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Lecture 4:

Equalization, Diversity, Interleaving


ng L Khoa
Class 4
Outline Outline
Equalization
Linear, DFE, MLSE
Zero Forcing, LMS, RLS
Diversity
Spatial Diversity
Frequency diversity
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Frequency diversity
Time diversity
Polarization diversity
Multi-user diversity
Combining Techniques
Rake Receiver
Interleaving
Receiver Structure Receiver Structure
Matched filter: match source impulse and maximize SNR
grx to maximize the SNR at the sampling time/output
Equalizer: remove ISI
Timing
When to sample. Eye diagram
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Decision
d(i) is 0 or 1
d(i) g
Tx
(t)
Noise n
a
(t)
?
) ( ) ( ) (
0
iT n iT r iT r + =
max
N
S
T i
g
Rx
(t)
Matched filter example Matched filter example
Received SNR is maximized at time T0
Matched Filter: optimal receive filter for maximized
N
S
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0
T
example:
transmit filter
Receive filter (mathed filter)
t
) ( ) (
0
t g t T g
Rx Tx
=
0
T
t
) ( t g
Tx

0
T
t
) (t g
Tx
Equalization, Diversity, and Channel Coding Equalization, Diversity, and Channel Coding
Three techniques are used independently or in tandem to improve receiver
signal quality
Equalization compensates for ISI created by multipath with time dispersive
channels (W>B
C
)
Change the overall response to remove ISI
Diversity also compensates for fading channel impairments, and is usually
implemented by using two or more receiving antennas
Multiple received copies: Spatial diversity, antenna polarization
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Multiple received copies: Spatial diversity, antenna polarization
diversity, frequency diversity, time diversity.
Reduces the depth and duration of the fades experienced by a receiver in
a flat fading (narrowband) channel
Channel Coding improves mobile communication link performance by
adding redundant data bits in the transmitted message
Channel coding is used by the Rx to detect or correct some (or all) of the
errors introduced by the channel (Post detection technique)
Block code and convolutional code
Equalization Techniques Equalization Techniques
The term equalization can be used to describe any signal
processing operation that minimizes ISI
Two operation modes for an adaptive equalizer: training and
tracking
Three factors affect the time spanning over which an equalizer
converges: equalizer algorithm, equalizer structure and time rate
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converges: equalizer algorithm, equalizer structure and time rate
of change of the multipath radio channel
TDMA wireless systems are particularly well suited for
equalizers
Symbol
Mapper
ISI
Channel
Equalizer
n
d

n
d
n
v
n
r
Decision
Device
n
z
Channel Response Channel Response
Equalizer is usually implemented at baseband or at IF in a
receiver
f
*
(t): complex conjugate of f(t)
n
b
(t): baseband noise at the input of the equalizer
) t (
b
n ) t ( f ) t ( x ) t ( y + =

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h
eq
(t): impulse response of the equalizer
Block Diagram Block Diagram
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Equalization Equalization
If the channel is frequency selective, the equalizer enhances the
frequency components with small amplitudes and attenuates the
strong frequencies in the received frequency response
For a time-varying channel, an adaptive equalizer is needed to
track the channel variations
( ) ( ) ( )

=
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( ) ( ) ( )
( ) ( ) ( ) ( ) ( )
( )
( ) ( ) 1

=
=
+ =
=

f H f F
t
t h t m t h t f t x
t h t y t d
eq
eq b eq
eq
Basic Structure of Adaptive Equalizer Basic Structure of Adaptive Equalizer
Transversal filter with N delay elements, N+1 taps, and N+1 tunable
complex weights
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These weights are updated continuously by an adaptive algorithm
The adaptive algorithm is controlled by the error signal e
k
Minimize Estimation Error Minimize Estimation Error
Classical equalization theory : using training sequence to
minimize the cost function
E[e(k) e*(k)]
Recent techniques for adaptive algorithm : blind algorithms
Constant Modulus Algorithm (CMA, used for constant envelope
modulation)
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modulation)
Spectral Coherence Restoral Algorithm (SCORE, exploits spectral
redundancy or cyclostationarity in the Tx signal)
Math Derivation Math Derivation
Error signal
where
Mean square error
Expected MSE
where
k
T
k k k
T
k k k
x x e y y = =
[ ]
T
N k k k k k
y .... y y y

=
2 1
y
[ ]
T
N k k k k k
....

=
2 1

k
T
k k k
T
k k
T
k k k
x x e y y y 2
2
2
+ =
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where
[ ] [ ]
T T
k k
x e p R 2
2
2
+ = = E E
[ ]
(
(
(
(

= =




2
1
2 1
2 1
2
1 1
2 1
2
N k
N k k
N k k
k N k k N k k N k
k k k k k
k k k k k
*
k k
y
....
y y
y y
.... y y y y y y
.... .... .... ....
.... y y y y y
.... y y y y y
E E y y R
[ ] [ ]
T
N k k k k k k k k k k
y x y x y x y x y x

= = ....
2 1
E E p
Math Derivation Math Derivation
Optimum weight vector
Minimum mean square error (MMSE)
Minimizing the MSE tends to reduce the bit error rate
p R
1


=
[ ] =
2
min
E

p R p
1 T
[ ] =
2
E

p
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Minimizing the MSE tends to reduce the bit error rate
Example 7.1, 7.2
Training Sequence then Data transmission within each frame
Training
Sequence
Data transmission
Training
Sequence
Data transmission
Classification of Equalizer Classification of Equalizer
if d(t) is not the feedback path to adapt the equalizer, the equalization is linear
if d(t) is fed back to change the subsequent outputs of the equalizer, the equalization is
nonlinear
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Linear transversal equalizer Linear transversal equalizer
LTE, made up of tapped delay lines
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ARMA Model (FIR, IIR) ARMA Model (FIR, IIR)
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Linear Transversal Equalizer Linear Transversal Equalizer
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n k
N
N n
*
n k
y C d
2
1

[ ]

d
N e
N T
e(n)
T
T
o
j
o

+
=
2
t
2
) ( F
2
E
) e ( F
t j
:frequency response of the channel
o
N :noise spectral density
Lattice Filter Lattice Filter
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Characteristics of Characteristics of Lattice Filter Lattice Filter
Advantages
Numerical stability
Faster convergence
Unique structure allows the dynamic assignment of the most
effective length
Disadvantages
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Disadvantages
The structure is more complicated
Nonlinear Equalization Nonlinear Equalization
Used in applications where the channel distortion is too severe
Three effective methods
Decision Feedback Equalization (DFE)
Maximum Likelihood Symbol Detection
Maximum Likelihood Sequence Estimator (MLSE)
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Nonlinear Equalization Nonlinear Equalization-- --DFE DFE
Basic idea : once an information symbol has been detected and decided upon,
the ISI that it induces on future symbols can be estimated and substracted out
before detection of subsequent symbols
Can be realized in either the direct transversal form or as a lattice filter
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=

=
+ =
3 2
1
N
1 i
i k i n k
N
N n
*
n k
d F y C d

[ ] } ]
) ( F
[
2
{ E
2
2


d
N e
N
ln
T
exp e(n)
T
T
o
T j
o
min
DFE DFE
EE 542/452 Spring 2008 EE 552/452 Spring 2007
Predictive Predictive DFE DFE
Predictive DFE (proposed by Belfiore and Park)
Consists of an FFF and an FBF, the latter is called a noise
predictor
Predictive DFE performs as well as conventional DFE as the
limit in the number of taps in FFF and the FBF approach
infinity
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infinity
The FBF in predictive DFE can also be realized as a lattice
structure
The RLS algorithm can be used to yield fast convergence
Predictive DFE Predictive DFE
EE 542/452 Spring 2008
MLSE MLSE
MLSE tests all possible data sequences (rather than decoding
each received symbol by itself ), and chooses the data sequence
with the maximum probability as the output
Usually has a large computational requirement
First proposed by Forney using a basic MLSE estimator
structure and implementing it with the Viterbi algorithm
EE 542/452 Spring 2008
structure and implementing it with the Viterbi algorithm
The block diagram of MLSE receiver
MLSE requires knowledge of the channel characteristics in
order to compute the matrics for making decisions
MLSE also requires knowledge of the statistical distribution of
the noise corrupting the signal
MLSE MLSE
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Algorithm for Adaptive Equalization Algorithm for Adaptive Equalization
Equalization is related to previous frames.
Performance measures for an algorithm
Rate of convergence
Misadjustment
Computational complexity
Numerical properties
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Numerical properties
Factors dominate the choice of an equalization structure and its
algorithm
The cost of computing platform
The power budget
The radio propagation characteristics
Algorithm for Adaptive Equalization Algorithm for Adaptive Equalization
The speed of the mobile unit determines the channel fading rate
and the Dopper spread, which is related to the coherent time of
the channel directly
The choice of algorithm, and its corresponding rate of
convergence, depends on the channel data rate and coherent
time
The number of taps used in the equalizer design depends on the
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The number of taps used in the equalizer design depends on the
maximum expected time delay spread of the channel
The circuit complexity and processing time increases with the
number of taps and delay elements
Three classic equalizer algorithms : zero forcing (ZF), least
mean squares (LMS), and recursive least squares (RLS)
algorithms
Summary of algorithms Summary of algorithms
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Overcoming Channel Impairments Overcoming Channel Impairments
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Deep Fading Channel Coding
Diversity Techniques Diversity Techniques
Requires no training overhead
Can provides significant link improvement with little added cost
Diversity decisions are made by the Rx, and are unknown to the
Tx
Diversity concept
If one radio path undergoes a deep fade, another independent path
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If one radio path undergoes a deep fade, another independent path
may have a strong signal
By having more than one path to select from, both the
instantaneous and average SNRs at the receiver may be improved,
often by as much as 20 dB to 30 dB
Diversity order
How many independent copies
How many links to bring down the system
Diversity Motivation Diversity Motivation
Aim: Reduce effects of fast fading
Concept:
Multiple branches, independent fading
Process branches to reduce fading probability
If probability of a deep fade on one channel is p, probability on N
channel p
N
.
e.g. 10% chance of losing contact for one channel becomes
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e.g. 10% chance of losing contact for one channel becomes
0.1
3
=0.001=0.1% with 3 channels
Requirements for Diversity
Multiple branches
Low correlation between branches
Similar mean powers:
Efficient combiner
Diversity Example Diversity Example
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Different Diversity Different Diversity
Spatial Diversity
Multiple input multiple out system (MIMO)
Beamforming, smart antenna
Space time coding
Horizontal and Vertical Combining
Frequency diversity
Frequency diversity transmits information on more than one carrier
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Frequency diversity transmits information on more than one carrier
frequency
Frequencies separated by more than the coherence bandwidth of the
channel will not experience the same fads
Time diversity
Time diversity repeatedly transmits information at time spacings that
exceed the coherence time of the channel
Polarization diversity
Multi-user diversity
Space Diversity Space Diversity
Large antenna spacing or large scatterer spacing produce large
path length differences
Hence multipath will combine differently at each antenna
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Analysis of Space Diversity Analysis of Space Diversity
Phase difference:
Signals from one scatterer:
Signals from n
s
scatterer:
Correlation:
Evaluate expectation
) sin exp( jkd =
r =
1

j
re =
2

=
=
s
n
i
i
r
1
1

=
=
s
i
n
i
j
i
e r
1
2

(
(
(

=
(
(
(

=

s s
n
i
n
i
jkd E j E
12
) sin exp( ) exp(
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Evaluate expectation
(
(

=
(
(

=

= = i
i
i
i
jkd E j E
1 1
12
) sin exp( ) exp(

d jkd p d ) sin exp( ) ( ) (


2
0
12

=
=
Angle-of-arrival PDF
Horizontal Space Diversity Horizontal Space Diversity
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Vertical Space Diversity Vertical Space Diversity
Restricted vertical angle spread, so greater separation needed in
vertical direction
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Polarisation Diversity Polarisation Diversity
Scattering shifts and decorrelates polarisation
Advantage: Very compact
Disadvantage: Unequal branch powers - less diversity gain
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Polarization diversity Polarization diversity
Theoretical model for polarization diversity
the signal arrive at the base station
the correlation coefficient can be written as
) cos(
) cos(
2 2
1 1


+ =
+ =
t r y
t r x
2
2 2
) ( cos ) ( tan | |
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2
2 2
2 2
) ( cos ) ( tan
) ( cos ) ( tan
|
|

\
|
+

2
1
2
2
R
R
=
) cos( 2
2 1 2 1 2
2
2 2
2
1 1
+ + + = ab r r b r a r R
) cos( 2
2 1 2 1 2
2
2 2
2
1 1
+ + = ab r r b r a r R
Polarization diversity Polarization diversity
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Theoretical Model for base station polarization diversity based on [Koz85]
Time Diversity Time Diversity
Retransmit with Time Separation
Advantage: Need only one receiver
Disadvantage: Wastes bandwidth, adds delay
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Frequency Diversity Frequency Diversity
Wideband Channel
Simultaneous Transmission
Wastes power and bandwidth
Equalizers
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Channel
Spectrum
Frequency
Combining Techniques Combining Techniques
How to combine the multiple received copies
Selection diversity
Feedback diversity
Maximal ration combining
Equal gain diversity
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Selection diversity Selection diversity
The receiver branch having the highest instantaneous SNR is
connected to the demodulator
The antenna signals themselves could be sampled and the best
one sent to a single demodulation
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Selection Combining Selection Combining
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Derivation of Selection Diversity Derivation of Selection Diversity
Microscopic diversity and Macroscopic diversity
The former is used for small-scale fading while the latter for
large-scale fading
Antenna diversity (or space diversity)
Performance for M branch selection diversity
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[ ] [ ] r .... Pr r SNR Pr
M 1
= > , , 1
M r/
) e

= 1 ( 1
[ ]

r/ 1 M r/
M
e ) e

r SNR Pr
dr
d
(r) P

= = 1 (

=
=
M
1 k
k
r 1

Performance Performance
Example 7.4
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Graph of probability distributions of SNR= threshold for M branch selection
diversity. The term represents the mean SNR on each branch
Effect of Varying Branch Mean Powers Effect of Varying Branch Mean Powers
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Maximal Ratio Combining Diversity Maximal Ratio Combining Diversity
The signals from all of the M branches are weighted according
to their signal voltage to noise power ratios and then summed
Like stock investigation

=
=
M
i
i i M
G
1


=
=
M
i
i T
G N N
1
2
T
M
M
N
r
2
2

=
(
2
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= =
r
M
k
k
r
M M M
k
r
e dr r p r r Pr
0
1
1
/
)! 1 (
) / (
1 ) ( } {

)! 1 (
) (
/
1

M
e r
r P
M
r
M
M
M
M


= = = = =
= =
(
(

=
N
i
i
N
i
i N
N
i
i
N
i
i i
N
i
i M
P n E
1 1
2 2
1
2
2
1
* 2
1
2
) ( 2 ) (
2
1

Varying Branch Correlations Varying Branch Correlations
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Effect of Non Effect of Non--zero correlation on MRC zero correlation on MRC
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SNR for BPSK with MRC SNR for BPSK with MRC
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Feedback diversity Feedback diversity
The signal, the best of M signals, is received until it falls below
threshold and the scanning process is again initiated
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Switched Combining Switched Combining
Avoids multiple receivers
Switch and stay strategy
Must set appropriate threshold relative to mean level
Performance always worse than selection combining
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Equal Gain Combining Equal Gain Combining
The branch weights are all set to unity but the signals from each
are co-phased to provide equal gain combining diversity
Make use of energy in all branches
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Equal Gain Combining Performance Equal Gain Combining Performance
Received signals:
Combiner output:
2 2 2
1 1 1
n s x
n s x
+ =
+ =

2 2 1 1
2 1
2 2 1 1
2 1
) ( ) (


j j j j
j j
e n e sr e n e sr
e x e x y


+ + + =
+ =
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SNR:
2 1
2 1 2 1
2 2 1 1
) (
) ( ) (
j j
e n e n r r s
e n e sr e n e sr

+ + + =
+ + + =
N
j j
c
P
r r
e n e n E
r r
4
) (

2
2
) (
2
2 1
2
2 1
2
2 1
2 1
+
=
(

+
=

2
2
2 1 2 1

+ +
=
c
Comparison of Combining Techniques Comparison of Combining Techniques
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RAKE Receiver RAKE Receiver
Multipath occurs when RF
signals arrive at a location
via different transmission
paths due to the reflection
of the transmitted signal
from fixed and moving
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from fixed and moving
objects.
The combination of the
direct and reflected signals
most often leads to
significant signal loss due
to mutual cancellation.
RAKE Receiver RAKE Receiver
The RAKE receiver was designed to equalize the effects of multipath.
It uses a combination of correlators, code generators, and delays, or
fingers, to spread out the individual echo signals of the multipath.
Each signal is then delayed according to peaks found in the received signal.
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RAKE Receiver RAKE Receiver
The same symbols obtained via different paths are then combined together
using the corresponding channel information using a combining scheme like
maximum ratio combining (MRC).
The combined outputs are then sent to a simple decision device to decide on
the transmitted bits.
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RAKE Receiver Block Diagram RAKE Receiver Block Diagram
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Maximum Ratio Combining of Symbols Maximum Ratio Combining of Symbols
MRC corrects channel
phase rotation and weighs
components with channel
amplitude estimate.
The correlator outputs are
weighted so that the
correlators responding to
strong paths in the
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strong paths in the
multipath environment
have their contributions
accented, while the
correlators not
synchronizing with any
significant path are
suppressed.
RAKE Receiver RAKE Receiver
By simulating a multipath environment through a parallel combination of
correlators and delays, the output behaves as if there existed a single
propogation path between the transmitter and receiver.

=
=

M
m
m m
Z Z
1

=
=
M
m
m
m
m
Z
Z
1
2
2

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An M-branch (M-finger) RAKE receiver implementation. Each correlator detects a time shifted version
of the original CDMA transmission, and each finger of the RAKE correlates to a portion of the signal
which is delayed by at least one chip in time from the other finger.
Interleaving Interleaving
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Block interleaver where source bits are read into columns and out as n-bit rows