Lecture 2

Equalization: DC Ch. 9+10

In this lecture
• Introduction
• Linear equalization
– 10.1.1: Zero-forcing equalization
– 9.4: Minimum-Mean-Square-Error (MMSE) equalization
• Nonlinear equalization
– 9.5: Decision-feedback equalization (DFE)
∗ 9.5-4: Tomlinson-Harashima precoding
– 9.3.1-3: Maximum-Likelihood sequence estimation (MLSE)

Adv. Digital Communications 2.1 c M. Skoglund, R. Thobaben

 Further reading
• 9.4-4: Fractionally spaced equalizers
• 9.6: Reduced complexity ML detectors
• 9.7: Turbo equalization
• 10: Adaptive equalization (far beyond the scope of this course)

Adv. Digital Communications 2.2 c M. Skoglund, R. Thobaben

 Equalization
zn

In yn un Iˆn
X(z) equalizer detector

• Discrete-time system filter X(z)

– Depends on gT (t), gR (t), T and t0
∗ These can be chosen by the designer. . .
– Depends on c(t)
∗ Unknown channels are estimated based on training sequences. . .

• Equalization: Try to “remove” the ISI. . .

– Linear : Zero-forcing, MMSE
– Non-linear : Decision-feedback, MLSE

Adv. Digital Communications 2.3 c M. Skoglund, R. Thobaben

 Linear Equalization
zn

In yn un Iˆn
X(z) Q(z) detector

X
yn = Im xn−m + zn
m

• Linear equalization: Design a linear filter Q(z) so that un ≈ In .

• Delay: The system filter X(z) is generally non-causal ⇒ a delay,
d, needed to get a realizable Q(z) ⇒ un+d ≈ In
– For simplicity we neglect this and assume d = 0
(modifications straightforward). . .

Adv. Digital Communications 2.4 c M. Skoglund, R. Thobaben

 Zero-Forcing

• Cancel the ISI (“force to zero”) ⇒

Q(z) = X −1 (z)

−m
P
• With Q(z) = m qm z this gives
X
u n = In + zm qn−m = In + sn
m

– The new noise term sn is zero-mean Gaussian with variance

Z 1/2 Z 1/2
Szd (f )
σs2 = E[s2n ] = Szd (f )|Q(ej2πf )|2 df = j2πf 2
df
−1/2 −1/2 |X(e )|

Adv. Digital Communications 2.5 c M. Skoglund, R. Thobaben

 • Problems
– Q(z) non-causal with impulse response of infinite duration
∗ Delay and approximate with (a long) FIR filter. . .
– X(z) has zeros on or outside the unit circle ⇒ Q(z) = 1/X(z)
is non-stable
∗ Approximate with long FIR filter. . .
– Even if the zeros of X(z) are inside the unit circle, severe
noise enhancement occurs if the zeros are close to the unit
circle (c.f. the expression for σs2 ).
∗ The zero-forcing criterion only takes minimum ISI into
account ⇒ design Q(z) taking both ISI and noise into
account ⇒ use the MMSE criterion

Adv. Digital Communications 2.6 c M. Skoglund, R. Thobaben

 Zero-Forcing Based on an FIR Filter

• Assume Q(z) is an FIR filter with 2N + 1 taps

N
X
Q(z) = qm z −m
m=−N

• Approximate zero-forcing

X(z)Q(z) = · · · α−(N +1) z −(N +1) + 1 + αN +1 z N +1 · · ·

with αm , |m| > N , arbitrary (but hopefully small)

Adv. Digital Communications 2.7 c M. Skoglund, R. Thobaben

 • Matrix form
2 3 2 3
x0 x−1 x−2 ··· x−2N +1 x−2N 2 3 0
6 7 q−N 6 7
6 x1
6 x0 x−1 ··· x−2N +2 x−2N +1 76
76 7 66 07 7
6 . .. 7 6q−N +1 7
7 6.7
..
6
6 . .. 7
6 . . .
76
76 . 7 6 7
76 . 7 =6 7
76 . 7
6 6
6 xN xN −1 xN −2 ··· x−N +1 x−N 7 617
6
76 7 6 7
7 4 qN −1 7
6 76 7
6 . .. .
6 .. 5 6.7
6
. 7 .7
4 5 qN 4 5
x2N x2N −1 x2N −2 ··· x1 x0 0

• Solve for {qm }N

m=−N ⇒ Q(z)

– Aim is still to achieve X(z)Q(z) ≈ 1 ⇒ noise enhancement

when X(z) has zeros close to the unit circle.

Adv. Digital Communications 2.8 c M. Skoglund, R. Thobaben

 MMSE Equalization
PN
• Assume (2N + 1)-tap FIR equalization Q(z) = m=−N qm z −m
• A criterion that takes both ISI and noise into account: Choose
the filter coefficients {qm }N
m=−N to minimize the MMSE criterion

N
X
2 2
 
E[(In − un ) ] = E (In − qm yn−m )
m=−N

• This gives: Choose qm such that

N
X
qm Ry (m − k) = RIy (k), |k| ≤ N
m=−N

where Ry (m) = E[yn yn−m ] and RIy (m) = E[In yn−m ].

– The Yule-Walker equations; Q(z) is an FIR Wiener filter

Adv. Digital Communications 2.9 c M. Skoglund, R. Thobaben

 • Matrix form of the Yule-Walker equations
 
Ry (0) Ry (1) ··· Ry (2N )    
  q−N RAy (−N )
 Ry (1) Ry (0) · · · Ry (2N − 1)  .  
 
..
  
  ..  =  .

.. .. ..
 
.
 
 . . 
 q
  

N RAy (N )
Ry (2N ) Ry (2N − 1) · · · Ry (0)
P
• Note that since yn = m Im xn−m + zn we get
XX X
Ry (k) = xm xl RI (k+l−m)+Rz (k), RIy (k) = xm RI (k+m)
m l m

• In practice, Ry (k) and RIy (k) can also be estimated directly

based on a training sequence. . .
• Using MMSE noise enhancement is not as severe, but cannot be
completely avoided ⇒ nonlinear method may be necessary. . .

Adv. Digital Communications 2.10 c M. Skoglund, R. Thobaben

 Group Task
Let us consider zero-forcing equalization with a filter Q(z) which inverts
the channel X(z) perfectly. The pole/zero plots for two different
realizations of X(z) are shown below:
Channel 1 Channel 2

In which case will the noise amplification bring you seriously into trouble?

Think about the solution on your own (1 minute) and

discuss it in groups of 2-4 students afterwards.

Adv. Digital Communications 2.11 c M. Skoglund, R. Thobaben

 Nonlinear Equalization

• Main problem with linear methods: A filter X(z) with zeros

outside or on (or inside, but close to) the unit circle cannot be
“inverted” by another linear filter!
• Nonlinear methods necessary for severe ISI!
• Two main approaches:
– Decision feedback (DFE)
– Maximum likelihood sequence detection (MLSD)

Adv. Digital Communications 2.12 c M. Skoglund, R. Thobaben

 Decision Feedback (DFE)
yn + un Iˆn
feedforward detector
−

feedback

0 N2
qm Iˆn−m
X X
un = qm yn−m −
m=−N1 m=1

• Try to cancel ISI from “old” symbols by feeding back previous

detector outputs. This, in effect, modifies the system filter {xm }
and leaves a “nicer” ISI for the feedforward filter to handle. . .
• The coefficients {qm }N
m=−N1 can be determined based on the ZF
2

or MMSE criterion.

Adv. Digital Communications 2.13 c M. Skoglund, R. Thobaben

 Simulation Example
−1 −1
Solid: X(z) = 1−0.9z Dashed: X(z) = 1−0.1z
0
10

−1
10

−2
e

10
P

X(z)=1−0.9z −1, no eq.

X(z)=1−0.9z −1, ZF
X(z)=1−0.9z −1, MMSE
X(z)=1−0.9z −1, DFE
X(z)=1−0.1z −1, no eq.
−3
10
X(z)=1−0.1z −1, ZF.
X(z)=1−0.1z −1, MMSE
X(z)=1−0.1z −1, DFE

−4
10
0 1 2 3 4 5 6 7 8 9 10
SNR 2E /N
b 0

Adv. Digital Communications 2.14 c M. Skoglund, R. Thobaben

 Tomlinson-Harashima Precoding
A(z) V(z)
+ ˆ
I(z)
I(z) Mod F (z) Mod
−

F (z) − 1 W (z)

Precoder Channel Decoder

• With perfect CSI, DFE at the transmitter.

PL
• Precoder output ak = Ik − j=1 fj ak−j + 2M bk .
I(z)+2M B(z)
• z transformed tx sequence A(z) = F (z) .
• Received z transformed seq V (z) = I(z) + 2M B(z) + W (z).

Adv. Digital Communications 2.15 c M. Skoglund, R. Thobaben

 Maximum Likelihood Sequence
Detection (MLSD)

• MLSD: Based on observing y1N = (y1 , . . . , yN ), choose the

sequence iN
1 that maximizes the conditional pdf

f (y1N |I1N = iN
1 )

• When {xm } is an FIR filter and when zn is white, an efficient

method based on the Viterbi algorithm exists.
– The noise zn can be made uncorrelated either by choosing
gR (t) properly or by using a (discrete-time) whitening filter . . .
• Often used in practice (radio channels are FIR filters). . .

Adv. Digital Communications 2.16 c M. Skoglund, R. Thobaben

 • Principle behind using the Viterbi algorithm: Assume xm = 0 for
m < 0 and m ≥ M (an “M-tap channel”) and that zn is white ⇒

M
X −1
yn = In−m xm + zn
m=0

• Let in = (in , in−1 , . . . , in−M +1 ) be the state at time n ⇒

N
X
max log f (y1N |I1n = iN
1 ) ⇐⇒ max log f (yn |In = in )
n=1
N
X M
X −1
⇐⇒ min (yn − in−m xm )2
n=1 m=0

• Use a trellis to keep track of how possible state-transitions

ik−1 → ik influence the possible values for (yk − m ik−m xm )2
P

Adv. Digital Communications 2.17 c M. Skoglund, R. Thobaben

 Group Task
Consider the transmission of an i.i.d. BPSK-modulated signal In over a
noise-free ISI channel, and let the channel be described as an FIR filter
with the impulse response
8
< 1 for n ∈ {0, 1, 2}
xn = .
: 0 else

• Draw a signal-flow graph which describes the channel as a tapped

delay line, and compare it to the encoder of a convolutional code.
• Make a table showing all possible combinations of input bit In (at the
channel input) and channel state (In−1 , In−2 ), and draw one segment
of the trellis diagram.

Think about the solution on your own (2-3 minutes) and

discuss it in groups of 2-4 students afterwards.

Adv. Digital Communications 2.18 c M. Skoglund, R. Thobaben