Synchronization and Digital Receivers: Marie-Laure BOUCHERET Irit/Enseeiht E-Mail

Synchronization
and
Digital Receivers
Marie-Laure BOUCHERET
IRIT/ENSEEIHT
E-mail : Marie-Laure.Boucheret@enseeiht.fr
Synchronization (SC, Gaussian) 1

Synchronization algorithms
(Single carrier systems, Gaussian channels)

Contents
¾ Impact of synchronization errors

¾ Analog vs digital demodulators
¾ Baseband signal generation
¾ Likelihood functions
¾ Carrier phase recovery
¾ Timing recovery
¾ Carrier frequency recovery
¾ Digital demodulators examples
¾ Advanced topics
¾ References

Impact of synchronization errors (1)
¾ Carrier phase error:

BPSK, « NRZ »filter
¾ Maximum phase jitter is

determined by the
implementation loss in the
link budget.

Impact of synchronization errors (2)
¾ Timing error
BPSK, « NRZ »filter
¾ Maximum timing jitter is

determined by the
implementation loss in the
link budget.

Demodulation
¾ Functions to be implemented
Baseband conversion
I,Q generation
Carrier recovery
Timing recovery
Matched filtering
Demodulation/decoding

Analog demodulators
• Typical analog demodulator architecture

PLL : baseband conversion + carrier frequency/phase correction
IF input Timing data

PLL Decoder
correction
PLL : baseband conversion + carrier frequency/phase

correction
Timing correction : FF/FB structure AFTER PLL

Digital demodulators
A digital demodulator is NOT the sampled version of the

equivalent analog demodulator.
⇒ Specific algorithms suited to digital implementation have

been developped.
Main differences between digital and analog demodulators:

¾ Down conversion is INDEPENDENT from phase recovery
¾ Timing recovery is performed BEFORE phase recovery

Receiver input signal
( ) (
y (t ) = Re x(t )e 2 jπ f0t + Re n(t )e2 jπ f0t )
x(t ) = e jϕ (t ) ∑ d k h(t − kT − τ )
k
ϕ (t ) = 2π∆ft + ϕ0
f0 : carrier frequency, Df :carrier frequency uncertainty

φ0 : phase offset, τ : timing offset
dk : emitted symbols
h(t): emission filter (wideband channel assumed)

Baseband signal generation (1)
¾Analog implementation
LPF Real part
f0
π/2
LPF Imag part
This process can be digitally implemented

(DAF : digital anti aliasing filter)
¾ Digital implementation (1)

s(t) is the real received passband signal (allocated bandwidth :
FI, centred at f0=FI)
s(t) sr sd x
HPB 2
Fe=4FI
-FI | HPB(f)|
0 Fe/8 Fe/4
f

¾ Digital implementation (2)
hO(n)
Re(x(n))
s(t)
z-n Im(x(n))
+/-1
Fe=4Fi

Likelihood functions (1)
r (t ) = x(t ) + n(t )
x(t ) = e jϕ (t ) ∑ d k h(t − kT − τ )
k
ϕ (t ) = 2π∆ft + ϕ0
ρ(T0) : signal observed during a period of duration T0
Φ = {ϕ0 , ∆f ,τ , {d k }} Vector of unknown parameters

{ { }}
ˆ = ϕˆ0 , ∆fˆ ,τˆ, dˆk
Φ Vector of parameters estimates

) = Pr( ρ (T0 ) / Φ
Λ (Φ )
In Gaussian channel:
 1 2

Λ (Φ ) = exp  − ∫ ) dt 
r (t ) − s (t , Φ
 N0 
 T0 
2 jπ∆ft + jϕ0

s (t , Φ ) = Ae ∑ dk h(t − kT − τ )
k
) : signal replica
s (t , Φ

Sub-optimal likelihood functions :

- DD : Decision Directed
- NDA : Non-data aided (depends on modulation)
These sub-optimal likelihood functions are derived for

timing, phase and frequency.

Timing :
LNDA (τ ) = ∑ p (k ,τ )
2
r(t)
h*(-t) p (k ,τ )
kT + τ
Timing recovery is performed prior to phase recovery

Carrier phase:
¾ DD likelihood function
( ) (
LDD (ϕ ) = ∑ aˆk Re p (k ,τˆ)e − jϕ + ∑ bˆk Im p (k ,τˆ)e − jϕ
k k
)
¾NDA lokelihood function for general rotationnaly
symetric signal constellation (2p/N symetry)


*N
( )
LNDA (ϕ ) = Re  E d k ∑ p (k ,τˆ)e
k
N − jNϕ 



Examples of general rotationnaly symetric signal constellation
QPSK N=4
16QAM N=4

¾ Carrier frequency recovery

QAM
 
− j 2π∆fkT +ϕ  
 
2 
L ({ak } , ∆f ,ϕ ) = ∑ dk + 2∑ Re p(k ,τˆ)dk*e


  

 
k k  
 
PSK
 
− j 2π∆fkT +ϕ  
 

L ({ak } , ∆f ,ϕ ) = ∑ Re p(k ,τˆ)dk*e


  

 
k  
 

Carrier phase recovery : DDMLFB (1)
Derivation of detector expression from Likelihood function
d
LDD (ϕ ) = 0 for ϕ = ϕˆ
dϕ
( )
⇒ ∑ Im d k* p (k ,τˆ)e − jϕ = 0 for ϕ = ϕˆ
k
( )
⇒ u ( k ) = Im d k* p (k ,τˆ)e − jϕ is a phase detector

S curve (example for QPSK)
=> Phase ambiguity (solved by using differential encoding/decoding)

DPLL
p(k ,tˆ)
decision
phase detector
1/(z-1) F(z)

Other possible detectors
p(k ,τˆ) = w(k )

   
 * ˆ
u1(k ) = Im  w (k ).sgn w(k ) − dk  
   
  
u2 (k ) = Im  dˆk*   w(k ) − dˆk 
   
   
u3(k ) = Im  dk*.c sgn w(k ) − dˆk  
   
   
u4 (k ) = Im  dˆk*  sgn  w(k ) − dˆk 
   

Phase equivalent scheme
j ϕˆ( z )
H ( z) =
F(z) ϕ ( z)
j 1 * −1 dz
2 BLT = v∫ H ( z ) H (z )
2 jπ γ z
1/(z-1)
2BLT
σ ∝
Es / N 0

Carrier phase recovery : NDAMLFB (1)
Example for QPSK
d
LNDA (ϕ ) = 0 for ϕ = ϕˆ
dϕ
{
⇒ ∑ Im  p (k ,τˆ)e − jϕ }
4
 = 0 for ϕ = ϕˆ
k  
{
⇒ u ( k ) = Im  p (k ,τˆ)e − jϕ }
4
 is a phase detector
 


p(k ,tˆ)
decision
phase detector
1/(z-1) F(z)

Carrier phase recovery : NDAMLFF (1)
¾ Suited for burst transmission

¾ Two types of structures : block window, sliding window
¾ Example for QPSK
{
∑ Im  p(k ,τˆ)e− jϕ }
4
 = 0 for ϕ = ϕˆ
k 
1   π
⇒ ϕˆ = Arg  ∑ p 4 ( k ,τˆ )  + k
4 k  2
⇒ Phase ambiguity (kπ /2)

« Sliding window » estimator
p(k ,tˆ)
Delay (L samples) decision
Exp(-j .)
Phase estimator (*)
(*): averaging over 2L+1 samples

¾ « Block » estimator
p(k ,tˆ)
Delay (L samples) decision
Exp(-j .)
Phase estimator (*) L hold

FF structures vs FB structures
¾ Advantage
No acquisition time
¾ Drawbacks
Smaller BLT => higher jitter, higher cycle slip
probability
Sensitivity to frequency deviation

Timing recovery (1)
LNDA (τ) = ∑ p(k ,τ) = ∑ Re2 ( p(k ,τ) ) + ∑ Im2 ( p(k ,τ) )
2
k k k
d L τ τ d Re( p(k ,τ )) + 2 Im( p(k ,τ )) d Im( p(k ,τ ))
dτ NDA
( ) = 2∑ Re( p ( k , ))
dτ
∑
dτ

k k
⇒Derivative vs timing is approximated by a difference
Re( p(k ,τ)) ∝ Re( p(k + λ ,τ)) − Re( p(k − λ ,τ))

Im( p(k ,τ)) ∝ Im( p(k + λ ,τ)) − Im( p(k − λ ,τ))

Timing recovery (2)
Gardner:
l=1/2 => detector output is independent from carrier phase error.
 
GA(k ) = Re( p(k +1/2,τ)) Re( p(k,τ)) − Re( p(k +1,τ))






 
 
+ Im( p(k +1/2,τ)) Im( p(k,τ)) − Im( p(k +1,τ))






 

Timing recovery (3)
Matched Fractionnal
2 to DPLL
filter delay
TED
τˆ
Loop is implented by
updating filter polyphasing the
matched filter

Timing recovery (4)
¾ S curve (Gardner, quantized)

Timing recovery (5)
¾ Timing estimator (Oerder and Meyr)

τˆ = − 1 Arg  L−1 N −1 p(k , n) 2 e2 jπNn 
 
∑ ∑
T 2π  k =0 n=0


 
p(k , n) p(kT + nT / N )
where N is the number of samples per second

Example : N=4
 
τˆ = − 1 Arg  L−1 3 p(k , n) 2 j n 
∑ ∑
T 2π  k =0 n=0


 

Timing recovery (6)
Implementation of Oerder and Meyr
 
τˆ = − 1 Arg  L−1 p(k , 0) L−1
 ∑{ } + j ∑ { p(k ,1) }
2 2 2 2 
− p (k , 2) − p (k ,3)
T 2π  k =0 k =0


 
D * Rs
4 Rs
E - Σ
M a 2 π τ / Ts
t
U *
Rs /K
a
X n
(1/4) - Σ
Rs
*

Frequency recovery : general
¾ Feedback structures
« Frequency » detectors
« Time » detectors
¾ Feedforward structures
Type 1
Type 2

Frequency recovery:FB structures (1)
¾ « Frequency » detector (1)
x(n)
SMF
2Rs FED
e(n)
FMF
y(n)
VCO F(z)

¾ « Frequency » detector (2)
SMF : signal matched filter : g(t)

FMF : frequency matched filter : -2jptg(-t)
e(n)=Im(x(n)y*(n))
A simpler filter (SFMF) derived from FMF can be used

(g(t)=-j sgn(t) g(-t)
Acquisition range : +/-(1+a)Rs
No prior timing correction required


¾ « Time » detectors
Any estimator can be used as a time detector.
Frequency offset range is +/- Rs/M
Timing has to be corrected prior to frequency detection
1 sample/symbol is sufficient.

Frequency recovery:FF structures (1)
¾ Bellini
 N   N  => Cycle slip
ˆ =
∑ iα / 8π T ∑ i
   2 
∆fT 
i  

 −N



 −N 
 ai: unwrapped phase
¾ RCFE (reduced complexity frequency estimator)

 M 
ˆ = 1 Arg ∑ d  r r* 
2π∆fT 

Large D leads to better
MD  k k  k k −D 
 



performances but to
rk = p(k ,τˆ) lower frequency range.

Digital demodulators (1)

Choice of algorithms depends on specifications such as:

¾ Acquisition time (=> FF/FB structures)
¾ Maximum frequency deviation (=> frequency circuitry
needed)
¾ Eb/No (=> use of TD if low)
¾ .....

FED
Example: Receiver for TCM (in cooperation with CNES)
Advanced topics
¾Evolutions of input specifications (for satellite
communications)
•Low Eb/No (use of efficient coding schemes such as
Turbo-Codes and LDPC)
•Bursty transmission
• Large frequency deviation (low-cost terminals, non
GEO sat.)
¾Critical function : phase recovery (classical algorithms
fail)
¾There is a need to develop new synchronisation schemes
References (1)
Reports, books on synchronization
¾ F.M Gardner « Demodulator reference recovery techniques suited for digital
implementation » ESTEC contract n° 6847/86/NL/GG,1988
¾ F.M Gardner « Frequency detectors for digital demodulators via ML
derivation », ESTEC contract n° 8022/88/NL/DG,part 2, june 1990
¾ T Jesuprret, M Moeneclaey, G Asheid « Digital demodulator synchronization :
performance analysis », ESTEC contract n° 8437/89/NL/RE, June 1991
¾ H. Meyr, M Moeneclaey, S.A Fechtel « Digital communications receivers :
synchronization, channel estimation and signal processing », J. Wiley and
Sons, 1998
PhD Dissaertations
¾ D Mottier « Association des fonctions d’égalisation, de synchronisation et de
décodage canal pour les transmissions numériques à grande efficacité
spectrale », PhD disertation (in French), INSA de Rennes
¾ Ivar Mortensen "Traitement en bande de base pour charges utiles à
régénération bord" ,PhD dissertation (in French), ENST, 1997

References (2)
¾ Catherine Morlet " Démodulateur embarqué multiporteuses pour applications

multimédia par satellites », PhD dissertation (in French), ENST, 2000
Phase estimation
¾ A.J Viterbi and A.M Viterbi « Non-linear Estimation of PSK-modulated carrier phase
with applications to burst digital transmission », IEEE on IT, 1983
¾ M Moeneclaey, G de Jonghe, « ML oriented NDA carrier Synchronization for General
Rotationnally Symmetric Signal Constellations », IEEE on COM, August 1994
¾ C.N Georghiades « Blind carrier Phase Acquisition for QAM constellations »,IEEE on
COM, November 1997
Frequency estimation
¾ S Bellini and al « Digital frequency estimation in burst mode QPSK transmission »,
IEEE on COM, vol COM 38, July 1990
¾ A.N D’Andrea, U mengali « Performance of a frequency detector based on the Maximu
Likelihood principle »
¾ F Classen and al. « Maximum Likelihood Open Loop Carrier Synchronizer for Digital
Radio», ICC 93
¾ J Zhang and al « Data-Aided estimation of carrier frequency for burst detection of
QAM », Electronics Lettters, October 200
References (3)
Timing estimation
¾ F.M Gardner « A BPSK/QPSK timing error detector for sampled reciver »,
IEEE on COM, may 1986
¾ Oerder, Meyr « Digital filter and square timing recovery », IEEE on COM,
May 1988
¾ M.K Nezami, R Sudhakar « New schemes for improving Non-Data-Aided
symbol Timing Recovery for QAM receivers in flat fading channels », 2000

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Synchronization

Synchronization (SC, Gaussian) 1

Synchronization (SC, Gaussian) 2

¾ Impact of synchronization errors

Synchronization (SC, Gaussian) 3

¾ Carrier phase error:

¾ Maximum phase jitter is

Synchronization (SC, Gaussian) 4

¾ Maximum timing jitter is

Synchronization (SC, Gaussian) 5

Synchronization (SC, Gaussian) 6

• Typical analog demodulator architecture

IF input Timing data

PLL : baseband conversion + carrier frequency/phase

Synchronization (SC, Gaussian) 7

A digital demodulator is NOT the sampled version of the

⇒ Specific algorithms suited to digital implementation have

Main differences between digital and analog demodulators:

Synchronization (SC, Gaussian) 8

f0 : carrier frequency, Df :carrier frequency uncertainty

Synchronization (SC, Gaussian) 9

LPF Real part

LPF Imag part

This process can be digitally implemented

¾ Digital implementation (1)

Synchronization (SC, Gaussian) 11

¾ Digital implementation (2)

Synchronization (SC, Gaussian) 12

Φ = {ϕ0 , ∆f ,τ , {d k }} Vector of unknown parameters

Synchronization (SC, Gaussian) 13

Synchronization (SC, Gaussian) 14

Sub-optimal likelihood functions :

These sub-optimal likelihood functions are derived for

Synchronization (SC, Gaussian) 15

Timing recovery is performed prior to phase recovery

Synchronization (SC, Gaussian) 16

Synchronization (SC, Gaussian) 17

Examples of general rotationnaly symetric signal constellation

Synchronization (SC, Gaussian) 18

¾ Carrier frequency recovery

Synchronization (SC, Gaussian) 19

Derivation of detector expression from Likelihood function

Synchronization (SC, Gaussian) 20

Synchronization (SC, Gaussian) 21

Synchronization (SC, Gaussian) 22

Other possible detectors

p(k ,τˆ) = w(k )

Synchronization (SC, Gaussian) 23

Phase equivalent scheme

Synchronization (SC, Gaussian) 24

Example for QPSK

Synchronization (SC, Gaussian) 25

Synchronization (SC, Gaussian) 26

Synchronization (SC, Gaussian) 27

¾ Suited for burst transmission

Synchronization (SC, Gaussian) 28

« Sliding window » estimator

(*): averaging over 2L+1 samples