Sample Assignment For Reference Only

ABSTRACT
The disturbance created due to electron density irregularities through the propagation path of
electromagnetic waves is called Ionospheric scintillation. This occurs in the ionosphere. Carrier phase
variations and amplitude fades take place due to non-nominal propagation states. These two types of
degradations are related to one another. As a result, deep amplitude fades and rapid phase variations
which are also known as ‘canonical fades’ take place in a concurrent and random way. With respect to
the issue of carrier synchronization under severe propagation conditions, for example high dynamics,
multi path effects, ionospheric scintillation, ionospheric scintillation become the most difficult under
canonical fades. These can be contemplated as a standard for the performance of robust carrier tracking
techniques. Satellite based positioning systems which are present in the equatorial region at high
latitudes are affected by this occurrence. Modelling of amplitude and phase variations happening because
of scintillation is done with an autoregressive (AR) model in this research work. These are further
involved in the system state-space formulation. As a result, a Kalman filter (KF) based solution shows
presence of dynamics as well as scintillation phase evolutions. This happens so that the undesired
propagation effects can be mitigated by the natural solution. Also an extended KF (EKF) architecture is
chosen to counterbalance the disadvantages of standard KF-based tracking solutions. It helps to track the
phase dynamics, scintillation phase and amplitude. Hence direct operation with the baseband received
signal's complex samples becomes imminent and discriminators are no longer required. This leads to
saturation and the loss of Gaussianity. Simulation results are also given to assist theoretical discussion
and to depict the performance enhancements of the given new approach.
1. INTRODUCTION
Synchronization in communication receiver or positioning system takes place in a two-state approach:
acquisition and tracking. In the first stage, a rough estimate of the synchronization parameters i.e., timing
and frequency is given. In the second stage, these estimates are refined removing out noise and tracking
any possible time variation [1]. In this research, the issue tackled is the deduction of systematic and
durable methods for carrier phase tracking and ionospheric scintillation mitigation in Global Navigation
Satellite Systems (GNSS). Traditional carrier tracking techniques based on well-established phase-locked
loop (PLL) architectures [2] are executed by Mass-market GNSS receivers. They are only suitable for
quite benign propagation conditions, and hence cannot cope up with moderate to severe scintillation
conditions. In the last decade, the Kalman filter (KF) based solutions have proved to be systematic and
durable. As a result, it is considered to be the solution to overcome the limitations of standard
architectures, however it does not give solution in a standard form to the scintillation mitigation problem.
Assumptions taken for this study are:
• There is no contemplation for acquisition a perfect time-delay synchronization is assumed.
• Only the ionospheric scintillation is chosen between the possible non-nominal propagation conditions
such as high dynamics, shadowing, strong fadings, mUltipath effects or ionospheric scintillation. Due to
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the canonical fades [3], ionospheric propagation conditions given as carrier phase tracking are taken as a
tracking performance benchmark.
• Because scintillation effects are generally unrecognized for mass-market GNSS receivers, these effects
gets less importance in the signal processing research and hence has less contributions appear in the
literature. Also advanced signal processing techniques are not yet used to solve the scintillation mitigation
problem.
• PLL-based approach as well as standard KF-based solutions are taken as good carrier tracking baseline
architectures.
Carrier Tracking State-of-the-Art
Standard PLLs face the issue of noise reduction/dynamic range trade-off and they are usually operated
by the bandwidth and order of the loop. However it is found that these techniques give poor estimates
and dont work under harsh propagation conditions [4, 5]. Enhancements have been given based on the
conventional PLL architectures. Reduction of the dynamics of the signal can be done through hybrid
architectures in which the PLL is coupled with a frequency-locked loop (FLL) can be tracked [6].
Reduction of noise can be done through wavelet denoising techniques [4], or adaptive methods which
have the ability to adapt the bandwidth of the system according to the required working conditions [7,8].
An efficient survey on durable carrier tracking methods is researched in [9].
Kalman filter (KF)-based tracking techniques [5,10-13] have solved the issues of the performance of all
these PLL-based techniques. These have been developed from an optimal filtering approach in which the
filter is automatically altered to minimize the mean square error. As a result these methods are
considered as the most advanced carrier phase tracking techniques. However it has some drawbacks.
Major downside is the requirement of proper knowledge of the procedure and measurement noise
statistics for good results. Hence some constraints arise for the exact precision of the dynamic model and
initially fixed system parameters. Theses quantities have to altered to give a suitable solutions in real-life
applications. Strategy of Adaptive KFs (AKFs) are used which sequentially adapt the filter parameters
according to the existing working conditions generally utilizing an heuristic/ad-hoc approach [14, 15],
innovations-based solutions [14, 16] or the C / No estimates to comfortably adjust the manage noise
statistics [17]. However a generic structure is lacking which is required for the exact design of adaptive
KFs concerning with both process and measurement noises. This is a major absence in the carrier
tracking literature.
With regards to the ionospheric scintillation mitigation, the major issue of existing PLL and KF-
based techniques is the estimation versus mitigation quandary: Better design of carrier synchronization
technique to properly track the input signal dynamics can also track the phase variations occurring
because of the scintillation effect. Hence a standard receiver must execute a PLL or KF which can track
(slowly) time-varying Doppler shifts which can help it to track or lock to quickly changing phase. When
alterations occur in the carrier phase through ionospheric scintillation, interpretation by the receiver
occurs as quickly as quick the frequency shifts and attempts to track the complete phase. To solve this
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problem, the filter should be capable of separating both contributions. Main benefits of KF is its flexible
state-space formulation through which a state augmentation is possible which can get prior information on
the system or propagation conditions. Thus, if modelling of the scintillation process is done so as to be
embedded into the filter formulation, it can understand both contributions and successful scintillation
mitigation can be carried.
Contribution
The concept of modeling the scintillation process and incorporating in state-space formulation has been
thought in older research. Beginning of modeling the ionospheric scintillation phase started in [19]. It was
done as an autoregressive AR(l) process. In this, it was embedded into an Interacting Multiple Model
(IMM) so that it can manage time-varying conditions, and later tested with real scintillation signal in a
static scenario in [20]. However these analysis were in a beginning stage. Modelling of phase is done as
an AR process and amplitude of the complex scintillation process in this research, . Further a state-space
model is constructed to consider both scintillation components. The filter is informed about both dynamics
and scintillation phase evolution together with the scintillation amplitude fades. An extended KF (EKF)
approach is considered to mitigate the disadvantages of standard KF-based tracking solutions utilizing
the augmented state-space formulation. The upgraded architecture works together with baseband
received signal complex samples to track the phase dynamics, scintillation phase and amplitude. The
possible discriminator saturation and loss of Gaussianity can be avoided with the upgraded architecture.
In the research study, section 2 explains the ionospheric scintillation and its approximation with AR
process. Section 3 gives the GNSS carrier signal model and state-space formulation. The standard state-
of-the-art carrier tracking techniques is given in section 4 and the new solution is explained in Section 5.
Section 6 gives simulation results which depict the performance improvements of the new method.
2. IONOSPHERIC SCINTILLATION
The disturbance created by electron density irregularities along the propagation path through the
ionosphere is called ionospheric scintillation. Each earth-to-space communication link are affected by
these disturbances. The signal degradations majorly depend on the frequency band, the ray path angle,
the solar activity and the Earth region. GNSS signals are corrupted by non-nominal propagation
conditions corrupt with amplitude fades and carrier phase variations. This results in navigation bit errors,
carrier phase cycle slips or complete loss of lock. These amplitude fades and phase changes occur in a
simultaneous and random way. However a relation exists between both disturbances which are defined
as canonical fades. In this the largest amplitude fades are linked with half-cycle phase jumps [3]. But
ionospheric scintillation has very less research in the signal processing literature because ionospheric
scintillation affects GNSS receivers in equatorial regions and at high latitudes. As a result , the effects are
not seen by many mass-market GNSS receivers for which thermal noise and multipath reflections cause
dominant degradations.
Scintillation model
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Characterization of the ionospheric scintillation is done to get synthetic models to assess GNSS receivers'
performance through simulation. Statistically significant performance results are not obtained through real
scintillation data. To achieve synthetic data [21]: physics-based models, phase screen models and
statistical models can be used. The Cornell Scintillation Model (CSM) [21,22] and the Global Ionospheric
Scintillation Model (GISM) [23] are considered outstanding in literature. Global Ionospheric Scintillation
Model (GISM) is built on the NeQuick electron density climatological model [24], Global Ionospheric
Scintillation Model (GISM) is developed on a statistical model and the proper shaping of the spectrum of
the entire complex scintillation signal. Although the International Telecommunication Union (ITU) asks to
utilize the GISM for the design of satellite services and systems, use of the CSM is more suitable from the
simulation point of view . This CSM is used in this research.
A parsimonious signal model is used to represent the behavior of scintillation onto the GNSS received
signal samples. Modelling of scintillation as a multiplicative channel can be done in terms of the complex
valued baseband received signal, x(t) ,
x(t) = s (t) s(t) + w(t) ,
Here,
s(t) represents complex-valued baseband equivalent of the transmitted signal,
w(t) represents the noise term,
the complex-valued stochastic process representing the presence of scintillation is given as:

s (t) and s (t) represent corresponding envelope and phase components.

Scintillation index S4 gives the strength of amplitude scintillation. It is considered within three main
regions [21]: weak, moderate and strong/severe scintillation.
It is defined as

Nakagami-m random variable (r.v.) model is used for the envelope of this amplitude scintillation Therefore
the complex-valued scintillation can be accurately modeled as a complex Gaussian r.v. with a given
autocorrelation:
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Only two parameters are to be given, {S4, TO } for the simulation of a scintillation data set. They give the
intensity and correlation of the scintillation complex gain components, respectively. Higher S4 and lower
TO lead to more severe scintillation.

Figure 1. Gives the example of a severe scintillation time-series produces with the CSM. In this, the
synthetic data (40 seconds) was established with S4 = 0.8, TO = 0.1, and sampled at is = 100 Hz. Figure
2 shows a zoom which depicts the canonical fades in severe scintillation scenario, in which the phase
jumps are linked with deep amplitude fades.
Scintillation approximation
The scintillation models and simulators are used to form realistic scintillation time series. In this research,
new techniques for scintillation mitigation are suggested to counter the limitations of current state-of-the-
art GNSS tracking approaches. A simple mathematical model approximation is also depicted in the
receiver side.
[21] and [23] depict the shape of the empirical phase and amplitude spectra. The CSM simulates the
scintillation complex gain through second-order lowpass Butterworth filter. Assumption is taken that
correlation in both components is modeled with an autoregressive (AR) process. For severe scintillation,
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the scintillation phase can be modeled using an AR(l) process and the scintillation amplitude considering
an AR(2) process. The general AR(l) model for a discrete sequence Zk is specified by the following
recursion,

For an AR(l) process, parameters are given as:

The AR(2) process model recursion can be given as considering the same discrete sequence Zk :

The scintillation amplitude process has a mean about 1 and the AR(2) process in (6) has zero mean by
definition. To fit an AR(2) model to the scintillation amplitude, the formulation is taken as :

The scintillation time histories generated with the CSM can be used to fit the AR(l) or AR(2) models to the
synthetic scintillation phase and amplitude. The time-series is plotted in Figure 1 (84 = 0.8, TO = 0.1, is =
100 Hz) and gives
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Figures 3 and 4 show the empirical and fitted AR process power spectral densities (psd) for both phase
and amplitude so as to close the loop and discussion on the AR modeling of the ionospheric scintillation
Figure 3 depicts the empirical scintillation phase psd (dashed green), taken through scintillation CSM
time-series. It is plotted along with the AR(l) process psd (solid red) and the empirical psd of an AR(l)
time-series (dashed blue) generated with the same parameters. Both the empirical and the theoretical
frequency response appropriately fit the empirical scintillation
• Figure 4 depicts the empirical scintillation amplitude psd (dashed green) plotted with the AR(2) process
psd (solid red). The psd of an AR(l) time-series (dashed blue) are generated with the AR(l) parameters
fitted to the scintillation amplitude, together with the psd of an AR(l) with the same parameters (solid
magenta). These are plotted to support the need of the AR(2) model for the scintillation amplitude. These
figures show that both AR processes are suitable for the desired phase and amplitude modeling.
3. SIGNAL MODEL GNSS signal model
Generic GNSS transmitted signal is given as the baseband analytic representation:

Px( t) give the signal amplitude.

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d(t) give the navigation message.

c( t) give spreading code.
The synchronization parameters are given by the code delay, T (t).
The digital receiver M channels feed the digitized signal (sampling period Ts) at the output of the radio
frequency (RF) front-end feeds. The objective of each channel is to obtain and track the signal of a single
satellite. The samples at the output of the correlators are [27]:

Here k represents for the discrete time.

Ak is the signal amplitude at the output of the correlators after accumulation over Ts,
dk is the data bit.
A simplified signal model having a perfect code delay estimation, Tk = 0, is taken to solve the problem.
R(O) = 1 is also taken since no data bits are present in the received samples. Considering these
assumptions, the simplified model for the samples at the input of the carrier phase tracking stage is given
as :

Impact of scintillation into the carrier phase

The carrier phase in the samples given by (12) should only be altered by the relative motion between the
satellite and the receiver in perfect clear sky propagation conditions, but real-life propagation conditions
and hardware imperfections involve various impairments like phase distortion occurring because of
multipath propagation, non-line-of-sight, receiver phase noise or ionospheric scintillation. The received
signal carrier phase is directly affected by the latter. It includes a small distortion in benign scintillation
conditions and phase jumps and highly varying phase transitions under severe conditions.
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Figure 5 gives an example in which the severe scintillation of the previous examples is considered (54 =
0.8, TO = 0.1 s, fs = 100 Hz), and the initial Doppler shift is set to 2 Hz and the Doppler rate to 0.01 Hz/s.
The effect of the canonical fadescan be seen from the unwrapped phase (bottom plot).
State-space formulation
When the input to the tracking block is given by (12) in the carrier phase tracking problem, the parameter
taken is the phase Bk. Modeling of this phase is done using a Taylor approximation of the time-varying
evolution created by the receiver dynamics. Here the order depends on the expected dynamics. The 3rd
order Taylor expansion of the phase is given by

Process equation is formulated as :

Equations (12) and (14) propose the standard carrier tracking state-space formulation of the problem. The
scintillation phase and amplitude are appropriately modeled using an AR(l) and AR(2) model. These are
mathematically written as

The process equation is stated as:

Equations (12) and (17) define the new state-space formulation for scintillation mitigation.
ON STANDARD GNSS CARRIER TRACKING
PLL-based architectures [2, 28] determine the carrier phase tracking implemented in standard
communications receivers and massmarket satellite-based positioning systems. Due to use of software
defined radio (SDR) receivers in real-life applications [29, 30], the KF-based schemes are considered
instead of traditional and advanced PLL-based solutions.
PLL-based Tracking Techniques
The standard PLL architecture is constructed using a phase detector based on a discriminator, a filter and
a carrier generator, which is driven by a numerically controlled oscillator (NCO). The phase detector
introduces an error signal and it is proportional to the carrier phase error. Reduction of the difference
between the carrier tracking stage input and a reference signal is done by the filter.
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Figure 6 gives basic PLL architecture along with a standard 2nd order PLL loop filter and the NCO
architecture. The optimal maximum likelihood (ML) estimator is the four quadrant arctangent discriminator
without data bits. However the two quadrant arctangent discriminator is favored when data is present in
the signal.
The major issue of the standard PLLs is the existing noise reduction versus dynamic range tradeoff. It
may result in the filter to lose lock thus reducing the use of these architectures in challenging scenarios.
This tradeoff is dependent on the bandwidth of the PLL. The main limitation in time varying scenarios is
design and implementation simplicity of traditional PLLs.
The most generally used way to enhance the stand-alone PLL performances in the literature is the FLL-
assisted PLL (FPLL) [6] and the adaptive bandwidth PLL (APLL) [31]. The FLL-assisted PLL (FPLL)
utilizes a FLL permanently assisting a PLL and it decreases the apparent dynamics which the main PLL
has to track. It makes possible for the main loop to utilize a smaller bandwidth and it helps to filter out
more noise. The adaptive bandwidth PLL (APLL) utilizes a single PLL and it automatically adjusts the
loop bandwidth according to the input working conditions. Both PLL-based alternatives are suboptimal
and still heuristically adjusted according to an optimal filtering point of view. These techniques are more
popular because the implementation is simple, however their performances are not as good as their KF-
based counterpart.
KF-based Tracking Techniques
A 2nd order PLL is similar to a 2nd order KF in steady-state conditions [32] for a time-invariant system
with an a priori fixed Kalman gain. In fixed working conditions, when the Kalman gain becomes a constant
steady-state value, a PLL parametrization is obtained which issimilar to the KF.
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From the standard KF carrier tracking architecture given in Figure 7), it can be seen that the innovations'
sequence of the KF is the output of the discriminator, the estimated carrier phase is the output of the loop,
and the predicted phase value is the input to the carrier generator. The KF may perform better than the
PLL due to following reasons:
Both are equivalent only in steady-state conditions, for time-invariant systems, and assuming that the PLL
loop parameters are set in consideration with system working conditions
• The PLL loop filter parameters are heuristically set and are constant during the full operation, however
the Kalman gain varies with time and is optimally adjusted to the actual working conditions at every time-
step. Hence the KF is always optimal and the PLL is always suboptimal. • The PLL fails to adapt to
varying working conditions.
According to the state-space formulation given in (12) and (14), a KF can be constructed to solve the
carrier phase tracking problem. The measurement noise variance is required for the computation of the
Kalman gain. Th expression obtained for the approximated variance of the phase noise at the output of
the ATAN discriminator is [34]

here C /No represents the carrier-to-noise density ratio.

5. JOINT CARRIER TRACKING AND SCINTILLATION MITIGATION
Since the estimation versus mitigation dilemma exists, an innovative solution to tackle this problem is
given. Modeling of the scintillation phase and amplitude is done as an AR(l) and an AR(2) process,
respectively. The measurement equation in (12) can be rewritten as
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The given state-space formulation means the filter understands scintillation phase and amplitude
variations because it is more powerful than its standard version. Since the measurement equation is
nonlinear and objective is to avoid using discriminators as phase detectors, formulation of an EKF is
suggested to tackle nonlinearity.

6. COMPUTER SIMULATIONS
Interpretative numerical results are depicted for a carrier phase tracking example in this section so that
the performance of the proposed approach is contrasted with the ones given in literature (\i.e, the current
state-of-the-art methods include standard PLLs and KFs). The simulated scenario assumes that the filters
are previously in steady-state regime. As a result, the transient is not shown in the figures.
The phase evolution includes only the variations due to dynamics From time k = 0 to 50 seconds. The
signal is corrupted by severe ionospheric scintillation then from k = 50 to 150 seconds on top of this
dynamic behavior.
The parameters used are: simulation time Tsim = 150 s, integration time Ts = 10 ms, C / No = 35 dB-Hz,
The root mean square error (RMSE) was used to measure performance to obtain statistically significant
results. It was obtained from 200 Monte Carlo runs.
Four ways are taken :
• 3rd order PLL with bandwidth B P LL = 10 Hz.
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• Standard KF tracking the phase, Doppler and Doppler rate.

• Augmented state standard KF assuming an AR(I) approximation for the scintillation phase called as ‘KF-
AR’, as given in [19].
• New extended KF tracking phase dynamics along with scintillation phase and amplitude, named EKF-
AR.

Figure 9 shows the scintillation amplitude and phase estimates given by the EKF-AR filter. The filter can
appropriately track the scintillation amplitude. It can also decouple the phase contribution due to
scintillation from the one due to the relative movement between the satellite and the receiver. This
concludes that for a correctly adjusted AR(l) model for the scintillation phase and AR(2) model for the
scintillation amplitude evolution, the proposed filter can be a powerful scintillation mitigation solution.
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Figure 10 shows the RMSE obtained with the different methods. This indicates effective performance
and correct scintillation mitigation through the EKF-AR in comparison to the other methods. It can be
seen that the worst performances are obtained with the constant bandwidth traditional PLL approach. The
EKF-AR is better than the KF-AR. KF-AR contains the AR(l) approximation of the scintillation phase into
the state and assumes a traditional discriminator-based architecture. Thus it can be concluded that the
proposed EKF-AR is the optimal alternative for scintillation mitigation.
7. CONCLUSIONS
This research work gives a new KF-based approach to tackle problems associated with robust carrier
phase tracking under ionospheric scintillation conditions. It helps to deal with the difficult scintillation
mitigation problem in modern GNSS receivers. The methodology given in this research takes both
scintillation phase and amplitude fluctuations as modeled using an autoregressive (AR) process and then
embedded into the carrier tracking state-space formulation. The inclusion of the scintillation complex gain
into the filter formulation helps to mitigate undesired effect. The approach given in this research amongst
the different alternatives available in the literature is the only one able to decouple the scintillation phase
contribution from the Doppler carrier phase dynamics. Hence it gives powerful framework to solve the
estimation versus mitigation dilemma. Testing of the EKF-based solution is done in a simulation in which
a GNSS signal was corrupted by severe scintillation. Further it was compared to current state-of-the-art
methods which depicts the enhanced performance. The recursive detection and estimation of the
scintillation parameters is the future. It will help to achieve a fully adaptive scintillation mitigation solution.
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