Cognitive Radio:

The next chapter in

Software Defined Radio
CTIF Annual Workshop
Aalborg University
22-23 May, 2007
fred harris

The Players

Wireless
Radio
Analog Radio
Digital Radio
DSP Radio
Software Defined Radio
Cognitive Radio

Wireless

The transfer of information over a distance without

the use of electrical conductors or wires

Initially a designation to distinguish from telegraph

communications (wireless telegraph)!

Radio

30
km

VLF
10
kHz

Wireless transmission of signals by

electromagnetic waves at frequencies
below those of visible light
3
km

LF
100
kHz

300
m

MF
1
MHz

30
m

HF
10
MHz

3
m

VHF
100
MHz

30
cm

UHF
1
GHz

3
cm

SHF
10
GHz

3
mm

EHF
100
GHz

Infra red

Visible
Light

Analog Radio

Modulation of
Amplitude, Frequency,
or Phase, proportional
to continuous (analog)
signal levels.

Amplitude Modulation
Frequency Modulation
Phase Modulation

Digital Radio(1)

Modulation of Amplitude, Frequency,

or Phase, with Discrete Alphabet
(Finite Number of Signaling Levels).

QPSK
QAM
FSK

Digital Radio (2)

Signals in Radio have Different Formats

Raw Data
Source Encoded Data
Encrypted Data
Channel Encoded Data
Baseband Waveforms
Intermediate Frequency Waveforms
RF Waveforms

Digital Radio (Transmitter)

Binary Da ta

Digital
User

Form at

Sourc e
Encod e

Privac y
Encod e

FEC
Encod e

M
U
X

Sam pled Data

Digital
Waveform
Wave
Shap e

BITSTREAM

Da ta
Cloc ks

DAC

WAVESHAPE

Continuous
Digital
Waveform
Low-Pass
Filter

Band-Pass
Filter

Loc al
Osc

BASEBAND

Band-Pass
Filter

Spreading

Loc al
Osc

Varia ble
Loc Osc

IF

RF

PA
Power
Mgt

Digital Radio (Receiver)

Continuous
Digital
Wa veform
LNA

Spreading

Code
Recovery

Band-Pass

Band-Pass

Filter

Filter

Loc al
Osc

Varia ble
Loc Osc

RF

Matc hed
Filter

Equalizer
Filter

WAVESHAPE

AGC
Control

Low-Pass
Filter

Beam
Form ing

AGC

Carrier
Rec overy

IF

Sam pled Data

Digital
Wa veform
ADC

Multiple
Antennae

Loc al
Osc

BASEBAND

MUX
Bina ry Da ta

DET

FEC
Encod e

Privac y
Encod e

BITSTREAM

Sourc e
Encod e

Digital
Form at

User

Da ta
Cloc ks

Cloc k
Recovery

A Digital Radio:
DSP a Small Section

Digital Signal Processing Radio (1)

Processing Discrete Approximations of

Sampled Data Representation of
Analog Waveforms.
DSP Based Radio can
Process Analog or Digital Signals
DSP can Process non-RF Signals:
Audio and Video

Digital Signal Processing Radio (2)

Radio Operates in
Three Regimes and Two Modes
Regimes: RF, IF, and Baseband
Modes: Continuous and Sample Data
Need A-to-D and D-to-A to Change Modes
Mode Changes Reside at IF or Baseband

DSP Radio (DSP Everywhere!)

LMS
Algorithm
10 Msm pl/S
20 Msm pl/S

Carrier
Loop Filter
& DDS

Polyphase
Band-Edge
Filter

Polyphase
Matc hed
Filter
32-to-1
Tim ing
Loop
Polyphase
Derivative
Matc hed
Filter

20 Msm pl/S
Equalizer

Carrier
Loop Filter
& DDS

2-to-1
Down
sam ple

Detec tor

Channel Filtering, Channel Estimate, Equalization,

AGC, DC-Cancelling, I-Q Balance, Line Canceller,
Interference Canceller, Matched Filter, SNR
Estimate, Band Edge Filter, Frequency Lock Loop,
Carrier Lock Loop, Interpolator, Timing Lock Loop,

Digital Signal Processing Radio (3)

for DSP MODE
Successive Options (Going Down the List):
Production Cost
(low hi med)
Development Cost
(hi
med
lo)
DSP Capabilities
(hi
med
lo)

DSP Performed in ASIC

DSP Performed in FPGA
DSP Performed in Programmable Microcomputer

Software Defined Radio (SDR)

A Software Defined Radio System

Applies Software Control of
Network Protocol
DSP Algorithms
Programmable Digital Hardware,
Programmable Analog Hardware
In RF, IF, and Baseband Regimes

Software Defined Radio

Duplexer, Antenna
Managem ent & Tuner

RF-Front End
Tunab le Filters
and LNA

Mixer

Digital Bac k End

IF/AGC

ADC

Tunab le Filters
and LNA
Tunab le Filters &
Power Am plifier

Mixer

DSPs

GPPs

User Interfa ce
Periphials

FPGAs

IF/AGC

DAC

Spec ialized
Co-Proc essors

Power
Manager

Cognitive Radio (CR)

Cognitive radios, aware of channel

conditions and activity, change its operating
parameters to enable reliable, interference
free, communications.
Factors include external radio environment
such as spectrum availability, network state,
and its internal environment such as
available resources, and user behavior.

Cognition and Intelligence

States and Processes that intervene

between Stimuli and Response
States and Processes are Algorithms
Algorithms Support Machine Learning
Cognitive Radio use Adaptation
to appear intelligent.

Spectral Management

HD (High Definition Radio)

IBOC (In-Band- On Carrier)

FCC FM mask
Analog FM
Signal Spectrum

OFDM
c arriers
(LSB)

OFDM
c arriers
(USB)

-200 kHz

FM-Band OFDM Spectral Overlay

200 kHz

30 dB

HOMEPLUG 1.0

f (Mhz)
0

10

12 14

16

18

20 22

24

26 28

30

HomePlug 1.0 Operates in Frequency Band Spanning 4.49 to 20.7 MHz

OFDM Splits this Band in 128 Evenly Spaced Sub-Carriers (126.6 kHz Wide)
8 Sub-Carriers Spanning 40, 30, 20 & 17 Meter Ham Radio Band are Masked

Microwave Ovens Emit at 2.4 GHz

ISM Band: 2.400-2.4835 MHz

Time Domain
Duty Cycle
Spectrum

Interference Temperature

Receivers are Noise Limited

Transmitted Power is designed to
achieve a prescribed SNR at a
specific distance from transmitter
In a Dense RF Environment
Receivers are Interference Limited
Interference Temperature varies
with Location, Time, and
Frequency Band

Harvest Under-Utilized Spectra

Opportunistic Spectral Access

Long Duration, Wide Spectral Gaps

Long Duration, Narrow Spectral Gaps
Short Duration, Narrow Spectral Gaps

Opportunistic Use of bandwidth

Time Varying Spectral Occupancy

No signals

Medium and short duration signals

Mark McHenry, Shared Spectrum Company

Maritime Mobile and Amateur Band

Mark McHenry, Shared Spectrum Company

UHF TV-Bands

Mark McHenry, Shared Spectrum Company

Unlicensed Band

Mark McHenry, Shared Spectrum Company

Spectral Occupancy at
Different Similar Locations

Mark McHenry, Shared Spectrum Company

CR Key Technologies

Spectrum and Spatial Awareness

(Sensing and Sharing)
Multiple Access Protocol
(Request, Negotiate, Barer, Rent)
{

Rapid Access and Egress

Flexible Spectral Allocation

{
{

Shaped OFDM
Filtered Multi-tone

Estimate
Interference Temperature

Sniff the Ether with Spectrum Analyzers

Wide Band Channelizer (FFT)
Multiple Spatially Distributed Sniffers
Distributed Data Base to Share Spatial
Channel State

Time-Frequency Profiles

Non Stationary Signals

Multi-taper Estimate (MTM)
Integration Time vs. Spectral Resolution
Time Frequency Profile Spatial Dependency
FFT is Biased (Spectral Leakage)
FFT Inconsistent Estimator of Noise

Spectral Holes

Black Spaces
High Power RF Interferers
Grey Spaces
Low Power RF Interferers
White Spaces
Free of RF Interferers (Noise Only)

Mean and Variance:

CHI-Square, N-Degrees of Freedom

Density Functions,
Chi-Square, N-Degrees of Freedom

Density Functions,
Non-Central Rayleigh

Averaging Of FFT of Sinewave

plus AWGN

FFT Waterfall Display

Estimates of Spectra

Interference Avoidance

Interfering Signals Propagate

Maximum Range
(Bad Guys have Good Channels)
Desired Signals Have Acceptable Link
Margin
(Good Guys have Bad Channels)

Interference

Inte r
fe re
nc e

Primary
Receiver

Prim ary
Transmitter

Primary
Receiver

Secondary
Rec eiver

Region
of potential
Interferenc e

Secondary
Transmitter

Signal Strength vs.

Distance and Frequency
dBm
-50

h = 5.6 m
T

-75

h = 1.5 m
R

TX = 10 w
-100

Frequenc y
(MHz)
200

-125

500
900

-150

Distanc e, d (km )

10

Channel Loss

Propagation Loss
Actual loss

Interference
Link closure

Free space loss

Longley-Rice Model
420 MHz

Mark McHenry, Shared Spectrum Company

How Large A Guard Distance?

Free
prop space
agat
ion

1 W transmit
power

O
pr bst
op ru
ag cte
at d
io
n

Maximum
interference
range of 3 km
in obstructed
conditions

Maximum interference
range of > 100 km in
free-space

Noise
Large guard distances
reduce spectrum harvest

TV bands: 100 km is too large!

Limit TX power to mWs.
Mark McHenry, Shared Spectrum Company

Low Power Transmitters:

Smaller Interference Range

Maximum interference range of

600 m in obstructed conditions

Maximum interference
range of 4 km in freespace

Noise

1 mW transmit
power

O
pr bst
op ru
ag cte
at d
io
n

Free
prop -space
aga
tion

Mark McHenry, Shared Spectrum Company

Tx Power and Interference

XG TX
Power
(dBm)

Frequency Agile network

reduces TX power
automatically
Network needs switch to another frequency at low
TX power levels

Target interference level of 100 dBm

Primary
Interference
Level (dBm)

Mark McHenry, Shared Spectrum Company

OFDM Channel Spectra

Low Ra te
of Side-Lobe
Deca y

Data Length Defines

High
Sinc Width
a nd Spectra l Spa cing Side-Lobes

Low Ra te
of Side-Lobe
Deca y

1
T

t
T

Low Ra te
of Side-Lobe
Deca y

N
T

1
T

1
T

N
T

Shaped OFDM Channelizer

Polyphase
Partition

h1(n)

h1(n)

h2(n)

h2(n)

h3(n)

h3(n)

.....

h0(n)

.....

h0(n)

hM-2(n)

hM-2(n)

hM-1(n)

hM-1(n)

hr(n)= h(r+ nM)

hr(n)= h(r+ nM)

48-PNT
FFT

.....

16
un-used
channels

48-PNT
IFFT

Polyphase
Partition

... ..

From
Input
Mapping

... ..

32
channels

32
channels

To
Output
Mapping

16
un-used
channels

Shaped OFDM Spectra and Time Response

Spectra of OFDM and Shaped OFDM

Spectra of OFDM and Shaped OFDM

Discrete Wavelet Transform

1:2

2:1
LP

1:2

2:1
LP

1:2
HP

LP
1:2

HP

LP

2:1

1:2

2:1
HP

1:2

2:1

2:1
LP

1:2
LP

LP

LP

HP

2:1

HP

HP

1:2

2:1
LP

1:2

2:1
LP

1:2
HP

LP

HP
LP

HP

HP

HP

2:1

1:2

2:1
HP

1:2

2:1

2:1

1:2

1:2

LP

LP

HP

2:1
HP

Output of Fourth Layer of DWT

Shape Outside Tree: use Tree to Change

Sample Rate and Alias Spectral Centers
Shaping
Filters
1:4

fSYM 1:2
w(n)

ITOM

1:4

Interpolated
Tree
Orthogonal
Multiplexing

h(n)
h(n)

1:2
g(n)

g(n)

h(n)

1:2
h(n)

g(n)

1:2
g(n)

fSYM 1:2
w(n)

1:4

1:2

fSYM 1:2
w(n)

1:4

g(n)

fSYM 1:2
w(n)

1:4

h(n)

fSYM 1:2
w(n)

1:4

1:2

fSYM 1:2
w(n)

1:4

h(n)

fSYM 1:2
w(n)

1:4

Interpolating Filter Tree

h(n)

g(n)

fSYM 1:2
w(n)

1:2

g(n)

Spectra of Enabled and Disabled

Spectral Bands of 64-Point ITOM

Mixed Bandwidth Components

Enter Tree at Different Sample Rate
Shaping
Filters
1:4

fSYM 1:2
w(n)

1:4

g(n)

1:2
h(n)

h(n)

1:2
g(n)

g(n)

fSYM 1:2
w(n)

1:4

h(n)

fSYM 1:2
w(n)

1:4

1:2

fSYM 1:2
w(n)

1:4

h(n)

fSYM 1:2
w(n)

1:4

Interpolating Filter Tree

h(n)

1:2
h(n)

fSYM 1:2
w(n)

g(n)

1:2
g(n)

1:4

2 f SYM
w(n)

1:2
g(n)

Spectra of ITOM Multiple Bandwidths and

Mixed Channelized Signal Components

Interpolated Tree Spectral Partition

at Branch Level 3
0
-20
-40
-60
-80
-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

0
-20
-40
-60
-80
0
-20
-40
-60
-80
0
-20
-40
-60
-80
0
-20
-40
-60
-80

Interpolated Tree Spectral Partition

at Branch Level 4
0
-20
-40
-60
-80
-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

0
-20
-40
-60
-80
0
-20
-40
-60
-80
0
-20
-40
-60
-80
0
-20
-40
-60
-80

Interpolated Tree Spectral Partition

at Branch Level 5
0
-20
-40
-60
-80
-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

-15

-10

-5

10

15

0
-20
-40
-60
-80

0
-20
-40
-60
-80

0
-20
-40
-60
-80

0
-20
-40
-60
-80

Mommas Middle Name is

Synchronization

IF MOMMA
IS NOT HAPPY,
NOBODY
IS HAPPY!

ML Timing Recovery Loop

y(nT+ T,)
r(t,)

2EB
N0

r(nT,)
SAMPLE

Matched
Filter

Tanh( )

T
LOOP
FILTER

VCO

T
Derivative
Matched
Filter
Polyphase

2EB
N0

y(nT+ T,)

ML Carrier Recovery Loop

Noise
Cloud
Angle Varianc e
Due to Noise Cloud
for Large Signal

Angle Varianc e
Due to Noise Cloud
for Small Signal

r(n) e j(n)
Matched
Filter

Equalizer
Filter

r(n)

Detec tor
(Slic er)

(n)

^ (n)
-j

DDS

Loop
Filter

^s(n)
*
d(n)

ATAN
SNR

Sub Optimal Carrier and Timing

Synchronization, SNR=9.5 dB
det(n) = sign(I(n))*Q(n): Large SNR Approximation to ML Carrier Recovery
Input and Output Phase Slopes, and Detected Phase Error

snr = 9.53dB
1
0
-1
-2

100

200

300

400

500

600

700

900

1000

0.8

800

Eye Diagram

Constellation Diagram Variance Estimate

2

0.6
0

0
0.4

-1
-2
-2

-2

0.2
0

500

-4
-1

1000

-0.5

0.5

De-Spun Matched Filter Output

2
MF Resp.
Det. Data
Input Data

1
0
-1
-2

error rate = 0.20 %

0

20

40

60

80

100

120

Sub Optimal Carrier and Timing

Synchronization, SNR=6.6 dB
det(n) = sign(I(n))*Q(n): Large SNR Approximation to ML Carrier Recovery
Input and Output Phase Slopes, and Detected Phase Error

snr = 6.62dB

1
0
-1
-2

100

200

300

400

500

600

700

Constellation Diagram Variance Estimate

2

900

1000

Eye Diagram

1.5

800

4
2

0
0.5

-1
-2
-2

-2

500

-4
-1

1000

-0.5

0.5

De-Spun Matched Filter Output

2
MF Resp.
Det. Data
Input Data

1
0
-1
-2

error rate = 2.53 %

0

20

40

60

80

100

120

Sub Optimal Carrier and Timing

Synchronization, SNR=5.6 dB
det(n) = sign(I(n))*Q(n): Large SNR Approximation to ML Carrier Recovery
Input and Output Phase Slopes, and Detected Phase Error

snr = 5.62dB

1
0
-1
-2

100

200

300

400

500

600

700

Constellation Diagram Variance Estimate

2

1.5

-1

0.5

-2

500

900

1000

Eye Diagram

-2
-2

800

-4
-1

1000

-0.5

0.5

De-Spun Matched Filter Output

2
MF Resp.
Det. Data
Input Data

1
0
-1
-2

error rate = 60.57 %

0

20

40

60

80

100

120

Error Locations & Carrier Phase

Error Profile with Phase Slip, SNR=5.6 dB
Error Locations
1
0.8
0.6
0.4
0.2
0
0

100

200

300

400

500

600

700

800

900

1000

800

900

1000

Phase Error for det(n) = sign(I(n))*Q(n)

100
50

(deg)

0
-50
-100
-150
-200
-250

100

200

300

400

500

600

700

Optimal (ML) Carrier and Timing

Synchronization, SNR=5.4 dB
Input and Output Phase Slopes, and Detected Phase Error
det(n) = tanh[snr*I(n)]*Q(n): ML Carrier Recovery

snr = 5.42dB

1
0
-1
-2

100

200

300

400

500

600

700

Constellation Diagram Variance Estimate

2

1.5

-1

0.5

-2

500

900

1000

Eye Diagram

-2
-2

800

-4
-1

1000

-0.5

De-Spun Matched Filter Output

0.5

2
MF Resp.
Det. Data
Input Data

1
0
-1
-2

error rate = 4.75 %

0

20

40

60

80

100

120

Error Locations & Carrier Phase

Error Profile with Phase Slip, SNR=5.4 dB
Error Locations
1
0.8
0.6
0.4
0.2
0
0

100

200

300

400

500

600

700

800

900

1000

800

900

1000

Phase Error for det(n) = tanh[snr*I(n)]*Q(n)

60

(deg)

40

20

-20

-40

100

200

300

400

500

600

700

Physical Layer Work Open Questions

Modulator Channelizer
Demodulation Channelizer
Multiple Resolution Spectrum Analyzer
Channelizer and Spectrum Analyzer Share
Same Genes!
Ensemble Averager Structure
Channel Probe for fast Equalizer
Synchronization, Timing and Carrier
SNR Estimator

It appears to
be a new wireless
technology

SIN X

SINE X
over fred

Software Defined Radio Man

is
Open for Questions