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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 58, NO. 5, MAY 2010

Noncoherent Frame Synchronization Marco Chiani, Senior Member, IEEE

Abstract——One of the key operations in communication systems is frame synchronization, which is similar in many aspects to code acquisition in the context of code division multiple access systems. We focus on frame synchronization for binary PSK signals in the presence of additive white Gaussian noise and phase offset due to imperfect carrier phase estimation. We derive optimum and low-complexity suboptimum synchronization techniques, showing large improvements with respect to frame synchronization based on noncoherent correlation. Extensions to higher order modulations and fading channels are also discussed. Index Terms——Frame synchronization, PN code acquisition, sequence acquisition, detection, hypothesis testing, sync word, unique word, CDMA.

A

I. I NTRODUCTION

MONG the various means of establishing frame synchronization (FS) we consider the case where a special synchronization sequence, called here sync word (SW), is inserted into the data stream, and whose identication at the receiver establishes the desired synchronization [1]––[4]. In many applications, frame synchronization is very critical [3]. This is the case, for example, of data transmission through radio links where, thanks to the use of powerful error correcting codes, the receiver operates at very low signal to noise ratios [5], [6]. Frame synchronization is also similar to code (or sequence) acquisition in spread spectrum (SS) communication, where the despreading at the receiver is accomplished by synchronizing a local replica of the pseudonoise (PN) sequence to the one which is superimposed on the incoming received waveform [7]––[12]. Frame synchronization with periodically embedded SWs in binary symmetric channels has been studied in [1], where also the design of good synchronization sequences has been addressed. The optimal FS metric for transmission in additive white Gaussian noise (AWGN) channels has been determined in [13] for the case of periodically embedded SWs (i.e., frames having all the same length) and binary signalling with coherent demodulation, assuming perfect carrier frequency and phase acquisition has been achieved prior to FS. Extensions to multilevel modulation, frequency selective channels, noncoherent modulations and code-aided frame synchronization techniques are provided in [14]––[25]. The analysis of the probability of correct synchronization can be found in [26], where the role of the SW length is Paper approved by E. Perrins, the Editor for Modulation Theory of the IEEE Communications Society. Manuscript received February 13, 2009; revised July 6, 2009. M. Chiani is with DEIS, WiLAB, University of Bologna, Via Venezia 52, 47023 Cesena, Italy (e-mail: [email protected]). This research was supported by the European Commission in the scope of the FP7 ICT project OPTIMIX. Digital Object Identier 10.1109/TCOMM.2010.05.090091

evidenced and the concept of pairwise synchronization error probability (PSEP) is introduced. The derivation of the optimum metrics and the acquisition time analysis is provided for variable (unknown) frame lengths in [27]––[29], where the sequential FS approach is considered. Here, we are interested in FS for coherent PSK signalling in the presence of imperfect carrier phase estimate (i.e., noncoherent FS). A popular choice for the noncoherent frame/code synchronization of PSK signals when the carrier phase offset is unknown,1 is to use a noncoherent correlator [7, p. 753][8, p. 40]. The correlation is performed over a testing time equal to the duration of the SW (full correlation) if the phase offset is constant within that duration. If the phase varies considerably within the correlation time, due for example to the presence of frequency offset, synchronization performance can be degraded. To cope with this problem, metrics for FS that are robust to frequency offsets have been provided in [30]. In code division multiple access (CDMA) systems, postdetection integration techniques, where successive partial noncoherent correlations are combined to form a metric, are used to mitigate the effects of frequency offsets [7], [8]. Several issues and strategies for code acquisition in CDMA systems are described in [9]––[12], [31]. In this paper we show that, although widely used, the noncoherent correlation detector is not optimum. In particular, we focus on FS for binary phase shift keying (BPSK) modulated signals in the presence of AWGN and phase offset due to imperfect carrier phase estimation. We derive optimum and low-complexity suboptimum methods for FS prior to phase synchronization, assuming negligible frequency error. We show that the popular noncoherent correlation detector [7, p. 753][8, p. 40][10] can be easily modied by adding a correction term in the metric evaluation, to gain signicant performance improvements. Even in the presence of moderate frequency offsets, our approach is shown to perform better than previous methods. Possible extensions to higher order modulations and fading channels are also discussed. II. P ROBLEM S TATEMENT We consider the frame structure of Fig. 1 where a sync word composed of 𝑁SW binary symbols (𝑐0 , ..., 𝑐𝑁SW −1 ) is periodically inserted, with period 𝑁𝑓 , in a random binary data stream. Each SW symbol 𝑐𝑖 is either −1 or +1. The data stream is assumed to be composed of symbols 𝑑𝑖 ∈ {−1, +1} that are independent, identically distributed (i.i.d.) random variables (r.v.s) with equiprobable −1 and +1, and the bit intervals are assumed to be known at the receiver. 1 This is not to be confused with the case of noncoherent modulations, such as M-FSK, studied in [15].

c 2010 IEEE 0090-6778/10$25.00 ⃝

CHIANI: NONCOHERENT FRAME SYNCHRONIZATION

1537

DATA 𝑑𝑖 "

Fig. 1.

SW 𝑐𝑖 " ! 𝑁SW !

𝑁f

Frame structure.

We do not consider the mixed case where some SW symbols plus data symbols are present in the 𝑁SW samples window, since properly designed sequences mimic random data [28]. So, the mixed case is subsumed in ℋ0 . One widely adopted approach to the noncoherent hypothesis test problem (4) is to use the noncoherent correlation as metric, so that the test (see Fig. 2) is # #𝑁 −1 SW # 𝒟1 # ∑ # (corr) ∗ #≷ Λ (r) = # 𝑟𝑖 𝑐𝑖 # 𝜆 (5) # 𝒟0 # 𝑖=0

We rst assume BPSK modulation and transmission over AWGN channels. The passband received signal is ∑ √ 𝑟(𝑡) = 2𝐸𝑠 𝑎𝑛 𝑔(𝑡−𝑛𝑇 −𝜏 ) cos (2𝜋𝑓0 𝑡 + 𝜑)+𝑛(𝑡) (1) 𝑛

where 𝑎𝑛 are the transmitted symbols, which can be data or SW symbols, 𝑔(𝑡) is the unit energy pulse shaping function, 𝐸𝑠 is the energy per symbol, 𝑇 is the symbol duration, 𝑓0 is the carrier frequency, 𝜏, 𝜑 account for time and carrier phase offsets, and 𝑛(𝑡) is the thermal noise. We assume matched lter (MF) reception with perfect time synchronization and sampling every 𝑇 seconds. The 𝑖th received baseband complex sample, 𝑟𝑖 = 𝑟𝑖I + 𝑗 𝑟𝑖Q , can thus be written as 𝑟𝑖 = 𝑑𝑖 𝑒𝑗𝜑 + 𝑛𝑖

(2)

if the corresponding transmitted symbol is a data symbol, and as (3) 𝑟𝑖 = 𝑐𝑖−𝑚 𝑒𝑗𝜑 + 𝑛𝑖 if the corresponding transmitted symbol is a SW symbol, where 𝑚 is related to the starting position of the SW and 𝑖 − 𝑚 ∈ {0, . . . , 𝑁SW − 1}. In previous equations, 𝜑 is the carrier phase offset (constant over the considered observation window), 𝑛𝑖 are i.i.d. circularly symmetric complex Gaussian r.v.s, with zero mean and variance 𝜎 2 per dimension. We assume that 𝜑 is a r.v. uniformly distributed over [−𝜋, 𝜋). The signal-to-noise ratio (SNR) is 𝐸𝑠 /𝑁0 = 1/(2𝜎 2 ), where 𝑁0 is the one-sided thermal noise power spectral density. III. T ESTING H YPOTHESIS FOR FS We here derive good tests for the following sequential algorithm: starting from a position 𝜇, the synchronizer observes a vector of 𝑁SW subsequent samples (𝑟𝜇 , 𝑟𝜇+1 . . . , 𝑟𝜇+𝑁SW −1 ); based on a suitable metric evaluated from this vector it decides if the SW is in position 𝜇; if not, it moves to position 𝜇 + 1, repeating the steps until the sync word is detected [28]. So, after observing 𝑁SW subsequent complex samples 𝑟𝑖 = 𝑟𝑖I + 𝑗 𝑟𝑖Q , the synchronizer must choose between two possible hypotheses2 ℋ0 : 𝑟𝑖 = 𝑑𝑖 𝑒𝑗𝜑 + 𝑛𝑖 , ℋ1 : 𝑟𝑖 = 𝑐𝑖 𝑒

𝑗𝜑

+ 𝑛𝑖 ,

𝑖 = 0, . . . , 𝑁SW − 1

(4)

𝑖 = 0, . . . , 𝑁SW − 1

the rst hypothesis representing the case where there is no sync word, the second corresponding to the case the sync word is present. 2 without

loosing in generality we assume here 𝜇 = 0.

where r = 𝑟0 , 𝑟1 . . . , 𝑟𝑁SW −1 and decisions are indicated by 𝒟0 , 𝒟1 , corresponding to the choices for hypotheses ℋ0 , ℋ1 , respectively. Since this test (see Fig. 2) is widely adopted, we will use it as a benchmark for the comparison with the proposed new tests. To derive better tests than (5) we can, once the problem has been formalized as in (4), proceed according to hypothesis testing theory. So, our starting points is the optimum likelihood ratio test (LRT), that in general can be written as: 𝑓R∣ℋ1 (r∣ℋ1 ) 𝒟1 ≷ 𝜆 𝑓R∣ℋ0 (r∣ℋ0 ) 𝒟0

Λ(r) =

(6)

where 𝑓R∣ℋ𝑙 (r∣ℋ𝑙 ) is the probability distribution function (p.d.f.) of the random vector R = (𝑅0 , . . . , 𝑅𝑁SW −1 ) in the hypothesis ℋ𝑙 and 𝑅𝑖 is the r.v. describing the received sample 𝑟𝑖 [32]. We have now to specialize the general expression (6) to our noncoherent frame synchronization problem. A. Case ℋ0 For the ℋ0 hypothesis, conditional to the data vector d = (𝑑0 , . . . , 𝑑𝑁SW −1 ) and to the phase offset 𝜑 we have the conditional p.d.f. 𝑓R∣ℋ0 ,𝜑,d (r∣ℋ0 , 𝜑, d) =

𝑁∏ SW −1 𝑖=0

∣𝑟𝑖 −𝑑𝑖 𝑒𝑗𝜑 ∣2 1 − 2𝜎2 𝑒 . 2𝜋𝜎 2

(7)

Taking the expectation with respect to the distribution of the data symbols d we have 𝑓R∣ℋ0 ,𝜑 (r∣ℋ0 , 𝜑) =

𝑁SW −1



𝑖=0

= 𝐾(r)

1 4𝜋𝜎 2

𝑁SW −1



𝑖=0

= 𝐾(r)

𝑖=0

𝑒



∣𝑟𝑖 +𝑒𝑗𝜑 ∣2

cosh ℜ

2𝜎2

{𝑟

+𝑒

𝑖 −𝑗𝜑 𝑒 𝜎2



∣𝑟𝑖 −𝑒𝑗𝜑 ∣2 2𝜎2

)

}

( ) cosh 𝑟˜𝑖I cos 𝜑 + 𝑟˜𝑖Q sin 𝜑

𝑁SW −1



(

(8)

∏𝑁SW −1 − ∣𝑟𝑖 ∣22+1 where 𝐾(r) = (2𝜋𝜎 2 )−𝑁SW 𝑖=0 𝑒 2𝜎 and, to simplify the notation, we use the tilde to denote normalization by the noise variance, i.e. 𝑟𝑖 𝑟˜𝑖 = 2 . 𝜎 Taking the expectation with respect to the distribution of 𝜑 we have 𝑓 R∣ℋ0 (r∣ℋ0 ) ∫ 𝑁SW −1 ( ) 𝐾(r) 𝜋 ∏ cosh 𝑟˜𝑖I cos 𝜑 + 𝑟˜𝑖Q sin 𝜑 𝑑𝜑. (9) = 𝜋 0 𝑖=0

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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 58, NO. 5, MAY 2010

𝑟𝑖I

!% $ ! $ % #

∑ !% $ ! % $ #

MF

cos (2𝜋𝑓0 𝑡)

𝑟(𝑡) !

& !% $ ! % $

Λ(𝑐𝑜𝑟𝑟)

!

# 𝑟𝑖Q

& ∑ !% $ ! % $

MF

! (.)2

Hypothesis testing based on noncoherent correlation for frame synchronization of BPSK signals with phase offset: metric evaluation.

It is worthwhile noting that the average with respect to the data symbols has been removed easily. The only difculty here is the computation of the numerical integral which, as will be shown, can be simply approximated. B. Case ℋ1 In the hypothesis ℋ1 the observed vector is generated by the deterministic and known SW symbols 𝑐𝑖 ; hence, we have 𝑓R∣ℋ1 ,𝜑 (r∣ℋ1 , 𝜑) =

𝑁∏ SW −1 𝑖=0

1 −∣ 𝑒 2𝜋𝜎 2

2 𝑟𝑖 −𝑐𝑖 𝑒𝑗𝜑 2𝜎2



.

(10)

Averaging with respect to the distribution of 𝜑 gives #) (#𝑁 −1 SW # # ∑ # ∗ # 𝑓R∣ℋ1 (r∣ℋ1 ) = 𝐾(r) 𝐼0 # 𝑟˜𝑖 𝑐𝑖 # (11) # # 𝑖=0 ∫𝜋 where 𝐼0 (𝑥) = (2𝜋)−1 −𝜋 exp(𝑥 cos 𝜃)𝑑𝜃 is the zeroth-order modied Bessel function of the rst kind [33] and 𝐾(r) was previously dened. C. The Optimum LRT and Suboptimum Tests Now, substituting (9) and (11) in (6) we get the exact LRT3 #) (#∑ # 𝑁SW −1 ∗ # 𝐼0 # 𝑖=0 𝑟˜𝑖 𝑐𝑖 # 𝒟1 ( ) ≷ 𝜆. (12) Λ(r) ≜ ∫ 𝜋 ∏ 𝑁SW −1 cosh 𝑟˜𝑖I cos 𝜑 + 𝑟˜𝑖Q sin 𝜑 𝑑𝜑 𝒟0 𝑖=0 0

The integral in the metric above can be evaluated numerically or approximated as 𝑁q −1 ∫ 𝜋 ∑ 𝑓 (𝜑)𝑑𝜑 ≃ 𝑤𝑙 𝑓 (𝜑𝑙 ) (13) 0

(

𝑙=0

) where 𝑓 (𝜑) = 𝑖=0 cosh 𝑟˜𝑖I cos 𝜑 + 𝑟˜𝑖Q sin 𝜑 , and the 𝑁q weights 𝑤𝑙 and points 𝜑𝑙 are specied by the particular quadrature rule adopted. We found that, with a given 𝑁q , different quadrature rules such as Gauss-Legendre, rectangular or trapezoidal4 give practically the same results. In particular, for the rectangular rule with 𝑁q points we have ) ∫ 𝜋 𝑁q −1 ( 𝜋 ∑ 𝜋 𝑓 (𝜑)𝑑𝜑 ≃ 𝑓 𝑙 . (14) 𝑁q 𝑁q 0 ∏𝑁SW −1

𝑙=0

3 In

& ! √

" 𝑐𝑖−𝜇 − sin (2𝜋𝑓0 𝑡)

Fig. 2.

! (.)2

the following all constants that are not changing the tests will be absorbed into the threshold 𝜆. 4 Note that since 𝑓 (0) = 𝑓 (𝜋) the trapezoidal rule coincides with the rectangular rule.

The test (12) can then be approximated, with 𝜑𝑙 = 𝑙𝜋/𝑁q , as #) (#∑ # 𝑁SW −1 ∗ # 𝑟˜𝑖 𝑐𝑖 # 𝐼0 # 𝑖=0 𝒟1 )≷ 𝜆 ( ∑𝑁q −1 ∏𝑁SW −1 Q cosh 𝑟˜𝑖I cos 𝜑𝑙 + 𝑟˜𝑖 sin 𝜑𝑙 𝒟0 𝑙=0 𝑖=0

(15)

𝒟1

which, in logarithmic form, becomes Λ(1) (r)≷ 𝜆 with metric 𝒟0

#) (#𝑁 −1 SW # # ∑ # # 𝑟˜𝑖∗ 𝑐𝑖 # Λ(1) (r) ≜ ln 𝐼0 # # #

(16)

𝑖=0 𝑁q −1𝑁SW −1

− ln

∑ ∏ 𝑙=0

𝑖=0

) ( cosh 𝑟˜𝑖I cos 𝜑𝑙 + 𝑟˜𝑖Q sin 𝜑𝑙 .

To further simplify the test we can observe that, due to the exponential behavior of the cosh(.), the second sum in (16) will be often dominated by one term. Therefore, a simpler test is Λ(2) (r)

𝒟1 ≷ 𝒟0

𝜆 with metric

#) (#𝑁 −1 SW # # ∑ # # 𝑟˜𝑖∗ 𝑐𝑖 # Λ(2) (r) ≜ ln 𝐼0 # (17) # # 𝑖=0 } {𝑁 −1 SW ) ( ∑ Q I . ln cosh 𝑟˜𝑖 cos 𝜑𝑙 + 𝑟˜𝑖 sin 𝜑𝑙 − max 𝑙

𝑖=0

The phase 𝜑𝑙 maximizing Λ(2) (r) can also be interpreted as the maximum likelihood (ML) estimate of the phase 𝜑 in hypothesis ℋ0 (see (8)), with uncertainty 𝜋, and quantized to 𝑁q values over the interval [0, 𝜋).{ In hypothesis} ℋ1 the ∑𝑁SW −1 ∗ ML phase estimate is 𝜑ˆ𝑀𝐿∣ℋ1 = arg 𝑖=0 # 𝑟𝑖 𝑐𝑖 , giving #∑ # ) (#∑ # 𝑁SW −1 ∗ # # 𝑁SW −1 ∗ # # 𝑖=0 𝑟˜𝑖 𝑐𝑖 # instead of ln 𝐼0 # 𝑖=0 𝑟˜𝑖 𝑐𝑖 # in (17). The test resulting from the ratio of the p.d.f.s (10) and (8), with 𝜑 replaced by its ML estimate in the hypothesis ℋ1 and ℋ0 , respectively, can be thought of as a generalized likelihood ratio test (GLRT) [27], [28], [32]; essentially the same test is obtained by looking for the high SNR approximation of the LRT. In fact, recalling that, for ∣𝑥∣ ≫ 1, ln 𝐼0 (𝑥) ≃ ∣𝑥∣ − ln

√ 2𝜋∣𝑥∣ ≃ ∣𝑥∣

ln cosh(𝑥) ≃ ∣𝑥∣ − ln 2

(18) (19)

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we can further approximate (17) for large SNR, obtaining the test

𝒟1 Λ(3) (r)≷ 𝜆 𝒟0

with metric

Metric

# #𝑁 −1 SW # # ∑ # (3) ∗ # Λ (r) ≜ # 𝑟𝑖 𝑐𝑖 # # # 𝑖=0 } {𝑁 −1 SW # # ∑ # I # Q − max #𝑟𝑖 cos 𝜑𝑙 + 𝑟𝑖 sin 𝜑𝑙 # . (20) 𝑙

𝑖=0

We can observe that the usual noncoherent #∑ this is simply # # 𝑁SW −1 ∗ # correlation metric, # 𝑖=0 𝑟𝑖 𝑐𝑖 #, minus a correction term. We will show that the test based on this simple metric has excellent performance. We now give some specic examples. For the rectangular quadrature rule and 𝑁q = 2 points we get from (16) #) ( #𝑁 −1 SW # ∑ # 1 # ∗ # (21) Λ(1) (r) = ln 𝐼0 𝑟 𝑐 # # 𝑖 𝑖 # 𝜎 2 # 𝑖=0 [𝑁 −1 ( )] ( I ) 𝑁∏ SW SW −1 ∏ 𝑟𝑖 𝑟𝑖Q − ln cosh cosh + 𝜎2 𝜎2 𝑖=0 𝑖=0 while the metric (17) becomes #) ( #𝑁 −1 SW # 1 ## ∑ (2) ∗ # Λ (r) = ln 𝐼0 𝑟 𝑐 # 𝑖# 𝜎 2 # 𝑖=0 𝑖 # ( ) 𝑁∑ SW −1 𝑟𝑖I,Q − max ln cosh I,Q 𝜎2 𝑖=0

(22)

and, nally, the high SNR test metric (20) specializes to #𝑁 −1 # {𝑁 −1 } SW SW SW −1 # # ∑ # # ∑ # I # 𝑁∑ # # Q# (3) ∗ # # # Λ (r) = # 𝑟𝑖 𝑐𝑖 # − max 𝑟𝑖 , #𝑟𝑖 # . # # 𝑖=0 𝑖=0 𝑖=0 (23) Although with 𝑁q = 2 we already have a substantial improvement with respect to noncoherent correlation, we show in the numerical results section that better performance can be obtained by using 𝑁q = 4 points for the quadrature rule. Among the proposed test metrics, (20) is clearly the most simple to implement. For this metric with 𝑁q = 4 points we get # #𝑁 −1 {𝑁 −1 SW SW SW −1 # # # # ∑ ∑ # I # 𝑁∑ # Q# # (3) ∗ # #𝑟 # , Λ (r) = # 𝑟𝑖 𝑐𝑖 # − max #𝑟 𝑖 𝑖 #, # # 𝑖=0 𝑖=0 𝑖=0 } 𝑁SW −1 # SW −1 # # 1 𝑁∑ # 1 ∑ # I # # # Q Q √ #𝑟𝑖 + 𝑟𝑖 # , √ #𝑟𝑖I − 𝑟𝑖 # . (24) 2 𝑖=0 2 𝑖=0

A possible implementation for the proposed new test (24) is reported in Fig. 3. As it can be observed, the evaluation of this new metric requires a negligible increase in complexity with respect to the noncoherent correlator in Fig. 2. In particular, since all quantities in the max {⋅} operator are reals, only sums and sign removals are needed. For the sake of completeness, we will also investigate the following heuristic test, obtained by substituting the coherent correlation in [28, eq. (15)] with the noncoherent correlation: #𝑁 −1 # 𝑁 −1 SW SW # ∑ # ∑ 𝒟1 # # Λ(4) (r) ≜ # 𝑟𝑖∗ 𝑐𝑖 # − ∣𝑟𝑖 ∣ ≷ 𝜆. (25) # # 𝒟0 𝑖=0

TABLE I N UMBER OF E LEMENTARY O PERATIONS FOR M ETRICS C OMPUTATION

𝑖=0

Λ(corr) eq. (5) Λ(3) eq. (24) Λ(4) eq. (25) 𝐿1 of [30] 𝐿2 of [30]

Real Sums 4𝑁SW − 2

Real Multiplications

Complex Modulus

4𝑁SW

1

10𝑁SW − 5

4𝑁SW + 2

1

4𝑁SW

𝑁SW + 1

2 7/2(𝑁SW − 𝑁SW )

2 13/2(𝑁SW − 𝑁SW )

2 𝑁SW −1

5𝑁SW − 3

9𝑁SW − 12

13(𝑁SW − 1)

2(𝑁SW − 1)

This test is more complex to implement than (23) or (24), since it requires √ for each sample the evaluation of the quantities

∣𝑟𝑖 ∣ = (𝑟𝑖I )2 + (𝑟𝑖Q )2 . Regarding implementation complexity, the exact LRT (12) requires the evaluation of a numerical integral; the approximations with quadrature rules (16), (17) require the evaluation of non-linear functions; nally, the tests in (20), (23) and (24) have a complexity comparable with that of the widely used noncoherent correlation (5). More precisely, in Table I we report the elementary operations required for the metrics (5), (24) and (25). We also report the operations needed for the metrics 𝐿1 and 𝐿2 in [30, eq. (10) and eq. (11)] that will be used for comparison in Section VII. In the table we report the number of real sums, real multiplications, and complex modulus operations. For these gures, we assumed a complex multiplication as equivalent to four real multiplications and two real sums. We also remark that (24) additionally requires the evaluation of 4𝑁SW real modulus (i.e., sign removal) and of the max{.} among four real numbers: these operations can be considered of negligible costs compared to multiplications and complex modulus computations. Finally we observe that, once the position of the known SW has been detected, a ne estimate of the phase can be obtained by standard techniques, e.g., by using the{ML principle } applied ∑𝑁SW −1 ∗ 𝑟 𝑐 to the SW samples giving 𝜑ˆ𝑀𝐿 = arg 𝑖 𝑖 . 𝑖=0 IV. FS BY P EAK D ETECTION Instead of taking a decision about the synchronization based on a particular metric being above or below a threshold, another approach may consist in nding the position of the SW within an observation window over which there is one and only one inserted SW [13], [26].5 6 For example, we could look for the peak of the correlation between the SW and the samples starting from all possible 𝑁f subsequent positions; then, the estimated position of the SW is that for which the evaluated metric is maximal. In the following we will investigate this approach for FS based on peak detection by deriving the optimum metric, suboptimal metrics, and comparing the results with the metrics from hypothesis testing theory derived in the previous section, with the noncoherent correlation (5), and with the best metrics from [30]. 5 Note that symbols congurations identical to the SW can appear in the random data eld. 6 The extension to observation windows including more SWs is straightforward.

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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 58, NO. 5, MAY 2010

!% $ ! $ % #

𝑟𝑖I MF

∑ !% $ ! $ % #

cos (2𝜋𝑓0 𝑡)

𝑟(𝑡) !

& !% $ ! $ %

𝑟𝑖Q MF

& ∑ !% $ ! $ %

! ∣.∣ ! !

# &

! ∣.∣

! #

! (.)2 ! ∑

' ' ( ' )) *

! ∑ ! √1

2

! √1

2

, ++ . -

∑ ∑

max

Hypothesis testing based on the new metric (24) for frame synchronization of BPSK signals with phase offset: metric evaluation.

𝑁f

! SW 𝑐𝑖 " ! 𝑁 SW # 𝑚

Fig. 4.

! ∣.∣

Λ(3)

!

#

! ∣.∣

"

& ! √

" 𝑐𝑖−𝜇 − sin (2𝜋𝑓0 𝑡)

Fig. 3.

! (.)2

where 𝑓R∣𝜇 (r∣𝜇) is the p.d.f. of the received vector R when the SW starts at 𝜇. So, to derive the ML estimator (27) we need to obtain explicitly 𝑓R∣𝜇 (r∣𝜇). We rst write the conditional p.d.f.7 2 ∏ ∣𝑟𝑖 −𝑐𝑖−𝜇 𝑒𝑗𝜑 ∣ 1 − 2 2𝜎 𝑓R∣𝜇,𝜑,d(r∣𝜇, 𝜑, d) = 𝑒 (2𝜋𝜎 2 )𝑁f

𝑖∈𝒜𝜇

Observation window for FS by peak detection.

⋅ A. Optimum Metric for FS by Peak Detection We consider the situation as in Fig. 4, assuming, without loosing in generality, the observation window 𝑖 ∈ {0, . . . , 𝑁f − 1}. Let d = (𝑑𝑁SW , 𝑑𝑁SW +1 , . . . , 𝑑𝑁𝑓 −1 ) denote 𝑁f − 𝑁SW random data symbols and consider the concatenation cd = (𝑐0 , . . . , 𝑐𝑁SW −1 , 𝑑𝑁SW , . . . , 𝑑𝑁𝑓 −1 ). If the sync word actually begins in position 𝑚 of the received segment, we can express the received vector r = (𝑟0 , ..., 𝑟𝑁𝑓 −1 ) as r = 𝑇 𝑚 (cd)𝑒𝑗𝜑 + n

(26)

where 𝑇 (⋅) is the cyclic shift operator dened as 𝑇 (cd) = (𝑑𝑁𝑓 −1 , 𝑐0 , . . . , 𝑐𝑁SW −1 , 𝑑𝑁SW , . . . , 𝑑𝑁𝑓 −2 ) and n is the noise vector whose elements, 𝑛𝑖 , are i.i.d. complex Gaussian r.v.s as in (2) and (3). According to estimation theory, the optimum decision rule, in the sense of maximizing the probability of correctly locating the sync word, estimates the position 𝑚 as the value 𝜇 ˆ ∈ {0, . . . , 𝑁f − 1} which maximizes the a-posteriory probability Pr {𝑚 = 𝜇 ˆ∣r}. Under the hypothesis that the parameter 𝑚 to be estimated is a-priori equally likely to occur in any position, the above maximization is equivalent to determine the value 𝜇 that maximizes the likelihood 𝑓R∣𝜇 (r∣𝜇), i.e. 𝜇 ˆ = arg max 𝑓R∣𝜇 (r∣𝜇) 𝜇

(27)



𝑒

∣𝑟𝑖 −𝑑𝑖 𝑒𝑗𝜑 ∣2 − 2𝜎2

(28)

𝑖∈𝒜𝑐𝜇

where 𝒜𝜇 = {𝜇, 𝜇 + 1, . . . , 𝜇 + 𝑁SW − 1} is the set of indices for the 𝑁SW samples starting from 𝜇, and 𝒜𝑐𝜇 = {0, . . . , 𝑁f − 1} ∖ 𝒜𝜇 is its complement. Averaging (28) rst with respect to the data d and then to the phase offset 𝜑 gives8 { } 𝑓R∣𝜇 (r∣𝜇) = 𝔼𝜑,d 𝑓R∣𝜇,𝜑,d (r∣𝜇, 𝜑, d) ⎞ ⎛ ∫ 𝜋 ′ ∑ } { 𝐾 (r) = cosh ⎝ 𝑐𝑖−𝜇 ℜ 𝑟˜𝑖 𝑒−𝑗𝜑 ⎠ 𝜋 0 𝑖∈𝒜𝜇 ∏ { −𝑗𝜑 } 𝑑𝜑 (29) cosh ℜ 𝑟˜𝑖 𝑒 ⋅ 𝑖∈𝒜𝑐𝜇

∏𝑁f − ∣𝑟𝑖 ∣22+1 2 −𝑁f 2𝜎 where 𝐾 ′ (r) = (2𝜋𝜎 ) does not depend 𝑖=1 𝑒 { −𝑗𝜑 } Q I on 𝜇 and ℜ 𝑟˜𝑖 𝑒 = 𝑟˜𝑖 cos 𝜑 + 𝑟˜𝑖 sin 𝜑. Now, substituting (29) in (27) we get the ML optimum synchronization method as follows. Optimum Rule: Choose 𝜇 maximizing 𝑆(r, 𝜇), i.e. 𝜇 ˆ = arg max 𝑆(r, 𝜇) 𝜇

(30)

7 Subscripts for 𝑟 are to be considered modulo 𝑁 to account for all 𝑖 f possible positions of the SW. 8 This is different from the approach in [30] and previous literature, in that (29) is already the average over all possible data sequences.

CHIANI: NONCOHERENT FRAME SYNCHRONIZATION

where 𝑆(r, 𝜇) =



𝜋

0





cosh ⎝



𝑖∈𝒜𝑐𝜇



𝑖∈𝒜𝜇

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} { 𝑐𝑖−𝜇 ℜ 𝑟˜𝑖 𝑒−𝑗𝜑 ⎠

{ } cosh ℜ 𝑟˜𝑖 𝑒−𝑗𝜑 𝑑𝜑 .

(31)

Note that for each tested position 𝜇 ∈ {0, . . . , 𝑁f − 1} the optimum synchronizer has to compute a numerical integral. Although this is not difcult in principle, being also the integral with nite limits, it may be impractical for real-time implementations, and approximate solutions must be found. In any case, the performance of the synchronizer based on the metric (31) can be regarded as the ultimate limit in synchronization capability for BPSK with phase offsets for any possible synchronization scheme. We now study how the integral in (31) can be approximated to obtain low complexity suboptimal metrics. For example, we can use the rectangular quadrature rule (13) to get from (31), omitting as usual unnecessary constants, the approximate metric ⎛ ⎞ 𝑁q −1 } { ∑ ∑ cosh ⎝ 𝑐𝑖−𝜇 ℜ 𝑟˜𝑖 𝑒−𝑗𝑙𝜋/𝑁q ⎠ 𝑆 (1) (r, 𝜇) = 𝑙=0





𝑖∈𝒜𝑐𝜇

𝑖∈𝒜𝜇

} { cosh ℜ 𝑟˜𝑖 𝑒−𝑗𝑙𝜋/𝑁q

(32)

which, for increasing 𝑁q , tends to the optimum metric (31). A simpler metric is obtained by rst taking the logarithm, then retaining the dominant term, and nally using (19), giving ⎧# # ⎨## ∑ }## { # 𝑆 (2) (r, 𝜇) = max 𝑐𝑖−𝜇 ℜ 𝑟𝑖 𝑒−𝑗𝑙𝜋/𝑁q ## 𝑙=0,...,𝑁q −1 ⎩## # 𝑖∈𝒜𝜇 ⎫ }#⎬ ∑ ## { # + (33) #ℜ 𝑟𝑖 𝑒−𝑗𝑙𝜋/𝑁q # . ⎭ 𝑐 𝑖∈𝒜𝜇

For the purpose of implementation, it could be convenient to evaluate separately the quantities 𝛼𝑙 =

𝑁 f −1 # ∑ 𝑖=0

}# { # # #ℜ 𝑟𝑖 𝑒−𝑗𝑙𝜋/𝑁q # ,

𝑙 = 0, . . . , 𝑁q − 1

so that (33) can be computed as ⎧# # ⎨## ∑ { }## # 𝑆 (2) (r, 𝜇) = max 𝑐𝑖−𝜇 ℜ 𝑟𝑖 𝑒−𝑗𝑙𝜋/𝑁q ## 𝑙=0,...,𝑁q −1 ⎩## # 𝑖∈𝒜𝜇 ⎫ ⎬ }# ∑ ## { # (34) − #ℜ 𝑟𝑖 𝑒−𝑗𝑙𝜋/𝑁q # + 𝛼𝑙 . ⎭ 𝑖∈𝒜𝜇

{ −𝑗𝑙𝜋/4 } For example, with { 𝑁q = 4 the√function ℜ 𝑟𝑖 𝑒 √ } takes the four values 𝑟𝑖I , (𝑟𝑖I + 𝑟𝑖Q )/ 2, 𝑟𝑖Q , (𝑟𝑖Q − 𝑟𝑖I )/ 2 , which are also used in the metric derived from hypothesis testing (24) and reported in Fig. 3. The phase 𝜑𝑙 maximizing (33) can be interpreted as the approximate ML estimate of the phase 𝜑 with uncertainty 𝜋

and quantized to 𝑁q values over the interval [0, 𝜋), assuming the SW starts at 𝜇. In this regard, using (33) gives the joint ML estimator of 𝑚 and of a quantized version of 𝜑, where the 𝜋 ambiguity for the phase can be easily removed after SW detection. More generally, the exact joint phase and SW position ML estimator is obtained by the maximum of the average of (28) with respect to the data, i.e. by the metric ⎧ ⎨∑ } { 𝑐𝑖−𝜇 ℜ 𝑟˜𝑖 𝑒−𝑗𝜑 𝑆 (3) (r, 𝜇) = max 𝜑∈[−𝜋,𝜋) ⎩ 𝑖∈𝒜𝜇 ⎫ ( )⎬ ∑ − ln cosh 𝑟˜𝑖I cos 𝜑 + 𝑟˜𝑖Q sin 𝜑 (35) ⎭ 𝑐 𝑖∈𝒜𝜇

which is essentially the same as 𝑆 (2) (r, 𝜇), apart from phase quantization and for the approximation (19). Hence, we can say that (33) can be also interpreted as a practical implementation of the ML joint frame and phase synchronizer. B. FS by Peak Detection Using Metrics from Hypothesis Testing

In alternative to previous rules and to avoid the evaluation of 𝛼𝑙 we can use the metrics derived from hypothesis testing in Sec. III, looking for the position where the chosen metric among (12), (16), (17), (20), (23) or (24) is maximum. This approach can be formalized as 𝜇 ˆ = arg max ΛHT (𝑟𝜇 , 𝑟𝜇+1 , . . . , 𝑟𝜇+𝑁SW −1 ) 𝜇

(36)

where ΛHT (⋅) is one of those presented in Sec. III. The relation between the metrics derived from hypothesis testing and the ML rule is discussed in the following section. V. R ELATION B ETWEEN H YPOTHESIS T ESTING AND M AXIMUM L IKELIHOOD FS The hypothesis testing in Sec. III can be used for sequential FS, deciding for the SW if the evaluated metric (using 𝑁SW samples) is above a suitable threshold. On the other side, the peak detection (including ML) approach of Sec. IV uses all 𝑁f samples. Another difference is that sequential FS does not assume that the true position occurs in any observation (and therefore can be used for systems using frames of unknown length [28], [29]), while peak detection assumes that the true position occurs within one of the 𝑁f trial values. We will also investigate the use, as indicated in (36), of the metrics derived from hypothesis testing for FS based on peak detection. In the numerical results section we show for example that the new metric (20) used in (36) give performance very close to the ML rules (32), (33). Hence, it may be interesting to understand what is the relation (if any) between the solution for FS provided by the ML estimator (27), and the peak detection solution (36) using metrics derived from hypothesis testing theory as in Sec. III. In this regard, let us look at the general FS problem, where 𝑓R∣𝜇 (r∣𝜇) is the p.d.f. of the received vector R when the SW starts at 𝜇. The ML estimator is expressed by (27). If the

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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 58, NO. 5, MAY 2010

samples are, conditionally to 𝜇, statistically independent we can write ∏ ∏ 𝑓𝑅𝑖 ∣ℋ1 (𝑟𝑖 ) 𝑓𝑅𝑖 ∣ℋ0 (𝑟𝑖 ) (37) 𝑓R∣𝜇 (r∣𝜇) = 𝑖∈𝒜𝑐𝜇

𝑖∈𝒜𝜇

where we indicate by 𝑓𝑅𝑖 ∣ℋ1 (𝑟𝑖 ), 𝑓𝑅𝑖 ∣ℋ0 (𝑟𝑖 ) the p.d.f. for the samples in the 𝑆𝑊 eld and in the data eld, respectively. These p.d.f.s can be interpreted as the samples distribution in the hypotheses ℋ1 , ℋ0 , respectively. Dividing (37) by ∏ all 𝑖 𝑓𝑅𝑖 ∣ℋ0 (𝑟𝑖 ), which does not depend on 𝜇, we have ∏ 𝑖∈𝒜 𝑓𝑅𝑖 ∣ℋ1 (𝑟𝑖 ) 𝜇 ˆ = arg max 𝑓R∣𝜇 (r∣𝜇) = arg max ∏ 𝜇 . 𝜇 𝜇 𝑖∈𝒜𝜇 𝑓𝑅𝑖 ∣ℋ0 (𝑟𝑖 ) (38) In other words, if the samples distribution can be factorized as in (37), then we have two important consequences. First, the ML metric is evaluated over blocks of 𝑁SW samples for each possible starting position 𝜇. Second, the metric used by the ML rule is the same as that obtained by the hypothesis testing theory. While the factorization (37) is true for the case of FS in AWGN channels with frequency and phase synchronization [13], [28], it does not apply to the case here studied, due to the presence of phase offset. In fact, from (29) we see that the above mentioned rst property does not hold since, for each possible SW position, the optimal metric must be evaluated over all 𝑁f samples; this is the reason why the metrics (12) and (31) are different. VI. E XTENSIONS A. Higher Order Modulations Although our rst focus is BPSK, the approach can be extended to other modulations quite easily. To this aim, it is sufcient to follow the same steps as in Sec. III and Sec. IV, with the proper changes due to the different alphabet for the SW and data symbols 𝑐𝑖 , 𝑑𝑖 . For example, for 𝑀 ary shift keying (M-PSK) the }symbol alphabet is { 𝑗0 phase 𝑒 , 𝑒𝑗2𝜋/𝑀 , 𝑒𝑗4𝜋/𝑀 , . . . , 𝑒𝑗(𝑀−1)2𝜋/𝑀 . For 𝑀 even, the average of (7) with respect to the data symbols 𝑑𝑖 gives (

2 𝑀

)𝑁SW

𝐾(r)

𝑁∏ SW −1 𝑀/2−1 ∑ 𝑖=0

𝑝=0

cosh ℜ

{𝑟

𝑖 −𝑗𝑝2𝜋/𝑀 −𝑗𝜑 𝑒 𝑒 𝜎2

}

which generalizes (8). This expression should be used in the subsequent equations for the derivation of the optimum LRT and suboptimum metrics. Similar changes would be required for the approach in Sec. IV. B. Fading Channels Until now we have assumed AWGN channels. We here briey discuss noncoherent frame synchronization in the presence of AWGN and frequency-at fading (for the case of perfectly known phase offset and noncoherent demodulation see [20] and [21], respectively). We rst observe that, if 𝑣(𝑖) = ∣𝑣(𝑖)∣𝑒𝑗𝜑𝑣 (𝑖) is the normalized multiplicative fading gain at time 𝑖, then the model (2) is still valid, by assuming a time varying (instantaneous) SNR or, equivalently, a time

varying noise variance 𝜎 2 (𝑖) = 𝜎 2 /∣𝑣(𝑖)∣2 , and a time varying phase offset 𝜑(𝑖) = 𝜑 + 𝜑𝑣 (𝑖). If the fading is sufciently slow (coherence time greater than a frame duration), then 𝑣(𝑖) can be considered constant within each frame. Therefore the approach in Sec. III and Sec. IV is still valid, where the SNR is to be intended as conditional to the fading amplitude level, and the unknown phase offset includes the fading phase. If the fading coherence time is greater than a sync word duration but smaller than a frame duration, then we can still use the (conditional) likelihood ratio of Sec. III. So, one possible strategy would be to perform FS based on the metrics as from Sec. III, by using a noise variance 𝜎 2 (𝑖) and normalized samples 𝑟𝑖 /𝜎 2 (𝑖), where 𝜎 2 (𝑖) is that of the current observation window, for each possible SW position. This approach requires an estimate of the fading amplitude. Finally, if the fading is so fast that the phase offset is considerably varying within a window of 𝑁SW samples, then our approach is not suitable. Here other strategies, for instance based on noncoherent or differentially coherent techniques, should be investigated. The study of these strategies is beyond the scope of this paper. VII. N UMERICAL R ESULTS In this section we investigate by simulation the performance of the proposed methods for frame synchronization. In particular, the performance of the hypothesis testing methods derived in Sec. III are evaluated in terms of receiver operating characteristic (ROC). For the synchronization methods by peak detection presented in Sec. IV we will estimate the probability of synchronization error, dened as the probability that the estimated position 𝜇 ˆ is different from the actual SW position 𝑚. A. Receiver Operating Characteristic The probability of false alarm is dened as 𝑃FA = Pr{Λ (R) > 𝜆 ∣ ℋ0 } where Λ(⋅) is the selected metric and 𝜆 is the selected threshold. Similarly, the probability of missed detection is 𝑃MD = Pr{Λ (R) < 𝜆 ∣ ℋ1 } and the probability of correct detection is 𝑃D = 1 − 𝑃M𝐷 . An example of ROC reporting 𝑃D as a function of 𝑃FA , obtained by varying the value of the threshold 𝜆, is reported in Fig. 5. The gure has been obtained with 𝐸𝑠 /𝑁0 = 1 dB, for a SW of 𝑁SW = 24 symbols. The tests investigated are the noncoherent correlation (5), the optimum LRT (12) with numerical integration,9 the simple tests (23) and (24), and the heuristic test (25). We can observe that all proposed tests are considerably better than the noncoherent correlation test. Even the most simple of the proposed tests (23) clearly outperforms the noncoherent correlation (5), and in particular the performance of the simple test (24) is very close to that of the optimal test. These performance improvements, here in terms of ROC, will be also conrmed in the next section when the maximum of the metric among subsequent starting positions is used to locate the SW within the received sequence of symbols. 9 We found that, to evaluate (12), a number of points 𝑁 = 8 are sufcient q for both the Gauss-Legendre and the rectangular quadrature rules.

CHIANI: NONCOHERENT FRAME SYNCHRONIZATION

1543

1

0

10

0.99

𝐿2 of [30] 𝐿1 of [30] correlation Λ(4) Λ(3) , 𝑁q = 2 Λ(3) , 𝑁q = 4 Λ(1) , 𝑁q = 4 𝑆 (2) , 𝑁q = 4

0.98 -1

Sync. Error Probability

Prob. of Detection

0.97

LRT Λ(3) , 𝑁q = 4 Λ(4) Λ(3) , 𝑁q = 2 correlation

0.96 0.95 0.94 0.93 0.92

10

-2

10

-3

10

0.91 0

0.001

0.002

0.003

Prob. of False Alarm

0.004

0.005

Fig. 5. Receiver Operating Characteristics for the proposed detectors and for the noncoherent correlation, BPSK over AWGN channels with phase offset, 𝐸𝑠 /𝑁0 = 1𝑑𝐵, sync word of 𝑁SW = 24 symbols. The curves refer to: optimum LRT; test Λ(3) with 𝑁q = 4 (equation (24) - Fig. 3); test Λ(4) ; test Λ(3) with 𝑁q = 2 (equation (23)); test based on noncoherent correlation.

B. FS by Peak Detection Here we consider the FS algorithm described in Sec. IV where the synchronizer analyzes a number 𝑁f of positions, for each evaluating the value of the chosen metric; the estimated position of the SW is that for which the value of the metric is the largest [13], [26]. Thus, no thresholds are needed with this approach. We consider, as metrics, the common noncoherent correlation (5), the metrics 𝐿1 and 𝐿2 in [30, eq. (10) and eq. (11)], and our new metrics derived in Sec. III and Sec. IV. As discussed in Section III we remark (see also Table I) that the practical implementation of 𝐿1 , 𝐿2 is difcult, since these are much more complex than correlation and than our tests (23) and (24). In particular, the complexity of 𝐿1 is very high. In Fig. 6 we report the synchronization error probability for the proposed metrics (16), (20) (this last in the two forms (23) and (24)), the heuristic test (25) and the metric derived from the ML rule (34), compared with the performance of the commonly used noncoherent correlation. In the gure we assume a frame of 𝑁f = 240 symbols, with the SW of 𝑁SW = 24 symbols 050𝐶𝐷𝐹 (hexadecimal) given in [34]. We note that the metrics (16), (24) and (34) performs very similarly. So, owing to its simplicity, (24) is to be preferred for practical implementations (see Fig. 3). In the comparison with the commonly used noncoherent correlation, the proposed metrics show remarkable improvements. For example, for a target synchronization error probability of 10−3 , our test (24) requires 5 dB less than the test based on correlation. A similar behavior is observed in Fig. 7, where we report the synchronization error probability for frames consisting of 𝑁f = 1000 symbols and the SW of 𝑁SW = 32 symbols 1𝐴𝐶𝐹 𝐹 𝐶1𝐷 (hexadecimal) given in [35]. We note again that the simple metric (24), derived from the LRT, is largely outperforming the noncoherent correlation metric. The new metrics have been derived to cope with a phase offset constant over the testing time. Nevertheless, for the sake of completeness, in Fig. 8 we report the synchronization error probability assuming both phase and frequency offsets,

-4

10

-4

-2

0

2

4

𝐸𝑠 /𝑁0 (dB)

6

8

10

12

Fig. 6. Frame synchronization error probability for peak detectors, BPSK over AWGN channels with phase offset. Comparison between the noncoherent correlation metric, the new metrics and the metrics from [30]. The curves refer to: metric Λ(1) with 𝑁q = 4 (equation (16)); metric 𝑆 (2) with 𝑁q = 4 (equation (34)); metric Λ(3) with 𝑁q = 4 (equation (24) - Fig. 3); metric Λ(4) ; metric Λ(3) with 𝑁q = 2 (equation (23)); noncoherent correlation metric; metrics 𝐿1 , 𝐿2 from [30]. Frame composed of 𝑁f = 240 symbols, sync word of 𝑁SW = 24 symbols.

0

10

𝐿2 of [30] 𝐿1 of [30] correlation Λ(4) Λ(3) , 𝑁q = 2 Λ(3) , 𝑁q = 4 Λ(1) , 𝑁q = 4 𝑆 (2) , 𝑁q = 4

-1

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Sync. Error Probability

0.9

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10

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10

-5

10 -4

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𝐸𝑠 /𝑁0 (dB)

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Fig. 7. Frame synchronization error probability for peak detectors, BPSK over AWGN channels with phase offset. Comparison between the noncoherent correlation, the new metrics and the metrics from [30], labels as in previous gures. Frame composed of 𝑁f = 1000 symbols, sync word of 𝑁SW = 32 symbols.

producing a change of the phase within the observation interval. More precisely, we assume that the phase 𝜑 in (2) and (3) is replaced by 𝜑0 + 2𝜋Δ𝑓 𝑇 𝑖, where the r.v. 𝜑0 is uniformly distributed over (−𝜋, 𝜋], the normalized frequency offset Δ𝑓 𝑇 is a r.v. uniformly distributed over the interval (−Δ𝑓max 𝑇, Δ𝑓max 𝑇 ], and Δ𝑓max 𝑇 is the maximum frequency offset. In the gure we report the synchronization error rate assuming Δ𝑓max 𝑇 = 0.01, for frames with 𝑁f = 1000 and 𝑁SW = 32. We can observe that the metric (30) suffers a large performance degradation due to the fact that within the observation window (this rule uses all 𝑁f samples) the phase varies considerably. On the contrary, even in the presence of

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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 58, NO. 5, MAY 2010

0

0

10

10

𝐿2 of [30] 𝐿1 of [30] correlation Λ(4) Λ(3) , 𝑁q = 2 Λ(3) , 𝑁q = 4 Λ(1) , 𝑁q = 4 𝑆 (2) , 𝑁q = 4

Sync. Error Probability

10

-2

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10

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10

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10

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10 -4

𝐿2 of [30] 𝐿1 of [30] correlation Λ(4) Λ(3) , 𝑁q = 2 Λ(3) , 𝑁q = 4 Λ(1) , 𝑁q = 4 𝑆 (2) , 𝑁q = 4

-1

Sync. Error Probability

-1

-5

-2

0

2

4

𝐸𝑠 /𝑁0 (dB)

6

8

10

12

10 -8

-6

-4

-2

𝐸𝑠 /𝑁0 (dB)

0

2

4

Fig. 8. Frame synchronization error probability for peak detectors, BPSK over AWGN channels with phase and frequency offsets. Comparison between the noncoherent correlation, the new metrics and the metrics from [30], labels as in previous gures. Frame composed of 𝑁f = 1000 symbols, sync word of 𝑁SW = 32 symbols. Maximum frequency offset Δ𝑓m𝑎𝑥 𝑇 = 0.01.

Fig. 9. Frame synchronization error probability for peak detectors, BPSK over AWGN channels with phase offset. Comparison between the noncoherent correlation, the new metrics and the metrics from [30], labels as in previous gures. Frame composed of 𝑁f = 1000 symbols, sync word of 𝑁SW = 64 symbols.

frequency offset the proposed simple metric (24) gives large improvements with respect to the noncoherent correlation. In this regard, it is expected that the new metrics could produce signicant improvements even for larger frequency offsets, if used jointly with post-detection integration techniques. It is also worthwhile to note that the metrics 𝐿1 , 𝐿2 of [30], that have been designed to cope with large frequency offsets, show small degradations with respect to the same curves in Fig. 7. So, for large values of the frequency offset Δ𝑓max 𝑇 , and depending on the frame and SW lengths, these metrics may be of interest despite their complexity. Finally, we investigate the behavior of the different methods for larger SW lengths. In Fig. 9 we report the synchronization error probability for 𝑁SW = 64, assuming negligible frequency offset. We note that the metrics 𝐿1 , 𝐿2 , that are designed to cope with large frequency errors, are not suitable in this scenario. Also, the advantage of (24) is still large when compared to noncoherent correlation, although, by comparison with previous gures, we note that the gains of the new metrics decrease with the SW length.

R EFERENCES

VIII. C ONCLUSION We studied frame synchronization for binary coherent PSK modulation in AWGN channels with phase offset, deriving the optimum synchronization rule and some suboptimum rules based on hypothesis testing theory. In particular, we have proposed a small change in the commonly used noncoherent correlation detector leading to large improvements in terms of synchronization capability. ACKNOWLEDGMENT The author would like to thank L. Calandrino, E. Paolini and M. Z. Win for useful discussions, G. Liva for careful verication of the numerical results, and the anonymous reviewers for their constructive comments.

[1] R. H. Barker, ““Group synchronization of binary digital systems," in Communication Theory. London: W. Jackson, 1953. [2] J. J. Stifer, Theory of Synchronous Communications. Englewood Cliffs, NJ: Prentice-Hall, 1971. [3] R. Scholtz, ““Frame synchronization techniques," IEEE Trans. Commun., vol. 28, no. 8, pp. 1204-1213, Aug. 1980. [4] C. Georghiades and E. Serpedin, Communication Handbook. CRC Press, 2002, ch. 18. [5] K. Andrews, D. Divsalar, S. Dolinar, J. Hamkins, C. Jones, and F. Pollara, ““The development of turbo and LDPC codes for deep-space applications," Proc. IEEE, vol. 95, no. 11, pp. 2142-2156, Nov. 2007. [6] G. P. Calzolari, M. Chiani, F. Chiaraluce, R. Garello, and E. Paolini, ““Channel coding for future space missions: new requirements and trends," Proc. IEEE, vol. 95, no. 11, pp. 2157-2170, Nov. 2007. [7] M. K. Simon, J. K. Omura, R. A. Scholtz, and B. K. Levitt, Spread Spectrum Communications Handbook (electronic edition). New York: McGraw-Hill, Inc., 2001. [8] A. J. Viterbi, CDMA: Principles of Spread Spectrum Communication, 1st edition. Reading, MA: Addison-Wesley, 1995. [9] A. Polydoros and C. Weber, ““A unied approach to serial search spread-spectrum code acquisition——part I: general theory," IEEE Trans. Commun., vol. 32, no. 5, pp. 542-549, May 1984. [10] ————, ““A unied approach to serial search spread-spectrum code acquisition——part II: a matched-lter receiver," IEEE Trans. Commun., vol. 32, no. 5, pp. 550-560, May 1984. [11] W. Suwansantisuk, M. Z. Win, and L. A. Shepp, ““On the performance of wide-bandwidth signal acquisition in dense multipath channels," IEEE Trans. Veh. Technol., vol. 54, no. 5, pp. 1584-1594, Sep. 2005. [12] W. Suwansantisuk and M. Z. Win, ““Multipath aided rapid acquisition: optimal search strategies," IEEE Trans. Inf. Theory, vol. 53, no. 1, pp. 174-193, Jan. 2007. [13] J. Massey, ““Optimum frame synchronization," IEEE Trans. Commun., vol. 20, no. 2, pp. 115-119, Apr. 1972. [14] P. Nielsen, ““Some optimum and suboptimum frame synchronizers for binary data in Gaussian noise," IEEE Trans. Commun., vol. 21, no. 6, pp. 770-772, June 1973. [15] G. Lui and H. Tan, ““Frame synchronization for Gaussian channels," IEEE Trans. Commun., vol. 35, no. 8, pp. 818-829, Aug. 1987. [16] B. H. Moon and S. S. Soliman, ““ML frame synchronization for the Gaussian channel with ISI," in Proc. IEEE Int. Conf. Commun. (ICC 1991), vol. 3, Paris, June 1991, pp. 1698-1702. [17] P. F. Driessen, ““Performance of frame synchronization in packet transmission using bit erasure information," IEEE Trans. Commun., vol. 39, no. 4, pp. 567-573, Apr. 1991.

CHIANI: NONCOHERENT FRAME SYNCHRONIZATION

[18] Y. Wang, K. Shi, and E. Serpedin, ““Continuous-mode frame synchronization for frequency-selective channels," IEEE Trans. Veh. Technol., vol. 53, no. 3, pp. 865-871, May 2004. [19] G. Lorden, R. McEliece, and L. Swanson, ““Node synchronization for the Viterbi decoder," IEEE Trans. Commun., vol. 32, no. 5, pp. 524-531, May 1984. [20] P. Robertson, ““Maximum likelihood frame synchronization for at fading channels," in Proc. IEEE Int. Conf. Commun., ICC 1992, June 1992, pp. 1426-1430. [21] A. Kopansky and N. Bystrom, ““Frame synchronization for noncoherent demodulation on at fading channels," in Proc. IEEE Int. Conf. Commun. (ICC 2000), vol. 1, 2000, pp. 312-316. [22] P. Robertson, ““Improving frame synchronization when using convolutional codes," in Proc. IEEE GLOBECOM ’’93, vol. 3, Houston, Nov. 1993, pp. 1606-1611. [23] M. M. K. Howlader and B. D. Woerner, ““Decoder-assisted frame synchronization for packet transmission," IEEE J. Sel. Areas Commun., vol. 19, no. 12, pp. 2331-2345, Dec. 2001. [24] T. M. Cassaro and C. N. Georghiades, ““Frame synchronization for coded systems over AWGN channels," IEEE Trans. Commun., vol. 52, no. 3, pp. 484-489, Mar. 2004. [25] H. Wymeersch, H. Steendam, H. Bruneel, and M. Moeneclaey, ““Codeaided frame synchronization and phase ambiguity resolution," IEEE Trans. Signal Process., vol. 54, no. 7, pp. 2747-2757, July 2006. [26] M. Chiani and M. G. Martini, ““Analysis of optimum frame synchronization based on periodically embedded sync words," IEEE Trans. Commun., vol. 55, no. 11, pp. 2056-2060, Nov. 2007. [27] ————, ““Practical frame synchronization for data with unknown distribution on AWGN channels," IEEE Commun. Lett., vol. 9, no. 5, pp. 456-458, May 2005. [28] ————, ““On sequential frame synchronization in AWGN channels," IEEE Trans. Commun., vol. 54, no. 2, pp. 339-348, Feb. 2006. [29] W. Suwansantisuk, M. Chiani, and M. Z. Win, ““Frame synchronization for variable-length packets," IEEE J. Sel. Areas Commun., vol. 26, no. 1, pp. 52-69, Jan. 2008. [30] Z. Y. Choi and Y. H. Lee, ““Frame synchronization in the presence of frequency offset," IEEE Trans. Commun., vol. 50, no. 7, pp. 1062-1065, July 2002. [31] M. Villanti, P. Salmi, and G. E. Corazza, ““Differential post detection integration techniques for robust code acquisition," IEEE Trans. Commun., vol. 55, no. 11, pp. 2172-2184, Nov. 2007.

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[32] H. L. Van Trees, Detection, Estimation, and Modulation Theory, 1st edition. New York: John Wiley & Sons, Inc., 1968. [33] I. S. Gradshteyn and I. M. Ryzhik, Tables of Integrals, Series, and Products, 6th edition. San Diego, CA: Academic Press, Inc., 1994. [34] J. L. Maury and F. Styles, ““Development of optimum frame synchronization codes for Goddard Space Flight Center PCM telemetry standards," in Proc. Nat. Telemetring Conf., Los Angeles, CA, June 1964, pp. 1-10. [35] ““TM synchronization and channel coding," CCSDS Blue Book, no. 1, pp. 6-1 and 6-2, Sep. 2003. Marco Chiani (M’’94-SM’’02) was born in Rimini, Italy, in April 1964. He received the Dr. Ing. degree (magna cum laude) in Electronic Engineering and the Ph.D. degree in Electronic and Computer Science from the University of Bologna in 1989 and 1993, respectively. Dr. Chiani is a Full Professor at the II Engineering Faculty, University of Bologna, Italy, where he is the Chair in Telecommunication. During the summer of 2001 he was a Visiting Scientist at AT&T Research Laboratories in Middletown, NJ. He is a frequent visitor at the Massachusetts Institute of Technology (MIT), where he presently holds a Research Afliate appointment. Dr. Chiani’’s research interests include wireless communication systems, MIMO systems, wireless multimedia, low density parity check codes (LDPCC) and UWB. He is leading the research unit of University of Bologna on cognitive radio and UWB (European project EUWB), on Joint Source and Channel Coding for wireless video (European projects Phoenix-FP6 and Optimix-FP7), and is a consultant to the European Space Agency (ESAESOC) for the design and evaluation of error correcting codes based on LDPCC for space CCSDS applications. Dr. Chiani has chaired, organized sessions and served on the Technical Program Committees at several IEEE International Conferences. In January 2006 he received the ICNEWS award ““For Fundamental Contributions to the Theory and Practice of Wireless Communications." He was the recipient of the 2008 IEEE ComSoc Radio Communications Committee Outstanding Service Award. He is the past chair (2002-2004) of the Radio Communications Committee of the IEEE Communication Society and past Editor of Wireless Communication (2000-2007) for the IEEE T RANSACTIONS ON C OMMUNICATIONS.

Noncoherent Frame Synchronization

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