Chapter 3

Equalization
qua at o
Ha Hoang Kha, Ph.D
Ho Chi Minh City University of Technology
Email: hhkha@hcmut.edu.vn
hhkha@hcmut edu vn

Content
1) Introduction
2) Fundamentals of equalization
3) Linear equalizer
Zero
Zero-forcing
forcing
MMSE equalizer
4) Adaptive equalizer
5) Nonlinear equalizer
Decision feedback equalizer (DFE)

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H. H. Kha, Ph.D.

1. Introduction
Basic block diagram of communication system
HT(f)
Information
source

Pulse
generator

X(t)

Trans.
Trans
filter

Hc(f)
Channel
Channel noise +
n(t)

y(t)
Digital
Processing

A/D

Receiver
filter
HR(f)

Basic Communication System

HT(f)
ak

Hc(f
(f))

T
Trans
filter

channel

HR(f)

R
Receiver
i
filter

y (t ) = a k h (t t d kTb ) + n (t )

y(t)

k
The received Signal is the transmitted signal, convolved with the channel
and added with AWGN

yk = ak +

mk

a m h ( k m ) T b + n k

ISI - Inter
t Symbol
b l Interference
t f

Inter-symbol interference
Baseband system model

{ ak }

a1 a2
ht (t )

Channel
hc (t )

Ht ( f )

Hc ( f )

Tx filter

a3

yk

r (t ) Rx. filter
hr (t )

t = kT

Hr ( f )

Detector

{ak }

n(t )

Equivalent model

{ak }

a1 a2

Equivalent system
h(t )

H( f )

a3

t = kT

Detector

{ak }

n (t )

H ( f ) = Ht ( f )H c ( f )H r ( f )
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yk

y(t )

filtered noise

H. H. Kha, Ph.D.

Nyquist bandwidth constraint

Nyquist bandwidth constraint:
The theoretical minimum required system bandwidth to
detect Rs [symbols/s] without ISI is Rs/2 [Hz].
[Hz]
Equivalently, a system with bandwidth B0=1/2T=Rs/2 [Hz]
can support a maximum transmission rate of 2B0=1/T=Rs
[
[symbols/s]
b l / ] without
ith t ISI.
ISI

Rs
Rs
1
y
]
=
B0
2 [[symbol/s/Hz]
2T
2
B0

Bandwidth efficiency, Rb/B0 [bits/s/Hz] :

An important measure in DCs representing data
throughput per hertz of bandwidth.
Showing how efficiently the bandwidth resources are used
by signaling techniques.
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H. H. Kha, Ph.D.

Ideal Nyquist pulse (filter)

Ideal Nyquist filter

Ideal Nyquist pulse

H( f )

h(t ) = sinc(
i (t / T )

1
2T

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1
2T
1
B0 =
2T

2T T

T 2T

H. H. Kha, Ph.D.

Nyquist pulses (filters)

Nyquist pulses (filters):
Pulses ((filters)) which results in no ISI at the sampling
p g
time.

Nyquist filter:
Its transfer function in frequency domain is obtained by
convolving a rectangular function with any real evensymmetric frequency function

Nyquist pulse:
Its shape can be represented by a sinc(t/T) function
multiply by another time function.

Example of Nyquist filters: Raised-Cosine filter

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H. H. Kha, Ph.D.

Pulse shaping to reduce ISI

Goals and trade-off in pulse-shaping

Reduce ISI
Efficient bandwidth utilization
Robustness to timing error (small side lobes)

H. H. Kha,
Channel
Equalization
Ph.D.

The raised cosine filter

Raised-Cosine Filter
A Nyquist pulse (No ISI at the sampling time)
1
2B
0

1
| f | f1
H ( f ) =
cos2

2
B
4
B
f
0
0
1

f o r | f |< f 1
f o r f 1 < | f |< 2 B 0 f 1
f o r | f |> 2 B 0 f 1

cos[2 B0t ]
h(t ) = sinc(2 B0t )
1 16 2 B02t 2

Excess bandwidth:

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1
Roll-off factor = 1
B0
0 1

f1
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H. H. Kha, Ph.D.

The Raised cosine filter contd

h(t ) = hRC (t )

| H ( f ) |=| H RC ( f ) |
r =0

r = 0. 5

0.5

1 3 1
T 4T 2T

r =1

1 3
2T 4T

Baseband

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1
T

r =1

0.5

3T 2T T

r = 0.5
r =0

2T

3T

B = (1 + ) B0

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H. H. Kha, Ph.D.

Equalizing filter
Baseband system model
a1

a (t kT ) Tx filter
k

Ta a
2
3

t)
d(

ht (t )

Channel
hc (t )

Ht ( f )

Hc ( f )

r (t ) Rx. filter

a (t kT )Equivalent system

Ta a
2
3

He ( f )

t = kT

Detector

H ( f ) = Ht ( f )H c ( f )H r ( f )

a1

Hr ( f )

{ak }

dk

n(t )

Equivalent model

hr (t )

Equalizer
he (t )

h(t )
H( f )

y(t )

t)
Equalizer d(
he (t )
He ( f )

{ak }

dk
t = kT

Detector

n (t )
filtered ((colored)) noise

n (t ) = n(t ) hr (t )

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H. H. Kha, Ph.D.

Pulse shaping and equalization to remove ISI

No ISI at the sampling time

H RC ( f ) = H t ( f ) H c ( f ) H r ( f ) H e ( f )
Square
Square-Root
Root Raised Cosine (SRRC) filter and Equalizer

H RC ( f ) = H t ( f ) H r ( f )
H r ( f ) = H t ( f ) = H RC ( f ) = H SRRC ( f )
He ( f ) =

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1
Hc ( f )

Taking care of ISI

caused by tr
tr. filter

Taking care of ISI

caused by channel

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Equalization: Channel is a LTI Filter

ISI due to filtering effect of the communications channel
(e.g. wireless channels)
Channels behave like band-limited filters

Hc ( f ) = Hc ( f ) e

j c ( f )

Non-constant amplitude

Non-linear phase

Amplitude distortion

Phase distortion

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Power

Multipaths: Power-Delay Profile

multi-path propagation

path-1
path-2
path-3

path-2
Path Delay

path 1
path-1

path-3
th 3
Mobile Station (MS)
Base Station (BS)

Channel Impulse Response:

Channel amplitude |h| correlated at delays .
Each tap value @ kTs Rayleigh distributed
(actually the sum of several sub-paths)

ISI due to Multi-Path Fading

Transmitted signal:
Received Signals:
Line-of-sight:

Reflected:

The symbols
Th
b l add
dd up on
the channel
Distortion!

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Delays

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2. Fundamentals of equalizer
A linear equalizer effectively inverts the channel.
n(t)
Equalizer
1
Heq((f)
)
Hc(f)

Channel
Hc(f)

The linear equalizer is usually implemented as a tapped

delay line
On a channel with deep spectral nulls, this equalizer enhances the
noise (note: both signal and noise pass thru eq.)
noise.
eq )

poor performance
p
p
on frequency-selective
q
y
fading
g channels

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H. H. Kha, Ph.D.

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
g and tracking.
g
Three factors affect the time spanning over which an
equalizer converges: equalizer algorithm, equalizer
structure and time rate of change of the multipath
radio channel
TDMA wireless systems are particularly well suited for
equalizers.

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Equalizer Types

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3. Linear equalizer

Two typical linear equalizers

Zero-forcing equalizer
Minimum mean square error (MMSE) equalizer

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Zero-forcing equalizer
n(t)
d(t)

y(t)

Channel
Hc(f)

Equalizer
1
Heq(f)
Hc(f)

^
d(t)

H c ( z ) H eq ( z ) = 1
Zero-forcing
Z
f
i (ZF) equalizer:
li

The filter taps are adjusted such that the equalizer output is forced to
be zero at N sample points except that equalizer output =1 at the
desired signal :

k =0
1
dk =
0 k = 1, 2,..., N

Adjust

{wi }i = N
N

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H. H. Kha, Ph.D.

Equalization by transversal filtering

Transversal filter:
A weighted tap delayed line that reduces the effect of ISI
b proper adjustment
by
dj t
t off the
th filter
filt taps.
t
N
k = 0, 1,..., N
d =
wy
k

yk + N

i = N

k i

Ts

Ts
w N

Ts

w N +1

Ts
w N 1

wN

dk

Coeff.
adjustment
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H. H. Kha, Ph.D.

ZF-equalizer in matrix form

d = Yw
y0
d N
y

1
#
d = d0 Y = y2

"
#
y2 N

d N

y 1

y2

"

y0

y2

"

y1
"

y0
"

"
%

y2 N 1

y2 N 2 "

y2 N
y2 N +1
y 2 N + 2

#
y0

w N
#

w = w0

wN

Note that the yk is the channel impulse response and Y is

known at the receiver
k =0
1

We seek the weight vectors w such that d k =

0 k = 1, 2,..., N

w = Y 1d
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H. H. Kha, Ph.D.

Example: Zero Forcing Solution

Determine wi for a 3 tap equalizer (N=1) from the pulse response
(i.e. a training pulse) using the zero forcing solution.
Given:

y{{k} = [ 0.0, 0.2, 0.9, 0.3, 0.1]

k = 2,
2 1,
10

Zero forcing: d = [0,1, 0]

Then:

0 y0
1 = y
1
0 y2

y1
y0
y1

y2 w1 0.9 0.2 0.0 w1

y1 w0 = 0.3 0.9 0.2 w0
y0 w1 0.1 0.3 0.9 w1

Carrying out the matrix multiplication and solving the simultaneous

equations, or using w = Y 1d , get:
w-1 = -0.214,

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w0 = 0.963,

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w1 = 0.345

H. H. Kha, Ph.D.

Minimum MSE equalizer

Transversal filter
with N delayy
elements, N+1
taps, and N+1
tunable complex
weights
These weights
are updated
continuously by
an adaptive
algorithm
controlled by the
error signal ek
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H. H. Kha, Ph.D.

MMSE equalizer
Error signal
where

e k = x k y Tk w k = x k w Tk y k
y k = [ yk
w k = [ 0 k

Square
q
error

ek

Expected MSE

y k 1
1 k

yk 2

....

yk N ]

2 k

....

Nk ]

= x k2 + w Tk y k y T w

2 x k y Tk w k

ek 2 = E xk2 + w T Rw 2p T w
=E

where input correlation matrix

yk2

yk 1 yk
yk yTk = E
R = EE
....

yk N yk

yk yk 1

yk yk 2

yk21
....

yk 1 yk 2
....

yk N yk 1 yk N yk 2

.... yk yk N

.... yk 1 yk N
.... ....

2
y
.... k N

and cross-correlation vector p with the desired signal xk

T
p = E[ xk yk ] = E[ xk yk xk yk 1 xk yk 2 .... xk yk N ]
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H. H. Kha, Ph.D.

Optimum Weights
Optimum weight vector

= R1p
w
Minimum mean square
q
error ((MMSE))
min = E x2 pTR1p

= E x2 p w

Minimizing the MSE tends to reduce the bit error rate

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Example
Determine the tap coefficients of a 2-tap MMSE for:

Now, given that

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4. Algorithm for Adaptive Equalization

Least mean square (LMS) algorithm:
New weight=previous weights+constant x previous error x current input vectors
Previous error=previous desired output-previous actual output

LMS Algorithm: Update the coefficients according to the

error.
T

dk (n) = wN (n)y N (n)

e (n) = x (n) d (n)
k

wN (n +1) = wN (n) ek* (n)y N (n)

N

0 < < 2 / i

where
and i is the ith eigvalues of of
i =1
correlation matrix R
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5. Decision Feedback Equalizer (DFE)

DFE
n(t)
x(t)
()
Hc(f)

Forward
Filter

^
x(t)

+
Feedback
Filt
Filter

The DFE determines the ISI from the previously detected symbols and
subtracts it from the incoming symbols. This equalizer does not suffer from
noise enhancement because it estimates the channel rather than inverting
it.
The DFE has better performance than the linear equalizer in a
frequency-selective fading channel.

The DFE is subject to error propagation if decisions are made

incorrectly The DFE does not work well for low SNR
incorrectly.
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Homework

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Homework 2

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Homework 3

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