Documenti di Didattica
Documenti di Professioni
Documenti di Cultura
Cognitive Radios
Barathram Ramkumar
Doctor of Philosophy
in
Electrical Engineering
Tamal Bose
Jeffrey H. Reed
Allen B. MacKenzie
Yaling Yang
Christopher W. Zobel
Blacksburg, Virginia
Chapter 2
2009
c by IEEE
Radios
Barathram Ramkumar
(ABSTRACT)
the inefficiency of current radio spectrum usage. CR also supports the evolution of existing
wireless applications and the development of new civilian and military applications. In
military and public safety applications, there is no information available about the signal
present in a frequency band and hence there is a need for a CR receiver to identify the
modulation format employed in the signal. The automatic modulation classifier (AMC) is
an important signal processing component that helps the CR in identifying the modulation
format employed in the detected signal. AMC algorithms developed so far can classify only
signals from a single user present in a frequency band. In a typical CR scenario, there is a
possibility that more than one user is present in a frequency band and hence it is necessary
to develop an AMC that can classify signals from multiple users simultaneously. One of the
main objectives of this dissertation is to develop robust multiuser AMCs for CR. It will be
shown later that multiple antennas are required at the receiver for classifying multiple signals.
The use of multiple antennas at the transmitter and receiver is known as a Multi Input Multi
Output (MIMO) communication system. By using multiple antennas at the receiver, apart
from classifying signals from multiple users, the CR can harness the advantages offered by
classical MIMO communication techniques like higher data rate, reliability, and an extended
coverage area. While MIMO CR will provide numerous benefits, there are some significant
challenges in applying conventional MIMO theory to CR. In this dissertation, open problems
A blind equalizer is another important signal processing component that a CR must possess
since there are no training or pilot signals available in many applications. In a typical wireless
communication environment the transmitted signals are subjected to noise and multipath
fading. Multipath fading not only affects the performance of symbol detection by causing
inter symbol interference (ISI) but also affects the performance of the AMC. The equalizer is
a signal processing component that removes ISI from the received signal, thus improving the
or pilot sequences are usually available for designing the equalizer. When a training sequence
is available, equalizer parameters are adapted by minimizing the well known cost function
called mean square error (MSE). When a training sequence is not available, blind equaliza-
tion algorithms adapt the parameters of the blind equalizer by minimizing cost functions
that exploit the higher order statistics of the received signal. These cost functions are non
convex and hence the blind equalizer has the potential to converge to a local minimum. Con-
vergence to a local minimum not only affects symbol detection performance but also affects
the performance of the AMC. Robust blind equalizers can be designed if the performance
of the AMC is also considered while adapting equalizer parameters. In this dissertation
we also develop Single Input Single Output (SISO) and MIMO blind equalizers where the
iii
performance of the AMC is also considered while adapting the equalizer parameters.
iv
Dedicated to my parents, sister and guru
v
Acknowledgments
I thank my advisor Dr. Tamal Bose for his guidance and support. It has been a true privilege
to work with a well-reputed advisor at Virginia Tech. His sincere guidance has helped me
shape up my research and career. I hope to collaborate with him in the future. I thank Dr.
Jeffrey H. Reed for being my committee member. His suggestions were helpful in improving
the quality of this dissertation. I am also grateful to all other committee members for their
suggestions and time. I am thankful to my mother and sister for their unconditional love
and support. I am grateful to my father for the sacrifices he made to ensure a high quality
education for me. I am grateful to all my gurus and teachers for their guidance and wisdom.
I thank my uncle Trimbakeshwar for his encouragement and support. I thank my friends
Ajeet and Harpreet) and cousins (Sunder, Sivaram, Hari, Jayashree, Anu, Vidu, Nathan,
Nikhil, Viggu and Chinnu) for their support. I thank Cyndy Graham for helping me with
administrative tasks.
vi
Contents
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
vii
2 AMC: Preliminaries and Methodologies 17
2.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
3.3 AMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
viii
3.4.1 Proposed Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . 60
3.5.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
ix
3.6.7 Summary of Results . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4 Multiuser AMC 89
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
x
4.7.3 Realistic MIMO Channel I: Two-user three-class . . . . . . . . . . . . 114
xi
5.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
7 Publications 143
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
xii
List of Figures
xiii
2.8 MAXNET Neural Network structure . . . . . . . . . . . . . . . . . . . . . . 36
xiv
3.10 Classifying QAMs (Sixth order cumulants). . . . . . . . . . . . . . . . . . . 81
4.6 Performance of the multiuser AMC(Sixth order CC: MIMO flat fading). . . 118
4.7 Performance of the multiuser AMC (MIMO multipath fading I). . . . . . . . 119
4.8 Performance of the multiuser AMC (MIMO multipath fading II). . . . . . . 120
xv
5.4 Performance of the MAMC (Four-user five-class problem) . . . . . . . . . . 135
5.6 Symbol detection performance of the proposed system (NMSE Vs SNR). . . 137
5.7 Symbol detection performance of the proposed system (SER Vs SNR). . . . 137
xvi
List of Tables
2.2 Probability of Classification of CDP Based AMC in the Presence of FIR Chan-
2.4 Confusion Matrix for Cumulant Based AMC in the Presence of AWGN (SNR
= 10dB), N=100. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
2.5 Confusion Matrix for Cumulant Based AMC in the Presence of AWGN (SNR
= 10dB), N=100. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.6 Confusion Matrix for Cumulant Based AMC in the Presence of AWGN (SNR
= 10dB), N=500. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
xvii
Chapter 1
Problem Statement
1.1 Introduction
Cognitive Radio (CR), originally introduced by Mitola [1], has become a key research area in
in Nov. 2002 aiming for better utilization of the frequency spectrum in the US [6]. CR is a
tically finding and utilizing unoccupied frequency bands [1]. The important characteristics
of CR are its ability to sense the environment, make decisions based on the observations and
the mission objectives, and learn from past experiences for future decision making.
1
2
The Cognitive Radio Network (CRN) is a network of CR nodes with a cognitive process
that can observe current network conditions, plan, decide, and then act according to those
conditions. The network can learn from these adaptations and use them to make future
decisions while taking into account end-to-end goals [3]. CRN must have the capability
to optimize available resources (e.g. power, bandwidth, etc.) and to adapt each layer of
the protocol stack, including the physical layer, according to the environment. Several
potential applications of CRN are in a) military and public safety where there are needs
for interoperability amongst various standards and guaranteed Quality of Service (QoS)
for secure, reliable, and robust communications, and b) commercial applications where QoS
includes availability of service, plus reliable and fast data transfer [4]. In addition, for military
and public safety applications, the CRs must be capable of performing fixed and on-the-
move communications between highly diverse elements in a very harsh environment, which
there is no information about the enemy signal and hence the CR receiver needs to identify
the modulation format employed in the signal. Automatic modulation classification (AMC)
is a signal processing component that can identify the modulation format employed in the
received signal. In a typical wireless communication environment, the transmitted signals are
subjected to noise and multipath fading. The multipath channel affects the performance of
receiver symbol detection by causing ISI. The equalizer is a signal processing component that
removes ISI from the received signal and thus improves symbol detection. In a CR scenario,
training or pilot sequences are not available and hence blind equalizers are used to recover the
3
transmitted sequence. Blind equalizers are used to recover the transmitted sequence using
only the received signal with no knowledge of the channel and transmitting sequence. AMC,
a blind channel equalizer, and a blind channel estimator are some of the important signal
processing components a CR must possess in order to realize the previously mentioned QoS.
In this dissertation, some of the open problems in the above mentioned signal processing
This chapter is organized as follows. In Section 1.2, a brief literature review on AMC
algorithms is provided. Open problems in AMC are also discussed in this section. Section
1.3 reviews the existing literature and open problems in SISO blind channel estimation and
from a CR point of view. Open problems in blind MIMO channel estimation and equalization
are also discussed. Section 1.5 summarizes the overall problem statement of this dissertation.
AMC, as the name suggests, is the automatic recognition of modulated signals present in a
to support interoperability amongst various modulation types and standards. AMC has been
an important topic for electronic surveillance over the past two decades [21], especially in
military applications. AMC can play an important role in the security of CR by identifying
4
malicious users. According to [21], there are two categories of AMC: likelihood based and
feature based. Feature based AMCs are widely used because of their easy implementation
and better performance. The feature based AMC consists of two parts: a signal processing
part to extract features from signals and a classifier part to distinguish features. Some of the
widely used features are higher order statistics ([7]-[13]), cyclostationary features ([14]-[20]),
wavelet features ([22],[23]), and signal constellation [24]. For the classifier, Neural Network
(NN), Support Vector Machine (SVM), Hidden Markov Models (HMM), and Clustering
algorithms are commonly used. Due to the popularity of orthogonal frequency division
multiplexing (OFDM), there has been a lot of research in the direction of distinguishing
OFDM signals from single carrier modulated signals. Apart from distinguishing OFDM
from single carrier schemes, they also identify parameters of OFDM such as length of the
Research in AMC assumes either SISO or SIMO channels, that is, they assume only a single
transmitting user. However, in a CR scenario, this is not the case. In some applications,
CR must be able to classify signals transmitted by legal users and malicious users at the
same time. Therefore an AMC that can classify signals from multiple users simultaneously
is needed for CR. Thus, one of the objectives of the dissertation is to develop AMC for
a multiuser system. Another open problem is that most of the AMC algorithms in the
literature assume the channel to be Additive White Gaussian Noise (AWGN) and do not
5
consider multipath. Multipath not only affects the performance of receiver symbol detection
but also affects the performance of the AMC. The second objective of this dissertation is to
A CR uses blind equalizers due to the absence of training or pilot sequences. In a wireless
communication system, the transmitted signal is subjected to noise and multipath effects
which cause distortion and ISI. The equalizer is a signal processing component that is used
to nullify the multipath effects and remove ISI. A typical wireless communication system
with the equalizer is shown in Figure 1.1. The channel and equalizer can be modeled as
a FIR filter and is shown in Figure 1.2. In Figure 1.2, s(n) is the transmitted sequence,
x(n) is the received sequence, y(n) is the recovered sequence, z 1 is the delay operator, ci
(for i = 1 . . . N ) are the complex gains of each multipath, and wi (for i = 1 . . . N ) are the
weights of the equalizer. Typically, for a non blind equalizer, the weights are adjusted using
is recovered using only the received signal without any knowledge of the training sequence
and channel impulse response. That is, the weights are adjusted without using any training
sequence or channel knowledge. The first SISO blind equalization algorithm was proposed
in [50] and is known as the Sato algorithm. The Sato algorithm was heuristic and lacked
analytical understanding [51]. The Sato algorithm was generalized in [51] and is known as the
6
BGR algorithm. A different generalization of the Sato algorithm was provided by Godard in
[52]. One specific form of Godards method is the well-known Constant Modulus Algorithm
(CMA). The CMA algorithm and its variants have been extensively studied in [53],[54].
Other SISO blind equalization algorithms include the stop-and-go algorithm proposed in [55]
and the Bussgang algorithm proposed in [56]. All the above algorithms adapt the equalizer
parameters by minimizing a cost function that is a function of higher order statistics (HOS)
Blind channel estimation is another problem which is similar to the problem of blind equal-
ization. In blind channel estimation, the channel impulse response is estimated only using
the received signal. These channel estimates are then used to estimate the transmitted se-
quence by using a maximum likelihood (ML) algorithm or differential feed back equalizer
(DFE). SISO blind channel estimation also requires HOS of the received signal. A detailed
S(n) Channel
c1
Z1 ZN
c2 cN
Equalizer
X(n)
w1
Noise Z1 ZN
w2 wN
Y(n)
As mentioned earlier, adaptive blind equalization typically adapts the equalizer parameter
by minimizing some special cost functions. For non blind equalization due to the availability
of a training sequence, the most widely used cost function is the mean square error (MSE).
Because of the lack of a training sequence, blind equalization algorithms use cost functions
that implicitly utilize the HOS of the received signal. These cost functions are generally non
linear and have many local minima. The convergence of these algorithms highly depends
on the initial setting of the equalizer. Since the cost function is non-MSE, good symbol
detection performance is not always guaranteed. Due to the convergence of the algorithm to
a local minimum, not only symbol detection performance is affected, but the performance
of the AMC, which is an integral part of the CR, is also affected. Robust blind equalizers
can be designed if the performance of the AMC is also considered while adapting equalizer
parameters.
8
One of the open problems is to design a robust blind equalizer that enhances both the
performance of the AMC and symbol detection. This can be achieved by formulating a cost
function that also incorporates the performance of the AMC. This cost function will differ
for different kinds of feature based AMCs. The parameters of the blind equalizer are then
adapted so that this new cost function is minimized. Thus some of the main objectives of
Design new blind equalizer architectures that can improve the performance of both
Formulate cost functions that are related to the performance of some of the widely
Develop algorithms that adapt the parameters of the new equalizer such that the cost
function is maximized.
With the decreasing cost of RF components and advancing RF technologies, the use of mul-
tiple antennas for both transmission and reception has gained a lot of attention. It will be
shown later that multiple antennas are used at the receiver for classifying signals from multi-
ple users. The use of multiple antennas at both the transmitter and receiver is referred to as
with other radios in the network are illustrated in Figure 1.3. MIMO communications offer
increased system reliability, higher data rates, and an increased coverage area [63]. MIMO
communication techniques can be broadly classified into three categories: Harnessing spa-
tial diversity for reliable communications, beamforming for direction location and focusing
the power in a particular direction for increasing the range, and spatial multiplexing for
increasing the data rate. The multiantenna CR can use any one of these techniques or a
combination of a few techniques for communicating with other radios. By using multiple
MultiuserSpatial
Multiplexing
MultiuserTransmit
Beamforming
Rx Singleuser
Tx Rx Tx
SpatialMultiplexing
MIMO MIMO
CR1 CR2
Tx Rx Tx
Rx
Receiverdiversity
schemes
Counterjamming
usingBeamforming
Transmitdiversity Receiver
schemes Malicious
Beamforming
user
antennas at the receiver, the CR can harness the flexibility and advantages offered by clas-
sical MIMO schemes apart from classifying signals from multiple users. A CR employing
MIMO communication techniques can effectively optimize resources and achieve a high data
rate. Even though MIMO is an attractive option, there are several shortcomings in applying
MIMO concepts to CRs. One of the important shortcomings of applying classical MIMO
theory to CRs is the channel model [62]. Classical MIMO theory is based on the following
10
Gaussian noise, and H is a (m l) matrix whose entries are scalar random values. Since
negligible, that is, there is no frequency selective fading [62]. The scalar channel in (1.1) is
also known as an instantaneous mixture channel. This assumption is not only inaccurate
for CRN but even for cellular MIMO deployments. However, in WiMAX and other cellular
MIMO deployments, the OFDM modulation scheme is used. OFDM converts a frequency
selective channel to a flat fading channel and hence the assumption in (1.1) holds. Also, in a
cellular MIMO system, the channel matrix H is estimated using known pilot sequences [69].
able to communicate with a wide range of other radio devices which use different modulation
11
schemes other than OFDM and hence the model in equation (1.1) may not hold. The more
where y(i), s(i), and w(i) are the same as in (1.1) and H(z 1 ) is the transfer function
operator given by
nA
X
H(z 1 ) = Hk z k
k=0
with {Hk } , k 0 is an m l matrix sequence called the system impulse response, and z 1
is the unit delay operator. Note that classical MIMO theory cannot be applied to the model
given by (1.2). The solution to this is to use MIMO blind equalization and channel estimation
techniques to compensate for the multipath. The reason for using blind equalization is that
the pilot signals are not usually available in a CR environment. The MIMO blind equalizer
converts a multipath channel into an instantaneous mixture channel model (similar to (1.1))
which is illustrated in Figure 1.5. Classical MIMO techniques can now be applied to this
its symbols and the channel impulse response and a mixture distortion from other source
signals. These distortions are referred to as an intersymbol interference (ISI) and interuser
interference (IUI), respectively. The MIMO channel in (1.2) effectively models the IUI and
12
ChannelmodelforclassicalMIMOtheory
X(i)
S(i)
H
Instantaneousmixturemodel
X(i)
S(i)
H0
X(i)
S(i) Proposed
H(Z1) MIMOblind
equalizer
ISI. The purpose of the MIMO blind equalizer is to remove ISI and IUI without the knowledge
of the channel impulse response and use of a training sequence. Normally the task of blind
equalization involves estimation of the channel impulse response. Using only the second
order statistics (SOS) of the received signal, the convolutive channel given by (1.2) can
channel estimation algorithms using second order statistics (SOS) can be broadly classified
into three categories: the whitening approach, linear prediction approach, and subspace
approach. In the whitening approach, the coefficients of the inverse filter are estimated using
the correlation of the received signal, which is further used to calculate the channel impulse
response. A minimum mean square error (MMSE) equalizer is then designed to estimate
the instantaneous mixture of the transmitted symbol sequence. In the linear prediction
approach, the channel is assumed to be an auto regressive (AR) process and therefore the
coefficients of the predictor filter are estimated using the correlation of the received signal.
The channel impulse response is then calculated using the predictor coefficients, which is
13
then used to design the MMSE equalizer. The subspace approach usually involves fractional
sampling of the received signal and requires knowledge about the order of the channel. All
of the above approaches involve block processing of data and hence cannot efficiently track
These batch processing algorithms are not suitable for CR, because CR must have the ca-
pability to track time varying channels and adjust the transmission and reception of data
accordingly. Therefore a computationally efficient MIMO blind equalizer and channel es-
timator that can track changes in the channel for every sample of data is needed. The
MIMO Constant Modulus Algorithm (CMA) is one such equalizer which updates for every
sample of data, but it works only for a certain class of signals [89]. The MIMO multipath
channel shown in (1.2) not only affects the performance of MIMO symbol detection but also
affects the performance of mutliuser AMC. Since multiuser AMC is an integral part of a
multiantenna CR receiver, a robust MIMO blind equalizer can be built if the performance
of the multiuser AMC is also considered while adapting the parameters of the MIMO blind
equalizer. Specifically one of the open problems is to develop a MIMO blind equalizer that
improves the performance of both symbol detection and multiuser AMC. Thus, some of the
main objectives of the dissertation with respect to MIMO blind equalization are to:
Develop a MIMO blind equalizer architecture that can improve the performance of
14
Formulate a cost function that is related to the performance of the proposed multiuser
AMC
Adapt the parameters of the MIMO blind equalizer such that the formulated cost
function is minimized
The MIMO blind equalization and channel estimation algorithm must be adaptive,
that is, it should have the ability to track time varying channels
The objective of this dissertation is to develop a transceiver for Cognitive Radio (CR) for
secure, reliable, and robust communications which will benefit both commercial and military
applications. The proposed transceiver will have the following special characteristics apart
The following tasks needs to be accomplished in order to achieve the above objectives:
15
The multiuser AMC needs to be developed by exploiting different features of the re-
ceived signal. Some of the features that will be considered are fourth order cumulant,
Develop SISO blind equalizer architectures that can improve the performance of both
symbol detection and AMC. Also, the SISO blind equalizer should track time varying
channels.
Formulate cost functions that are related to the performance of some of the widely
Develop algorithms that adapt the parameters of the new SISO blind equalizer such
Develop an adaptive MIMO blind equalizer and channel estimators that can track time
varying channels. The blind equalizer needs to be designed in such a way that both
the symbol detection performance and multiuser AMC performance are improved.
This dissertation is organized as follows. In Chapter 2, we discuss two feature based single
user AMCs. Performance degradation of these AMCs when subjected to a multipath channel
is illustrated. In Chapter 3, SISO blind equalization algorithms that improve the performance
of both single user AMC and symbol detection are presented. In Chapter 4, we present the
multiuser AMC based on cumulants and cyclic cumulants. In Chapter 5, we present the
MIMO blind equalizer that improves the performance of both multiuser AMC and multiuser
symbol detection.
Chapter 2
Methodologies
cognitive radios using cyclic feature detection, IEEE circuits and systems, June 2009.
format of a sensed signal. For an intelligent receiver, AMC is the intermediate step between
signal detection and demodulation [21]. AMC plays an important role in civilian and military
It has also been an important topic for electronic surveillance for over two decades [21],
primarily in military applications. With the growing popularity of software defined radios
and cognitive radios, AMC is becoming an important technology for commercial applications.
17
18
AMC is often a difficult task when there is no a priori information about the signal, including,
In this chapter we provide the basic preliminaries and methodologies for automatic mod-
ulation classification. We begin with a short survey of the broad classes of modulation
classification algorithms. The main focus of this chapter is on feature based AMCs. We
illustrate in detail two specific feature based AMCs: cyclostationarity based and cumulants
based AMC. The cyclostationarity based AMC is a good example of how feature extract-
ing algorithms can be used with classifiers such as Neural Networks (NN), Hidden Markov
Models (HMM), Support Vector Machines (SVM), etc. The effect of multipath channel on
This chapter is organized as follows. In Section 2.1 we provide a brief survey of AMC
algorithms in literature. In Section 2.2 we present the cyclostationarity based AMC. Clas-
sification algorithms such as NN and HMM are also briefly explained in this section. In
Section 2.2 fourth order cumulant based AMC is presented. The effect of multipath on the
performance of this AMC is also presented. One of the important parameters of the blind
equalizer is the filter length. The dependence of AMC performance on this parameter is
Automatic modulation classification research goes back at least two decades. A large number
of modulation classification methods have been developed. According to [21],they have been
traditionally grouped into two broad categories, likelihood-based and feature-based methods.
One of the classic modulation classification approaches and its first broad category is the
testing problem [29]-[31]. The probability density function (PDF) of the observed waveform,
conditioned on the embedded modulated signal, contains the information required for clas-
sification. Depending on the model chosen for the unknown quantities like amplitude and
phase, three variations of the likelihood method are possible: average likelihood ratio test
(ALRT), generalized likelihood ratio test (GLRT) and hybrid likelihood ratio test (HLRT).
Feature based methods form the larger group of modulation classification algorithms [21].
These groups of algorithms uses signal features such as signal statistics [32]-[33], higher order
signal statistics (moments, cumulants, kurtosis) [7]-[13], Wavelet Transform (WT) [22]-[23],
spectral features [34], signal constellations [35], zero-crossings [36], multi-fractals [37] and
the Radon transform [38] to distinguish amongst the various modulation types and constel-
lations.
Some modulation classification algorithms are based on the principle of signal cyclostation-
arity [14]-[20]. This technique also falls under the category of feature-based methods. This
20
type of algorithm can be applied to linear modulation classification and to low SNR signals
[14]. Many signals can be modeled as cyclostationary rather than wide-sense stationary, due
to their underlying periodicities. For such processes, both their mean and autocorrelation are
periodic. A spectral correlation function (SCF) can be obtained from the Fourier transform
of the cyclic autocorrelation. A maximum value of normalized SCF over all cycle frequencies
gives the cycle frequency domain profile (CDP). Several modulation schemes have unique
CDP patterns, which can be used as a discriminator in the classification process. By uti-
lizing higher order cyclic cumulants a wide variety of modulated signals can be classified
[8]. However, one of the disadvantages of this method is the large amount of data required
to estimate these statistics. Some of the new trends in modulation classification based on
the emerging wireless technologies include multi antenna inputs and adaptive Orthogonal
Frequency Division Multiplexing (OFDM) [44], [45]. From the previous discussion it can be
seen that there exist numerous algorithms for AMC. The problem is that no single algorithm
can effectively classify all modulation types. Choosing a particular AMC greatly depends
Most modulated signals exhibit the property of cyclostationarity that can be exploited for
the purpose of classification. In this section, AMC that is based on exploiting the cy-
cyclostationarity based AMC is a good example of how feature extracting algorithms can be
Many man made signals encountered in practice have parameters that vary periodically
with time [42], [43]. Examples include radar signals and periodic keying of amplitude,
periodicities are usually not explored for extracting information or extracting parameters.
Performance of signal processing can be improved in many cases by considering these hidden
Consider a signal x(t), which is a finite strength additive sinusoidal wave with frequency
Mx = x(t)ej2t
(2.2)
22
where
Z T /2
1
h.i = lim (.) dt.
T T T /2
1
Mx = aej . (2.3)
2
The Power spectral density (PSD) of (2.1) has a spectral line at f = and at f = and
is given by
where (.) is the impulse function. It is said that such a signal exhibits first order periodicity.
In other words, a signal whose PSD has spectral lines is said to exhibit first order periodicity.
where n(t) is a random signal. If the sine wave is weak compared to the random signal, the
periodicity may not be observable, hence it is called hidden periodicity. However, the PSD
of the signal (2.5) shows a spectral line, by which the hidden periodicity can be detected.
There are signals which have hidden periodicity that do not give rise to spectral lines in the
PSD, but can be converted into a first order periodic signal by a nonlinear time-invariant
transformation. The hidden periodicity that can be converted to first order periodicity by
A transformation of x(t) to y(t) is called QTI if and only if there exists a kernel k(., .) such
Z Z
y(t) = k(t u, t v)x(u)x(v)dudv (2.6)
or
Z Z
y(t) = k(u, v)x(t u)x(t v)dudv.
Z Z
k(u, v)dudv < .
Definition: A time series x(t) contains second-order periodicity with frequency if and
only if there exists a stable QTI transformation of x(t) to y(t) such that y(t) consist of
first-order periodicity with frequency , that is, y(t) exhibits spectral lines at f = .
By substituting (2.6) into (2.2) it can be shown that x(t) contains second order periodicity
Z T /2
x = lim 1
R
x(t + )x(t )ei2t dt (2.7)
T T T /2 2 2
autocorrelation (also called cyclic autocorrelation). When = 0, it can be seen from (2.7)
Probabilistic interpretation
tionary stochastic process. A process x(t) is said to be cyclostationary in the wide sense
if its mean and auto correlation function are periodic with period T0 . The probabilistic
Rx (t + T0 , ) = Rx (t, ). (2.9)
Since the autocorrelation function is periodic it can be expressed as a Fourier series [41]
X
Rx (t, ) = Rx ( )ei2t , (2.10)
Rx ( ) is known as the probabilistic cyclic autocorrelation function. If the empirical cyclic au-
x ( ) gives an appro-
where u(t) = x(t)eit and v(t) = x(t)e+it . This interpretation of R
x ( ) as explained below.
priate normalization for R
If x(t) does not have any finite-strength frequency component at f = /2, the mean values
Kuv ( ) = h[u(t + /2) hu(t + /2)i] [v(t /2) hv(t /2)i]i (2.14)
An appropriate normalization for temporal cross covariance is the geometric mean of the
two corresponding variances. Therefore, the temporal cross covariance correlation coefficient
Kuv ( ) Rx ( )
= = x ( ). (2.15)
[Ku (0)Kv (0)]1/2 Rx (0)
Function
From the Wiener-Khintchine theorem we know that PSD (Sx (f )) is equal to the Fourier
Similarly, the SCD is the Fourier transform of the cyclic autocorrelation function [40] and is
given by
Z
Sx (f ) = Rx ( )ei2f d. (2.17)
relation (2.16) is a special case of (2.17) when = 0. In this section, we will discuss how to
Method 1 In order to estimate the power in a frequency band, we simply pass the signal
x(t) into a narrow band pass filter and measure the average power of the output. By passing
the signal into a series of contiguous narrow disjoint band pass filters, and measuring the
average power, we can estimate the signals PSD. That is, at any particular frequency f , the
2
1 f
Sx (f ) = lim hB (t) x(t) , (2.18)
B0 B
where hfB (t) is the impulse response of an ideal band pass filter with center frequency f and
bandwidth B. For estimating the SCD, we pass the frequency translated signals u(t) and
v(t) (refer to (2.13)) through same set of bandpass filters and then measure the temporal
correlation of the filtered signals. The block diagram of this method is shown in Figure 2.1.
1 D f E
f
Sx (f ) = lim hB (t) u(t) hB (t) v(t) . (2.19)
B0 B
27
j 2 t
e
u (t )
BPF
x (t ) Sx ( f )
(.)T
v (t )
BPF
j 2 t
e
Method 2 Using the third interpretation of cyclic auto correlation (refer to (2.14)), one can
where X1/f (t, v) is called the short time Fourier transform of the signal x(t) given by
Z t+1/f
X1/f (t, v) = x(u)ej2vu du. (2.21)
t1/f
Equation (2.20) is the correlation of two temporally smoothed spectral components at fre-
For a real time signal it is difficult to evaluate (2.20) and (2.21). So we use cyclic periodogram
defined as
1
SxT (f ) = XT (t, f + /2)XT (t, f /2), (2.23)
T
28
where XT (t, v) is defined by (2.21) by replacing 1/f with T . The cyclic periodogram is
It is shown in [39] that SCD can be estimated by increasing the observation length t and
The SCD is a cross correlation between two frequency components separated by f /2 and
f + /2. If x(t) contains no spectral components at f = /2, then the SCF is actually the
Sx (f ) Sx (f )
Cx (f ) = = . (2.27)
[Su (f )Sv (f )]1/2 [Su (f + /2)Sv (f /2)]1/2
Equation (2.26) can be implemented efficiently in the discrete domain with the use of FFT.
where
N
X 1
t (t, f ) =
X at (kTs )x(t kTs )ej2f (tkTs ) . (2.29)
k=0
width of the spectral smoothening interval, Fs = 1/N Ts is the sampling frequency, and
N is the number of samples in the data segment of length t . The block diagram of
Examples of discrete SC: SC is computed for BPSK and QPSK modulation schemes. The
number of samples for the FFT was T = 500. For generating the plots a smoothening method
30
k=N
1 X
SxT (f ) = S (tk , f ). (2.30)
N k=1 xT
For example if N=100 then the total number of samples is 100 T . This method helps
to reduce the number of required samples in FFT. If N is increased, the erratic behavior in
SC is reduced and hence cyclic features can be distinguished. A square root raised cosine
pulse was used for generating this plot. Figure 2.3 and Figure 2.4 show the SC functions for
BPSK and QPSK, respectively. The MATLAB pseudocode for the estimation of SCF and
SC is given below.
0.2
0.15
SCF
0.1
0.05
0
0.5
0
0
0.2
0.4
0.6
0.8
f/f 0.5 1
s /fs
Step 1 Divide the incoming modulated signal into N frames. If the total signal has t
t
samples, then each frame has T = N
samples.
Step 2 Take the Fourier transform of each frame using FFT function in MATLAB.
+
Step 3 Shift the FFT of each frame by 2
and 2
and multiply them i.e.,
Step 4 Take the average value of all the N frames to obtain SxT (f )f .
Step 5 Perform frequency smoothening by passing SxT (f )f into a moving average filter to
obtain SxT (f ).
Step 6 Repeat the operation from step 2 for each value of alpha to obtain SCF.
0.2
SCF 0.15
0.1
0.05
0
0.5
0 0
0.2
0.4
0.6
0.8
f/fs 0.5 1 /f
s
Cyclostationarity-based AMC explores the sensed signals SC for modulation signal classifi-
cation. Using SC requires large amounts of data and hence one of the solution is to use only
the highest values in the SC. These highest values in SC are called Cyclic Domain Profile
The CDP for BPSK and QPSK signals used for generating the SC function (Figure 2.3 and
Figure 2.4) are shown Figure 2.5 and Figure 2.6. From Figure 2.5, it can be seen that the
CDP for BPSK has three distinct peaks. The peak in the center corresponds to the carrier
frequency (Fc ) and the remaining peaks are related to the symbol rate (Fsym and Fc + Fsym )
of the transmitted sequence. From Figure 2.6, it can seen that the CDP for QPSK has
33
only one distinct peak that corresponds to the symbol rate (Fsym ). The reason for this is
that QPSK is a balanced modulation scheme i.e., it has balanced inphase and quadrature
components. The block diagram of the AMC is shown Figure 2.7. For pattern matching,
Neural Networks and Hidden Markov model are employed in [18] and [14], respectively.
0.2
0.18
0.16
0.14
0.12
CDP
0.1
0.08
0.06
0.04
0.02
0
0 0.2 0.4 0.6 0.8 1
/fs
Neural Networks trained using the Cyclic Domain Profiles (CDP) are used for signal classifi-
cation due to its pattern matching capabilities. Neural Networks (NN) have been motivated
by the recognition that the brain computes in a different manner from the conventional dig-
ital computer [28]. The brain is made up of basic constituents called neurons. The basic
0.14
0.12
0.1
0.08
CDP
0.06
0.04
0.02
0
0 0.2 0.4 0.6 0.8 1
/fs
A NN is a parallel distributed processor that has a natural propensity for storing experienced
knowledge and making it available for use. The two main aspects of NN are
2. Interneuron connection strengths known as synaptic weights are used to store knowl-
edge.
Based on the interconnections of the neuron, there are four basic classes of NN structure,
single-layer feed forward networks, multilayer feed forward networks, recurrent networks,
and lattice structures [27]. One of the widely used algorithms for training is the Back-
Propagation (BP) algorithm [27]. In BP, weights are adjusted during the training process in
such a way that the error between desired output and the actual output is reduced. There
are other methods of learning such as Hebbian Learning, Competitive Learning, Boltzmann
Learning and Reinforcement Learning. NN are widely used for pattern matching due to their
simple implementation.
In [18], [16] The MAXNET structure shown in Figure 2.8 is used for classification. In the
MAXNET structure each feed forward network has two hidden layers with 5 neurons in each
layer, and the activation function used is tanh(x) . The network is trained using the back
propagation algorithm with an initial learning rate of =0.05 and a momentum constant of
=0.7. The input to the feed forward network is the 200 point prof ile and the output
varies between [-1, 1]. The function of the MAXNET structure is to choose the highest value
36
z = argmax[Yi ]. (2.32)
-profile
Y1
BPSK
M
Y2
A
QPSK
X max(Y1,Y2,Y3,Y4)
N
E
Y3 T
FSK
Y4
MSK
By training the neural network with different realizations of the signal allows it to extract
features such as carrier and keying-rate features of the signal. When the neural network
is trained with a variety of signal realizations with different SNRs, the network performs
exceptionally, even at low SNR levels. This suggests that the network will be able to detect
Performance Analysis
For the simulations, we assumed the signals carrier, pulse shape, pulse width and bandwidth
to be known. AWGN channel of SNR 5 dB is considered and Monte Carlo simulation of 1,000
37
Table 2.1: Probability of classification of AMC in the presence of AWGN (SNR = 5dB)
BPSK 0.999 - - -
MSK - - - 0.99
trials was performed and the results are shown in Table 2.1. Figure 2.9 shows the performance
of the classifier under different SNR. The peaks in the SCF are more pronounced when the
length of the signal observed is longer. The probability of classification given a certain
number of observed symbols is shown in Figure 2.10. In Figure 2.10 the SNR was fixed at
5 dB and Monte Carlo simulation was performed for 1000 trials. It is shown in [18] that by
training the NN for various levels of SNR, performance of the AMC improves.
0.95
Probability of correct classification
0.9
0.85
0.8
0.75
BPSK
QPSK
0.7 FSK
MSK
0.65
10 8 6 4 2 0 2 4 6 8 10
SNR (dB)
0.95
probability of correct classification
0.9
0.85
0.8 BPSK
QPSK
FSK
MSK
0.75
0 50 100 150 200 250 300 350
no of samples
The performance of the above designed classifier in the presence of the multipath channel
is analyzed. The multipath channel is modelled to be a 8-tap FIR filter. Monte Carlo
simulation is performed on each output and the average probability of classification for each
The simulation results indicate that AMC provides inconsistent results in the presence of a
multipath fading channel for a particular modulation scheme and hence the probability of
In [14], discrete HMM is used for classifying the CDP. Signal detection using CDP is discussed
first because it helps in the discretization of the CDP. In signal detection we assume that
a rough estimate of bandwidth is known. The crest factor (CF) is used for signal detection
39
Table 2.2: Probability of Classification of CDP Based AMC in the Presence of FIR Channel
(SNR = 5dB)
and extraction from the CDP [14], which is a dimensionless quantity. The CF of a waveform
is equal to the peak amplitude of a waveform divided by its RMS value. When peaks are
known, this is a simple single cycle detector [14]. For signal detection, threshold values are
calculated first when no signal is present, i.e. only in the presence of AWGN we have
max(I())
CT H = q P . (2.33)
=0 2
N I () /N
If the CF is greater than CT H we declare the signal is present. For feature extraction, all CDP
peaks greater than CT H are encoded as 1 and the others are encoded as 0. This generated
HMM as a classifier
A discrete sequence or process S[k] is a Markov process if the future of the process given the
The above equation is known as a Markov property. A Markov model is a stochastic model
of a system capable of being in finite states 1, 2, . . . , S. Also from the Markov property, one
can derive the probability of arriving at the next state by adding up all the probabilities of
be the vector of probabilities for each state, and let the matrix A contain the transition
probabilities
P (1|1) P (1|2) . . . P (1|S)
P (2|1) P (2|2) . . . P (2|S)
A= .
.
.
.
P (S|1) P (S|2) . . . P (S|S)
The particular value of the state at time t is given by s[t]. In each state at time t, a random
variable v[t] Rm is selected according to a pmf fV |S (v[t]|S[t] = i). The variable v[t]
is observed, but the underlying state is not known, and such a process is called a hidden
Markov model.
From the above discussion, one can see that a HMM contains the following elements: N , the
number of states in the model (these states may be hidden and therefore not observable),
M , the number of distinct observations in the state (the observed signals correspond to a
physical output of the system to be modeled), the state transition probability distribution
P = {aij } where
and B = {bj (k)}, the observation symbol probability distribution in state j where
and the initial state distribution . For convenience, a compact notation for HMM is used
i.e. = (P, B, ). These parameters can be estimated using the Baum-Welch algorithm
(BWA), which is another form of the expectation-maximization (EM) algorithm for HMMs.
Due to the need for an online estimation in real world applications, one uses a modified
BWA that can estimate HMM parameters in real time. For the case of binary sequences,
the probability of generating the observation sequence given the model, can be written
mathematically as
Because of the significantly long data size, one uses the logarithm of P (y1T /), usually known
as log-likelihood.
Signal classification
If the CDP based detector declares that a signal exists, then this signal goes through the
signal classification stage. For training purposes, ideal binary feature vectors are generated
using CDPs for various signal types. The feature vectors are fed into the HMM for learning
process that uses the Baum-Welch algorithm. The Baum-Welch algorithm produces hidden
Markov models, = (P, B, ) , based on each training sequence (signal type). After training,
the unknown incoming signal is used to find its likelihood using each HMM generated in the
training phase. The likelihood values hence generated are compared with the likelihood of
the original sequence and the closest match is selected as the signal type. A simplified block
43
Probability P(O | O1 )
Computation for
O1
Probability
Computation for P(O | O2 )
arg max( P(O | Ov ))
O2
Select
Maximum
Feature
Extraction
Probability P(O | Ov )
Computation for
Ov
Performance analysis
To analyze the performance of this AMC, Monte Carlo simulations were performed for sig-
nal classification. The HMMs in Figure 2.11 were trained with ideal feature vectors for each
signal type. Different incoming signals with SNR of -3dB are observed with varying obser-
vation lengths to obtain the percentage of successful classification. The result is summarized
in Figure 2.12. Note that the percentage of correct signal classification (for each signal type)
44
reaches 100% when we increase the observation length to 300 blocks. MATLAB code for the
be found in [95].
100
90
80
percentage of correct classification
70
60
50
40
BPSK
30 QPSK
FSK
MSK
20
SBAM
10
50 100 150 200 250 300
number of samples
In this section, AMC based on the fourth order cumulant of the received signal is presented.
The idea of using the fourth order cummulant for classification was first proposed in [7].
Preliminaries
For a complex-valued stationary random process y(n), second-order moments can be defined
where
The cumulants in (2.36) and (2.37) can be estimated from the sample estimates of the
N
1 X 2
C20 = y (n),
N n=1
N
1 X
C21 = |y(n)|2 . (2.39)
N n=1
N
1 X 4
C40 = y (n) 3C20
2
,
N n=1
N
1 X 3
C41 = y (n)y (n) 3C20 C21 , (2.40)
N n=1
N
1 X
C42 = |y(n)|2 |C20 |2 2C21
2
.
N n=1
The cumulant value for each modulation scheme is unique and hence can be used as a feature
for modulation classification. The theoretical cumulant values for some of the modulation
schemes are tabulated in Table 2.3. Detailed tabulation can be found in [7]. Based on the
46
values of C42 and C40 , the hierarchical modulation scheme similar to the one shown in Figure
Table 2.3: Theoretical Cumulant Values for Some of the Modulation Schemes
BPSK QPSK PAM(4) PAM8 QAM16 QAM64
In this section the performance of the cumulant based AMC is demonstrated using simula-
tions. For our simulation, the four class problem from [7] is considered, that is
For the above four class problem |C40 | was used to make decisions. The decision rule con-
sidered was |C40 | < 0.34 P SK(8), 0.34 |C40 | < 1.02 QAM (4, 4) , 1.02 |C40 | <
1.68 P AM (4), and 1.68 |C40 | BP SK. The channel was considered to be a simple
10 dB AWGN. Table 2.4, Table 2.5, and Table 2.6 show the confusion matrix for the number
of samples N = 100, 250, and 500 respectively. It can be seen from the table that one can
get better classification by increasing the number of samples. Also from the discussion, it
can be seen that the cumulant based AMC can classify higher order modulations.
47
C42
|C40|
C40
C42
PSK(>4) PSK(4)
PSK(4) PSK()
QAM(4) QAM(>4)
Table 2.4: Confusion Matrix for Cumulant Based AMC in the Presence of AWGN (SNR =
10dB), N=100.
Table 2.5: Confusion Matrix for Cumulant Based AMC in the Presence of AWGN (SNR =
10dB), N=100.
QAM(4,4) - 1 - -
PSK(8) - - - 1
Table 2.6: Confusion Matrix for Cumulant Based AMC in the Presence of AWGN (SNR =
10dB), N=500.
BPSK 1.000 - - -
QAM(4,4) - 1.000 - -
PAM(4) - - 1.000 -
PSK(8) - - - 1.000
49
In this section we briefly discuss the effect of the multipath channel on the cumulant value of
the received signal for a single user case. The received signal subjected to multipath fading
is given by
L1
X
y(n) = x(n k) + g(n)
h(k) (2.41)
k=0
where y(n) is the received signal, x(n) is the transmitted signal, g(n) is the additive noise,
and h(n) are the fading coefficients for each multipath. The C40y and C21y values are given
by
L1
X
C40y =
|h(k)|4
C40x , (2.42)
k=0
and
L1
X
C21y =
|h(k)|2
C21x + g2 . (2.43)
k=0
C40y
C40y = = C40x , (2.44)
(C21y g2 )2
where
PL1 4
|h(l)|
= nP l=0 o2 . (2.45)
L1 2
l=0 |h(l)|
Since < 1 [7], the effect of the multipath channel is to drive the actual cumulant value of
the transmitted signal toward zero and hence one cannot distinguish the modulation scheme.
50
Figure 2.14 shows the performance degradation of the AMC under a multipath channel. For
Figure 2.14 the same four class problem 4 = {BP SK, P AM (4), QAM (4, 4), P SK(8)} is
considered. It can be seen from Figure 2.14 that the multipath channel severely affects the
1
AWGN
Multipath
0.9
Probablity of correct classification
0.8
0.7
0.6
0.5
0.4
0.3
0.2
10 5 0 5 10 15 20
SNR
The performance of the AMC is now analyzed by adding a CMA blind equalizer. Choosing
the length of the equalizer is a difficult task when there is no information about the channel.
Here we vary the length of the equalizer according to the performance of the AMC. Monte
Carlo simulations are performed and results are shown in Figure 2.15. It can be seen from
Figure 2.15 that the performance of the AMC depends on the length of the equalizer. This
experiment basically illustrates the dependence of the AMC performance on the parameters
Figure 2.15: Effect of length of the equalizer on the performance of AMC (5 dB noise).
2.5 Conclusion
In this chapter we discussed two feature based AMCs. The performance degradation of
the AMCs in the presence of a multipath channel was illustrated. We also illustrated
using simulations the dependence of the AMC performance on the parameters of the blind
equalizer.
Chapter 3
User AMC
3.1 Introduction
noise and multipath fading. Multipath fading affects symbol detection by causing Inter
Symbol Interference (ISI). Multipath fading not only affects the performance of symbol
detection by causing ISI, but also affects the performance of the AMC. The performance
degradation of the AMCs due to multipath channel was also illustrated in the previous
chapter.
Adaptive blind equalizers are used to remove ISI when there is no training sequence and chan-
52
53
nel knowledge available. Since there is no training sequence available, the blind equalization
algorithms adapt the weights of the equalizer by minimizing some special cost functions that
are non mean square error (MSE). Some of the well known blind equalization algorithms
are Sato [50], Godart [52], Bussgang, and Shalvi-Eeinsten [59]. Detailed literature on single
input single output (SISO) blind equalizers can be found in [48]-[49]. Since the cost functions
are non quadratic, the weights of the adaptive blind equalizer have the potential to converge
local minimum not only affects the symbol detection performance but also the performance
of the AMC.
The objective of a blind equalizer is to remove ISI, but its impact on the AMC [70] has to
be evaluated as well. Also it was shown in the previous chapter, the dependence of AMC
design a blind equalizer which not only removes ISI but also improves the performance of
the AMC. Two approaches in this direction are found in the literature. The first method is
proposed in [70], where performance of the cumulants based AMC is improved by estimating
the channel using fourth order statistics. Also in [70], the performance of the AMC is
improved but there is no improvement in symbol detection. The other method proposed
in [71] is the same as the one proposed in [70], except that a higher order statistics (HOS)
based blind equalizer is added to the received signal and a switching mechanism is proposed
based on which the AMC chooses between a raw signal and an equalized signal. There is
no improvement in the performance of the AMC due to the switching mechanism and blind
54
equalizer, but the switching mechanism makes sure that there is no performance degradation
In this chapter, we propose novel cognitive receivers where the performance of the AMC
is also considered, while designing the blind equalizer and thus eliminating the need for
switching. The proposed approach involves formulating cost functions that are related to
the performance of AMC and the performance of symbol detection and then adapting the
equalizer parameters such that these cost functions are maximized. The proposed approach
thus improves both signal detection and AMC performance. In this chapter we propose
novel cognitive receivers for two different multipath channel conditions: minimum phase
channel and mixed phase channel. For the minimum phase channel, the proposed receiver
architecture is an adaptation of the blind equalizer presented in [86], [87]. The reason for
choosing this architecture is that it offers two fold diversity for AMC decision making, that
is, the AMC makes a decision based on two estimated cumulant values. Because of this
diversity, the performance of the AMC is better than those of [70] and [71]. For the mixed
phase channel, we propose two different receiver architectures. In the first architecture,
the equalizer considered is a simple FIR filter. In the second architecture, the equalizer
the parameters of the equalizer are adapted using modified stop and go adaptation rules.
This chapter is organized as follows: In Section 3.2, we provide a block diagram description
of the proposed system along with channel model and assumptions. In Section 3.3, we briefly
describe nth order cumulants based AMC. The cost function related to the performance of this
55
AMC is also formulated in this section. In Section 3.4, the proposed receiver architecture for
minimum phase channels is described. In Section 3.5, the proposed receiver architectures for
mixed phase channels is described. Simulation results are presented in Section 3.6, followed
by the conclusion.
Notation: (.) stands for the complex conjugate, (.)H denotes the conjugate transpose, and
(.)T is the transpose operation. Also, E(.) stands for the expectation operation and z 1 is
v(k) Symbol
s(k) Blind y(k)
Detection
H(z-1)
r(k)
Equalizer
AMC
Blind
Adaptive
Algorithm
The block diagram of a typical intelligent receiver is shown in Figure 3.1. In the figure, s(k)
is the complex baseband transmitted signal and H(z 1 ) is the channel transfer function.
56
where z 1 is the unit delay operator and h(i) (for i = 1, . . . L) are the impulse response
coefficients. The received signal r(k) which is subjected to multipath fading is given by
where v(k) is the additive white noise. The received signal is then fed to the adaptive blind
equalizer. The equalizer output y(k) is used for both AMC and symbol detection. Typically
blind equalization algorithms adapt the parameters of the blind equalizer by minimizing
the cost function that is related to symbol detection performance. Since the output of the
blind equalizer is used for both AMC and symbol detection, it is necessary to consider the
performance of the AMC also while adapting the equalizer parameters. In order to do so, two
cost functions are formulated such that one is related to the AMC performance and the other
one is related to symbol detection performance. Then adaptive algorithms are developed to
adapt the parameters of the blind equalizer such that both the cost functions are maximized.
In rest of the chapter, we propose cognitive receiver architectures for two different multipath
channels. The cost function related to the performance of nth order cumulants based AMC
is formulated. Adaptive algorithms to adapt the parameters of the blind equalizers in the
3.3 AMC
As mentioned earlier, nth order cumulant based AMCs are widely used because of their
ability to classify multiple modulation schemes and easy implementation. We first briefly
describe the nth order cumulant based AMC from [7] - [11]. We then propose a cost function
that is related to the performance of the nth order cumulant based AMC.
In this section, we present the basic theory behind nth order cumulant based AMC. For a
where n is the order, m is the number of conjugate factors, and = [1 , . . . , n ] is the delay
p
X Y
Cv(n,m) ( ) = F (p) Rv(nj ,mj ) ( ) (3.4)
Pn j=1
where the sum is over distinct partitions of the indexed set {1, 2 . . . n} and F (p) = (1)p1 (p
Cv(n,m) ( )
Cv(n,m) ( ) = h in/2 f or n = 4, 6, . . . . (3.5)
2
Cv(2,1) (0)
Theoretical normalized cumulant values for some of the modulation schemes are shown in
Table 1. Detailed tabulation can be found in [7], [9]. From Table 1 it can be seen that the
58
BPSK -2 16
QPSK 1 -4
PSK(8) 0 0
normalized cumulants values are unique for each modulation scheme and hence are used as
In this subsection we derive the cost function J1 that is related to the performance of nth
order cumulant based AMC. In order to do so, we need to analyze the effect of the multipath
channel on normalized nth order cumulant features. The following properties of the nth order
Property 1 Additive: Let x(k) and y(k) be two independent random processes. If z(k) =
x(k) + y(k), then the nth order cumulant value of z(k) is the sum of those for x(k) and y(k).
That is
Property 2 Scaling property: Let x = ay. Then the nth order cumulant value of x is |a|n
59
Using the scaling and additive properties of cumulants, the normalized cumulants of the
Cr(n,m) ( ) = Cs(n,m) ( ) (3.7)
n/2
where Cs(n,m) ( ) is the normalized cumulant value of the transmitted sequence s(i),
L1
X L1
X
n
= |h(k)| , and = |h(k)|2 . (3.8)
k=0 k=0
= < 1. (3.9)
n/2
Since < 1, the magnitude of the normalized cumulants of the received signal r(k) is driven
toward zero. The multipath channel basically clusters all the normalized cumulant features
around zero. This clustering makes it hard for the classifier to distinguish the features. For
The above cost function maximizes the magnitude of the normalized cumulant values of the
Reprinted, with permission from, B.Ramkumar, T. Bose, and M. Radenkovic, Robust au-
tomatic modulation classification and blind equalization: A novel cognitive approach, The
60
In this section we present the blind equalizer architecture for minimum phase channels. That
is, we make the following assumption about the channel transfer function H(z 1 ).
Assumption A31 The channel H(z 1 ) is a minimum phase polynomial, i.e., it has no zeros
in |z| 1.
Assumption A31 implies that the energy in the direct component of the received signal is
more when compared to the energy in the delayed multipath component. As mentioned
earlier, the proposed architecture is an adaptation of the blind equalizer presented in [86],
[87]. The reason for choosing this architecture is that it offers two fold diversity for AMC
decision making which will be shown later in this section. Because of this diversity, the
performance of the AMC is better than those of [70] and [71]. This section is organized as
follows: First we briefly describe the proposed CR receiver architecture. Then we develop
algorithms to adapt the parameters of the blind equalizer in the proposed receiver. Finally,
The block diagram of the proposed receiver is shown in Figure 3.2. From Figure 3.2 it can
be seen that the received signal r(i) is branched out into two signals x1 (i) and x2 (i) where
x1 (i ) x1 (i 1)
R( z 1 )
F1 ( z 1 )
D( z 1 )
r (i ) + -
+
x2 (i )
+
y(i 1) e(i 1)
S ( z 1 )
B( z 1 ) F2 ( z 1 )
D( z 1 )
p1 (eqn: 33)
Cumulant
AMC Decision
Estimation
Maker
(For AMC) p2 (eqn: 34)
degree(B(z 1 ) 1.
The polynomial B(z 1 ) basically induces a non common factor in the two branches, so that
the Recursive Extended Least Square (RELS) algorithm from [86], [87] can be applied. Even
though B(z 1 ) can be any arbitrary polynomial, it is a necessary polynomial required for the
convergence of the RELS algorithm. The signals x1 (i) and x2 (i) are further passed through
R(z 1 ) S(z 1 )
F1 (z 1 ) = and F2 (z 1
) = . (3.13)
D(z 1 ) D(z 1 )
62
The coefficients of these filters are adapted by minimizing the cost function that is related
to the symbol detection performance. In order to do so we consider the well known cost
where y(i) = F1 (z 1 )x1 (i) + F2 (z 1 )x2 (i) and the prediction error e(i + 1) provides the
equalized symbol sequence for symbol detection. The filters F1 (z 1 ) and F2 (z 1 ) are also
known as prediction error filters. The recursive algorithm for estimating R(z 1 ),S(z 1 ) and
Another important component in Figure 3.2 is the AMC. As mentioned earlier, the nth
order cumulant of a received signal is used for classification. Since B(z 1 ) is an arbitrary
polynomial, we adapt it in such a way that the performance of the AMC is improved. For
the AMC based on the nth order cumulant, we adapt B(z 1 ) by minimizing the cost function
that was proposed in the previous section (refer to equation (3.10)). For a different feature
From Figure 3.2 it can seen that the AMC makes decisions by fusing p1 and p2 , which are
functions of Cx1 (n,m) and Cx2 (n,m) respectively. Appropriate functions for p1 and p2 and the
As mentioned in the previous section, the polynomials S(z 1 ), R(z 1 ) and D(z 1 ) are
The recursive algorithm for updating B(z 1 ) is discussed in the next subsection. In this sub-
1. Now
and
where
From (3.19) and (3.20) it can be seen that the cost function (3.14) is minimum when Q(i) = 0.
and
Note: It should be noted that the channel impulse response can be estimated from (3.19) .
Since the polynomial H(z 1 ) is not known, it is not possible to solve the above equations.
For degree(B(z 1 )) 1, the whole system can be viewed as a special case of the SIMO
blind equalizer in [86]. Hence we can modify the recursive algorithm in [86] for estimating
R(z 1 ) = r0 + r1 z 1 + . . . + rN 1 z N 1
S(z 1 ) = s0 + s1 z 1 + . . . + sN 2 z N 2 (3.23)
and
= [r0 , r1 , . . . , rN 1 , s0 , s1 , . . . , sN 1 , h0 , . . . , hL , 0, . . . , 0] (3.25)
where the number of zeros at the end is the difference between the chosen N 3 and the
The value of is estimated using the following Recursive Extended Least Squares (RELS)
algorithm:
+ 1) = (i)
(i + p(i)(i)(i + 1) (3.27)
H (i)
(i + 1) = x1(i + 1) (i) (3.28)
Since the above algorithm is a special case of the algorithm in [86], the convergence property
derived in [86] applies here. One of the important properties is that for = 1 under
n
1X
lim [x1 (i + 1) y(i + 1) s(i + 1)]2 = 0 (3.30)
n n
i=1
As mentioned earlier, B(z 1 ) is adapted by minimizing (3.10). It can be seen that (3.10) is
non quadratic and we use a gradient search method to find the coefficients of B(z 1 ). Let
W = [b0 , b1 , , bL1 ]T be the vector of coefficients of B(z 1 ). The gradient search algorithm
[88] for updating W is stated as follows. Let Wk denote the coefficient vector during the
iteration k = 0, 1, 2, . . ..
66
m=L
X1
x2 (n) = Wk1 (m)r(n m) (3.31)
m=0
J1
Wk = Wk1 (3.32)
W Wk1
The equalized signal x2 (n) has a higher cumulant value but does not guarantee good signal
to interference noise ratio (SINR). The reason is that the cost function J1 is non quadratic
and the gradient decent algorithm converges to a local minimum [88]. The low SINR of x2 (n)
is not a concern because x2 (n) is used only for the AMC and not for symbol detection. The
coefficients of B(z 1 ) are updated for every batch of data, whereas the other polynomials
are updated for every sample. The forgetting factor in the recursion (3.27)-(3.29) is used to
The decision about the modulation scheme is made by fusing the cumulant value calculated
from two sources. From equations (3.21) and (3.25) it can be seen that the channel impulse
response can be estimated using the recursion (3.27)-(3.29) apart from achieving equalization.
From the estimated impulse response D(z 1 ), the value of can be estimated using (3.8).
1
p1 = |C |. (3.33)
x1 (n,m)
p2 = |Cx2(n,m) |. (3.34)
Since the channel tends to drive the cumulant value of a transmitted signal to zero, the
pf = max(p1 , p2 ). (3.35)
The performance of the AMC in the proposed receiver is enhanced because of the above
fusion rule and higher cumulant value of the signal x2 . Both symbol detection performance
and AMC performance for the proposed receiver is analyzed in Section 3.6.
In this section we present the CR receiver architecture for mixed phase channels. That is,
we make no assumption about the channel transfer function H(z 1 ). The block diagram of
68
v(k)
s(k) y(k) Symbol
H(z-1) W(z-1) Detection
r(k)
Blind
Adaptive AMC
Algorithm
the proposed system is shown in Figure 3.3. In Figure 3.3 the equalizer W (z 1 ) is modeled
where z 1 is the unit delay operator and wi (for i = 1 . . . (L1 1)) are the weights of
the equalizer. Denote the weight vector of the equalizer as w(k) = [w0 , . . . , wL1 ] and the
regressor vector as r(k) = [r(k), . . . , r(k L1 )], then the output y(k) is given by w(k)r(k)T .
The equalizer output y(k) is used for both AMC and symbol detection. As mentioned
earlier, the equalizer weights are adapted using a modified version of stop and go adaptation
rules. In the following subsection, the background theory on stop and go adaptation rules is
presented.
Note: When the channel is minimum phase, the receiver architecture presented in the
previous section (Refer to Figure 3.3) offers better performance when compared to the one
proposed in this section. However the receiver architecture in Figure 3.3 cannot be applied
69
3.5.1 Background
Most blind equalization algorithms are designed as stochastic gradient schemes for updating
the weight vector by minimizing cost functions that are non-MSE. These cost functions are
chosen such that the symbol detection performance is improved. Let the cost function be
defined as
where (y(k)) is a nonlinear function of the equalizer output y(k). Then the well known
(y(k))
w(k + 1) = w(k) (3.38)
w(k)
0
= w(k) (y(k))
0
where is the step size and (y(k)) is the partial derivative of (y(k)) with respect to
w(k). Since the cost functions are non-quadratic, the weights have the potential to converge
to a local minimum. From (3.4) it can be seen that the convergence of the blind equalizer
0
depends on the gradient direction, and more specifically, the sign of the gradient (y(k)).
Since the output of the equalizer y(k) is used for both symbol detection and AMC, the
convergence of the blind equalizer can be improved if the performance of the AMC is also
considered while adapting equalizer weights. In order to do so, we consider the stop and go
adaptation rules proposed in [60]. In the stop and go methodology, two cost functions are
70
considered for adapting the equalizer weights. For each sample of the received signal, the
equalizer weights are updated if the signs of the gradients of the two cost functions agree.
and
where 1 (y(k)) and 2 (y(k)) are nonlinear functions of the equalizer output y(k). Then the
So far in literature, both the cost functions (J1 and J2 ) are related to the symbol detection
performance. Here we choose the cost functions such that one of them is related to symbol
detection performance and the other is related to the performance of the cumulants based
AMC. This insures that the performance of the AMC is not affected due to the blind equal-
izer. This method also eliminates the need for switching that was used in [71]. The cost
function for the nth order cumulants based AMC was proposed in Section II (3.10). For the
symbol detection performance we consider the cost function proposed in [18], which is briefly
explained in subsection 3.5.3. For the cost function J1 , we need to calculate the stochastic
0
gradient function 1 (y(n)) in order to use the stop and go adaptation rule in (3.41). In the
It should be noted that the cost function (3.10) is non quadratic and nonlinear. Since only
the sign of the gradient is required, we compute an approximate function for the gradient.
J1 1 Cy(n,m) (k, )
= J1 (w)[ (3.43)
w Cy(n,m) (k, ) w
1 Cy(m,n) (k, ) m + n Cy(2,1) (0)
+ ].
Cy(m,n) (k, ) w Cy(2,1) (0) w
By substituting the expression for cumulants in the above equation and replacing the expec-
tation operation by a sample estimate we obtain the expression for the stochastic gradient.
Here we present the stochastic gradient function for some specific cases that were used for
the simulations.
J1 y 4 (k)[y (k)y(k) 1]
=
r(k)H = 1 (y(k))r(k)H (3.44)
w y (k)
J1 1
= y 5 (k)y (k)[y 7 (k) + 5y 7 (k) 6y 5 (k)y 4 (k)] 4 r(k)H (3.45)
w y (k)y 4 (k)
= 1 (y(k))r(k)H
As mentioned earlier, one of the cost functions is chosen such that the symbol detection per-
formance is improved. For this receiver architecture, we consider the cost function proposed
in [18], which is also known as the Bussgang algorithm. The cost function is the maximum
a posteriori (MAP) estimate of the transmitted sequence. The adaptive Bussgang algorithm
where 2 (y(k))r(k)H is the stochastic gradient and f (y(k)) is a nonlinear function. One
of the widely used nonlinear functions is the tanh() function. The reason for choosing the
Bussgang algorithm is that all the existing HOS based blind equalization algorithms can be
viewed as a special case of the Bussgang algorithm. A detailed explanation of the above
The algorithm to adapt the weights of the equalizer is obtained by substituting the gradient
functions derived in this section in (3.41). The overall adaptive algorithm is given by
w(k) 1 (y(k))r(k)H , f or sgn[1 (y)] = sgn[2 (y)]
w(k + 1) = (3.47)
w(k), f or sgn[1 (y)] 6= sgn[2 (y)]
73
where 2 (y(k)) is given by (3.46) and 1 (y(k)) depends on order of the cumulants based
as the decision feedback equalizer (DFE). The proposed CR receiver architecture in this
subsection is similar to the one proposed previously (refer to Figure 3.3) except that there
is an additional feedback filter. Compared to the receiver proposed before, this DFE based
receiver offers better symbol detection performance when the channel impulse response is
long. However the performance of AMC for both the receivers will be the same. The block
Feedback Filter
AMC B(z-1)
From Figure 3.4 it can be seen that the equalizer has two filters. The first one is a linear
filter in the direct path known as feedforward filter. The second filter feedbacks the decision
74
made by the symbol detection block and hence is called a feedback filter. The feedback filter
uses the previous decisions made by the symbol detector to reduce ISI and thus improves
symbol detection performance. Let F (z 1 ) and B(z 1 ) denote the transfer functions of the
feedforward and feedback filters respectively. Both the filters are modeled as FIR filters
given by
and
Denote the weight vector of the feedforward filter as f(k) = [f0 , . . . , fL ] and the feedforward
regressor vector as r(k) = [r(k), . . . , r(k L)], then the output y(k) is given by f(k)r(k)T .
The weights of the feedforward filter are adapted such that both AMC performance and
symbol detection performance are improved. In order to do so, we use the modified stop and
go adaptation rule proposed in the previous subsection (refer to (3.47)). Now denote the
weight vector of the feedback filter as b(k) = [b0 , . . . , bL1 ] and the feedback regressor vector
s(k), . . . , s(k L1)], then the output of the filter y(k) is given by b(k)s(k)T . The
as s(k) = [
weights of the feedback filter are adapted by minimizing the following cost function
y (k) y(k)]2 .
J3 (b(k)) = E [ (3.50)
The above cost function minimizes the ISI and thus improves symbol detection. By com-
puting the gradient of the above cost function and setting it to zero we obtain the following
75
y (k) y(k)]s(k)H ,
b(k) = b(k 1) [ (3.51)
where is the step size. As mentioned earlier the CR receiver proposed in this subsection
offers better symbol detection performance. The reason for this improved performance is the
In this section, we analyze the performance of the proposed CR receiver architectures using
Monte Carlo simulations. Similar to [71], both AMC performance and symbol detection
performance are analysed. For the AMC performance analysis, the probability of correct
= {d1 , . . . , dK } (3.52)
where P (di ) is the probability that the particular modulation scheme is transmitted and
P (di |di ) is the correct classification probability when modulation scheme di has been trans-
1
mitted. For the simulation we assume P (di ) = K
, i, where all scenarios are equally probable.
In this experiment we consider the channel to be a minimum phase multipath channel. The
channel is modeled as a 4-tap FIR filter such that there are no zeros on or outside the unit
circle. Since the receiver is modelled as minimum phase, the equalizer architecture that was
proposed in Section 3.4 is considered. In order to analyse the performance of the AMC, the
Fourth order cumulant (n=4 in (3.5)) was considered as a feature for classification. Figure
3.5 shows the probability of correct classification versus signal-to-noise ratio. In Figure 3.5,
1
pc1
pc2
pc3
0.9
pc4
0.8
Probablity of correct classification
0.7
0.6
0.5
0.4
0.3
0.2
10 5 0 5 10 15 20
SNR
P c1 is the performance of the AMC in the presence of an AWGN channel (ideal condition).
P c2 is the performance of the proposed system and P c3 is the performance of the system
proposed in [70] and [71]. P c4 is the performance of the AMC in the presence of a multipath
77
channel with no channel estimation or equalization and hence it is the worst. P c2 is better
than P c3 because AMC performance is also considered while adapting equalizer weights in
the proposed system. For analysing the performance of symbol detection, the same 4-tap
FIR channel was considered. Symbol error rates (SER) before and after equalization are
presented in Figure 3.6. From the figure it can be seen that the proposed system offers
good symbol detection performance. Also from the simulation results it can be seen that the
0.35
After equalizarion
Before equalization
0.3
0.25
0.2
SER
0.15
0.1
0.05
0
0 5 10 15 20 25
SNR(dB)
In this experiment we analyse the performance of the AMC in the performance of realistic
minimum phase Rayleigh channel. The same four class problem from the previous experi-
ment is considered hare. Rayleigh distribution is commonly used to describe statistical time
varying envelope of an individual multipath components [90]. We consider here the following
78
where 0 , 1 and 2 are independent and Rayleigh distributed, 0 , 1 and 2 are independent
and uniformly distributed over [0,2]. In order to make sure the channel is minimum phase
we arrange the chosen multipath gains in ascending order with direct component having
the highest gain. Fourth order cumulant (n=4 in (3.5)) was considered as a feature for
classification. Figure 3.5 shows the probability of correct classification versus signal-to-noise
ratio. In Figure 3.7, P c1 is the performance of the system proposed in [70] and [71] and P c2 is
the performance of the proposed system. P c2 is better than P c1 because AMC performance
is also considered while adapting equalizer weights in the proposed system. From the results
it can be seen that, the proposed system performs well under Rayleigh fading channel.
1
pc1
pc2
0.9
Probablity of correct classification
0.8
0.7
0.6
0.5
0.4
5 0 5 10 15 20
SNR
In this experiment we analyse the performance of the AMC in the performance of realistic
minimum phase Ricean channel. The same four class problem from experiment 1 is consid-
ered hare. Ricean distribution is commonly used to describe statistical time varying envelope
where 0 , 1 and 2 are independent and Ricean distributed, 0 , 1 and 2 are independent
and uniformly distributed over [0,2]. Fourth order cumulant (n=4 in (3.5)) was considered
as a feature for classification. Figure 3.6 shows the probability of correct classification versus
signal-to-noise ratio. In Figure 3.8, P c1 and P c2 have the same meaning as the previous
adapting equalizer weights in the proposed system. From the results it can be seen that, the
In this experiment we analyse the performance of the AMC in classifying higher order QAMs.
The channel is modelled as a minimum phase Rayleigh channel. In order to analyse the
performance of the AMC, the following AMC four class problem is considered
1
pc1
pc2
0.9
0.7
0.6
0.5
0.4
5 0 5 10 15 20
SNR
Figure 3.7 shows the probability of correct classification versus signal-to-noise ratio when
fourth order cumulant (n=4 in (3.5)) was considered as a feature for classification. In Figure
3.9, P c1 and P c2 have the same meaning as the previous experiment. It can be seen from
the figure that even though P c2 is better than P c1, the performance of the AMC is not
good. The reason for this poor performance is that, fourth order cumulant features have
The experiment is repeated using sixth order cumulant (n=6 in (3.5)) features and the
results are shown in Figure 3.10. In Figure 3.10, P c1 and P c2 have the same meaning as the
previous experiment. From the figure it can be seen that sixth order cumulants can classify
0.85
pc1
pc2
0.8
0.7
0.65
0.6
0.55
0.5
5 0 5 10 15 20
SNR
1
pc1
pc2
0.95
Probablity of correct classification
0.9
0.85
0.8
0.75
0.7
5 0 5 10 15 20
SNR
In this experiment we consider the channel to be a mixed phase multipath channel. The
channel is modeled as a three mixed phased Rayleigh channel. Since the channel is modeled
as mixed phase, the equalizer architecture that was proposed in Section 3.5 is considered.
As mentioned earlier, nth order cumulants based AMC is considered in this paper. For this
experiment, we consider two specific cases with n = 4 and n = 6 respectively. For both cases
For this case, we consider a fourth order cumulant feature with n = 4, m = 0 and = 0
(refer to (3.5)). The number of samples used to estimate the cumulant features was T1 =
1,000. The Bussgang cost function was considered for the symbol detection performance.
The stochastic gradient of the AMC (1 (y)) cost function for this case is given by (3.44).
The performance of the AMC for the proposed system is shown in Figure 3.11. In Figure
3.11, P c1 denotes the performance of the AMC using the switching equalizer proposed in
[71], and P c2 denotes the performance of the AMC using the proposed equalizer.
83
0.95
pc1
0.9 pc2
0.85
0.75
0.7
0.65
0.6
0.55
0.5
0.45
5 0 5 10 15 20
SNR
For this case, we consider a sixth order cumulant feature with n = 6, m = 1, and = 0
(refer to (3.5)). The number of samples used to estimate the cumulant features was T1 =
3000. The stochastic gradient of the AMC (1 (y)) cost function for this case is given by
(3.45). The performance of the AMC for the proposed system is shown in Figure 3.12. In
Figure 3.12, P c1 and P c2 have the same meaning as that of Figure 3.11.
From Figure 3.11 and Figure 3.12, it can be seen that the proposed system performs better
than the switching equalizer in [70]. The reason is that AMC performance is also considered
while adapting the weights. In order to analyze the symbol detection performance, SER and
steady state normalized mean square error (NMSE) are considered as performance measures.
The SER Vs SNR after equalization is presented in Figure 3.13. In Figure 3.13, p2 is the
84
1
pc1
pc2
0.9
0.7
0.6
0.5
0.4
5 0 5 10 15 20
SNR
symbol detection performance of the receiver architecture with a linear equalizer (refer to
Figure 3.3) and p1 is the symbol detection performance of the receiver architecture with a
DFE (refer to Figure 3.4). From the figure it can be seen that the DFE based receiver offers
better symbol detection performance. The reason for this better performance is the feedback
filter in DFE. The convergence of the NMSE is shown in Figure 3.14. In can be seen that
when higher order cumulants are used for AMC the convergence is slower. The reason for
this is that for higher order cumulants the stochastic gradient 1 (y) has higher variance.
In this experiment we consider the channel to be a mixed phase multipath channel. The
channel is modeled as a three mixed phased Rician channel. Since the channel is modeled as
85
0
10
p1
p2
1
10
SER
2
10
3
10
5 0 5 10 15
SNR(dB)
20
18
16
14
12
MSE
10
(n=6)
8
6 (n=4)
0
0 1000 2000 3000 4000 5000
no of iterations
mixed phase, the equalizer architecture that was proposed in Section 3.5 is considered. We
consider fourth order cumulant with n = 4, m = 0 and = 0 (refer to (3.5)) as a feature for
classification. The stochastic gradient of the AMC (1 (y)) cost function for this case is given
by (3.44). The Bussgang cost function was considered for the symbol detection performance.
The performance of the AMC for the proposed system is shown in Figure 3.15. In Figure
3.15, P c1 and P c2 have the same meaning as that of Figure 3.11. It can be seen from the
figure that the proposed system performs well under Ricien fading.
0.95
pc1
0.9 pc2
0.85
Probablity of correct classification
0.8
0.75
0.7
0.65
0.6
0.55
0.5
0.45
5 0 5 10 15 20
SNR
3.2. From Figures 3.5 and 3.6 it can be seen that the proposed receiver improves the per-
87
formance of both symbol detection performance and AMC performance. The performance
of the AMC using the proposed architecture is better the performance of the AMC using
the switching equalizer proposed in [71] (refer to curves labelled pc2 and pc3 in Figure 3.5).
The reason for this improvement is the two fold diversity in AMC decision making offered
by the proposed architecture and the design of the B(z 1 ) filter (refer to section 3.4.3).
In experiments 2 and 3, we analysed the performance of the AMC under minimum phase
Rayleigh and Ricean channels. From Figures 3.7 and 3.8 it can be seen that the performance
of the AMC using the proposed architecture is better the performance of the AMC using the
switching equalizer proposed in [71] for the same reasons explained above. In experiment 4,
we analysed the performance of the AMC in classifying QAMs. From Figure 3.9 it can be
seen that the AMC is not good in classifying QAMs. The reason for this is that fourth order
cumulant features were used as a feature for classification. Fourth order cumulant features
are not capable of discriminating between QAMs. From Figure 3.10 it can be seen that the
performance of AMC in classifying QAMs is improved when sixth order cumulant features
were used. In experiments 5 and 6 we analyse the performance of the AMC under mixed
phase Rayleigh and Reician channels. Since the channel was mixed phase, receiver architec-
ture proposed in Figure 3.3 was used. Both forth order and sixth order cumulant features
were considered. In both cases AMC performance was better than the AMC proposed in [70].
However from Figures 3.11 and 3.12 it can be seen that sixth order cumulant feature offer
better classification compared to fourth order cumulants for the reasons explained before.
Also the convergence of the equalizer while using sixth order cumulant features was slower
88
(refer to Figure 3.14) because of the higher variance of the stochastic gradient. It should be
noted that when the channel is minimum phase, the receiver architecture presented in Figure
3.2 offers better performance when compared to the one proposed in Figure 3.3. However
the receiver architecture in Figure 3.2 cannot be applied to mixed phase channels.
3.7 Conclusion
In this chapter we proposed CR receivers where the performance of the AMC is also consid-
ered while adapting parameters of the blind equalizer. The proposed receivers thus enhance
the performance of both the AMC and symbol detection. nth order cumulant based AMC
was considered in this paper. The receivers were proposed for both minimum phase and
mixed phase multipath channel conditions. The performance of the proposed CR receivers
Multiuser AMC
4.1 Introduction
AMC in literature is mostly developed for classifying the signal transmitted by a single
user. Multiuser AMC, as the name suggests, simultaneously classifies signals transmitted
by multiple users. This chapter presents nth order cumulant and cyclic cumulant based
multiuser AMC. The idea of multiuser AMC using the fourth order cumulant based approach
is recently proposed in [46]. However, it assumes that the number of transmitting users is
known and all the users transmit at the same power over an AWGN channel, which is not
true in general in a cognitive radio setup. Also, the method in [46] does not identify the
exact modulation schemes used by the transmitting users but rather identifies the possible
89
90
In this chapter, a novel multiuser AMC based on normalized nth order cumulant and cyclic
cumulant has been proposed that can identify the exact modulation schemes used by multiple
transmitting users in a frequency band. The proposed multiuser AMC is developed for more
realistic multipath fading environments and no assumption on the transmission power of the
users is made. In the proposed multiuser AMC, multiple antennas for reception are used
whereas only a single receiving antenna was used in [46]. By using multiple antennas at
the receiver, the CR can identify the number of transmitting users which is generally not
possible while using a single antenna receiver. Also, by using multiple antennas, the CR
can harness the flexibility offered by traditional MIMO communication schemes apart from
The normalized cumulant value based single user AMC was first proposed in [7]. The mul-
tipath channel drives the cumulant value of the transmitted signal to zero [7] and hence
severely affects the performance of the cumulants based AMC. In [70], [71] a robust cumu-
lant based single user AMC was developed for multipath fading channels. The approach in
[70] involves estimating the multipath channel and using the estimated channel information
to improve the performance of the AMC. The proposed multiuser AMC for a multipath
channel was motivated by the works reported in [70], [71] for single user AMCs. As shown in
a later section, the cumulant based multiuser AMC requires the knowledge of the multiuser
channel impulse response. However, channel knowledge or a pilot sequence for estimating
the channel is not available in a CR scenario. Therefore, one needs to estimate the channel
blindly. In blind channel estimation, the channel impulse response is estimated using only
91
the received data sequence with no knowledge of the transmitted or pilot sequence. Most of
the blind multiuser channel identification algorithms reported in the literature ([73]-[84] and
references therein) are batch processing algorithms. A high computational overhead involved
in computing the inverses of a large correlation matrix as a part of these algorithms is not
suited for CRs in rapidly varying channel conditions. To overcome this challenge, a recursive
channel estimation scheme that does not require taking inverses of a large correlation matrix
is proposed.
The block diagram representation of the proposed multiuser AMC is shown in Figure 4.1. It
consists of two major blocks: a signal processing block and a classifier block. In the signal
processing block, the normalized cumulant of the received signal and the multiuser channel
impulse response are estimated. Using this information, the normalized cumulant value of
each transmitting user is then estimated. These estimated cumulant values are finally fed to
the classification unit to identify the modulation schemes employed by the users. Detailed
explanations of all the components in the block diagram are presented in subsequent sections.
The chapter is organized as follows. In Section 4.2 the theory behind the nth order cumulant
based multiuser AMC is presented. The channel model and the assumptions made are
also presented in this section. In Section 4.3 the new recursive multiuser channel estimation
algorithm is presented. In Section 4.4 the final multiuser classification algorithm is presented.
In Section 4.5 extension of the nth order cumulant based multiuser AMC to cyclic cumulants
is presented. Simulation results are presented in Section 4.6 followed by the conclusion.
92
Receiver
Cumulant
Feature
Extraction
AMC
Decision
Classifier
(mx1)received
signal Estimatethe
cumulant valuesof
thetransmittingusers
BlindChannel
Estimation
SignalProcessingBlock
In this section the underlying theory behind the proposed cumulant based multiuser AMC
is provided. We begin our discussion by presenting the channel model and the assumptions
In order to classify the signal from multiple users simultaneously a receiver should have
multiple antennas. Let l be the number of transmitting users and m be the number of
receiving antennas, and it is required that m > l. The above condition is required for the
blind estimation of the multiuser channel. Usually in a CR scenario, l is not known but there
are methods available in the literature for estimating l using multiple receiving antennas (see
The multipath channel between the j th user and ith receiving antenna is denoted as hij (z 1 )
and is given by
where L is the number of multipath components, z 1 is the unit delay operator, and hij (k)
where s(i) is the l 1 transmission vector whose elements sk (i) (k = 1, 2 . . . l) denote the k th
denote the received signal at the k th receiving antenna, w(i) denotes the m 1 noise vector
L
X
H(z 1 ) = Hk z k (4.4)
k=0
where Hk (for k = 1, 2 . . . L) is the m l scalar matrix. This is also known as a MIMO FIR
channel. We make the following assumptions regarding the system model (4.3).
94
Assumption A42: s(k) is zero mean, spatially independent and temporally white i.e,
Il i = 0
E[s(k)s (k + i)] = , (4.5)
O i 6= 0
Non identity correlation matrices are absorbed into H(z 1 ), i.e., the transmission power of
where O in (4.5) and (4.6) is a zero matrix of appropriate dimension and w2 is the noise
variance.
According to [78], assumption A41 is verified with probability one for any practical MIMO
wireless channel with reasonable spatial diversity and hence for our CR scenario this as-
sumption is valid. Assumption A42 implies that signals transmitted by two different users
are uncorrelated. Assumption A43 implies that that the noise vector is uncorrelated and
variance w2 is known. In general w2 is not known but there exists a lot of methods for
In this section we present the basic theory behind higher order cumulants based multiuser
AMC. For a complex random signal v(k), the nth order moment is defined as
" n
#
Y
Rv(n,m) (k, ) = E v ()j (k + j ) (4.7)
j=1
where n is the order, m is the number of conjugate factors, and = [1 , . . . , n ] is the delay
vector. In the above expression when n = 2 and m = 1 it becomes the standard auto
p
X Y
Cv(n,m) (k, ) = F (p) Rv(nj ,mj ) (k, ) (4.8)
Pn j=1
where the sum is over distinct partitions of the indexed set {1, 2 . . . n} and F (p) = (1)p1 (p
1)!. For example, in the above expression when n = 4 and m = 0 we get the expression for
2
Cv40 (k) = E[x4 (k)] 3E[x2 (k)] . (4.9)
The following are some of the properties of nth order cumulants that makes it an ideal
Property 1 Additive: Let x(k) and y(k) be two independent random processes. If z(k) =
x(k) + y(k), then the nth order cumulant value of z(k) is the sum of those for x(k) and y(k).
That is
Property 2 Scaling property: Let x = ay. Then the nth order cumulant value of x is |a|n
Cv(n,m) ( )
Cv(n,m) ( ) = h in/2 f or n = 4, 6, . . . . (4.11)
2
Cv(2,1)
The above feature is only the normalized version of the nth order cumulant. As mentioned
earlier multiple antennas are used for reception. Since multiple receiving antennas are used,
the received signal at the ith receiving antenna due to multiple transmitting users is given
by
+wi (n).
Using the Properties 1 and 2, the value of the nth order cumulant of yi is given by
where
L1
X
ij = |hij (k)|n . (4.14)
k=0
where
L1
X
ij = |hij (k)|2 . (4.16)
k=0
Assumption A42 implies Csi (2,1) = 1 (for i = 1, . . . , l), i.e., transmitted signals are of unit
energy. It should be noted that non unit energy signals are converted to unit energy by
absorbing the scaling factor into the channel matrix H(z 1 ). Thus (4.15) can be written as:
= i + w2 .
Cyi (n,m) ( )
Cyi (n,m) ( ) = = (4.18)
(Cyi (2,1) w2 )n/2
l
X ij
= C
n/2 sj (n,m)
( ).
j=1 i
1 1
=
.
. ... .
.
.
.
.
. .
.
m1
n/2 ... ml
n/2
Cs (n,m) ( ) l
m m
or
~ y(n,m) ( ) = Bc C
C ~ s(n,m) ( ). (4.20)
98
The cumulant value of the signal transmitted by different users can be obtained by solving
(4.20). The extracted cumulant features are then used for classification. The overall block
diagram of the MAMC is shown in Figure 4.1. The solution to (4.20) is given by
~ s(n,m) ( ) = (B H Bc )1 B H C
C ~ y(n,m) ( ). (4.21)
c c
In order to compute the Bc matrix, we require knowledge of the channel matrix H(z 1 ). In
a CR scenario, H(z 1 ) is not known and needs to be estimated blindly. In the following
Blind MIMO channel identification involves the use of second order statistics (SOS) and
higher order statistics (HOS). Blind MIMO channel identification algorithms in the literature
that use SOS can be broadly classified into three categories: whitening approach ([82]-[84]
and references there in), linear prediction ([77]-[80] and references there in) and subspace
approach ([73]-[76] and references there in). All the above methods are block processing
algorithms which involve computing the inverse of large correlation matrices. In this paper
we propose new MIMO FIR identification scheme which is computationally effective. The
proposed scheme is recursive and hence can track time varying channels. The proposed
When assumption A41 holds, there exists a finite degree left-inverse G(z 1 ) (not necessarily
99
nG
X
1
G(z ) = Gk z k , nG (2l 1)L 1. (4.23)
k=0
Substituting s(i) from (4.24) in the second term on the RHS of (4.25) we obtain
or
where
For future reference we write the matrix polynomial A(z 1 ) in the form
nA
X
A(z 1 ) = Im + Ak z k . (4.27)
k=1
100
It can be shown that nA 2lL 1. Observe that from (4.2) and (4.26), we obtain
From (4.28), we can see that x(i) is an output of a Auto Regressive (AR) process whose
input is H0 s(i). Also H0 is known as the instantaneous mixture channel and H0 s(i) is the
process, the polynomial A(z 1 ) can be estimated by minimizing the one step ahead prediction
error. In the following subsection we present a recursive algorithm to estimate the predictor
polynomial A(z 1 ). The algorithm was developed as a part of the MIMO blind equalizer in
[85]. In this paper we present the algorithm from a channel estimation point of view. The
theorems and proofs on convergence of the proposed recursive algorithm is similar to the
algorithm in [85] and hence not repeated. Once A(z 1 ) is estimated we can estimate the
The above equation can be easily obtained from (4.2) and (4.28). Later in this section we
Define
= (i
(i) 1)
1)]
+p(i)(i 1)[y(i) (i 1) (i
1) (i 2)(i
w2 [(i 1)(i
+p(i) 2)], (4.31)
where
p(i) = p(i 1)
p(i 1)(i 1)(i 1) p(i 1)
. (4.33)
1 + (i 1) p(i 1)(i 1)
norm, and p(0) is an arbitrary positive definite matrix. The typical choice is p(0) = p0 I ,
where p0 is a positive scalar. Without loss of generality we assume that y(k) = 0, x(k) = 0
and w(k) = 0 for k < 0. In the following, we give the heuristics behind the algorithm
The minimum mean-square estimate of is obtained by minimizing the following cost func-
tion
E[x (i 1)x(i) ] = E[x (i 1)x (i 1) ]. (4.37)
Define
It is not difficult to see that by combining (4.2), (4.35) and (4.38), the vector (i) given by
(4.32) satisfies
w2 ImnA . (4.40)
Since by the assumption A3, {w(i)} and {x(i)} are independent sequences, we have
E[w (i 1)x(i) ] = 0.
Also by virtue of the fact that {w(i)} is temporally white (see eqn (4.5)), it follows that
E[(i 1)w(i) ] = 0 (a.s.). By using the last two equations along with (4.39) we obtain
= E [(i 1)x(i) ]
w2 ImnA ]. (4.42)
Replacing expectations in the previous equation with sample averages, one can obtain
i i
1X 1X
(k 1)y(k) = (k 1)(k 1) (i)
i k=1 i k=1
w2 (i).
or
i
X i
X
(k 1)y(k) =
(k 1)(k 1) (i)
k=1 k=1
w2 i(i). (4.43)
p(i 1)1 (i
(i 1)y(i) = p(i)1 (i) 1)
(i 1)(i
w2 [i(i) 1)], (4.45)
where
i
X
p(i)1 := (k 1)(k 1) (4.46)
k=1
104
clearly
(i
(i 1)y(i) = p(i)1 [(i) 1)]
1)
+(i 1)(i 1) (i
(i 1)(i
w2 [i(i) 1)]. (4.48)
At this point of algorithm construction we assume that asymptotically (i) 1), and
= (i
in the last term on the RHS of (4.48), time sample index i is replaced with i 1. We thus
obtain
(i
(i 1)y(i) = p(i)1 [(i) 1)]
1)
+(i 1)(i 1) (i
1) (i 2)(i
w2 [(i 1)(i 2)]. (4.49)
From the above, (4.31) directly follows by replacing the unknown w with its a-priori estimate
w . Equation (4.33) is obtained by using the matrix inversion lemma in (4.47). In the
following subsection we describe a method to estimate H(z 1 ) using the estimated predictor
polynomial A(z 1 ).
105
Once the predictor polynomial A(z 1 ) is estimated, H(z 1 ) can be found by solving (4.29).
1 )H(z 1 ) = Il .
G(z
It can be seen that the above equation is similar to (4.22) and the solution to the above
nA
X H
Hi = [Rxx (i) + Rxx (i + p)Ap ]H0# (4.51)
p=1
f or i = 1, 2 . . . L,
where H0# = (H0H H0 )H0H and Rxx (p) is the signal correlation matrix at lag p. The method
where
The noise variance w2 is assumed to be known in this paper. To estimate H0 (for (4.51)),
The above equation is known as the instantaneous mixture model and H0 can estimated
using any Blind Source Separation (BSS) algorithm ([91], [92]). BSS algorithms uses HOS
0 = DH0 P,
H (4.55)
P = P H , and P P H = Il . (4.56)
From (4.51) and (4.55) it can be seen that all Hk (for k = 1, . . . L) are subjected to permu-
tation and scaling ambiguity. Therefore the estimated MIMO FIR channel is subjected to
1 ) = DH(z 1 )P,
H(z (4.57)
in Section 4.3.
In this section we present the step by step procedure for performing multiuser AMC. The
multiuser AMC is obtained by applying the estimated channel in Section 4.4 to the theory
Step 1 Initialization: Given the received data y(i), pick the length of the predictor polyno-
mial nA . Since the channel order is not known, choose a large value nA so that the system
is over modeled. Estimate the noise variance w2 using the method proposed in [83].
Step 2: Estimate the predictor polynomial A(z 1 ) using the adaptive equations (4.31)-
(4.33). The recursive algorithm is carried out even after the predictor coefficients have
Step 3: Estimate the channel H(z 1 ) using (4.51). The estimated channel denoted by
1 ). It should
Step 4: Calculate the Bc matrix in (4.20) using the estimated channel H(z
1 ) but is affected
be noted that the Bc matrix is not affected by scaling ambiguity in H(z
c = Bc P
B (4.58)
Step 5: The cumulant features of all the transmitted sequences is obtained from (4.19)
using the estimated Bc matrix. Substituting (4.39) in (4.19) and using the properties of the
~s(n,m) ( ) = P C
C ~ s(n,m) ( ) (4.59)
~s(n,m) ( ) is the estimated cumulant feature vector. The above equation indicates that
where C
the extracted features are subjected to permutation ambiguity. Therefore we can classify
108
signals of multiple users up to a permutation ambiguity, i.e., we can identify the modulation
schemes of all the users in a frequency band but cannot determine which modulation scheme
a particular user is using. This permutation ambiguity can be easily resolved in a CR scenario
where some knowledge about the primary or licensed user is usually available.
Step 6: This is the final step where we classify the signals from multiple users using the
~s(n,m) ( ).
signals using C
Shortest Distance Method: Suppose there are M hypothesis or modulation schemes whose
feature combinations denoted as D = {d1 , . . . , dL1 }. We can find which feature combination
is transmitted by finding the feature which has the shortest distance to the estimated feature
~s(n,m) ( ), that is
vector C
~s(m,n) ( ) di ||]
r = arg[ min ||C (4.60)
i=1,...,L1
~s(n,m) ( )
Threshold method: In this method we classify each element of the (l 1) vector C
separately. We first arrange all the hypotheses or modulation schemes in ascending order of
~s (n,m) ( ) (for
their cumulant values, that is, 1 < 2 . . . < M . Assuming each element C i
for all hypotheses) we come up with the following simple decision rule. Choose hypotheses
Step 7: Monitor the coefficients of the predictor polynomial A(z 1 ) which are adapted
recursively. If the channel conditions change drastically, then coefficients of A(z 1 ) change,
and hence we need to repeat Step 3 to estimate the new channel impulse response.
The nth order cumulant based multiuser AMC presented in the previous section can be easily
extended to cyclic cumulants (CC). The reason for this is, CC exhibit the same additive and
scaling property as cumulants. In this section we briefly explain CC based multiuser AMC.
For a complex random signal v(k), the nth order moment is defined as
" n
#
Y
Rv(n,m) (k, ) = E v ()j (k + j ) (4.61)
j=1
where n is the order, m is the number of conjugate factors, and = [1 , . . . , n ] is the delay
p
X Y
Cv(n,m) (k, ) = K(p) Rv(nj ,mj ) (k, ) (4.62)
Pn j=1
where the sum is over distinct partitions of the indexed set {1, 2 . . . n} and K(p) = (1)p1 (p
1)!. For a communication signal, the nth order cummulant functions exhibit periodicities and
110
X
Cv(n,m) (k, ) = cv(n,m) ( )e(i2t) (4.63)
where cv(n,m) ( ) is called the nth order CC and is the nth order cyclic frequency [9]. The
following are some of the properties of cyclic cumulants that makes it an ideal candidate for
The relationship between the CC values of the l transmitting users and the CC values of the
~
C ~
y(n,m) ( ) = Bc Cs(n,m) ( ). (4.66)
where ij and i are given by (4.14) and (4.16). The classification algorithm is similar to
~
that of nth order cumulant based MAMC, except that C s(n,m) ( ) is used as feature instead
111
~ s(n,m) ( ).
C
In this section we demonstrate the performance of the proposed algorithm using computer
Pcc . Suppose that there are l users and M modulation schemes which are denoted as
L1
X
Pcc = P (di |di )P (di ) (4.67)
i=1
where P (di ) is the probability that the particular transmission scenario occurs and P (di |di )
is the correct classification probability when scenario di has been transmitted. For this sim-
1
ulation we assume P (di ) = L1
, i, where all scenarios are equally probable. Three different
experiments are performed and the results are summarized below. In all the experiments
For some of the experiments to follow we consider realistic MIMO multipath channels from
[62]. We assume that the receiving antennas are uniformly spaced. The m l scalar impulse
112
1
Hk = Rr2 Hgrv (4.69)
where Hgrv is a (m l) matrix whose elements are independent Gaussian random variables
Rr = E[y(k)y(k)T ]. (4.70)
The elements of the correlation matrix depend on the spacing between the antennas and the
distribution of the angle of arrival. In order to simulate various channel conditions, we vary
the distance between the antennas and the distribution of the angle of arrival.
whether a primary user or malicious user is present in a frequency band apart from the
secondary user. Two modulation schemes are considered for this experiment and they are
= {BP SK, QP SK}. Since two modulation schemes are considered, there are four possible
D = [(BP SK, BP SK), (BP SK, QP SK), (QP SK, BP SK), (QP SK, QP SK)]
Each entry of the 3 2 channel matrix is considered to be a three tap FIR filter whose coeffi-
cients are chosen randomly. For the Pcc calculation, permutation ambiguity is tolerated. The
113
shortest distance method is considered for classifying the extracted features. For estimating
the cumulant values and channel impulse response T = 5000 samples are considered. For
the Monte Carlo simulation, 2000 trials were considered and the results are summarized in
Figure 4.2. In Figure 4.2 the curve labelled Pcc1 shows the performance of the AMC when
0.9
Pcc1
Pcc2
0.8
Pcc3
Probablity of correct classification
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0 5 10 15 20 25
SNR
perfect knowledge of the channel is available. The curve labeled Pcc2 illustrates the perfor-
mance of the AMC using the proposed blind channel estimation scheme. The curve labeled
Pcc3 shows the performance of the AMC when no channel information is available, that is,
we do classification by calculating the normalized cumulant of the received signal with out
any further processing. Figure 4.2 shows that the proposed algorithm performs satisfactorily
are considered for this experiment and they are = {BP SK, QAM (4), P SK(8)}. Since
three modulation schemes are considered, there are eight possible scenarios. Fourth order
cumulants was considered as a feature for classification. For the channel we assume the m1
received antennas are uniformly spaced and the distance between each antenna is /2 ( is
the wavelength). We assume the angle of arrival to be uniformly distributed over [0,2].
Since the antennas are uniformly spaced and the angle of arrival is uniformly distributed,
where Jo is the zero order Bessel function. The Monte Carlo simulation results for this case
are shown in Figure 4.3. In Figure 4.3, Pcc1 , Pcc2 and Pcc3 have the same meaning as Figure
4.2. Figure 4.3 shows that the proposed algorithm performs satisfactorily under realistic
are considered for this experiment and they are = {BP SK, QAM (16), P SK(8)}. Since
three modulation schemes are considered, there are eight possible scenarios. Fourth order
cumulants was considered as a feature for classification. For the channel we assume the
115
1
Pcc1
0.9 Pcc2
Pcc3
0.8
0.6
0.5
0.4
0.3
0.2
0.1
0
0 5 10 15 20 25
SNR
m 1 received antennas are uniformly spaced and the distance between each antenna is /2
( is the wavelength). We assume the angle of arrival to be Gaussian distributed with mean
/4 and variance 5 . Since the antennas are uniformly spaced and the angle of arrival is
Gaussian distributed, the elements of the correlation matrix in (4.70) are given by
1
E[yi (k)yi+d (k)] = exp[ (d)2 ] (f or d = 0 . . . m) (4.72)
2 2
where is the variance expressed in radians. The Monte Carlo simulation results for this
case are shown in Figure 4.4. In Figure 4.4, Pcc1 and Pcc2 have the same meaning as Figure
4.3. Figure 4.4 shows that the proposed algorithm performs satisfactorily under realistic
0.95
Pcc1
0.9 Pcc2
0.8
0.75
0.7
0.65
0.6
0.55
0 5 10 15 20 25
SNR
In this experiment we consider two-user three-class problem. Three modulation schemes are
considered for this experiment and they are = {QAM (4), QAM (16), QAM (64)}. Since
three modulation schemes are considered, there are eight possible scenarios. Fourth order
cumulants was considered as a feature for classification. For the channel we assume the
realistic MIMO channel from the previous experiment. The Monte Carlo simulation results
for this case are shown in Figures 4.5. In Figure 4.4, Pcc1 and Pcc2 have the same meaning
as Figure 4.3. It can be seen from the figure that the fourth order cumulant based multiuser
AMC performs poorly in classifying QAMs. The reason for poor performance is that, the
theoretical fourth order cumulant values for QAMs are close to each other and hence the
classifier is not able to distinguish it. For this reason we consider higher order cumulant and
117
0.8
Pcc1
0.7 Pcc2
Pcc3
0.5
0.4
0.3
0.2
0.1
0
0 5 10 15 20 25
SNR
In this experiment we consider a four-user five-class problem. The modulation scheme con-
sidered are = {BP SK, QAM (4), QAM (16), P SK(8), P SK(32)}. For the simulations we
consider CC of order six and zero delay vector ( = 0). The channel considered was a re-
alistic flat fading channel with no multipath. The number of samples used for estimating
the CC is varied and the results are shown in Figure 4.6. From Figure 4.6 it can be seen
that the proposed AMC performs satisfactorily at low SNR. Also, the performance improves
1
T = 80x103
T = 50x103
0.9 T = 20x103
0.7
0.6
0.5
0.4
4 2 0 2 4 6 8 10
SNR
Figure 4.6: Performance of the multiuser AMC(Sixth order CC: MIMO flat fading).
In this experiment we consider the same four-user five-class problem. The channel considered
was multipath fading channel. Each entry of the channel matrix H(z 1 ) is modeled as a
realistic three tap MIMO FIR channel similar to the one considered in section 4.7.3 . The
results of the Monte Carlo simulations are shown in Figure 4.7. From Figure 4.7 it can be
seen that the proposed algorithm performs satisfactorily under multipath fading channels.
In this experiment we consider the same four-user five-class problem. The channel considered
was multipath fading channel. Each entry of the channel matrix H(z 1 ) is modeled as a
119
0.95
0.9
0.85
0.7
0.65
0.6
0.55
0.5
4 2 0 2 4 6 8 10
SNR
Figure 4.7: Performance of the multiuser AMC (MIMO multipath fading I).
realistic three tap MIMO FIR channel similar to the one considered in section 4.7.4. The
results of the Monte Carlo simulations are shown in Figure 4.8. From Figure 4.8 it can be
seen that the proposed algorithm performs satisfactorily under multipath fading channels.
The performance of the proposed multiuser AMC was analysed using different modulation
schemes and realistic channel conditions. The channel conditions are varied by changing the
distance between the antennas and the distribution of the angle of arrival. For the initial four
experiments fourth order cumulants where considered as a feature for classification. From
Figures 4.2 and 4.4 it can be seen that the proposed multiuser AMC offers good performance
(achieves 85% correct classification at 10dB SNR)in classifying two user three class problem
120
0.95
0.9
0.85
0.7
0.65
0.6
0.55
0.5
4 2 0 2 4 6 8 10
SNR
Figure 4.8: Performance of the multiuser AMC (MIMO multipath fading II).
under realistic multipath channel conditions. However it can be seen from Figure 4.5 that
the fourth order cumulant based multiuser AMC is not good in classifying higher order
QAMs (achieves only 60% correct classification at 10dB SNR). For this reason we consider
higher order cumulant and cyclic cumulant features. Figure 4.6 illustrate the performance
of four user five class problem under realistic MIMO flat fading channel using sixth order
cyclic cumulants. The muliuser AMC achieves 95% correct classification at 0dB SNR The
performance is good due to the absence of multipath. The performance of the AMC under
different realistic multipath channel conditions for the same problem is shown in Figures 4.7
and 4.8. From the figures it can be seen that the cyclic cumulants based multiuser AMC
offers very good performance (achieves 85% correct classification at 0dB SNR). However
more samples are used to estimate the higher order cumulant features. The performance
121
of the multiuser AMC under multipath channels can be further enhanced by designing a
4.8 Conclusion
A novel cumulant and cyclic cumulant based multiuser AMC for fading channels was pro-
posed. The proposed multiuser AMC does not require any prior knowledge about the channel
and hence is suitable for CR applications. A computationally efficient blind multiuser chan-
nel estimation scheme, which forms an integral part of multiuser AMC is also proposed. The
channel estimation scheme is adaptive and hence can track rapid changes in the environment.
Simulations were performed under various scenarios and the proposed multiuser AMC yields
promising results.
Chapter 5
Multiuser AMC
Due to the presence of multiple signals in a frequency band, any transmitted signal is sub-
jected to inter user interference (IUI). Also, the transmitted signals are subjected to inter
symbol interference (ISI) due to multipath fading. Since there is no training sequence avail-
able in a CR scenario, MIMO blind equalizers are used to remove IUI and ISI. Both second
order statistics (SOS) and higher order statistics (HOS) of the received signal are required
to achieve MIMO blind equalization. Since HOS are used, MIMO blind equalizers have the
minimum not only affects symbol detection performance but also the performance of the
multiuser AMC. Typically, blind equalizers are designed to improve the symbol detection
122
123
a blind equalizer that improves the performance of both AMC and symbol detection. Two
works in this direction are found in the literature. However, both works consider only a single
user AMC and single input single output (SISO) blind equalizer. The first work is in [70],
where a robust switching SISO blind equalizer is proposed that improves the performance
of single user AMC. In the second work [72], the weights of the SISO blind equalizer are
adapted in such a way that performance of the cumulants based single user is improved.
In this chapter we propose a MIMO blind equalizer that improves the performance of both
multiuser symbol detection and multiuser AMC that was proposed in the previous chapter.
In order to do so, we design a cost function that is related to the performance of the multiuser
AMC and then choose the parameters of the blind equalizer such that the cost function is
maximized. The overall block diagram of the proposed CR receiver is shown in Figure 5.1.
In the figure, we design the MIMO blind equalizer G(z 1 ) by considering the performance
of both symbol detection and multiuser AMC. For designing the blind equalizer we also use
The chapter is organized as follows. In Section 5.2, we provide the channel assumptions
and background theory. In Section 5.3, the cost function related to the performance of
the MAMC is developed. In Section 5.4, we present the step by step procedure to design
the MIMO blind equalizer. Simulation results are presented in Section 5.5, followed by the
conclusion.
124
User1
r1
A
Multiuser
User2
n
BlindEqualizer
AMC
t
G(z1)
e
n
n Symbol
a
s
Detection
rm
BlindEqualizer
Userl Design
ProposedCognitiveRadioReceiver
As mentioned earlier, multiple receiving antennas are used for classifying signals from mul-
tiple users. Let l be the number of transmitting users and m be the number of receiving
antennas and it is required that m > l. Usually in a CR scenario, l is not known and needs to
be estimated using algorithms like the one proposed in [93]. The multipath channel between
the j th user and ith receiving antenna is denoted as hij (z 1 ) and is given by
where L is the number of multipath components, z 1 is the unit delay operator and hij (k)
where s(i) is the l 1 transmission vector whose elements sk (i) (k = 1, 2 . . . l) denote the k th
denote the received signal at the k th receiving antenna, w(i) denotes the m 1 noise vector
L
X
1
H(z ) = Hk z k (5.4)
k=0
Assumption A51 is valid for any practical wireless channel with reasonable spatial diversity.
Also we assume that the signals transmitted by various users are uncorrelated and each
element of the noise vector w(i) is zero mean white Gaussian with variance w2 .
MIMO blind equalizers are used to recover the transmitted signal vector s(i) using only the
received signal vector y(i) with no training sequence and knowledge of the channel transfer
function H(z 1 ). As mentioned earlier, in this paper we design a blind equalizer that takes
into consideration the performance of the multiuser AMC. In order to do so, we consider the
Theorem 1:[82] For the system given in (5.2) under Assumption A51 there exists (l m)
Since G(z 1 ) is not unique, we can choose G(z 1 ) such that both symbol detection perfor-
nomial matrix, we design G1 (z 1 ) such that the multiuser AMC performance is improved.
To do so, we first construct a cost function Jamc which is related to the performance of the
multiuser AMC. We then choose the parameters of G1 (z 1 ) such that Jamc is maximized. The
max Jamc
G1 (z 1 )
The rest of the paper is about formulating the cost function Jamc and solving for the poly-
In this subsection we develop the cost function Jamc for designing blind equalizer polynomials
G1 (z 1 ) and G2 (z 1 ). In order to do so, we need to understand the effect of the MIMO FIR
filter on the normalized cumulant values of the received received signal. From (4.18) one can
see that the normalized cumulant values of each received signal Cyi (n,m) (for i = 1, 2 . . . m)
is a weighted sum of the normalized cumulant values of all the transmitting users. The
ij
weighting coefficients are given by wij = 2i
(for i= 1,2. . . m, j= 1,2. . . l) (refer to (4.18)).
ij
|wij | = | | < 1 (f or i = 1, 2 . . . m, (5.8)
2i
j = 1, 2 . . . l)
Since the magnitude of weighting coefficients are less than one, the magnitude of the nor-
malized cumulant values of the received signals are driven towards zero. The MIMO FIR
channel clusters all the cumulant features around zero. This clustering makes it hard for the
classifier shown in Figure 4.1 to distinguish between the features. Thus the coefficients of the
matrix polynomial G1 (z 1 ) must be chosen in such a way that the features are unclustered.
where x2 (i) = G1 (z 1 )y(i) and Cx2j (n,m) is the cumulant value of the j th component in the
vector signal x2 (i). The above cost function maximizes the magnitude of the normalized
cumulant values of the signals so that the classifier can distinguish between the features.
128
In this section we propose the algorithm for designing the polynomials G1 (z 1 ) and G2 (z 1 ).
We also present the overall step by step procedure for designing the blind equalizer. The
where Ji = |Cx2 (i)(n,k) | (for i = 1 . . . m). Now we choose G1 (z 1 ) to be the diagonal matrix
given by
G1 (z 1 ) = diag C1 (z 1 ), . . . , Cm (z 1 ) ,
(5.11)
where the elements of diagonal matrix are the FIR filters given by
f or p = 1 . . . m
where L1 is the length of the filter and cij (for i = 1, . . . , m,j = 1, . . . , L1) are the filter
to (3.8)) implies that the FIR filter Cp (z 1 ) (for p = 1 . . . m) must be minimum phase. That
is the filter must not have any zeros on or outside the unit circle. Let us denote the weight
vector as cp = [cp1 , . . . , cpL ] (for p = 1, . . . , m), then we use the following constrained gradient
search technique for updating the weights. Due to the constraint on G1 (z 1 ) we restrict the
search space to the region where the weights form a minimum phase polynomial. Let cp (k)
Step 1: For k = 0 initialize cp (0) to a random value from the search space.
L
X
x2p (n) = cp (m)yp (n m) (5.13)
m=0
f or p = 1 . . . m
Jp
cp (k) = cp (k 1) f or p = 1 . . . m (5.14)
cp
where is step size. The weights are updated only if the new weights lies in the search
Now the cumulant features of the (m 1) signal vector x2 are maximized and not clustered
around zero, therefore x2 is given to the MAMC shown in Figure 4.1 for classification. Let
us denote
L+L11
X
1 1 1
F (z ) = G1 (z )H(z ) = Fk z k . (5.15)
k=0
It can be seen from Figure 4.1, that a blind MIMO channel estimator forms an integral part
of the multiuser AMC (refer to chapter 4 for a detailed explanation). Since x2 (i) is fed to
130
the MAMC, we obtain the estimate of the polynomial F (z 1 ). Using the estimate of F (z 1 ),
G2 (z 1 )F (z 1 ) = Il , (5.16)
L21
X
1
G2 (z ) = G2k z k , (5.17)
k=0
where G2k (for k = 0, 2 . . . (L2 1)) are the l m scalar matrix. Now the solution to (5.16)
is given by [82],[83]
G21 G22 G23 . . . . . . = Il . . . S , (5.18)
In this section we present the step by step implementation of the overall proposed system.
Step 1: Given the (m 1) received signal vector y(i) estimate the number of trans-
Step 2: Choose the length of the matrix polynomials L1 and L2. Since the length of
the channel impulse response is not known, choose a sufficiently large length so that
Step 4: The signal x2 (i) is sent to the MAMC for classification. The multiuser AMC
In this section, we demonstrate the performance of the proposed MIMO blind equalizer
using Monte Carlo simulation. Since the performance of the MAMC is also considered while
designing the blind equalizer, we analyze the performance of both the MAMC and symbol
detection. For the Monte Carlo simulation, 1,000 trials are considered.
In this subsection we demonstrate the performance of the MAMC using computer simulation.
The performance measure considered is the probability of correct classification Pcc . Suppose
132
that there are l users and M modulation schemes which are denoted as = {1 , . . . , M }.
Then there are L1 = M l possible transmission scenarios denoted as D = {d1 , . . . , dL1 }. The
L1
X
Pcc = P (di |di )P (di ) (5.20)
i=1
where P (di ) is the probability that the particular transmission scenario occurs and P (di |di )
is the correct classification probability when scenario di has been transmitted. For the
1
simulation we assume P (di ) = L1
, i, where all scenarios are equally probable.
The 3 2 channel matrix H(z 1 ) is modeled as a realistic three tap MIMO FIR channel
similar to the one considered in section 4.7.3. Three modulation schemes are considered for
this experiment and they are = {BP SK, QAM (4), P SK(32)}. Since three modulation
schemes are considered, there are nine possible scenarios. The Monte Carlo simulation results
are summarized in Figure 5.2. In Figure 5.2, the curve labeled Pcc2 shows the performance of
the multiuser AMC without the proposed blind equalizer. The curve labelled Pcc1 illustrates
0.95
Pcc1
0.9 Pcc2
0.85
0.75
0.7
0.65
0.6
0.55
0.5
0.45
5 0 5 10 15 20
SNR
The 3 2 channel matrix H(z 1 ) is modeled as a realistic three tap MIMO FIR channel
similar to the one considered in section 4.7.4. Three modulation schemes are considered
for this experiment and they are = {BP SK, QAM (4), QAM (16), P SK(32)}. Since four
modulation schemes are considered, there are sixtenn possible scenarios. The Monte Carlo
simulation results are summarized in Figure 5.3. In Figure 5.3, the curve labeled Pcc2 shows
the performance of the multiuser AMC without the proposed blind equalizer. The curve
labelled Pcc1 illustrates the performance of the AMC using the proposed system.
134
1
Pcc1
Pcc2
0.9
0.7
0.6
0.5
0.4
5 0 5 10 15 20
SNR
entry of the 54 channel matrix H(z 1 ) is modeled as a realistic three tap MIMO FIR chan-
nel similar to the one considered in section 4.7.3. Five modulation schemes are considered
for this experiment and they are = {BP SK, QAM (4), QAM (16), P SK(8), P SK(32)}.
The Monte Carlo simulation results are summarized in Figure 5.4. In Figure 5.4, the curve
labeled Pcc1 shows the performance of the MAMC without the proposed blind equalizer. The
curve labelled Pcc2 illustrates the performance of the AMC using the proposed system.
135
0.95
pcc1
0.9 pcc2
0.85
0.75
0.7
0.65
0.6
0.55
0.5
4 2 0 2 4 6 8 10
SNR
This problem is the same as the previous one except four modulation schemes are considered.
The modulation schemes considered are = {BP SK, QAM (4), QAM (64), P SK(8), P SK(32)}.
The channel considered was a realistic MIMO multipath channel discussed in the previous
chapter (section 4.7.3). The Monte Carlo simulation results are summarized in Figure 5.5.
In Figure 5.5 the curves labelled Pcc1 , and Pcc2 have the same meaning as that of Figure 5.4.
From Figures 5.3 - 5.4, it can be seen that the proposed MIMO blind equalizer enhances the
1
pcc1
0.95 pcc2
0.85
0.8
0.75
0.7
0.65
4 2 0 2 4 6 8 10
SNR
In order to analyze the symbol detection performance, we consider the same 2-input/3-
output FIR random channel considered in the previous experiment. The normalized mean
square error (NMSE) and symbol error rate (SER) are taken as performance measures. The
simulation results are shown in Figure 5.6 and Figure 5.7. In Figure 5.6 and Figure 5.7 the
curve labeled sd1 illustrates the symbol detection performance of the proposed system. The
curve labeled sd2 illustrates the symbol detection performance of equalizer when the channel
impulse response is known (non-blind equalizer). From the figures it can be seen that the
symbol detection performance of the proposed system is close to that of the non-blind MIMO
equalizer.
137
6
nmse1
nmse2
7
10
11
12
0 1 2 3 4 5 6 7 8 9 10
Figure 5.6: Symbol detection performance of the proposed system (NMSE Vs SNR).
0
10
sd2
sd1
1
10
2
10
SER
3
10
4
10
5
10
0 2 4 6 8 10
SNR
Figure 5.7: Symbol detection performance of the proposed system (SER Vs SNR).
138
The proposed MIMO blind equalizer was tested under different scenarios. From the simu-
lation results it can be seen the MIMO blind equalizer improves the performance of both
multiuser AMC and multiuser symbol detection. Irrespective of the kind of channel and
the type of feature used, it can be seen from the simulation results that we get atleast 10%
5.6 Conclusion
In this chapter we presented a MIMO blind equalizer that improves the performance of
both cumulant based multiuser AMC and symbol detection. The performance of proposed
equalizer was analyzed using computer simulations and yielded promising results.
Chapter 6
The focus of this dissertation was to add the following special characteristics to a CR apart
from its usual capabilities: ability to track time varying SISO and MIMO channels, abil-
ity to classify multiple users in the frequency band, and ability to classify signals under
severe multipath channels. The following are some of the important contributions of this
dissertation:
Developed novel SISO blind equalizers that can improve the performance of both sym-
bol detection and AMC. Blind equalizers are developed for both minimum phase and
mixed phase channel conditions. The blind equalizers are adaptive and hence can track
time varying channel conditions. The performance of the blind equalizer was analysed
using computer simulations under noise and realistic multipath channel conditions.
A novel multiuser AMC that can simultaneously classify multiple users in the frequency
139
140
band was proposed. The multiuser AMC was based on cumulants and cyclic cumulant
features of the received signal. The proposed multiuser AMC was developed for severe
multipath channels. A novel recursive MIMO channel estimation scheme was proposed
which forms an integral part of the multiuser AMC. The performance of the multiuser
Developed a MIMO blind equalizer that improves the performance of both multiuser
symbol detection and multiuser AMC. This involved formulating a cost function that
is related to the performance of the newly developed multiuser AMC and adapting the
weights of the MIMO blind equalizer such that the cost function is optimized.
In this section, we provide some insights on future research work. The following are some of
The SISO blind equalizers presented in Chapter 3 was designed to enhance the per-
formance of cumulants based AMC. Cumulants based AMC was considered because of
its ability to classify a wide variety of modulation schemes with easy implementation.
This work can be extended to other feature based AMCs. This will involve formulating
a cost function that is related to the performance of the chosen AMC and adapting the
weights of the equalizer such that the cost function is optimized. Depending on the
type of feature based AMC, it may be required to use nonlinear optimization techniques
141
Multiuser AMC developed using cumulants and cyclic cumulant features can be ex-
Multiple receiving antennas are used for multiuser classification. By using multiple
antennas at the receiver, the CR can harness the flexibility and advantages offered
by classical MIMO schemes apart from classifying signals from multiple users. The
ture channel. Methodologies can be developed to apply classical MIMO schemes like
beam forming, diversity combining, and spatial multiplexing to the instantaneous mix-
the one shown in Figure 5.1 using the signal processing components developed in this
dissertation.
From Figure 5.1 it can be seen that the central component of a multiantenna CR
transceiver is the cognitive engine (CE). The CE is often referred to as the brain of the
CR. The CE makes decisions according the the current scenario, network objectives,
and past experience. It is necessary to develop a CE that can learn from the signal
adjust the parameters of the proposed signal processing components according to the
mission objectives.
142
Beam Forming
Protocol stack
Optimization Algorithms
Cognitive Engine Policy Engine
MIMO Transmission
Tx
Beam Forming
Band pass
signal Transmit Diversity Command signals
processing for
transmitter Spatial Multiplex Data signals
Publications
ulation classification and blind equalization: A novel cognitive approach, Proc. SDR
143
144
automatic modulation classifier for cognitive radios, Proc. SDR Wireless Innovation
classifier for multipath fading channels, Proc. IEEE DYSPAN, Apr. 2010.
matic modulation classification for cognitive radios, Proc. IEEE 13th DSP Workshop
IIR channels, Software Defined Radio Technical Conference and Product Exposition,
Oct. 2008.
and automatic modulation classification for cognitive radios Under MIMO environment,
Software Defined Radio Technical Conference and Product Exposition, Oct. 2008.
processing journal.
145
fication and blind equalization: novel cognitive receivers, Accepted for publication in
Springer Journal on Analog Integrated Circuits and Signal Processing, Nov. 2011.
systems: New recursive algorithms and convergence analysis, IEEE Trans. Circuits
feature detection, IEEE Circuits and Systems Magazine, vol. 9, no. 2, May 2009.
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