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6, JUNE 2009

493

Systems With Unknown Noise Distributions

Jaechan Lim and Daehyoung Hong, Member, IEEE

AbstractThere are a number of approaches to estimating carrier frequency offset (CFO) that causes inter-carrier interference

(ICI) in orthogonal frequency division multiplexing (OFDM) systems: self-cancelation method, the extended Kalman filter (EKF),

filter (HF), etc. In particular, the HF is of inparticle filter,

terest because prior statistical noise information is not necessarily

required in its application. Cost reference particle filter (CRPF),

newly developed in the particle filtering framework, has the same

feature as HF; it also does not require the prior noise information

of the state and the measurement equation. In this letter, we compare and analyze the performances of two similar methods. The

simulation results show that CRPF outperforms HF, particularly

when the bit energy to noise ratio of the measurement is low. Therefore, CRPF is very effective and robust, especially when the noise

statistics are unknown with a low bit energy to noise ratio.

information of the state and the measurement equations. References, [4] and [5] show that HF outperforms the EKF when

the noise distributions are unknown. The cost reference particle

filter (CRPF), recently developed in the particle filtering framework [6], has the same feature as HF; the prior noise distributions are not necessarily required when we apply it. In this letter,

we compare and analyze the performances of two methods that

have the common feature, for estimating CFO in OFDM systems. Simulation results show that CRPF outperforms HF, eswhere

is

pecially when the bit energy to noise ratio (

the bit energy, and

is the noise power spectral density.) is

low. Therefore, CRPF is effective and robust, particularly when

.

the noise information is not available with a low level of

Index Terms

reference particle filter (CRPF), inter-carrier interference (ICI),

orthogonal frequency division multiplexing (OFDM).

I. INTRODUCTION

HE ORTHOGONAL frequency-division multiplexing

(OFDM) scheme is popularly employed for modern

wide-band digital communications such as digital television,

wireless networking, broadband internet access, etc. due to its

various advantages. However, it also has a few disadvantages,

e.g., carrier frequency offset (CFO), sensitivity to frequency

synchronization, etc. In this letter, we focus on the first one,

i.e., CFO which causes inter-carrier interference (ICI) in the

system.

For many problems in engineering or statistical science, we

can model and describe them by the dynamic state system (DSS)

model where the states of interest are correlated in time or space.

Based on the DSS model, there are numerous approaches to estimating the states of interest dynamically with time or space. The

CFO estimation problem also can be well described by the DSS

model, and a number of approaches are proposed to estimate

CFO to combat ICI [1][3]. The Kalman filtering, specifically

the extended Kalman filtering (EKF) is an effective and popular

method to combat ICI in the literature. Particle filtering and

filter (HF) are also employed besides the EFK [2], [3]. In particular, HF is of interest because we can apply it without the noise

constellation space. Grouped symbols are modulated onto subcarriers in the form of inverse fast Fourier transform (IFFT) as

follows:

Manuscript received January 21, 2009; revised February 19, 2009. First published March 16, 2009. Current version published April 24, 2009. The associate

editor coordinating the review of this manuscript and approving it for publication was Dr. Z. Jane Wang.

The authors are with the Department of Electronic Engineering, Sogang University, Seoul, Korea (e-mail: jaechan@gmail.com; dhong@sogang.ac.kr).

Color versions of one or more of the figures in this paper are available online

at http://ieeexplore.ieee.org.

Digital Object Identifier 10.1109/LSP.2009.2017571

(1)

is a symbol, and is the number of sub-carriers.

where

The cyclic prefix is added up to the signal to mitigate the intersymbol interference, and removed at the receiver. Then the

received signal is expressed in the time domain as follows:

(2)

where is a normalized CFO (meaning the relative offset from a

is the -tap channel

carrier frequency);

is unknown additive noise. We want

impulse response; and

to estimate based on the received signals, and then decode the

symbols.

The dynamic state system (DSS) that describes the hidden

state and observed measurement with additive noise processes of and at time is expressed as follows:

(3)

(4)

where and are the state transition and the observation function, respectively, which are known. Then, the corresponding

DSS and the measurement equations for the problem can be expressed as follows:

(5)

(6)

494

) since each OFDM frame is short enough.

( is from 0 to

Then, from (2), we obtain

(7)

CRPF also has the same feature as HF; it does not require

the noise information about the state and the measurement

equations [7]. From DSS equation (3) and measurement (4), if

we rewrite them for the sake of convenience with the time index

instead of here, we obtain

Now, we are ready to apply

; we

to estimating CFO with known preamble symbols

also assume the channel impulse response is known.

III. SOLUTIONS

A.

Filtering

filtering, the

cost function is defined as follows with the performance bound

which assists to make it tractable to minimize the cost function

[4]:

(8)

,

,

, and

are the weight parameters that

where

is the number of total time

are positive definite matrices;

denotes the vector norm; and

implies

steps;

. Because the state equation does not have the additive process noise in (5), (8) is modified for the problem as

follows:

(9)

(11)

(12)

The cost function in CRPF, which is recursive additive

structure and corresponds to the weight in standard

particle filtering (SPF) is defined as:

where

is the forgetting factor which makes it possible to adaptively change the

amount of contributions of past particles in evaluating cost

is the incremental cost function which

function, and

given . The cost

indicates the accuracy of the estimate of

function is a measure of estimate quality like the weight

as in SPF. Similarly to SPF, the cost-based random measure

is represented by a set of particles and associated costs as:

where

stands for

,

is the particle index, and

is the number of particles. Besides the cost function, the risk function is defined in CRPF

as:

where

; a good choice of the risk func. The risk function measures

tion is

the adequacy of the estimate

given the observation ,

;

and is also a prediction of the cost increment

.

the cost increment can be computed by

Based on these definitions, the sequential algorithm proceeds

with time, recursively repeating the steps of risk evaluation,

resampling, particle propagation, and updating the cost.

The steps of CRPF algorithm are summarized in Table I.

CRPF can be easily adopted to the estimation of CFO based

is an identity function in the problem; and

on (5) and (6);

. The rest of the

steps are straightforward following Table I.

C. The Extended Kalman Filter

(10)

. Then, the following steps are constructed

where

is linearly approximated

after the measurement equation

by the Talyor expansion [5].

1) Initialize the performance bound ; the initial esti, and

mate of CFO ; the weight parameters ,

where

; and compute

where

.

, recursively take the following steps:

.

2) For

Compute

Compute

where denotes complex conjugate, and

.

Update

the

estimate

.

against those of HF and CRPF as well; noise statics are known

for EKF. The steps of the EKF for estimating CFO are straightforward; however, it should be noted that the correction step at

time is specified as follows [2]:

(13)

is the estimate of at time given observations up

where

is the Kalman gain at that time.

to the time , and

D. Recursive Least-Squares (RLS) Method

We also compare the performance of the RLS method with

those of other methods because RLS method is a traditional approach which also has the common feature that we do not have to

consider the noise information. It is very advantageous to apply

the RLS method to estimating CFO in the problem because

495

TABLE I

COST REFERENCE PARTICLE FILTER ALGORITHM

does not vary with time, which makes it easily tractable to compute that minimizes the squared errors even though it does not

guarantee a satisfactory performance. We define the squared errors up to the time as

(14)

is a weighting factor. If we express the complexwhere

number measurement as

, then the that minican be computed from the following equation:

mizes

(15)

Fig. 2. BER performances in linear scale.

E. Particle Filtering

We may also apply standard particle filter (SPF) [8] to the

problem, and compare its performance with those of previously

mentioned methods even though SPF requires noise information. However, there is a technical problem to apply SPF if we

use the prior density (

, where denotes the particle

index) as the proposal distribution. In the DSS equation of the

problem, the state is assumed to be a deterministic constant,

and does not vary with time; consequently, the prior density is

the dirac delta function of

. Therefore, identical particles are always generated, and do not converge to the true state

once particles initially start from a wrong state (e.g., 0.1 as in

the simulations of the other methods in later section.) Therefore, in order to apply SPF, a proposal distribution that depends

on not only the previous state but also the current measurement

has to be used, other than the prior density. However, it is often

not easily tractable to use a proposal distribution other than the

prior density. Therefore, we do not consider SPF in this letter.

IV. SIMULATIONS

By computer simulations, we illustrate the performance comparison of the methods, especially CRPF and HF. We also compare the performances of the EKF and RLS methods against

those of the previously mentioned techniques. We consider a

single antenna, 64-subcarrier OFDM system; the binary phase

shift keying (BPSK) scheme is employed for the simulation.

Various additive Gaussian noise power levels are applied to the

. The normeasurement equation for different ratios of

malized CFO is set to 0.35 that we estimate. The parameters

;

;

;

for HF are: the initial state estimate

; and

. The parameters for CRPF are: the number

;

;

;

; and the

of particles is 500;

initial variance for the Gaussian propagation density

is

0.0053. The 500 identical, initial estimates are generated for

CRPF. A similar result is obtained when we apply 200 particles for CRPF, and it may not considerably affect the perfor-

496

than 500. The initial error covariance for the EKF is 0.1. The

, and the nonlinear equation (15) is

weighting factor

iteratively solved by using MATLAB function fsolve for the

RLS method. 3000 independent, 64 preamble symbols, which

are known at the receiver, are generated for the performance

evaluation of the methods. The bit error rate (BER) is computed

for each method in

and depicted along with various

Figs. 1 and 2: except for the RLS method, all the other methods

show almost identical BER performances in Fig. 1; however,

we find that CRPF outperforms HF, particularly at the levels of

below 12 dB if we convert the figure in linear scale as

shown in Fig. 2. The simulation result of root mean squared error

(RMSE) is shown in Fig. 3: the result of CRPF is significantly

; and the result

lower than that of HF under up to 12 dB of

of CRPF approaches to that of EKF very closely throughout the

levels. Fig. 4 shows a particular realentire range of the

is 30 dB,

ization of a simulation for each method when

where the RLS method shows relatively poor converging performance. Obviously, the RLS method shows the worst performance in the simulation result.

V. SUMMARY AND CONCLUSION

In this letter, we compared the performances of two methods

(HF and CRPF) that have the common feature that they do not

require the noise statistics when we estimate CFO which causes

ICI in OFDM systems. The simulation results show that both HF

and CRPF estimate CFO very effectively with similar BER performances. However, CRPF outperforms HF particularly when

30 dB in the realization.

the level of

CRPF is a very robust estimator when the noise statistics are

level. Nonetheless, there are imnot available with a low

portant issues to take into account in the application of these approaches; both methods are very sensitive to the parameter initialization depending on the nature of the problem under study

or the scale of the parameters we want to estimate. Especially,

have to be properly selected

the weighting factors , and

for HF. The initial variance of the propagating density

has

to be very carefully selected when applying CRPF. These issues

have to be studied and investigated carefully in the future.

REFERENCES

[1] Y. Zhao and S. Hggman, Intercarrier interference self-cancellation

scheme for OFDM mobile communication systems, IEEE Trans.

Commun., vol. 49, no. 7, pp. 11851191, Jul. 2001.

[2] A. P. Palamides and A. M. Maras, A Bayesian state-space approach

to combat inter-carrier interference in OFDM systems, IEEE Signal

Process. Lett., vol. 14, no. 10, pp. 677679, Oct. 2007.

[3] Y. Jing, F. Yin, and Z. Chen, An H filter based approach to coombat

inter-carrier interference for ofdm systems, IEEE Commun. Lett., vol.

12, no. 6, pp. 453455, Jun. 2008.

[4] X. Shen and L. Deng, Game theory approach to discrete H filter

design, IEEE Trans. Signal Process., vol. 45, no. 4, pp. 10921095,

Apr. 1997.

[5] D. Simon, Optimal State Estimation: Kalman H , and Nonlinear Approaches. New York: Wiley, 2006.

[6] J. Mguez, M. F. Bugallo, and P. M. Djuric, A new class of particle filters for random dynamical systems with unknown statistics, EURASIP

J. Appl. Signal Process., vol. 2004, no. 15, pp. 22872294, 2004.

[7] S. Xu, Particle Filtering for Systems with Unknown Noise Probability

Distributions, Ph.D. dissertation, Stony Brook University-SUNY,

Dept. Elect. Comput. Eng., Stony Brook, NY, 2006.

[8] M. Arulampalam, S. Maskell, N. Gordon, and T. Clapp, A tutorial on

particle filters for online nonlinear/non-Gaussian Bayesian tracking,

IEEE Trans. Signal Process., vol. 50, no. 2, pp. 174188, Feb. 2002.

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