and the notch frequency of than the notch frequencies of and , and hence,

the higher frequency pilot is less than half of the sampling fre- and must also be positive. Simi-

quency. Let the -transform transfer function of the two pilot larly, if , and are all

notches at time be and , respectively, where negative, the frequency of the sinusoid is lower than the notch

frequency of . As a result, if sign

sign sign , it is implied that

(5) the frequency of the sinusoid is either higher than the notch fre-

quency of or lower than that of . This means

and that the frequency of the sinusoid is far from the location of the

(6) zero of the main notch. Thus, in order to reduce the time re-

quired to steer the main notch frequency to the frequency of the

sinusoid, a larger value of is used.

Note that and share the same denominator as If the frequency of the sinusoid is very close to the main

in order to reduce the computational complexity. notch, it must be sandwiched between the notch frequencies of

Although it is possible to compute and based and , respectively. In this case,

on predetermined and , such computations will require will be negative, and will be positive. The sign

operations involving the computation of and , of will depend on whether the frequency of the

which are computationally complex. Hence, we define sinusoid is higher than the main notch frequency. In either case,

the signs of , and

(7) will not be equal. Under these circumstances, a smaller

(8) is used in order to minimize misadjustment.

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1313

Fig. 4. Piloted notch filter. If and are integer power-of-two, the additional cost for obtaining e (n) and e (n) is minimal.

information on the steering direction by analyzing the steering

directions at the same time instant at several distinct frequency

points.

V. SIMULATION RESULTS

In this section, we show a comparison for the convergence

speeds of four algorithms:

a) conventional fixed step-size LMS algorithm; Fig. 6. Comparison between the convergent speeds for various adaptive

b) our piloted notch variable step-size LMS algorithm; algorithms.

c) time domain averaging variable step-size algorithm;

d) lattice LMS algorithm. where was 0.0065. This value of was selected so that the

The input signal SNR was 10 dB. The frequency of the input si- conventional lattice and the conventional (direct form) LMS al-

nusoid was one eighth sampling frequency. The notch frequency gorithms produced the same mean square weight error. Note

was initialized at three eighths sampling frequency. The pole ra- that the convergence property for the lattice algorithm is dif-

dius was 0.9. ferent from that of the conventional (direct-form) LMS algo-

For the conventional fixed step-size LMS algorithm, the step rithm. In order for the comparison of convergence speed to be

size was . For our piloted notch variable step-size algo- meaningful, the mean square error should be made the same.

rithm, the step sizes were and . For the pilots, Fig. 6 shows the convergence of for the above four al-

. For time domain averaging variable step-size gorithms. It can be seen from Fig. 6 that our new piloted notch

algorithm, the step sizes were selected based on the product of algorithm converges significantly faster than the other three al-

consecutive gradient estimates . If gorithms. Another figure of merit of an algorithm is the mean

the product was positive, a larger step size was used; square error after convergence has been attained. It can be seen

otherwise, a smaller step size was used. The struc- from Fig. 6 that all the algorithms had converged after .

ture for the lattice LMS algorithm was the two-multiplier lattice (There is no eigenvalue problem in this case because there is

shown in Fig. 5. In Fig. 5, is the first reflection coeffi- only one parameter.) The mean square error ,

cient of the lattice; this notation is used in order to facilitate the where is the desired value of the weight, for all four al-

comparison of results with other algorithms. The transfer func- gorithms were computed using values of for ranging

tion for the lattice notch filter was [18] from 1000 to 1200 and tabulated in Table I. As can be seen from

Table I, our new piloted notch variable step-size algorithm out-

(13) performs the other three algorithms significantly. The success

of our piloted notch algorithm lies in the ability of the pilots to

where is the z-transform of . was updated detect the separation between the notch frequency and the fre-

using quency of the input sinusoid. A larger step size was correctly

selected when the separation between the notch frequency and

(14) the frequency of the input sinusoid was large, and a smaller step

1314 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 53, NO. 4, APRIL 2005

TABLE I

Wn n

MEAN SQUARE WEIGHT ERROR WAS COMPUTED USING VALUES OF

( ) FOR RANGING FROM 1000 TO 1200

Wn

Fig. 8. Average step size. The average value is computed as a weighted average

of ( ) weighted by a 401-point Hamming window function.

able.) Note that our piloted notch concept does not replace the

existing LMS algorithm; it merely adds pilots to the existing

LMS algorithm, extracting further information through the pi-

lots. It can be seen from Fig. 6 that using the pilots alone will

outperform using time averaging alone, but of course, pilots can

be incorporated into the time averaging algorithm to outperform

using piloted algorithm alone. There is no limit to the number

of ways the piloted algorithm can be mixed with other existing

Wn

Fig. 7. Average step size. The average value is computed as a weighted average

of ( ) weighted by a 41-point Hamming window function. algorithms.

size was correctly selected if it was small. This can be seen from VI. STEERING DIRECTION ANALYSIS

the average value of the step size shown in Fig. 7. In Fig. 7, The main function of the pilots is to provide information on

the average step size was a weighted average of weighted whether the frequency of the sinusoid is far away from the notch

by a 41-point Hamming window function. As can be seen from frequency. Such information is obtained from the steering direc-

Fig. 7, the average step size for our piloted notch algorithm was tion provided by the pilot notches. If the steering directions of all

large before it converged and small after it converged. The time the pilot notches as well as the main notch are all in the same di-

domain averaging step-size selection technique based on con- rection, the frequency of the sinusoid is said to be far away from

secutive sign change does not provide a very accurate decision the notch frequency; otherwise, it is near the notch frequency.

for step-size selection. It is not immediately obvious from Fig. 7 If more than two pilots are used, grey-level information on the

that for the time domain averaging technique, a larger step size distance is available. The number of grey levels, of course, de-

was selected before convergence, and a smaller step size was pends on the number of pilots. The steering direction is central

selected after convergence. The effect of step-size selection for to the development. The effect of noise on the accuracy of the

the time domain averaging technique becomes visible if a 401 information provided by the steering direction estimate is thus

(instead of a 41) point Hamming window function was used to important to know.

compute the weighted average value of , as shown in Fig. 8. In this section, we consider the relationship between the

It can be seen from Fig. 8 that the time domain averaging tech- product term and the relative position of the

nique did select a larger average step size before convergence frequency of the input sinusoid with respect to the frequency

and a smaller step-size after convergence, although the differ- of the notch for the case where the input is a sinusoid with

ence is not very significant. additive white Gaussian noise. Refer to Fig. 1. Let

In principle, our piloted notch concept can be incorporated

into any existing algorithm to obtain a piloted version of that al- (15)

gorithm if an efficient way of incorporating the pilots into such

existing algorithm can be found. In certain cases, it is straight- where is a zero mean white Gaussian noise with variance

forward to incorporate the pilots efficiently, but in certain cases, , and is a random phase constant. In order to simplify theo-

it is not. For example, it is straightforward to incorporate pi- retical analysis, we will assume that can be approximated

lots efficiently into the “time averaging” algorithm, but incor- by a time invariant constant . In this case, let

porating the pilots efficiently into the lattice algorithm is not so

straightforward. (We are investigating the possibility of piloted (16)

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1315

is also Gaussian distributed with zero mean. Its variance

is thus given by

(17a)

(17b)

(26)

and is a filtered version of . We wll assume that

is Gaussian distributed with zero mean. Thus, the autocorrela- The product term is given by

tion function of can be obtained from the inverse Fourier

transformation of its power spectrum density and is thus given

(27)

by

where

(18)

(19)

of for a pure sinusoidal input without noise.

The term represents the effect of noise on the value of

is the transfer function of the allpole section of the notch . Since the steering direction of the notch is

filter, and is the power spectrum density of the input determined by the sign of , it is important to

white noise, which is a constant equal to . The autocorrelation understand the effect of on the sign of . If

of can be derived by applying the Residue Theorem to (18). will have no

, and are useful in subsequent analysis; effect on the sign of . If the sign of and that of

therefore, we obtain are the same, will also have

no effect on the sign of . The sign of

will be affected if , i.e.,

, and at the same time,

and have different signs.

Substituting for in (28) and using (25), becomes

(20)

(21a) (29)

(21b)

are zero, the mean value of , which is denoted by , can

and be obtained from (29) as

(22a)

(30)

(31)

(23)

Fig. 9 shows the versus plots for and for

where and .

From (31), it is straightforward to show that

(24)

when

and when (32)

(25) when

1316 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 53, NO. 4, APRIL 2005

Fig. 9. Mean of d(n) versus W plot. Fig. 10. Variance of d(n ) versus W plot when r = 0:5 and

input noise power = 1.

approximately equal to zero, except when the notch frequency is

near d.c. or half of the sampling frequency, i.e., when .

For small , we will let .

Using the result of (28), the variance of is thus given by

(33)

and considering the results of (20) and (21), we have

(34)

(35)

From the above equation, it is clear that the correlation of

input noise power = 1.

and approaches zero when the pole radius approaches

unity. Thus, from (33) and (34), the variance of is given by

derivation, we have assumed that is small. The condition

for to be small is that either or is not close to 2.

THE STEERING DIRECTION

can be obtained from the signs of and

, respectively. We have also shown how these steering

(36) directions provide information on whether the frequency of the

input sinusoid is sandwiched between the two pilot notches.

Figs. 10–12 show the comparisons of the computer simulated When the input sinusoid of the adaptive notch filter is corrupted

results and the theoretical results obtained from (36) when the by a white Gaussian noise, the signs of and

pole radius , and , respectively. In Figs. 10–12, may not indicate correctly whether the frequency

for both the simulation and theoretical results, we assume that of the input sinusoid is higher or lower than that of the pilot

the input noise has unit power. The results show that (36) notch. In this section, we present an analysis on the probability

provides an accurate estimate of when the pole radius is close that the sign of provides the correct steering di-

to unity or when the notch frequency of the filter is not near d.c. rection for the main notch; the results for and

or half of the sampling frequency. This is expected since, in the can be obtained in a similar way.

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1317

. Assuming that the sign of is independent of that of

, the probability that the sign of is positive

is denoted by and is given by

(43)

are positive, respectively. From (39), the probability that is

positive is given by

(44)

Fig. 12. Variance of d(n) versus W plot when r = 0:9 and and from (42), the probability that is positive is given

input noise power = 1. by

and variance . Since is a linearly filtered version of a

Gaussian distributed signal (by assumption), is Gaussian

distributed with zero mean. Thus, from (25), , which is the

sum of , is also Gaussian distributed.

The variance of is given by (26). From (23), at any time (45)

instant is Gaussian with expected value , where

Substituting (37), (38), (26), and (20) into (44) and substituting

(37) (40) and (20) into (45), it can be seen that both and are

functions of a) the frequency of the input sinusoid , b) the

We would like to highlight the distinction between the expected notch position , c) the input SNR, and d) the pole radius .

value of at any time and the expected value of over Substituting (44) and (45) into (43), it is clear that , which is

all . While the expected value of at time is given by the probability of the sign of being positive, is also

(37), the expected value of over all is zero. The variance a function of these four quantities, viz. , input SNR, and .

of is the variance of , i.e., A discussion on the effects of these items on the probability of

the steering direction will be presented in the following sections.

(38)

The probability density function (pdf) of is given by VIII. EFFECT OF NOTCH POSITION ON THE

STEERING DIRECTION

Figs. 13 and 14 show the probability that sign

(39)

gives the correct steering direction as a function of notch posi-

tion when the frequencies of the input sinusoid are

Let and be the expected value and variance of and , respectively. The input SNR is 0 dB, and the pole ra-

at time , respectively. From (16), it is straightforward to show dius . The steering direction is correct if

that is positive when and is negative when

. A solid line and an array of symbols are plotted on both

(40) Figs. 13 and 14. The solid lines correspond to results predicted

and by (43). The arrays of symbols correspond to results obtained

from computer simulation runs. It can be seen from Figs. 13

(41)

and 14 that the predictions provided by (43) agree very closely

where is given in (20). The pdf of a sinusoid is not Gaussian. with computer simulation results.

Although is not Gaussian, in order to simplify theoretical The curves shown in Figs. 13 and 14 can be explained intu-

analysis, we will treat as Gaussian. Thus, the pdf of itively as follows. When the initial notch frequency is far from

can be expressed as the frequency of the sinusoid, the signal is swamped by noise.

The probability of obtaining a correct steering direction is low.

As the notch moves toward the sinusoid, the sinusoid is en-

(42) hanced by the pole, and the probability of producing a correct

steering direction increases. However, when the notch position

1318 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 53, NO. 4, APRIL 2005

0

Fig. 13. Probability of sign[x(n 1)e(n)] producing the correct estimate of 0

Fig. 15. Probability of sign[x(n 1)e(n)] producing the correct estimate of

the steer direction versus notch position plot. The input SNR = 0 dB, the pole the steer direction versus SNR plot. The notch position is 0:5 , the pole radius

radius r = 0:9, and the input sinusoid’s frequency is 0:25 . r = 0:9, and the input sinusoid’s frequency is 0:25 .

the input sinusoid’s frequency , the notch position and the

pole radius , the probability of producing a correct steering di-

rection as a function of the input SNR can be predicted from

(43) using the results of (20), (26), (27), (38), (40), (44), and

(45). The results predicted using (43) are shown in Fig. 15 to-

gether with computer simulation results. In Fig. 15, the notch

position of the filter is fixed at , and the frequency of the

input sinusoid is , whereas the pole radius is selected to

be . The steering direction is correct if is

negative. It is obvious that when the input SNR is low, i.e., the

input signal is noisy, the steering direction becomes less accu-

rate as an indicator of the position of the frequency of the input

sinusoid. In Fig. 15, the result represented by each symbol is

obtained by averaging 100 independent simulation runs.

0

Fig. 14. Probability of sign[x(n 1)e(n)] producing the correct estimate of

X. EFFECT OF THE POLE RADIUS ON STEERING DIRECTION

the steer direction versus notch position plot. The input SNR = 0 dB, the pole The effect of the pole radius on the probability of the

radius r = 0:9, and the input sinusoid’s frequency is 0:8 .

steering direction can also be obtained from (43)–(45) for any

given input frequency , notch position , and input SNR.

is very near the frequency of the sinusoid, because of the par-

The results corresponding to notch position at , input

abolic nature of the performance surface of the objective func-

frequency , and input SNR of 0 dB are shown in

tion, the probability of producing a correct steering direction

Fig. 16.

becomes low again. This is because the gradient of the perfor-

It can be seen from Fig. 16 that the closer the poles of the

mance surface due to the signal approaches zero as the notch ap-

notch filter to the unit circle, the lower the probability that the

proaches its optimum position and, thus, is easily swamped by

steering direction points to the correct direction when .

noise. It is interesting to note from Figs. 13 and 14 that the prob-

This is because, when , the noise component near the

ability of producing a correct steering direction is always larger

pole is greatly enhanced if the pole is very close to the unit

than 0.5, i.e., the steering direction obtained from

circle. This implies that a smaller pole radius will result in a

is always better than a random guess. In Figs. 13 and 14, the re-

better estimate for the steering direction, which in turn will re-

sult represented by each symbol is obtained from averaging 100

sult in a faster convergence speed of the notch filter. However, it

independent simulation runs.

is known that a smaller pole radius will cause bad steady-state

performance [17]. In order to have a fast convergence and a

IX. EFFECT OF INPUT SNR ON STEERING DIRECTION good steady-state performance, a variable pole radius method

The influence of pole radius on the performance of notch fil- may be used, i.e., choose a smaller when the notch is far

ters has been discussed in [20]–[22]. The effect of the input SNR from the frequency of the input sinusoid to achieve a faster tran-

on the probability that the sign of yields the correct sient response and a larger after convergence to obtain a better

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1319

0

Fig. 16. Probability of sign[x(n 1)e(n)] producing the correct estimate of

the steer direction versus pole radius r plot. The notch position is 0:5 , the input

SNR = 0 dB, and the input sinusoid’s frequency is 0:25 . positions of the filter are far from the frequency of the input

sinusoid, . In order to simplify notation, we will

steady-state performance. The consistency between the results substitute into (46). Hence, we have

predicted by (43) and those obtained from simulation runs for

various are shown in Fig. 16. In Fig. 16, the result represented (47)

by each symbol is obtained by averaging 100 independent sim-

ulation runs. Thus

(48)

XI. JOINT STEERING DIRECTION ESTIMATION

From (48), it can be seen that for

In the previous sections, we have presented a discussion on is positive, implying that is always larger than , i.e., the

the probability that the sign of correctly predicting three notches together provide a more accurate estimate for the

the steering direction of an IIR notch filter when the input signal steering direction than does the main notch alone.

is a sinusoid contaminated with white Gaussian noise. In this

section, we show that the main notch and the pilot notches col-

B. Notch Positions Are in the Vicinities of the Maxima of the

lectively produce a better steering direction estimate than the

Curves in Figs. 13 and 14

main notch does alone.

Consider the piloted notch filter structure shown in Fig. 1. Let From Figs. 13 and 14, it can be seen that when the notch

the probability that the steering direction of the main notch, i.e., positions of the filter are in the vicinities near the two maxima

the sign of , giving a correct steering direction be of the curve, may be larger than both and , i.e.,

. Let the probabilities that the steering directions of the pilot , where is positive. To simplify notation, we will

notches, i.e., the signs of and , substitute into (46). This leads to

are correct be and , respectively. Since the notch filter is

steered in the direction to which at least two of the three notches (49)

are pointed, the probability of producing a correct steering di-

rection for a piloted notch filter is given by Thus

(50)

Since the positions of the pilot notches are close to the main

(46) notch, is small. Fig. 17 shows the curves of for

, and , respectively. It can be seen

from Fig. 17 that for , if .

It can also be seen from Figs. 13 and 14 that in the vicinities

A. Notch Positions Are Far From the Frequency of the Input

near the maxima of the curves, the values of are significantly

Sinusoid

larger than 0.6, and therefore, the three notches together provide

Since the positions of the pilot notches are close to the main a more accurate estimate for the steering direction than does the

notch, it can be seen from Figs. 13 and 14 that when the notch main notch alone.

1320 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 53, NO. 4, APRIL 2005

Sinusoid

When the notch positions of the filter are very close to the

frequency of the input sinusoid, we have one of the following:

, , or

is less than both and but is larger than 0.5. From (46), we

have

(51)

If , then

(52)

If , then Fig. 18. Comparison between the convergent speeds for piloted and nonpiloted

least mean p-power adaptation algorithms. The SNR was 10 dB, and p = 2. The

weight mean square error of the piloted result was over an order of magnitude

smaller than that of the nonpiloted result.

(53)

If is less than both and , then both (50) and (53) are larger step size would be selected only if the pilots indicated

true. Since both and are less than unity and larger than 0.5, (52) that the frequency of the sinusoid was outside the notches of

and (55) are positive, and hence, . The above analysis the two pilots in three consecutive samples; this very greatly

shows that the pilot notches together with the main notch pro- reduced the chance of selecting the larger step size after

vide more accurate information for the steering direction than convergence had been established. The mean square weight

does the main notch alone. error for the nonpiloted notch was 0.001 26, and that for

the piloted notch was 0.000 09; this was about an order of

XII. IN CONJUNCTION WITH OTHER magnitude improvement in the mean square weight error! The

WEIGHT UPDATE EQUATIONS piloted notch converged (ignoring the overshoot) at a speed

that was about an order of magnitude faster than that of the

The piloted notch concept can be applied in conjunction with

nonpiloted notch, as can be seen from Fig. 18.

other weight update equations. Consider, for example, the least

Comparing the nonpiloted results of Figs. 6 and 18, it can be

mean -power method [29], where

seen that (3) yields a faster convergence compared with the least

mean -power method because (3) adjusts the weight

using data filtered by the pole; the pole enhances the sinusoid

for even (54a) and causes an improvement in the SNR, especially after conver-

sign gence. This translates into a faster convergence for a given mean

for odd (54b) square error.

When the SNR is very low, the pilots will be fooled by noise

The signs of , and more easily, particularly if the separation between frequencies

are used to determine the steer directions for the main and pilot of the pilots is very small. This problem may be reduced by

notches for selecting the step size . A simulation for placing the notches further apart. A simulation was done for the

was done to demonstrate the piloted notch technique when case with 0 dB SNR, and the results were shown in Fig. 19.

used in conjunction with (54). The step size for the nonpiloted The step size for the nonpiloted notch was selected to be 0.28

least mean -power filter was 0.085; this step size was selected to give a comparable mean square weight error as that for the

experimentally to produce a mean square weight error similar previous 10-dB SNR nonpiloted notch. The step sizes for the

to that of the conventional nonpiloted LMS algorithm shown in piloted notch were 0.28 10, 0.28, and . Let be the

Table I. The step sizes for the piloted least mean -power filter number of consecutive samples where the pilots indicated that

were and 0.085 10, respectively. The frequency of the frequency of the sinusoid was outside the frequencies of the

the input sinusoid, SNR value, and the values for and are pilots. The largest step size was selected only if . The

the same as those in Section V. middle step size was selected if . The smallest step

We will make use of this example to illustrate a further size was selected if . The values of and were

improvement to the piloted notch technique. Ideally, after the increased to in order to increase the separation between

notch has converged, the smaller step size should be selected. the notches. The mean square weight error for the nonpiloted

Fig. 7 shows that the larger step size was occasionally selected notch was 0.001 26, and that for the piloted notch was 0.000 25;

after convergence had been achieved. This was due to the this is about a factor-of-five improvement. The piloted notch

presence of noise that fooled the pilots. In the simulation converged at a speed about three times that of the nonpiloted

results shown in Fig. 18, we imposed the condition that the notch, as can be seen from Fig. 19.

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1321

Fig. 19. Comparison between the convergent speeds for piloted and nonpiloted Fig. 20. Comparison between the convergent speeds for piloted and nonpiloted

least mean p-power adaptation algorithms. The SNR is 0 dB, and p = 2. The notch with gradient filtering. The SNR is 10 dB. The piloted notch converges at

weight mean square error of the piloted result is one fifth that of the nonpiloted a speed that is 50 times that of the nonpiloted notch. The weight mean square

result. error of the piloted notch result is slightly smaller than that of the nonpiloted

notch.

The origin, pole, and zero of some adaptive notch do not lie

on the same straight line. An example of this type of notch filter values for and are the same as those in Section V. The

is the gradient algorithm reported in [30]. The transfer function piloted notch was expected to converge 50 times as fast as

of the notch is given by the nonpiloted notch. The mean square weight error for the

piloted notch was 0.000 08, and that for the nonpiloted notch

(55) was 0.000 10. The results are shown in Fig. 20.

Fig. 21 shows the transient behavior of a piloted notch

when tracking a sinusoid whose frequency changed between

Note that (55) becomes (13) if is replaced by and one eighth sampling frequency and three eighth sampling fre-

is replaced by . The variable quency in a square wave manner. The input signal SNR was 30

at time is updated using the recursion dB. The weight update algorithm was the least mean -power

algorithm with . The piloted notch uses four pilots. The

(56)

outermost pilots have . The innermost pilots

The estimate is obtained from have . The value of was 0.9. The step size

for the nonpiloted algorithm was 0.01. Step-size selection for

the piloted notch was done as follows. If the outermost pilots

(57)

indicated that the frequency of the sinusoid was outside them

for three consecutive samples, the step size was 100 0.01. If

where is the -transform of , and is the -trans- the innermost pilots indicated that the frequency of the sinusoid

form transfer function of the partial gradient filter. can was outside them for three consecutive samples (but the outer

be any suitable fancy function. As our intention is only to il- most indicated otherwise), the step size was 10 0.01. If the

lustrate that the piloted technique is superior to the nonpiloted innermost pilots indicated that the frequency of the sinusoid

technique, the specific form for is immaterial. As an il- was within them for three consecutive samples, the step size

lustration, we chose was 0.8 0.01. The step size was 0.01 otherwise. The mean

square weight errors were 0.000 000 09 for both the piloted and

(58) nonpiloted algorithms. Fig. 21(a) shows a comparison between

the speed of convergence for both the piloted and nonpiloted

where notches. The range for is expanded in

Fig. 21(b) to show the transient behavior. Note that the transient

(59) behavior is determined by the weight update algorithm.

The input signal SNR was 10 dB. The frequency of the sinusoid

was the same as that used in the previous examples, and XIII. CONCLUSION

was 0.9. The step size for the nonpiloted algorithm was 0.001.

The step sizes for the piloted algorithm were 50 0.001 and In this paper, we proposed a piloted notch filter structure con-

0.9 0.001. The larger step size was selected only if the pilots sisting of a main notch and two pilot notches. We have shown

indicated that the frequency of the sinusoid was outside the that the piloted notch filter gives a more accurate estimate on the

notches of the two pilots in three consecutive samples. The steering direction of the notch filter. The pilot notches are very

1322 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 53, NO. 4, APRIL 2005

REFERENCES

[1] B. Widrow et al., “Adaptive noise canceling: Principle and applications,”

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[8] T. J. Shan and T. Kailath, “A adaptive algorithms with an automatic gain

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[10] J. B. Evans and B. Liu, “Variable step size methods for the LMS adap-

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Fig. 21. (a) Comparison between the convergent speeds for piloted and [17] D. R. Hush et al., “An adaptive IIR structure for sinusoidal enhance-

nonpiloted notch for tracking a sinusoid whose frequency changed between one ment, frequency estimation, and detection,” IEEE Trans. Acoust.,

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manner. The frequency of the sinusoid toggles at n = 0; 10000; 20000; 30 000, [18] P. A. Regalia, Adaptive IIR Filtering in Signal Processing and Con-

etc. The weight update algorithm was the least mean p-power adaptation trol. New York: Marcel Dekker, 1995.

0

algorithm with p = 2. (b) Expanded version for 50 n 500. [19] B. Farhang-Boroujeny, “Variable step-size LMS algorithm, new devel-

opment and experiments,” Proc. Inst., Elect. Eng.—Vision, Image, Signal

Process., vol. 141, no. 5, pp. 311–317, Oct. 1994.

useful in providing information on whether the frequency of the [20] , “An IIR adaptive line enhancer with controlled bandwidth,” IEEE

Trans. Signal Process., vol. 45, no. 2, pp. 477–481, Feb. 1997.

input sinusoid is far from the notch frequency of the main notch. [21] M. V. Dragosevic and S. S. Stankovic, “Fully adaptive constrained notch

This information is very useful in variable step-size algorithms. filter for tracking multiple frequencies,” Electron. Lett., vol. 31, no. 15,

If the frequency of the sinusoid is sandwiched between the zeros pp. 1215–1217, Jul. 1995.

[22] , “An adaptive notch filter with improved tracking properties,”

of the two pilot notches; a smaller step size is preferred. If all the IEEE Trans. Signal Process., vol. 43, no. 9, pp. 2068–2078, Sep. 1995.

steering directions are the same, it indicates that the frequency [23] V. DeBrunner and S. Torres, “Multiple fully adaptive notch filter design

of the sinusoid is far from the main notch frequency, and a larger based on allpass sections,” IEEE Trans. Signal Process., vol. 48, no. 2,

pp. 550–552, Feb. 2000.

step size can thus be selected. The performance of the piloted [24] A. G. Constantinides, “Spectral transformation for digital filters,” Proc.

notch filter can be further improved by using more pilots and Inst. Elect. Eng., vol. 117, no. 8, pp. 1585–1590, 1970.

more step sizes. [25] J. A. Chambers and A. G. Constantinides, “Frequency tracking using

constrained adaptive notch filters synthesized from allpass sections,”

Our piloted notch filter is a new concept in adaptive filtering. Proc. Inst. Elect. Eng. F, Radar Signal Process., vol. 137, no. 6, pp.

It incorporates pilot notches into the system at the expense of 475–481, Dec. 1990.

a very small increase in computational complexity. The main [26] B. Farhang-Boroujeny, Adaptive Filters: Theory and Applica-

tions. New York: Wiley, 1998, ch. 10.

notch is unaffected by the introduction of these pilot notches. [27] A. Nehorai, “A minimal parameter adaptive notch filter with constrained

In principle, the piloted notch concept can be incorporated poles and zeros,” IEEE Trans. Acoust., Speech, Signal Process., vol.

into other existing algorithms. Simulation programs used in ASSP-33, no. 4, pp. 983–996, Jul. 1985.

[28] J. F. Chicharo and T. S. Ng, “Gradient-based adaptive IIR notch filtering

this paper may be obtained from the first author by sending an for frequency estimation,” IEEE Trans. Signal Process., vol. 38, no. 5,

e-mail to elelimyc@pmail.ntu.edu.sg. pp. 769–777, May 1990.

LIM et al.: PILOTED ADAPTIVE NOTCH FILTER 1323

[29] S.-C. Pei and C.-C. Tseng, “Adaptive IIR notch filter based on least mean Yue-Xian Zou (S’96–M’01) received the M.Sc. de-

p-power error criterion,” IEEE Trans. Circuits Syst. II, Analog Digit. gree from the University of Electronic Science and

Signal Process., vol. 40, no. 8, pp. 525–529, Aug. 1993. Technology of China, ChengDu, China, in 1991 and

[30] Y. Xiao, Y. Tadokoro, and Y. Kobayashi, “A new memoryless nonlinear the Ph.D. degree from the University of Hong Kong

gradient algorithm for a second-order adaptive IIR notch filter and its in 2001.

performance analysis,” IEEE Trans. Circuits Syst. II, Analog Digit. She is a lecturer at Singapore Polytechnic. She is

Signal Process., vol. 45, no. 4, pp. 462–472, Apr. 1998. currently working on a lung sound analysis project.

[31] Y. C. Lim and A. G. Constantinides, “Linear phase FIR digital filter Her research interests include adaptive signal pro-

without multipliers,” in Proc. IEEE Int. Symp. Circuits Syst., 1979, pp. cessing and its applications: higher order statistics,

185–188. wavelets, polyspectra, feature extraction, neural

[32] Y. C. Lim and S. R. Parker, “FIR filter design over a discrete networks, and pattern recognition for biomedical

powers-of-two coefficient space,” IEEE Trans. Acoust., Speech, Signal signal and image processing.

Process., vol. ASSP-31, no. 3, pp. 583–591, Jun. 1983.

[33] , “Discrete coefficient FIR digital filter design based upon an LMS

criteria,” IEEE Trans. Circuits Syst., vol. CAS-30, no. 10, pp. 723–739,

Oct. 1983.

N. Zheng, photograph and biography not available at time of publication.

ceived the A.C.G.I. and B.Sc. degrees in 1977 and

the D.I.C. and Ph.D. degrees in 1980, all in electrical

engineering, from Imperial College, University of

London, London, U.K.

From 1980 to 1982, he was a National Research

Council Research Associate with the Naval Postgrad-

uate School, Monterey, CA. From 1982 to 2003, he

was with the Department of Electrical Engineering,

National University of Singapore. Since 2003, he has

been with the School of Electrical and Electronic En-

ginerering, Nanyang Technological University, Singapore, where he is currently

a Professor. His research interests include digital signal processing and VLSI

circuits and systems design.

Dr. Lim received the 1996 IEEE Circuits and Systems Society’s

Guillemin-Cauer Award, the 1990 IREE (Australia) Norman Hayes Award,

1977 IEE (U.K.) Prize, and the 1974–1977 Siemens Memorial (Imperial

College) Award. He served as a lecturer for the IEEE Circuits and Systems

Society under the distinguished lecturer program from 2001 to 2002 and as an

associate editor for the IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS from

1991 to 1993 and from 1999 to 2001. He also served as an Associate Editor for

Circuits, Systems, and Signal Processing from 1993 to 2000. He served as the

Chairman of the DSP Technical Committee of the IEEE Circuits and Systems

Society from 1998 to 2000. He served in the Technical Program Committee’s

DSP Track as the Chairman of ISCAS’97 and ISCAS’00 and as a Co-chairman

of ISCAS’99. He is a member of Eta Kappa Nu.

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