Autonomous software-defined radio receivers for deep space applications

This book introduces the reader to the concept of an autonomous software-defined radio (SDR) receiver. Each distinct aspect of the design of the receiver is treated in a separate chapter written by one or more leading innovators in the field. Chapters begin with a problem statement and then offer a full mathematical derivation of an appropriate solution, a decision metric or loop-structure as appropriate, and performance results.

Author Notes

JON HAMKINS , PhD, is the Technical Supervisor of the Jet Propulsion Laboratory's Information Processing Group. Dr. Hamkins, a Senior Member of the IEEE, has been awarded several NASA Tech Briefs for his innovations in signal processing, coding theory, and optical communications.

MARVIN K. SIMON , PhD, is a Senior Research Engineer at the Jet Propulsion Laboratory. His research in modulation, coding, and synchronization has been instrumental in the design of many of NASA's deep space and near earth missions, for which he has been awarded dozens of patents and awards. This is Dr. Simon's twelfth book.

Jon Hamkins and Marvin K. SimonEdgar Satorius and Tom Jedrey and David Bell and Ann Devereaux and Todd Ely and Edwin Grigorian and Igor Kuperman and Alan LeeMarvin K. Simon and Jon HamkinsDariush DivsalarMarvin K. Simon and Dariush DivsalarMarvin K. Simon and Samuel DolinarAndre Tkacenko and Marvin K. SimonMarvin K. Simon and Jon HamkinsJon Hamkins and Marvin K. SimonMarvin K. SimonJon Hamkins and Hooman Shirani-Mehr

Foreword	p. xiii
Preface	p. xv
Acknowledgments	p. xvii
Contributors	p. xix
Chapter 1 Introduction and Overview	p. 1
1.1 Preliminaries	p. 3
1.1.1 Signal Model	p. 3
1.1.2 Anatomy of the Received Signal	p. 5
1.2 Radio Receiver Architectures	p. 8
1.2.1 A Conventional Radio Receiver	p. 8
1.2.2 Electra	p. 10
1.2.3 An Autonomous Radio	p. 10
1.3 Estimators and Classifiers of the Autonomous Radio	p. 12
1.3.1 Carrier Phase Tracking	p. 12
1.3.2 Modulation Classification	p. 13
1.3.3 Signal-to-Noise Ratio Estimation	p. 13
1.3.4 Frequency Tracking	p. 14
1.4 An Iterative Message-Passing Architecture	p. 14
1.4.1 Messages from the Symbol-Timing Estimator	p. 15
1.4.2 Messages from the Phase Tracker	p. 15
1.4.3 Messages from the Modulation Classification	p. 15
1.4.4 Messages from the Decoder	p. 15
1.5 A Demonstration Testbed	p. 16
References	p. 16
Chapter 2 The Electra Radio	p. 19
2.1 Electra Receiver Front-End Processing	p. 20
2.1.1 AGC	p. 22
2.1.2 ADC	p. 24
2.1.3 Digital Downconversion and Decimation	p. 25
2.2 Electra Demodulation	p. 25
2.2.1 Frequency-Acquisition and Carrier-Tracking Loop	p. 27
2.2.2 Navigation: Doppler Phase Measurement	p. 30
2.2.3 Symbol-Timing Recovery	p. 30
2.2.4 Viterbi Node Sync and Symbol SNR Estimation	p. 33
2.3 Electra Digital Modulator	p. 39
References	p. 42
Chapter 3 Modulation Index Estimation	p. 45
3.1 Coherent Estimation	p. 46
3.1.1 BPSK	p. 46
3.1.2 M-PSK	p. 50
3.2 Noncoherent Estimation	p. 54
3.3 Estimation in the Absence of Knowledge of the Modulation, Data Rate, Symbol Timing, and SNR	p. 56
3.4 Noncoherent Estimation in the Absence of Carrier Frequency Knowledge	p. 61
Chapter 4 Frequency Correction	p. 63
4.1 Frequency Correction for Residual Carrier	p. 63
4.1.1 Channel Model	p. 64
4.1.2 Optimum Frequency Estimation over an AWGN Channel	p. 64
4.1.3 Optimum Frequency Estimation over a Raleigh Fading Channel	p. 65
4.1.4 Open-Loop Frequency Estimation	p. 66
4.1.5 Closed-Loop Frequency Estimation	p. 67
4.2 Frequency Correction for Known Data-Modulated Signals	p. 72
4.2.1 Channel Model	p. 72
4.2.2 Open-Loop Frequency Estimation	p. 74
4.2.3 Closed-Loop Frequency Estimation	p. 74
4.3 Frequency Correction for Modulated Signals with Unknown Data	p. 78
4.3.1 Open-Loop Frequency Estimation	p. 79
4.3.2 Closed-Loop Frequency Estimation	p. 80
References	p. 83
Chapter 5 Data Format and Pulse Shape Classification	p. 85
5.1 Coherent Classifiers of Data Format for BPSK	p. 86
5.1.1 Maximum-Likelihood Coherent Classifier of Data Format for BPSK	p. 86
5.1.2 Reduced-Complexity Data Format BPSK Classifiers	p. 88
5.1.3 Probability of Misclassification for Coherent BPSK	p. 89
5.2 Coherent Classifiers of Data Format for QPSK	p. 94
5.2.1 Maximum-Likelihood Coherent Classifier of Data Format for QPSK	p. 94
5.2.2 Reduced-Complexity Data Format QPSK Classifiers	p. 96
5.2.3 Probability of Misclassification for Coherent QPSK	p. 97
5.3 Noncoherent Classification of Data Format for BPSK	p. 98
5.3.1 Maximum-Likelihood Noncoherent Classifier of Data Format for BPSK	p. 98
5.3.2 Probability of Misclassification for Noncoherent BPSK	p. 105
5.4 Maximum-Likelihood Noncoherent Classifier of Data Format for QPSK	p. 108
5.5 Maximum-Likelihood Coherent Classifier of Data Format for BPSK with Residual and Suppressed Carriers	p. 109
5.6 Maximum-Likelihood Noncoherent Classifier of Data Format for BPSK with Residual and Suppressed Carriers	p. 113
5.7 Maximum-Likelihood Pulse Shape Classification	p. 117
References	p. 119
Chapter 6 Signal-to-Noise Ratio Estimation	p. 121
6.1 Signal Model and Formation of the Estimator	p. 123
6.1.1 Sampled Version	p. 123
6.1.2 I&D Version	p. 126
6.2 Methods of Phase Compensation	p. 129
6.3 Evaluation of h[superscript plusminus]	p. 131
6.4 Mean and Variance of the SNR Estimator	p. 132
6.4.1 Exact Moment Evaluations	p. 132
6.4.2 Asymptotic Moment Evaluations	p. 136
6.5 SNR Estimation in the Presence of Symbol Timing Error	p. 145
6.5.1 Signal Model and Formation of the Estimator	p. 146
6.5.2 Mean and Variance of the SNR Estimator	p. 149
6.6 A Generalization of the SSME Offering Improved Performance	p. 150
6.7 A Method for Improving the Robustness of the Generalized SSME	p. 156
6.8 Special Case of the SSME for BPSK-Modulated Data	p. 158
6.9 Comparison with the Cramer-Rao Lower Bound on the Variance of SNR Estimators	p. 161
6.10 Improvement in the Presence of Frequency Uncertainty	p. 165
6.11 The Impact of the Oversampling Factor on the Performance of the Modified SSME in the Presence of Symbol Timing Error	p. 171
6.12 Other Modulations	p. 175
6.12.1 Offset QPSK	p. 175
6.12.2 QAM	p. 179
6.13 The Time-Multiplexed SSME	p. 180
6.13.1 An Adaptive SSME	p. 184
References	p. 188
Appendix 6-A Derivation of Asymptotic Mean and Variance of SSME	p. 190
Chapter 7 Data Rate Estimation	p. 193
7.1 Data Rate Estimation Based on the Mean of the SSME SNR Estimator	p. 194
7.1.1 Signal Model and Assumptions	p. 194
7.1.2 Relation of the SSME SNR Estimator to Data Rate Estimation	p. 196
7.1.3 SSME Data Rate Estimation Algorithm	p. 200
7.1.4 GLRT-Type SSME Data Rate Estimation Algorithm	p. 201
7.2 Effects of Symbol-Timing Error on Estimating the Data Rate	p. 201
7.2.1 Accounting for the Symbol-Timing Error	p. 202
7.3 Quantization of the Symbol-Timing Error	p. 204
7.3.1 All-Digital Implementation of the SSME-Based Data Rate Estimator	p. 205
7.3.2 SSME Data Rate/SNR/Symbol-Timing Error Estimation Algorithm	p. 208
7.3.3 GLRT-Type SSME Data Rate/SNR/Symbol-Timing Error Estimation Algorithm	p. 209
7.4 Simulation Results for the SSME-Based Estimation Algorithms	p. 209
7.4.1 Performance Metrics Used for Evaluating the Estimation Algorithms	p. 210
7.4.2 Behavior of the SSME-Based Data Rate Estimation Algorithms as a Function of SNR	p. 213
7.4.3 Behavior of the SSME-Based Data Rate Estimation Algorithms as a Function of Symbol-Timing Error	p. 220
References	p. 226
Chapter 8 Carrier Synchronization	p. 227
8.1 Suppressed versus Residual Carrier Synchronization	p. 229
8.2 Hybrid Carrier Synchronization	p. 230
8.3 Active versus Passive Arm Filters	p. 233
8.4 Carrier Synchronization of Arbitrary Modulations	p. 247
8.4.1 MPSK	p. 247
8.4.2 QAM and Unbalanced QPSK	p. 259
8.4.3 [pi]/4 Differentially Encoded QPSK	p. 264
References	p. 264
Appendix 8-A Cramer-Rao Bound on the Variance of the Error in Estimating the Carrier Phase of a BPSK Signal	p. 266
Chapter 9 Modulation Classification	p. 271
9.1 Preliminaries	p. 272
9.1.1 Signal Model	p. 272
9.1.2 Conditional-Likelihood Function	p. 273
9.2 Modulation Classifiers	p. 274
9.2.1 ML Classifiers	p. 274
9.2.2 Suboptimum Classifiers	p. 276
9.3 Threshold Optimization	p. 278
9.3.1 Suboptimality of Previously Derived Thresholds	p. 278
9.3.2 Empirical Threshold Optimization	p. 279
9.4 Complexity	p. 281
9.4.1 ML Classifier	p. 281
9.4.2 Coarse Integral Approximate ML Classifier	p. 282
9.4.3 qGLRT Classifier	p. 282
9.4.4 qLLR and nqLLR	p. 282
9.5 Classification Error Floor	p. 283
9.6 Numerical Results	p. 284
9.7 Unknown Symbol Timing	p. 289
9.8 BPSK/[pi]/4-QPSK Classification	p. 292
9.8.1 ML Noncoherent Classifier Averaging over Data, then Carrier Phase	p. 292
9.8.2 ML Noncoherent Classifier Averaging over Carrier Phase, then Data	p. 293
9.8.3 Suboptimum Classifiers	p. 294
9.9 Noncoherent Classification of Offset Quadrature Modulations	p. 295
9.9.1 Channel Model and Conditional-Likelihood Function	p. 296
9.9.2 Classification of OQPSK versus BPSK	p. 299
9.9.3 Suboptimum (Simpler to Implement) Classifiers	p. 301
9.9.4 Classification of MSK versus QPSK	p. 306
9.10 Modulation Classification in the Presence of Residual Carrier Frequency Offset	p. 308
References	p. 309
Appendix 9-A Parameter Estimation for the GLRT	p. 311
Appendix 9-B ML Estimation of Carrier Phase for [pi]/4-QPSK Modulation	p. 315
Chapter 10 Symbol Synchronization	p. 321
10.1 MAP-Motivated Closed-Loop Symbol Synchronization	p. 323
10.2 The DTTL as an Implementation of the MAP Estimation Loop for Binary NRZ Signals at High SNR	p. 325
10.3 Conventional versus Linear Data Transition Tracking Loop	p. 328
10.3.1 The Loop S-Curve	p. 331
10.3.2 Noise Performance	p. 333
10.3.3 Mean-Squared Timing-Error Performance	p. 335
10.4 Simplified MAP-Motivated Closed-Loop Symbol Synchronizers for M-PSK	p. 338
10.5 MAP Sliding-Window Estimation of Symbol Timing	p. 339
10.5.1 A Brief Discussion of Performance and Its Bounds for Open- and Closed-Loop Symbol-Timing Techniques	p. 341
10.5.2 Formulation of the Sliding-Window Estimator	p. 343
10.5.3 Extension to Other Pulse Shapes	p. 346
10.6 Symbol Synchronization in the Absence of Carrier Phase Information	p. 347
10.6.1 Suboptimum Schemes	p. 347
10.6.2 The Noncoherent DTTL	p. 359
10.7 The Impact of Carrier Frequency Offset on Performance	p. 377
10.7.1 S-Curve Performance	p. 381
10.7.2 Noise Performance	p. 384
10.7.3 Mean-Squared Timing-Error Performance	p. 384
10.7.4 A Final Note	p. 385
10.8 Coarse Estimation of Symbol Timing for Use in SNR Estimation	p. 386
References	p. 389
Chapter 11 Implementation and Interaction of Estimators and Classifiers	p. 391
11.1 Signal Model	p. 392
11.2 Interaction of Estimator and Classifiers	p. 393
11.3 Coarse and Fine Estimators/Classifiers	p. 395
11.3.1 Modulation Index Estimation	p. 395
11.3.2 Frequency Correction	p. 397
11.3.3 Joint Estimation of Data Rate, Data Format, SNR, and Coarse Symbol Timing	p. 398
11.3.4 Modulation Classification	p. 400
11.3.5 Carrier Synchronization	p. 403
11.3.6 Symbol Synchronization	p. 406
Reference	p. 408
Acronyms and Abbreviations	p. 411
Index	p. 417

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