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Jie Gao for the degree of Doctor of Philosophy in
Electrical and Computer Engineering presented on December 12, 2005.
Title: Channel Estimation and Data Detection for Mobile MIMO OFDM Systems
Abstract approved:
Huaping Liu
Designing spectral eﬃcient, highspeed wireless links that oﬀer high quality
ofservice and range capability has been a critical research and engineering chal
lenge. In this thesis, we mainly address the complexity and performance issues of
channel estimation and data detection in multipleinput multipleoutput (MIMO)
orthogonal frequency division multiplexing (OFDM) systems over timevarying
channels.
We derive the probability density function (pdf) expressions of the condi
tion number (i.e., the maximumtominimumsingularvalue ratio, MMSVR) of the
channel state information matrix of MIMO OFDM systems. It is shown that this
ratio is directly related to the noise enhancement in openloop systems and provides
a signiﬁcant insight on the system capacity.
A decisiondirected (DD) maximum a posteriori probability (MAP) channel
estimation scheme of MIMO systems is derived. Error performance of a zero
forcing receiver with the DD MAP and perfect channel estimates is provided and
compared. This scheme has a low complexity and can be applied to timevarying
Rayleigh fading channels with an arbitrary spacedtime correlation function.
We propose an iterative channel estimation and data detection scheme for
MIMO OFDM systems in the presence of intercarrierinterference (ICI) due to
the nature of timevarying channels. An ICIbased minimummeansquare error
(MMSE) detection scheme is derived. An expectationmaximization (EM) based
least square (LS) channel estimator is proposed to minimize the meansquare error
(MSE) of the channel estimates and to reduce the complexity of the implementation.
With the estimate of the channel and initially detected symbols, ICI is estimated
and removed from the received signal. Thus more accurate estimation of the channel
and data detection can be obtained in the next iteration.
An EMbased MAP channel estimator is derived by exploiting the fre
quency/time correlation of the pilot and data subcarriers. Performance comparison
is made between the proposed schemes and the ideal case – timeinvariant channels
and perfect channel estimation. We optimize the data transmission by exploit
ing the long term correlation characteristics. The transmitted data is successively
detected without an error ﬂoor in spatially correlated channels.
The algorithms proposed in this thesis allow lowcomplexity implementation
of channel estimation and data detection for MIMO OFDM systems over time
varying fading channels, while providing good error performance.
c (
Copyright by Jie Gao
December 12, 2005
All Rights Reserved
Channel Estimation and Data Detection for Mobile MIMO OFDM Systems
by
Jie Gao
A THESIS
submitted to
Oregon State University
in partial fulﬁllment of
the requirements for the
degree of
Doctor of Philosophy
Presented December 12, 2005
Commencement June 2006
Doctor of Philosophy thesis of Jie Gao presented on December 12, 2005
APPROVED:
Major Professor, representing Electrical and Computer Engineering
Director of the School of Electrical Engineering and Computer Science
Dean of the Graduate School
I understand that my thesis will become part of the permanent collection of Oregon
State University libraries. My signature below authorizes release of my thesis to
any reader upon request.
Jie Gao, Author
ACKNOWLEDGMENTS
First of all I would like to express my sincere gratitude to my advisor Dr.
Huaping Liu for his continuous encouragement, support and guidance throughout
my graduate studies. I am very thankful for his patience and always believing
in me during the ups and downs of my Ph.D. research. His wide knowledge and
logical way of thinking have been of great value for me. His technical advice and
constructive comments have provided a good basis for this thesis. I would also
like to thank Intel Corp. for providing me the opportunity to work with the great
people that I met along the way.
I am deeply indebted to Dr. Bart Eleveld, Dr. Mario E. Maga˜ na, Dr. Thinh
Nguyen and Dr. Zhongfeng Wang for their great eﬀorts and signiﬁcant amount of
time to serve on my Ph.D. committee.
My thanks to all the members in my lab for their help and friendship. Special
thanks to Orhan C. Ozdural for the collaborative work in Chapter 3, and to Shiwei
Zhao, Yu Zhang and Liang Xian for always being available for technical discussions.
Finally, I would like to express my deepest gratitude for the constant sup
port, understanding and unconditional love that I received from my parents and
my husband Yutao.
TABLE OF CONTENTS
Page
1 INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Background and Motivation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Objective and Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Notation Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2 MIMO OFDM COMMUNICATION SYSTEMS. . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.1 MIMO Channels and Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.1.1 Information Theory of MIMO . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.1.2 MIMO Frequencyselective and Timevarying Channels . . . . . 20
2.1.3 Spatially Correlated and Uncorrelated MIMO Channels . . . . . 21
2.2 Simulation Model of MIMO Timevarying Channels . . . . . . . . . . . . . . . . . 22
3 PERFORMANCE MODELLING OF MIMO OFDM SYSTEMS VIA
CHANNEL ANALYSIS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.1 System Model and Detection Schemes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
3.1.1 System Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
3.1.2 Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.2 Analysis of MIMO Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
3.2.1 Channel Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
3.2.2 Analysis of Channel Characteristics . . . . . . . . . . . . . . . . . . . . 31
3.3 Numerical Examples and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.4 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4 DECISIONDIRECTED ESTIMATION OF MIMO TIMEVARYING
RAYLEIGH FADING CHANNELS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
4.1 System Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
TABLE OF CONTENTS (Continued)
Page
4.2 Channel Estimation and Data Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
4.2.1 Decisiondirected Channel Estimation . . . . . . . . . . . . . . . . . . . 45
4.2.2 Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
4.3 Numerical Examples and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
4.4 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
5 CHANNEL ESTIMATION FOR MOBILE MIMO OFDM SYSTEM. . . . . . 56
5.1 System Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
5.2 EMBased LS Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
5.3 Lowcomplexity MAP Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . 65
5.3.1 MAP Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
5.3.2 Low Rank Approximated MAP Channel Estimation . . . . . . . . 68
5.3.3 EMbased MAP Channel Estimation. . . . . . . . . . . . . . . . . . . . 69
6 DATA DETECTION FOR MOBILE MIMO OFDM SYSTEMS. . . . . . . . . . . 72
6.1 ZF and MMSE Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
6.2 ICIbased MMSE Detection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
6.3 SIC Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
6.4 Numerical Examples and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
6.5 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
7 CONCLUSIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
7.1 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
7.2 Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
TABLE OF CONTENTS (Continued)
Page
BIBLIOGRAPHY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
LIST OF FIGURES
Figure Page
2.1 Blockdiagram of a MIMO OFDM system. . . . . . . . . . . . . . . . . . . . . . . 11
2.2 Average capacity of spatially uncorrelated MIMO Rayleigh fading
channels versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.3 Outage probability of spatially uncorrelated MIMO Rayleigh fading
channel versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.4 Channel capacity versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.5 Relative capacity gain versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
2.6 Spatial multiplexing order of spatially uncorrelated MIMO Rayleigh
fading channels versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.7 The theoretical and simulated autocorrelation of the modiﬁed Jakes
model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2.8 The ideal and simulated crosscorrelation of real and imaginary parts
of the modiﬁed Jakes model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.9 The ideal and simulated crosscorrelation of diﬀerent multipath com
ponents of the modiﬁed Jakes model. . . . . . . . . . . . . . . . . . . . . . . . . . . 25
3.1 Analytical and simulated probability density of MMSVR for 2 2 and
2 3 MIMO OFDM conﬁgurations. . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.2 Analytical and simulated probability density of MMSVR for 3 3 and
3 4 MIMO OFDM conﬁgurations. . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
3.3 Throughput comparison of MIMO OFDM systems [70]. . . . . . . . . . . . 38
3.4 Throughput comparison of MIMO OFDM systems [70]. . . . . . . . . . . . 39
4.1 The DD MAP channel predictor for MIMO systems. . . . . . . . . . . . . . . 49
4.2 BER versus E
b
/N
0
with diﬀerent memory depth L. . . . . . . . . . . . . . . . 50
4.3 BER versus E
b
/N
0
for diﬀerent number of transmit and receive anten
nas. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
4.4 BER versus E
b
/N
0
with diﬀerent fading rates. . . . . . . . . . . . . . . . . . . . 52
4.5 Performance comparison of the proposed scheme and the scheme with
the channel treated as block fading. . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
LIST OF FIGURES (Continued)
Figure Page
6.1 Block diagram of the proposed iterative EMbased LS channel estima
tion and ICIbased MMSE detection for MIMO OFDM systems. . . . . 77
6.2 Block diagram of simpliﬁed MAP channel estimation and data detec
tion for MIMO OFDM systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
6.3 BER versus E
s
/N
0
with and without ICI cancellation ((N
t
, N
r
) =
(2, 3), f
d
T = 0.113, and G = 9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
6.4 The eﬀect of the number of subiterations in the EM process
((N
t
, N
r
) = (2, 2), f
d
T = 0.0452, after 2 iterations of ICI cancellation). 82
6.5 Comparison of the proposed scheme with a common ZF detection
scheme ((N
t
, N
r
) = (2, 2) and f
d
T = 0.0452). . . . . . . . . . . . . . . . . . . . . 83
6.6 The eﬀect of the ratio of pilot spacing to channel coherence bandwidth
R ((N
t
, N
r
) = (2, 3) and f
d
T = 0.113). . . . . . . . . . . . . . . . . . . . . . . . . . 84
6.7 Performance comparison between the proposed scheme and the ideal
case ((N
t
, N
r
) = (2, 3) and L = 5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
6.8 The eﬀect of antenna conﬁgurations (f
d
T = 0.113 and R = 0.4375). . . 86
6.9 The eﬀect of the number of subiterations in the EM process (N
T
=
2, N
R
= 3, uncorrelated spatial channels). . . . . . . . . . . . . . . . . . . . . . . 87
6.10 Performance comparison of various channel estimation schemes (N
T
=
2, N
R
= 2, uncorrelated spatial channels). . . . . . . . . . . . . . . . . . . . . . . 88
6.11 Performance comparison of various channel estimation schemes (N
T
=
2, N
R
= 3, uncorrelated spatial channels). . . . . . . . . . . . . . . . . . . . . . . 89
6.12 The eﬀect of the ratio of pilot spacing to channel coherence bandwidth
(N
T
= 2, N
R
= 3, uncorrelated spatial channels). . . . . . . . . . . . . . . . . 90
6.13 Performance of the proposed scheme with diﬀerent antenna conﬁgura
tions (R = 0.4375, uncorrelated spatial channels). . . . . . . . . . . . . . . . . 91
6.14 Performance of the proposed scheme in the presence of high spatial
correlation (N
T
= 2, N
R
= 2, f
d
T = 0.04). . . . . . . . . . . . . . . . . . . . . . 92
Channel Estimation and Data Detection for Mobile MIMO OFDM
Systems
1. INTRODUCTION
1.1. Background and Motivation
With the rapid growth of wireless communications, there has been an in
creasing demand for high data rate communications in many applications, such as
wireless local area network (WLAN), wireless metropolitan area network (WMAN),
and home audio/visual (A/V) network. WLAN provides homes, businesses, and
campuses with enhanced opportunities to connect to the Internet outside the lim
ited area covered by wired networks. In the last ten years, WiFi, which includes
IEEE wireless standards 802.11, 802.11b, 802.11a and 802.11g, provides wireless ser
vices in WLAN. Based on IEEE 802.16 speciﬁcations, worldwide interoperability
of microwave access (WiMax) is emerging as a lastmile broadband wireless Inter
net access solution. It provides wireless services in WMAN and it has the potential
to make broadband service available in regions where it is currently not feasible,
particularly in rural communities. Home A/V network involves wireless connection
of electronic and data devices for the convenient access to information and enter
tainment. The main challenge of all these wireless applications is to support high
data rate of over one hundred megabits per second with limited bandwidth and
restricted power consumption.
Multipleinput multipleoutput (MIMO) systems use multiple transmit and
receive antennas to create multiple spatial channels between the transmitter and
2
receiver. MIMO systems have been shown to provide high spectral eﬃciencies [1,
2], which oﬀers the basis for increasing the data rate with limited bandwidth. If
perfect channel state information (CSI) is available at the receiver, the average
capacity grows linearly with the smaller of the numbers of transmit and receive an
tennas under certain channel conditions. The major potential advantage of MIMO
is that signals at both the transmitter and receiver sides are processed in a way
such that either the quality measured by bit error rate (BER) or the data rate
of the system can be improved. The performance improvement of MIMO systems
can be assessed by diversity gain and spatial multiplexing gain. Diversity gain is
achieved by transmitting the same signal over multiple independent fading environ
ments, e.g., time, frequency and space. Spacetime coding (STC), spacefrequency
coding (SFC), and spacetimefrequency coding (STFC) are designed to exploit the
diversity gain. In [3], Alamouti proposed an orthogonal spacetime block coding
for systems with two transmit antennas, which requires lowcomplexity decoding
and provides full diversity gain. Spacefrequency codes that achieve the maximum
diversity gain and optimal coding advantage in frequencyselective MIMO fading
channels were proposed in [4, 5]. The upper bound for pairwise word error proba
bility of spacetimefrequency codes was derived in [6].
Spatial multiplexing gain is evaluated by the linear increase in capacity with
out additional power or bandwidth resources. This gain is realized by transmitting
independent data streams from individual antennas to maximize data rates. V
BLAST (vertical Bell Labs Layered spacetime) proposed in [7, 8] is an eﬀective
approach to achieve spatial multiplexing gain. However, the interference between
signals simultaneously transmitted from the multiple transmit antennas consider
ably increases the detection complexity. The optimal detection scheme is maxi
mum likelihood (ML) where the receiver compares all possible combinations of the
3
transmitted symbols with the observed ones. However, it suﬀers from signiﬁcant
increase in complexity, which grows exponentially with the number of transmit
antennas. It could become prohibitive with many antennas and highorder mod
ulations. Thus, several suboptimal detection schemes have been developed, e.g.,
zeroforcing (ZF) and minimummeansquare error (MMSE). Both ZF and MMSE
can decouple spatial interference by matrix inversion. ZF detection scheme will
result in poor performance due to the large noise enhancement under certain ill
conditioned channels. MMSE scheme enhances the detection accuracy by utilizing
the noise and interference statistics.
An openloop MIMO is a system where the CSI is only required at the
receiver, while in the closedloop MIMO, CSI is also required at the transmitter
as well. By exploiting CSI at both the transmitter and receiver, full diversity gain
and full spatial multiplexing gain can be achieved by eigenbeamforming. However,
feeding back CSI to the transmitter with limited delay and cost is not a trivial task,
especially for mobile communications for which the channel exhibits fastfading [9,
10]. It is shown in [11] and [12] that the relative gain in capacity of closedloop
systems over openloop systems is signiﬁcant at low signaltonoise ratios (SNR),
but it converges to zero as SNR increases.
Orthogonal frequency division multiplexing (OFDM), a multicarrier mod
ulation technique, divides the wideband channel into many narrow parallel sub
channels, thus increasing the symbol duration and reducing the intersymbol
interference (ISI) due to multipath [13–16]. OFDM has been used in digital video
and audio broadcasting, e.g., terrestrial digital video broadcasting (DVBT), and is
a promising technique for future high data rate wireless systems. Demodulation and
modulation are eﬃciently implemented by means of fast Fourier transform (FFT)
and inverse fast Fourier transform (IFFT). To mitigate the ISI caused by the chan
4
nel multipath spread, each block of IFFT coeﬃcients is preceded by a cyclic preﬁx
(CP) whose length is at least equal to the channel length. The signal is orthogonal
under the assumption that the channel is timeinvariant. It allows the system to
transmit data reliably in a timedispersive, or frequencyselective, channel without
the need for a complex timedomain equalizer [17].
The combination of MIMO and OFDM has been designed to improve the
quality of service (QoS) and/or data rate of the system by exploiting the multi
plexing gain and/or the diversity gain. Evolving wireless standards, such as the
mobile WiMax (IEEE 802.16e) and WiFi (IEEE 802.11n), will employ multiple
transmit and receive antennas with OFDM modulation for increased spectral eﬃ
ciency and improved performance. However, the system performance relies on the
knowledge of CSI at the receiver. Perfect channel estimates can be obtained only
if the channel is noiseless and time invariant. Intercarrierinterference (ICI) due
to the nature of timevarying and rapid channel variations makes perfect channel
estimates impossible in mobile channels [18–20].
CSI can be estimated by using either nonblind pilot assisted approaches that
a fraction of the bandwidth is allocated to the known training sequence or blind
approaches. The latter can be implemented by exploiting the statistical information
or the deterministic information of the transmitted symbol properties (e.g., ﬁnite
alphabet, constant modulus, etc.). Compared with the pilot assisted scheme, blind
channel estimation requires long time of data observation. A very slow convergence
rate limits the application of the statistical approach to mobile channels [21] and
the huge computation complexity due to the maximization operation restricts the
deterministic approach [22, 23]. For pilot assisted channel estimation scheme [24],
two pilot insertion patterns were considered: one exploits the frequencydomain
correlation by inserting pilot symbols on certain subcarriers; the other exploits the
5
timedomain correlation by inserting pilot symbols on all subcarriers at some time
slots. For slowfading channels, the timedomain approach, owing to the slower
correlation decaying rate, requires fewer pilot symbols than the frequencydomain
approach. In [25], channel estimation algorithms based on combtype pilots with
improvements through interpolation at data frequencies were studied. Performance
bound of a pilot assisted least square (LS) channel estimator over a multipath slowly
fading channel was derived in [26]. Recent works [22, 27] have adopted the quasi
static model, assuming that the channel coeﬃcients remain approximately constant
over the entire OFDM symbol duration. Under this assumption, there is no ICI.
However, this assumption is no longer valid for fastfading channels, especially
when the number of subcarriers is large. ICI makes channel estimation more
challenging in mobile channels. In order to mitigate ICI eﬀects, various detection
structures were proposed and compared in [24]. These schemes generally have a
high complexity. In [28], an iterative multistage channel estimator, which iteratively
cancels ICI by maximizing the signaltonoiseplusICI ratio was derived. A Kalman
ﬁlter based scheme to estimate the statetransition matrix of timevarying MIMO
OFDM channels and a scheme based on minimizing the meansquare error (MSE)
of a cost function were developed in [29, 30] and [27, 31], respectively. The discrete
Fourier transform (DFT) and discrete cosine transform (DCT) interpolationbased
channel estimation schemes were proposed in [32–34] for MIMO OFDM systems.
1.2. Objective and Contributions
In this thesis, we propose lowcomplexity channel estimation and data de
tection schemes for MIMO OFDM systems over frequencyselective and fastfading
channels. MIMO OFDM communication systems are described and the statistical
6
properties of the simulation models for the timevarying Rayleigh fading channels
are also discussed in Chapter 2. The advantage of implementing multiple antennas
at the transmitter and receiver is shown by reviewing the average and outage ca
pacity of MIMO systems. It is also demonstrated that the CSI at the transmitter
does not dramatically increase the average capacity when the SNR is high.
Because of the high sensitivity of MIMO detection scheme with respect to
the channel matrix properties, channel modelling is particularly critical to assess
the performance of various MIMO conﬁgurations. In Chapter 3, we derive the
analytical probability density function (pdf) expression of the condition number
(i.e., maximumtominimumsingularvalue ratio, MMSVR) of the CSI matrix. We
show that this ratio is directly related to the noise enhancement in openloop MIMO
systems and it provides a signiﬁcant insight on the overall system capacity. The
pdf of this ratio could be used to predict the relative performance of various MIMO
conﬁgurations with respect to each other without complex systemlevel simulations.
The pdf can also be used to compute the probability of whether certain channels will
fail in highthroughput mode. Extensive channel analysis simulations are performed
for diﬀerent MIMO conﬁgurations to validate the accuracy of the derived closed
form pdf of the MMSVR.
In order to exploit the potential advantage of MIMO systems, channel in
formation has to be estimated at the receiver. A decisiondirected (DD) maximum
a posteriori probability (MAP) channel estimation scheme for MIMO timevarying
fading channels is derived in Chapter 4. With the estimate of the channel matrix
for the current symbol interval, a zeroforcing (ZF) receiver is applied to detect
the spatially multiplexed data on a symbolbysymbol basis. Symbol decisions are
then fed to the channel predictor for estimation of channel coeﬃcients in future
symbol intervals. Simulated error performance of a ZF receiver with the DD MAP
7
and perfect channel estimates is provided and compared. This scheme has a low
complexity and can be applied to timevarying Rayleigh fading channels with an
arbitrary spacedtime correlation function. The fading rate has a high impact on
system performance, and the proposed scheme is more appropriate for channels with
low to medium Doppler shifts. Large block length between adjacent pilot blocks
can be deployed with the proposed scheme, which results in minimum overhead for
pilot symbols. For wideband transmission, OFDM is combined with MIMO scheme
to mitigate the ISI over frequencyselective fading channels.
In fastfading channels, ICI could be very severe for OFDM systems with
a large number of subcarriers. We propose an iterative channel estimation and
data detection scheme for MIMO OFDM systems over frequencyselective and fast
fading channels. After analyzing ICI for each subcarrier, we derive an ICIbased
minimummeansquare error (MMSE) detection scheme to signiﬁcantly improve the
initial detection accuracy. In order to minimize the mean square error (MSE) of
the least square (LS) channel estimate, consecutive rows of Hadamard matrix are
designed as pilot sequences for transmit antennas. The complexity of the imple
mentation can be very high due to the frequent inversion of large size matrices.
Therefore, in Chapter 5, an expectation maximization (EM) based LS channel esti
mator is derived to reduce the receiver complexity while maintaining a high system
performance.
MAP algorithms generate optimal results. However, for many applications,
the computational complexity could be prohibitive due to the need of inversion of
largesize matrices. By exploiting the channel statistical information and employ
ing low rank approximation, we derive an EMbased MAP channel estimator of
MIMO OFDM systems to achieve excellent performance without the need of any
matrix inversion. Channel estimates are initially obtained by EMbased LS algo
8
rithm. Then, a successive interference cancellation (SIC) scheme is considered for
the data detection. With the estimate of the channel and the detected data, the
ICI component is approximated and removed from the received signals. Finally, the
detected symbols and the received signals after ICI cancellation are fed back to the
derived EMbased MAP estimator to reﬁne the CSI. In Chapter 6, the simulated
error performance of the proposed scheme is compared with that of the LS scheme
and the ideal case – timeinvariant channels and perfect channel estimation. Most
recent work is based on the assumption of uncorrelated MIMO spatial channels.
However the channel can be correlated due to the small angular spread and/or not
large enough antenna spacing. In this thesis, the system performance in spatially
correlated channels is also analyzed. Via such analysis, we optimize, by exploit
ing the long term correlation characteristics, the data transmission to eliminate an
error ﬂoor.
1.3. Notation Summary
Acronyms and mathematical notations are listed below.
Notation Description
()
T
Transpose
()
H
Hermitian
()
∗
Complex conjugate
()
†
Pseudoinverse
()
1/2
Matrix squareroot
()
−1
Matrix inversion
δ() Dirac delta
trace() Sum of diagonal elements
9
det() Matrix determinant
MIMO Multipleinput multipleoutput
OFDM Orthogonal frequency division multiplexing
i.i.d. Independent and identically distributed
BTS Base transceiver station
SU Subscriber unit
RCG Relative capacity gain
ZF Zeroforcing
MMSE Minimummeansquare error
ML Maximum likelihood
MAP Maximum a posterior probability
EM Expectation maximization
ISI Intersymbolinterference
ICI Intercarrierinterference
CSI Channel state information
MMSVR Maximumtominimumsingularvalue ratio
BER Bit error rate
SNR Signaltonoise ratio
SVD Singularvalue decomposition
10
2. MIMO OFDM COMMUNICATION SYSTEMS
The blockdiagram of a MIMO OFDM system is shown in Fig. 2.1. At the
transmitter side, the source bitstream is mapped to a symbol stream by the digital
modulator. Spatial multiplexing is a MIMO technique that independent multiple
symbol streams are transmitted at the same frequency band over diﬀerent spatial
channels. Each of the parallel output symbol streams corresponding to a particular
transmit antenna follows the same procedure. Pilot symbols are inserted based
on the priorknown pilot patterns. The modulation of OFDM could be eﬃciently
implemented by using IFFT. A CP is usually appended to each OFDM symbol to
avoid ISI due to the eﬀect of channel multipath spread. Then the symbol stream is
paralleltoserial (P/S) converted for transmission. At the receiver side, the guard
interval of each OFDM symbol is removed. The demodulation of OFDM could be
implemented by using FFT. Then the CSI can be extracted and estimated by using
the received signal and the pilot information. Transmitted symbols are detected
based on the processed received signal and the estimated CSI. Finally, the detected
symbols are demodulated to restore the transmitted bitstream.
2.1. MIMO Channels and Properties
This section describes the mobile MIMO wireless channels, which are char
acterized as timevarying. Because there are obstacles and reﬂectors in the wireless
propagation channels, the transmitted signals arrive at the receiver from various di
rections over multiple paths. The received signal is the summation of these arriving
waves with diﬀerent phase, amplitude, and delay. If the waves of multipath signals
undergo phase reversal, reduction of the signal strength at the receiver can occur.
This kind of phenomenon is called multipath fading, which is generally modeled
11
Modulation
S/P
Binary
data
IFFT
Pilot
Insertion
Guard
Interval
Appending
P/S
S/P IFFT
Pilot
Insertion
Guard
Interval
Appending
P/S
Channel
S/P
S/P
.
.
.
Guard
Interval
Removal
Guard
Interval
Removal
FFT
FFT
Channel
Estimation
ICI
Approx.
ICIbased
Data
Detection
Demodulation
Binary
data
MIMO
Spatial
Multiplexing
.
.
.
FIGURE 2.1. Blockdiagram of a MIMO OFDM system.
as Rayleigh fading [35, 36]. It is a major obstacle to the reliability of the wireless
channels and causes signiﬁcant degradation in the performance of digital wireless
communications systems.
Diﬀerent arrival time of the multiple reﬂections of the transmitted signal
may result in ISI. This time dispersion of the channel is called multipath delay
spread or channel delay spread, which is an important parameter to access the
performance of wireless systems. Common measures of multipath delay spread are
the rootmean square (rms) delay spread and maximum multipath delay. For a
reliable wireless communication without using an adaptive equalizer or other anti
multipath techniques, the transmitted data rate should be smaller than the coherent
bandwidth, which equals approximately the inverse of the channel multipath spread.
12
2.1.1. Information Theory of MIMO
The system capacity is deﬁned as the maximum transmission rate such that
the probability of error could be arbitrary small. Consider a MIMO system with
N
T
transmit and N
R
receive antennas over a frequencyﬂat fading channel, which
can be modeled as
y =
E
s
N
T
Hs +n (2.1)
where E
s
is the transmitted symbol energy, y is the N
R
1 received signal vector, s is
the N
T
1 transmitted signal vector, H is the N
R
N
T
MIMO CSI matrix, n is the
additive white complex Gaussian noise with E¦nn
H
¦ = N
0
I
N
R
, and ()
H
denotes
Hermitian. Let us deﬁne ρ as the signaltonoise ratio (SNR) at any receiver antenna
(i.e., ρ =
E
s
N
0
). With equal power (EP) transmission for N
T
transmit antennas, the
system capacity can be expressed as [1]
C
EP
(H) = log
2
¸
det(I
N
R
+
ρ
N
T
HH
H
)
(2.2)
where det() denotes the determinant operator. The normalization by the number
of transmit antenna, N
T
, ensures a ﬁxed total transmit power. Eq. (2.2) can be
rewritten in an eigenmode form as
C
EP
(H) =
m
¸
i=1
log
2
(1 +
λ
i
ρ
N
T
) (2.3)
where m is rank of the MIMO channel matrix and λ
i
is the ith eigenvalue of the
Wishart matrix Q, which is deﬁned as [60]
Q =
H
H
H, N
R
≥ N
T
HH
H
, N
T
> N
R
.
(2.4)
Thus the capacity of MIMO systems grows linearly with the smaller of the number
of transmit and receive antennas rather than logarithmically. Eq. (2.2) and Eq.
13
(2.3) only describe the instantaneous channel capacity of a ﬁxed or one realization
of the wireless channel. The capacity of the random channel can be characterized
by two values: the average (or ergodic) capacity and outage capacity.
The average capacity (C
EP,A
) can be obtained by averaging over all realiza
tions of the CSI matrix as
C
EP, A
= E¦C
EP
(H)¦ (2.5)
where E¦¦ denotes statistical expectation.
Example: Fig. 2.2 shows the average (or ergodic) capacity of spatially
uncorrelated MIMO Rayleigh fading channels versus SNR with diﬀerent MIMO
conﬁgurations. (N
T
, N
R
) denotes a MIMO system with N
T
transmit antennas and
N
R
receive antennas. It is shown in the ﬁgure that the average capacity grows
linearly with the smaller of the numbers of transmit and receive antennas.
Let us deﬁne the ﬁxed transmission rate as T
R
. The outage capacity,
C
EP, O, ε
, is deﬁned as the maximum achievable rate with the outage probability of
ε.
C
EP, O, ε
= ¦T
R
: Prob¦C
EP
(H) < T
R
¦ < ε¦. (2.6)
Example: Fig. 2.3 shows the outage probability of spatially uncorrelated
MIMO Rayleigh fading channels versus SNR with diﬀerent MIMO conﬁgurations.
The ﬁxed transmission rate T
R
is set to be 4 bits per second per Hz.
Let V denote the covariance matrix of the transmitted signal s, the channel
capacity can be expressed as
C(H) = max
V
log
2
det(I
N
R
+HV H
H
)
(2.7)
with the power constrain of trace(V ) ≤ ρ. If the CSI is unknown at the trans
mitter and the transmitted signal has Gaussian distribution, the equal power with
14
0 2 4 6 8 10 12 14
0
5
10
15
20
25
30
35
40
SNR(dB)
A
v
e
r
a
g
e
(
o
r
e
r
g
o
d
i
c
)
C
a
p
a
c
i
t
y
(
b
i
t
s
/
s
e
c
/
H
z
)
(2,2)
(4,4)
(6,6)
(8,8)
(10,10)
FIGURE 2.2. Average capacity of spatially uncorrelated MIMO Rayleigh fading
channels versus SNR.
uncorrelated sources is the optimal solution. If the CSI is fed back to the trans
mitter, the optimal covariance matrix can be obtained by the waterﬁlling (WF)
algorithm. And more power is dynamically allocated to the good condition chan
nels while keeping the same total transmission power. The channel capacity of one
speciﬁc MIMO system is deﬁned as
C ≡
N
T
¸
i=1
log
2
¸
1 +
P
i
λ
i
σ
2
(2.8)
where σ
2
is the noise variance at the receive antenna and λ
i
is the eigenvalue of
the Wishart matrix deﬁned in Eq. (2.4). In order to obtain the optimal power
allocation, let us deﬁne
15
−2 0 2 4 6 8
10
−3
10
−2
10
−1
10
0
SNR(dB)
O
u
t
a
g
e
P
r
o
b
a
b
i
l
i
t
y
(2,2)
(3,3)
(4,4)
(5,5)
FIGURE 2.3. Outage probability of spatially uncorrelated MIMO Rayleigh fading
channel versus SNR.
C
O
≡
N
T
¸
i=1
log
2
¸
1 +
P
i
λ
i
σ
2
+ ν
P −
N
T
¸
i=1
P
i
(2.9)
where ν is the Lagrange multiplier. After setting the partial derivative of C
O
with
respect to P
i
to zero (i.e.,
δC
O
δP
i
= 0), we obtain
δC
O
δP
i
=
1
log
2
λ
i
/σ
2
1 + P
i
λ
i
/σ
2
−ν = 0. (2.10)
By deﬁning µ =
1
ν log
2
, the optimal power allocated to the ith transmit antenna is
expressed as
P
i
=
µ −
σ
2
λ
i
+
(2.11)
where µ is determined by the power constraint such that
16
N
T
¸
i=1
P
i
= P. (2.12)
The channel capacity with waterﬁlling can be expressed as [2]
C
WF
=
N
T
¸
i=1
log
2
1 +
P
i
λ
i
σ
2
=
N
T
¸
i=1
log
2
¸
1 +
λ
i
µ
σ
2
−1
+
¸
(2.13)
where (x)
+
is deﬁned as
(x)
+
=
x, x > 0
0, x ≤ 0.
(2.14)
Since µ is a nonlinear function of the eigenvalues, the optimal capacity can be
analyzed numerically for the random channel.
Example: Analyze the optimal power allocation numerically based on the
waterﬁlling principle for a (3, 3) MIMO channel, whose CSI matrix is expressed as
H =
0.1092 −0.3028i −0.6553 + 0.0836i −0.7821 + 0.4241i
0.1451 + 0.6475i −0.1169 −0.5050i −0.1749 −0.2595i
0.3263 + 0.5736i 0.3248 + 0.5213i 0.3793 + 0.3307i
¸
¸
¸
¸
¸
¸
. (2.15)
The eigenvalues of the corresponding Wishart matrix, λ
i
(i = 1, 2, 3), are
calculated as ¦2.2508, 0.9010, 0.0527¦. Let us assume that the total transmit
power is normalized to 1 and the SNR is 10dB. Thus the noise variance is σ
2
= 0.1
and ρ can be calculated as
ρ = 10
SNR/10
= 10. (2.16)
Step 1: Assume that nonzero power is allocated to all the channels including
the worst channel with smallest eigenvalue. The µ deﬁned in Eq. (2.11) can be
calculated as
17
µ =
P + σ
2
(
1
λ
1
+
1
λ
2
+
1
λ
3
)
3
= 1.0182. (2.17)
However, since
σ
2
λ
3
= 1.8992 and µ <
σ
2
λ
3
, the assumption is not valid.
Step 2: Since the above assumption is not valid, no power is allocated to
channel 3. A new assumption is made such that nonzero power is allocated only
to channel 1 and channel 2, and µ is recalculated as
µ =
P + σ
2
(
1
λ
1
+
1
λ
2
)
2
= 0.5777. (2.18)
Since
σ
2
λ
2
= 0.1110 and µ >
σ
2
λ
2
, this assumption is valid.
Step 3: The optimal power can be calculated as P
i
= µ −
σ
2
λ
i
. Thus, we
obtain P
1
= 0.5333, P
2
= 0.4667, and P
3
= 0.
0 2 4 6 8 10 12 14
1
2
3
4
5
6
7
8
SNR(dB)
C
a
p
a
c
i
t
y
(
b
i
t
s
/
s
e
c
/
H
z
)
Equal Power Transmission
Water−filling Transmission
FIGURE 2.4. Channel capacity versus SNR.
The relative capacity gain (RCG) is deﬁned as
18
0 2 4 6 8 10 12 14
0
5
10
15
20
25
30
SNR(dB)
R
e
l
a
t
i
v
e
C
a
p
a
c
i
t
y
G
a
i
n
s
d
u
e
t
o
C
S
I
f
e
e
d
b
a
c
k
(
%
)
(2,2) MIMO System with Rayleigh fading
FIGURE 2.5. Relative capacity gain versus SNR.
RCG =
C
WF
−C
EP
C
EP
(2.19)
where C
WF
is the capacity with waterﬁlling scheme and C
EP
is the capacity
achieved with equal power allocation. Fig. 2.4 shows the channel capacity with
waterﬁlling and equalpower transmission. Fig. 2.5 shows the relative capacity
gain of a (2, 2) MIMO system. If the transmitter has channel parameters, power
is optimally allocated to the spatial channel based on the waterﬁlling principle. If
channel information is only available at the receiver, equal power allocation is ap
plied. In the ﬁgure, it proves that the capacity gain due to CSI feedback disappears
gradually with an increased SNR.
19
There are two asymptotic values to measure the average capacity C
A
and the
outage probability ε: spatial multiplexing order (O
SP
) and diversity order (O
D
),
which are deﬁned as
O
SP
= lim
ρ→∞
C
A
log
2
(ρ)
(2.20)
O
D
= − lim
ρ→∞
log
2
(ε)
log
2
(ρ)
. (2.21)
The spatial multiplexing order is the asymptotic rate at which the average
capacity increases with the log scale of SNR. It is shown in Fig. 2.6 that a MIMO
channel can provide a spatial multiplexing order as large as N
T
if the number of
transmit antennas is equal to the number of receive antennas (i.e., N
T
= N
R
).
50 100 150 200 250 300 350 400 450 500
1
2
3
4
5
6
7
8
9
10
SNR(dB)
S
p
a
t
i
a
l
M
u
l
t
i
p
l
e
x
i
n
g
O
r
d
e
r
o
f
M
I
M
O
S
y
s
t
e
m
(2,2)
(4,4)
(6,6)
(8,8)
(10,10)
FIGURE 2.6. Spatial multiplexing order of spatially uncorrelated MIMO Rayleigh
fading channels versus SNR.
20
2.1.2. MIMO Frequencyselective and Timevarying Channels
If the signal bandwidth is much smaller than the channel coherent band
width, then fading across the entire signal bandwidth is highly correlated. This is
referred to as ﬂat fading. On the other hand, if the channel coherence bandwidth
is much smaller than the signal bandwidth, then individual frequencies might be
attenuated and faded diﬀerently [37]. In this case, the channel is described as
frequencyselective fading. It occurs if the channel delay spread is signiﬁcant com
pared with the symbol period. The current symbol will collide with later ones,
which results in ISI.
Consider a system with N
T
transmit antennas and N
R
receive antennas.
The subchannels are deﬁned as the channels over which the signal is transmitted
from the uth (1 ≤ u ≤ N
T
) transmit antenna to the vth (1 ≤ v ≤ N
R
) receive
antenna. Since the signal is bandlimited, the timevarying multipath channel can
be represented by using the tappeddelay line model with timevarying coeﬃcients
but ﬁxed tap spacing [87]. The delay spread of the channel determines the length
of the tapped delay line and the tap spacing must be equal to or less than the
reciprocal of the signal bandwidth. Each subchannel is composed of L + 1 paths,
where L depends on the ratio of the maximum delay spread of the channel to the
OFDM sampling interval. With perfect sample timing, we can denote the discrete
time multipath subchannel from the uth transmit antenna to the vth receive
antenna at time nT
s
as
A
v,u
(n) = [A
v,u
(n, 0), A
v,u
(n, 1), , A
v,u
(n, L)]
T
(2.22)
where ()
T
denotes transpose and A
v,u
(n, l) denotes the tap gain of the lth path
at time index n. If L equals 0, the channel becomes a memoryless channel and the
frequency response is ﬂat, which results in ﬂat fading.
21
2.1.3. Spatially Correlated and Uncorrelated MIMO Channels
Let A(n, l) denote the N
R
N
T
uncorrelated MIMO fading channel matrix
whose (v, u)th element is A
v,u
(n, l). Assume that diﬀerent paths are uncorrelated,
i.e.,
E
¸
vec¦A(n, l
1
)¦vec
H
¦A(n, l
2
)¦
¸
= 0
N
T
N
R
, l
1
= l
2
(2.23)
where ()
H
denotes Hermitian, 0
N
T
N
R
represents N
T
N
R
N
T
N
R
zero matrix, and
vec¦A(n, l)¦ is the N
R
N
T
1 vector constructed by stacking all of the columns of
matrix A(n, l).
If both the transmit and receive antennas are suﬃciently separated under
the richscattering environment [38], channel fading processes for diﬀerent sub
channels are assumed to be independent and identically distributed (i.i.d.). In
this case, the N
T
N
T
transmitter correlation matrix T
l
and N
R
N
R
receiver
correlation matrix R
l
reduce to identity matrices, i.e., T
l
= I
N
T
and R
l
= I
N
R
.
The propagation scenario considered in this thesis is a typical cellular deployment:
the base transceiver station (BTS) is located in the tower, which is suﬃciently high
without any obstruction or local scatterers. The spatial channels at the BTS are
correlated and determined by the BTS antenna spacing and the angular spread
observed at the BTS array [39]. However, the subscriber unit (SU) is surrounded
by many local scatterers and the antenna spacing is large such that the SU antennas
are spatially uncorrelated. In this thesis, we focus our analysis on the downlink case.
Thus, the transmitter refers to BTS and the receiver refers to SU (i.e., R
l
= I
N
R
).
An uniform linear array (ULA) at both the transmitter and receiver is assumed.
Let θ
l
and γ
2
l
, l = 0, 1, , L, represent the mean of the departure angle and the
variance of the departure angular spread for the lth path, respectively. If there is
no angular spread [39], the transmitter correlation matrix can be represented as
22
T
l
= a(θ
l
)a
T
(θ
l
) (2.24)
a(θ
l
) =
1, e
j2πBcos(θ
l
)
, , e
j2π(N
T
−1)Bcos(θ
l
)
T
(2.25)
B = f
c
b/c (2.26)
where B is the relative antenna spacing, b is the absolute antenna spacing, c is the
light speed, and f
c
is the carrier frequency. If the angular spread is not zero, it is
shown in [40] that the (m, n)th element of transmitter correlation matrix T
l
can
be approximated as
[T
l
]
m,n
≈ e
−j2π(n−m)Bcos(θ
l
)
e
(−0.5)(2π(n−m)Bsin(θ
l
)γ
l
)
2
. (2.27)
The spatially correlated CSI matrix, H(n, l), is deﬁned as [39]
H(n, l) = R
1/2
l
A(n, l)T
1/2
l
(2.28)
where ()
1/2
denotes matrix square root. With perfect sample timing, we can denote
the discrete time multipath channel at time nT
s
as
h
v,u
(n) = [h
v,u
(n, 0), h
v,u
(n, 1), , h
v,u
(n, L)]
T
(2.29)
where h
v,u
(n, l) is the (v, u)th element of matrix H(n, l). This model is assumed
and veriﬁed by measurements in [44–47]. In this MIMO fading channel model,
the rank of the CSI matrix H(n, l) is determined not only by the Rayleigh fading
(A(n, l)) but also by the fading correlation at the transmitter and receiver (T
l
and
R
l
). If the angular spread of the lth path is large, H(n, l) will most likely have
high rank.
2.2. Simulation Model of MIMO Timevarying Channels
Mobile channel simulators are commonly used to test and evaluate the sys
tems. Many approaches have been proposed for the modelling and simulation of
23
mobile radio channels. Among them, the Jakes model [48] has been widely used
for Rayleigh fading channels. The channel of each pair of transmit and receive
antennas is assumed to have L+1 multipath components and fading processes are
piecewiseconstant approximated, which allows the channel coeﬃcients to be con
stant in one sampling interval and change over diﬀerent sampling intervals according
to the spacedtime correlation function. Fading processes for diﬀerent spatial sub
channels and diﬀerent paths are all assumed to be independent. Also, the ﬁrst and
second order statistics of the channel do not change over the entire transmission
horizon.
100 200 300 400 500 600 700 800 900 1000
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
Time index
A
b
s
o
l
u
t
e
v
a
l
u
e
o
f
a
u
t
o
−
c
o
r
r
e
l
a
t
i
o
n
o
f
f
a
d
i
n
g
p
r
o
c
e
s
s Theoretical result
Simulation Result
FIGURE 2.7. The theoretical and simulated autocorrelation of the modiﬁed Jakes
model.
Since Jakes model is a deterministic model and has diﬃculties in generating
uncorrelated multipath, diﬀerent modiﬁed simulators are proposed in [49–51]. [49]
24
100 200 300 400 500 600 700 800 900 1000
−0.5
−0.4
−0.3
−0.2
−0.1
0
0.1
0.2
0.3
0.4
0.5
Time index
C
r
o
s
s
−
c
o
r
r
e
l
a
t
i
o
n
o
f
r
e
a
l
a
n
d
i
m
a
g
i
n
a
r
y
p
a
r
t
s
o
f
f
a
d
i
n
g
p
r
o
c
e
s
s
Simulation Result
Ideal Result
FIGURE 2.8. The ideal and simulated crosscorrelation of real and imaginary parts
of the modiﬁed Jakes model.
proposes a modiﬁed Jakes model to generate uncorrelated mutipath waveforms
based on WalshHadamard codewords. This model assumes that N
r
equalstrength
rays arrive at a moving receiver with uniformly distributed arrival angle α
n
(n =
1, 2, , N
r
) such that the nth ray experiences a Doppler shift ω
n
= 2πf
d
cos(α
n
),
where f
d
is the maximum Doppler shift. f
d
can be calculated as f
d
= f
c
v/c, where
v is the vehicle speed. By setting α
n
= 2π(n − 0.5)/N
r
, the fading waveform can
be modeled with N
1
complex oscillators (N
1
= N
r
/4). The equal power oscillators
are considered in order to eliminate the correlation. The waveform of the model is
deﬁned as
a(t) =
2
N
1
N
1
¸
n=1
[cos(πn/N
1
) + j sin(πn/N
1
)] cos(ω
n
t + θ
n
) (2.30)
25
100 200 300 400 500 600 700 800 900 1000
−0.5
−0.4
−0.3
−0.2
−0.1
0
0.1
0.2
0.3
0.4
0.5
Time index
C
r
o
s
s
−
c
o
r
r
e
l
a
t
i
o
n
o
f
d
i
f
f
e
r
e
n
t
m
u
l
t
i
p
a
t
h
c
o
m
p
o
n
e
n
t
s Simulation Result
Ideal Result
FIGURE 2.9. The ideal and simulated crosscorrelation of diﬀerent multipath com
ponents of the modiﬁed Jakes model.
where
2
N
1
is the normalization factor to ensure E¦a(t)a
∗
(t)¦ = 1. In order to
generate uncorrelated waveforms, WalshHadamard codewords are used to weigh
the oscillator values before summing. The lth waveform is generated as
a(t, l) =
2
N
1
N
1
¸
n=1
M(l, n) [cos(πn/N
1
) + j sin(πn/N
1
)] cos(ω
n
t + θ
n
) (2.31)
where M(l, n) is the nth value of the lth WalshHadamard code sequence. With
a sampling interval of T
s
, A
v,u
(n, l), the (v, u)th element of matrix A(n, l), is de
termined by the value of a(nT
s
, l). The theoretical and simulated autocorrelations
of the waveform are shown in Fig. 2.7. We can see the two results match very
well. The ideal crosscorrelation of the real and imaginary parts of the waveform is
26
zero and the simulated result is shown in Fig. 2.8. The simulated crosscorrelation
of the waveforms of diﬀerent multipath components is shown in Fig. 2.9 and it is
compared with the ideal result, which is zero as shown in the ﬁgure. The model
[49] is considered in this thesis due to its better autocorrelation of the fading
process. But it has a slightly inferior crosscorrelation among diﬀerent multipath
components compared to the simulation model proposed in [50].
After obtaining uncorrelated channel coeﬃcient, A
v,u
(n, l), for diﬀerent mul
tipath and distinct pair of transmit and receive antennas and having the knowledge
of transmitter correlation matrix, the spatially correlated CSI matrix, H(n, l), can
be obtained by Eq. (2.28).
27
3. PERFORMANCE MODELLING OF MIMO OFDM SYSTEMS
VIA CHANNEL ANALYSIS
Implementation of high data rate WLAN has been a major focus of research
in recent years. MIMO schemes [52–54] and OFDM [27] can be combined to operate
at the highthroughput (HT) mode, or the diversity mode, or the combination
of both in fading environments [55]. Such systems could achieve high spectral
eﬃciency and/or a large coverage area that are critical for futuregeneration wireless
local area networks.
Existing research has relied mainly on obtaining the errorrate performance
curves to determine the throughput and diversity gains [56, 57] of various MIMO
conﬁgurations, assuming Rayleigh fading and independent and identically distrib
uted MIMO OFDM subchannels. Alternatively, the relative capacity and through
put of diﬀerent system conﬁgurations can be obtained by using the channel charac
teristics. If analytical characterizations of the channel are available, this approach
will be more eﬃcient than the former, as it does not require complex systemlevel
simulations.
Common openloop linear detection schemes include the ZF and MMSE
schemes [2, 58]. A large condition number (i.e., the maximumtominimum
singularvalue ratio, MMSVR) of the CSI matrix implies a high noise enhance
ment and causes the openloop schemes to fail in exploiting the available capacity
[59]. Thus, MMSVR could be a convenient and eﬀective metric to characterize the
performance of diﬀerent MIMO conﬁgurations.
The importance and eﬀectiveness of the eigenvalue distribution on MIMO
system capacity and the overall system performance have been well recognized
[60–63]. The eigenvalue analysis for MIMO OFDM systems can be used to reduce
the overall system complexity [64, 65]. In this chapter, we derive the analytical
28
probability density function (pdf) of the MMSVR value, which can be used to
predict the relative performance of diﬀerent MIMO conﬁgurations. The pdf can
also be used to estimate the lower bound on the noise enhancement [66] and the
capacity of MIMO channels. We establish the relationship between MMSVR and
the achievable data throughput. Simulation results verify the accuracy of the closed
form pdf expressions of MMSVR derived in this chapter.
This chapter is organized as follows. In Section 3.1, the MIMO OFDM
system model and the openloop ZF and MMSE detection schemes [2, 58] will be
described. Section 3.2 introduces the channel model and then derives the pdf of
the MMSVR of the channel matrix, while Section 3.3 provides simulation setup
and discusses channel analysis simulation results for various MIMO conﬁgurations.
Concluding remarks are made in Section 3.4.
3.1. System Model and Detection Schemes
3.1.1. System Model
Consider a MIMO OFDM system where the transmitter has N
T
antennas,
the receiver has N
R
antennas, and all the transmitted symbols share N subcarriers.
The frequency domain transmitted sequence from the nth (n = 1, , N
T
) transmit
antenna is represented by X
n,k
, where k = 1, , N represents the kth OFDM
subcarrier. The sequence received by the mth (m = 1, , N
R
) receive antenna is
expressed as
Y
m,k
=
N
T
¸
n=1
H
m,n,k
X
n,k
+ ζ
m,k
(3.1)
where H
m,n,k
is the frequency response of the channel between the nth transmit
antenna and the mth receive antenna for the kth subcarrier, ζ
m,k
is the frequency
29
response of zeromean additive white Gaussian noise (AWGN) with a onesided
power spectral density of ^
0
. Let us deﬁne the signal transmitted on the kth
subcarrier from all the N
T
transmit antennas as X
k
= [X
1,k
, X
2,k
, , X
N
T
,k
]
T
,
where ()
T
denotes transpose. The received signal as a function of the respective
CSI matrix H
k
can be expressed as
Y
k
= [Y
1,k
, Y
2,k
, , Y
N
R
,k
]
T
=
H
1,1,k
H
1,2,k
H
1,N
T
,k
.
.
.
H
N
R
,1,k
H
N
R
,2,k
H
N
R
,N
T
,k
¸
¸
¸
¸
¸
¸
X
k
+
ζ
1,k
ζ
2,k
.
.
.
ζ
N
R
,k
¸
¸
¸
¸
¸
¸
¸
¸
¸
= H
k
X
k
+ζ
k
. (3.2)
We obtain the general system description by vertically stacking the received signal
given in Eq. (3.2) for all N subcarriers as
Y =
Y
T
1
, Y
T
2
, , Y
T
N
T
= HX +ζ (3.3)
where X = [X
T
1
, X
T
2
, , X
T
N
]
T
, ζ = [ζ
T
1
, ζ
T
2
, , ζ
T
N
]
T
, and H =
diag[H
1
, H
2
, , H
N
] is a block diagonal matrix.
3.1.2. Detection
Openloop detection schemes require N
R
≥ N
T
if the system operates at
the spatial multiplexing mode. Zeroforcing (ZF) is the simplest openloop method
in which the estimates of the transmitted signals are obtained by multiplying the
received signal Y with the pseudoinverse of the CSI matrix as
30
ˆ
X = W
ZF
Y = H
+
Y = X +ξ (3.4)
where ()
+
represents the pseudoinverse, W
ZF
= H
+
is the weight matrix for
the ZF scheme, and ξ = H
+
ζ. Note that the detection can be carried out on
a subcarrier by subcarrier basis if there is no intercarrier interference. This
method requires channel estimates at the receiver, and since AWGN is not con
sidered in the estimation process, it might result in a high noise enhancement. At
high signaltonoise ratios (SNR), the instantaneous noise power of the nth data
stream transmitted on the kth subcarrier is written as [67]
[E¦ξξ
†
¦]
n×k,n×k
= ^
0
WW
†
n×k,n×k
(3.5)
where []
n×k,n×k
denotes the (n k, n k)th component of a matrix, E¦¦ denotes
expectation, and W could be either W
ZF
or W
MMSE
. For a particular CSI matrix
H, the instantaneous noise enhancement factor for the nth data stream in the
kth subcarrier is [WW
†
]
n×k,n×k
. When the MMSVR of H is large, the noise
enhancement will be high.
3.2. Analysis of MIMO Channel
3.2.1. Channel Model
Spatial subchannels (i.e., the channel from transmit antenna n to receive
antenna m) are assumed to be independent. This assumption is valid if the antenna
spacing is greater than half of the wavelength of the carrier under richscattering
environment. We adopt the IEEE 802.11 model with an exponential powerdelay
proﬁle [69]. The channel is modeled as a ﬁnite impulse response (FIR) ﬁlter where
all the L + 1 paths are independent complex Gaussian random variables with zero
31
mean and average power ω
2
l
(l = 0, 1, , L). The channel impulse response can
be written as h
l
= a + jb, where a and b are deﬁned to be random variables
obeying normal distribution with zero mean and variance of ω
2
l
/2. In this model,
the power of multipath components decreases exponentially. To normalize the
channel energy, the ﬁrst multipath component is chosen as ω
2
0
= (1−β)/(1−β
L+1
),
where β = e
−T
s
/τ
rms
, L = 10τ
rms
/T
s
, T
s
represents the sampling period, and τ
rms
is
the root meansquare (RMS) delay spread of the channel. The energy of the lth
multipath component is then deﬁned as ω
2
l
= ω
2
0
β
l
.
3.2.2. Analysis of Channel Characteristics
For the ZF detection scheme to work eﬃciently, some constraints must be
met. First of all, the number of receive antennas N
R
should not be, as mentioned
earlier, less than the number of transmit antennas N
T
. In the downlink of a practical
WLAN system, however, it is preferred to have more antennas at the transmitter
considering power consumption of the receiver. Moreover, the CSI matrix for each
subcarrier, H
k
, should not be an illconditioned
1
matrix since such a matrix will
cause a high noise enhancement in detection. For openloop operations, the system
could run in the high throughput (HT) mode (the number of spatial streams equals
the number of transmit antennas) when the received SNR is moderately high. If
the channel is illconditioned, detection using the ZF scheme will experience a low
instantaneous SNR, resulting in poor performance. In this case, it might be better
1
In this chapter, a nonsquare matrix is deﬁned to be illconditioned if the minimum
singular value of the channel matrix is signiﬁcantly small compared to the maximum
singular value.
32
to switch the system to operate at the diversity mode (the number of spatial streams
is less than the number of transmit antennas).
Let the noise enhancement matrix for the kth subcarrier be Ω
k
, k =
1, , N. For a ranktwo
2
ZF scheme in the HT mode, using the singular value
decomposition (SVD) of the CSI matrix, we obtain Ω
ZF,k
as
Ω
ZF,k
= W
ZF,k
W
†
ZF,k
= H
+
k
(H
+
k
)
†
= (H
†
k
H
k
)
+
= (V
k
Σ
†
k
U
†
k
U
k
Σ
k
V
†
k
)
+
= V
k
(Σ
†
k
Σ
k
)
+
V
†
k
= V
k
1/[σ
k,1
[
2
0
0 1/[σ
k,2
[
2
¸
¸
¸
V
†
k
= [σ
k,1
[
−2
V
k
1 0
0 [σ
k,1
[
2
/[σ
k,2
[
2
¸
¸
¸
V
†
k
(3.6)
where σ
k,1
and σ
k,2
(σ
k,1
≥ σ
k,2
> 0) represent the singular values of matrix H
k
.
1/[σ
k,1
[
2
and 1/[σ
k,2
[
2
also represent the noise enhancement factors for the two sub
channels. Let γ
k
= σ
k,1
/σ
k,2
. A large γ
k
value could arise either because σ
k,2
is
small or because σ
k,1
is large. From simulation results, it is found that the latter is
unlikely
3
, thus γ
k
is a good indicator of noise enhancement, and if γ
k
1, we can
conclude that the channel is illconditioned for the kth subcarrier. For an open
2
The main focus of this chapter is on ranktwo and rankthree CSI matrices since the
emerging IEEE 802.11n MIMO WLAN standard is expected to have 2 to 4 transmit and
2 to 4 receive antennas.
3
The probability of having σ
k,1
larger than ﬁve equals 8.71 10
−9
for a 2 2 system,
1.05 10
−7
for a 2 3 system, 1.17 10
−6
for a 3 3 system, 8.59 10
−6
for a 3 4
system, 5.81 10
−5
for a 4 4 system and 2.92 10
−4
for a 4 5 system.
33
loop system with a rank higher than two, the deﬁnition of γ
k
can be generalized as
σ
k,1
/σ
k,u
, where u = min(N
T
, N
R
), and σ
k,1
, σ
k,u
are the maximum and minimum
singular values, respectively.
MMSVR is also a good measure of the system capacity lower bound. Using
the alternative capacity representation of [60], the capacity of the kth carrier can
be written as
C
k
=
u
¸
i=1
log
2
1 +
ρ
k
N
T
[σ
k,i
[
2
(3.7)
where ρ
k
is the SNR of the kth subcarrier. Considering σ
k,1
≥ σ
k,2
≥ ≥ σ
k,u
>
0, a lower bound of the capacity can be written as
C
k
≥ log
2
1 +
ρ
k
N
T
[σ
k,1
[
2
+ (u −1) log
2
1 +
ρ
k
N
T
[σ
k,1
[
2
[γ
k
[
2
. (3.8)
As mentioned earlier, a large γ
k
value is mostly due to a small σ
k,u
value. This fact
combined with Eq. (3.8) clearly indicates that a high value of MMSVR results in
a considerably lowered system capacity.
The Fourier transform of the channel impulse response of each OFDM carrier
described in Section 3.2.1 has a Gaussian distribution. The singular values of the
CSI matrix for the kth OFDM carrier, H
k
, are the positive squareroots of the
eigenvalues of the positivedeﬁnite Wishart matrix given as Q
k
= H
†
k
H
k
, where
()
†
represents Hermitian transpose. To obtain the pdf of γ
k
, the joint pdf of the
eigenvalues of Q
k
is needed. Let λ
1
≥ λ
2
≥ ≥ λ
u
be the eigenvalues of the
positivedeﬁnite matrix Q
k
. The joint density function of λ
1
, λ
2
, , λ
u
are obtained
to be
f
λ
(λ
1
, , λ
u
) = K
−1
u,v
e
−
i
λ
i
¸
i
λ
v−u
i
¸
i<j
(λ
i
−λ
j
)
2
(3.9)
34
where u = min(N
T
, N
R
), v = max(N
T
, N
R
), and K
u,v
is a normalization factor
[60]. From Eq. (3.9), we can calculate the joint density function of λ
1
and λ
u
,
f
λ
(λ
1
, λ
u
), from which the joint cumulative distribution function is obtained as
F
λ
(λ
1
, λ
u
) =
λ
1
0
λ
u
0
f
λ
(α, β)dαdβ. (3.10)
Since the singular values of H
k
, σ
i
, i = 1, , u, are the squareroot of the eigen
values λ
i
, i = 1, , u, of the positivedeﬁnite matrix Q
k
, the joint cumulative
distribution of σ
1
and σ
u
is
F
σ
(σ
1
, σ
u
) = P(
λ
1
≤ σ
1
,
λ
u
≤ σ
u
)
= P(0 ≤ λ
1
≤ σ
2
1
, 0 ≤ λ
u
≤ σ
2
u
)
= F
λ
(σ
2
1
, σ
2
u
) −F
λ
(0, σ
2
u
) −
F
λ
(σ
2
1
, 0) + F
λ
(0, 0). (3.11)
Using Eq. (3.11), the probability density function of γ, omitting the subscript for
simplicity of notation in the sequel, can be derived as
f
σ
(σ
1
, σ
u
) =
d
2
F
σ
(σ
1
, σ
u
)
dσ
1
dσ
u
(3.12)
f
γ
(γ) = f
γ
σ
1
σ
u
=
∞
0
[ σ
u
[ f
σ
(σ
u
γ, σ
u
)dσ
u
. (3.13)
For 2 2 and 2 3 conﬁgurations, the distribution of the singular value
ratios obtained using Eqs. (3.9)(3.13) are
f
γ
(γ)
2×2
=
12γ(−1 + γ
2
)
2
(1 + γ
2
)
4
(3.14)
f
γ
(γ)
2×3
=
120γ
3
(−1 + γ
2
)
2
(1 + γ
2
)
6
. (3.15)
Similarly for 3 3 and 3 4 systems, the distributions of γ obtained by using Eqs.
(3.9)(3.13) are
35
f
γ
(γ)
3×3
=
216(−1 + γ
2
)
7
(1 + γ
2
)(11 + 20γ
2
+ 11γ
4
)
(2 + 5γ
2
+ 2γ
4
)
6
(3.16)
f
γ
(γ)
3×4
=
840γ
3
(−1 + γ
2
)
7
(1 + γ
2
)(A
3×4
(γ) + B
3×4
(γ))
(2 + 5γ
2
+ 2γ
4
)
9
(3.17)
where
A
3×4
(γ) = 4107γ
2
+ 11562γ
4
+ 15868γ
6
(3.18)
B
3×4
(γ) = 454 + 11562γ
8
+ 4107γ
10
+ 454γ
12
. (3.19)
The methodology of calculating the closedform theoretical expressions for the pdf
of γ can be easily extended to MIMO OFDM systems with a rank higher than
three.
3.3. Numerical Examples and Discussion
In simulations, an RMS delay spread of τ
rms
= 50ns and the maximum
delay of 10τ
rms
are considered. Statistics are collected based on 10,000 channel
realizations. Each channel tap is modeled as an independent complex Gaussian
random variable. The CSI matrix is decomposed on a per OFDM carrier basis,
and as deﬁned in Section 3.2.2, γ
k
is the ratio of the maximum and the minimum
singular values of H
k
for the kth subcarrier. The parameters of OFDM symbols
are chosen as in the IEEE 802.11a standard (i.e., 64 subcarriers in one OFDM
symbol with a subcarrier frequency spacing of 312.5kHz).
The analytical and simulated pdf of γ
k
, k = 1, , 64, for a 22 system and
a 2 3 system are shown in Fig. 3.1. For both cases, the simulation and analytical
results match very well. Fig. 3.2 shows the simulation and theoretical results for
the system with 3 transmit antennas.
36
2 4 6 8 10 12 14 16 18 20
0
0.005
0.01
0.015
0.02
0.025
MMSVR
P
r
o
b
a
b
i
l
i
t
y
o
f
M
M
S
V
R
2x2 MIMO OFDM, analytical result
2x2 MIMO OFDM, simulation result
2x3 MIMO OFDM, analytical result
2x3 MIMO OFDM, simulation result
FIGURE 3.1. Analytical and simulated probability density of MMSVR for 2 2
and 2 3 MIMO OFDM conﬁgurations.
The pdf of γ leads directly to results showing which N M MIMO conﬁg
uration is an appropriate choice for the highthroughput mode. For instance, it is
well known that an N (M +1) openloop MIMO scheme outperforms an N M
system. The pdf of γ derived in this letter conﬁrms this result. For example, the
pdf of γ clearly demonstrates that a 2 2 spatial multiplexing system will experi
ence a much higher probability of having an illconditioned channel compared to a
2 3 system. A 3 3 conﬁguration is found to have a much higher probability of
illconditioned channels compared to a 2 2 system.
The diﬀerence of noise enhancement between two MIMO conﬁgurations will
result in diﬀerent throughput. It is shown in [66] that the lower bound of the noise
37
2 4 6 8 10 12 14 16 18 20
0
0.005
0.01
0.015
MMSVR
P
r
o
b
a
b
i
l
i
t
y
o
f
M
M
S
V
R
3x3 MIMO OFDM, analytical result
3x3 MIMO OFDM, simulation result
3x4 MIMO OFDM, analytical result
3x4 MIMO OFDM, simulation result
FIGURE 3.2. Analytical and simulated probability density of MMSVR for 3 3
and 3 4 MIMO OFDM conﬁgurations.
enhancement when ZF detection is adopted is given as the mean of the square of
MMSVR. This bound can be calculated using the analytical expression of the pdf
of MMSVR as
E¦γ
2
N×M
¦ =
∞
1
γ
2
f
γ
(γ
N×M
)dγ. (3.20)
The mean value of γ
2
N×M
is calculated to be 19.9636, 7.5452, 41.1853 and 17.9986
for 2 2, 2 3, 3 3 and 3 4 MIMO conﬁgurations, respectively. Using these
results, the relative throughput gains can be estimated through channel analysis as
10 log
10
E¦γ
2
N×N
¦) −10 log
10
(E¦γ
2
N×(N+1)
¦)
. Figs. 3.3 and 3.4 show the upper
38
0 5 10 15 20 25 30
0
20
40
60
80
100
120
SNR (dB)
T
h
r
o
u
g
h
p
u
t
(
M
b
p
s
)
2x3 Open−Loop
2x2 Open−Loop
FIGURE 3.3. Throughput comparison of MIMO OFDM systems [70].
bound of the throughput curves of MIMO OFDM schemes versus SNR
4
. It is ob
served that for a throughput of 80Mbps, the 2 3 system attains an approximate
4.2dB gain over the 2 2 system, and the 3 4 has a gain of 3.6dB over the 3 3
4
Five thousand channel realizations are created. For each realization, the throughput of
each modulation coding scheme (MCS) is calculated. After obtaining the packet error rate
(PER) using the ith MCS, the corresponding throughput is calculated as Throughput(i)
= D(i) ∗(1−PER(i)), where D(i) is data rate provided by the ith MCS. The maximum
throughput value over all MCS sets is adopted as the ideal hull throughput for a speciﬁc
realization [70].
39
0 5 10 15 20 25 30
0
20
40
60
80
100
120
140
160
180
SNR, dB
T
h
r
o
u
g
h
p
u
t
,
M
b
p
s
3x4 Open Loop
3x3 Open Loop
FIGURE 3.4. Throughput comparison of MIMO OFDM systems [70].
system. These results match well with the results obtained by using Eq. (3.20):
4.2257dB gain for 2 3 over 2 2, and 3.5950dB gain for 3 4 over 3 3. The
improvement provided by an extra receive antenna is attributed to having fewer
illconditioned channels.
3.4. Conclusion
We have derived the closedform pdf expressions of the condition number
(MMSVR) of the channel matrix for various MIMO conﬁgurations. These ana
lytical results can be used to predict the relative performance of MIMO OFDM
40
systems without complicated systemlevel simulations. They can also be applied to
determine the lower capacity bound of such systems. Through the channel analysis,
it is clearly observed that an additional receive antenna could provide signiﬁcant
performance improvements. The analytical results and the gain/loss of diﬀerent
conﬁgurations predicted using the mean of the square of MMSVR matches well
that obtained through systemlevel simulations. The results presented in this let
ter provide a simple and eﬀective way for predicting the relative performances of
diﬀerent MIMO OFDM conﬁgurations.
41
4. DECISIONDIRECTED ESTIMATION OF MIMO
TIMEVARYING RAYLEIGH FADING CHANNELS
MIMO communication systems have been shown to provide high spectral
eﬃciencies [1]. If perfect channel coeﬃcients are available at the receiver, a linear
increase in ergodic capacity is achievable with MIMO systems [60, 71]. Perfect
channel estimates, however, can be obtained only if the channel is either static for
a long time (noise can be averaged out) or perfect (no noise). The rapid phase
and amplitude variations inherent in a timevarying fading channel render perfect
estimates impossible, regardless of the type of channel estimation method used.
Channel estimation has been studied extensively for singleantenna systems (e.g.,
[72–76]). In [68] a pilot embedding method, where lowlevel pilots are transmitted
concurrently with data, was proposed for turbo decoding in a MIMO system. The
eﬀects of pilot assisted channel estimation on the achievable data rates (capacity
lower bound) over a frequency nonselective, quasistatic fading channel were ana
lyzed in [77]. In this scheme, periodic pilot signals assigned to diﬀerent transmit
antennas are assumed to be mutually orthogonal. Although it avoids interantenna
interference within the pilot periods, such scheme could signiﬁcantly lower the spec
tral eﬃciency of the system. Throughput of a system with a maximumlikelihood
channel estimator that employs periodic optimal training sequences for block and
continuous ﬂat fading channels was studied in [78]. In [79], an iterative method
was derived to improve the estimation of channel parameters for a MIMO system,
based on the assumption that data decisions have already been made. This method
needs to invert a matrix of size L L, with L being the frame length per transmit
antenna, for every frame. With practical frame lengths (e.g., L = 130, as applied
in simulations in [79]), the computational load could be prohibitively high.
42
In this chapter, we derive a decision directed (DD) maximum a posteri
ori probability (MAP) channel estimation scheme for MIMO systems over time
varying fading channels. A zeroforcing receiver is applied to detect the spatially
multiplexed symbols transmitted in the current symbol interval. The estimated
symbols are then incorporated in the DD MAP channel predictor to obtain esti
mates of the channel coeﬃcients in future symbol intervals. The proposed scheme
does not rely on the assumption of a quasistatic fading model and can be applied
in a timevarying environment. Compared to most existing schemes, it has a lower
complexity and is capable of operating with signiﬁcantly less pilot symbols.
4.1. System Model
Consider a communication system with N
T
transmit and N
R
receive anten
nas, denoted as an (N
T
, N
R
) system, over a timevarying, frequencynonselective
Rayleigh fading channel. In the transmitter, data are serialtoparallel converted
and sent to N
T
transmit antennas for simultaneous transmission. Each receive an
tenna responds to each transmit antenna through a statistically independent fading
coeﬃcient. The received signals are corrupted by additive white Gaussian noise
(AWGN), which is statistically independent among diﬀerent receive antennas. We
focus on the baseband model of a system, which employs Mary phaseshift keying
(PSK) with zero intersymbol interference (ISI) design. The results can be easily
extended to a MIMO system employing a more general pulseamplitude modula
tion (PAM) scheme. The uth transmitted data stream (the signal from the uth
transmit antenna) is expressed as
x
u
(t) =
∞
¸
i=−∞
E
s
s
u
(i)g(t −iT), u = 1, , N
T
(4.1)
43
where s
u
(i) is the ith symbol of the uth data stream, E
s
is the energy per symbol,
T is the symbol interval, and g(t) is the transmitted Nyquist pulse applied to all
transmitted data streams. Energy of g(t) is normalized to unity, i.e.,
∞
−∞
g
2
(t)dt =
1.
The timevarying fading channel introduces a random amplitude and phase
shift to the transmitted signal. The fading channel process h(t) is modeled as
a normalized, zeromean, complex widesense stationary Gaussian process with a
spacedtime correlation function Φ(∆t) expressed as Φ(∆t) = E¦h(t)h
∗
(t + ∆t)¦,
where E¦¦ denotes statistical expectation and ()
∗
represents complex conjugate.
In a typical mobile communication environment, the spacedtime correlation func
tion of the channel can be modeled as Φ(∆t) = J
0
(2πf
d
∆t) [48], where f
d
represents
the maximum Doppler shift of the channel and J
0
() is the zeroth order Bessel func
tion of the ﬁrst kind.
The received signal of the vth antenna r
v
(t), v = 1, . . . , N
R
, is the sum
of signals transmitted from N
T
transmit antennas and is expressed as
r
v
(t) =
N
T
¸
u=1
E
s
h
v,u
(t)x
u
(t) + ν
v
(t), v = 1, , N
R
(4.2)
where h
v,u
(t) represents the fading process for signals from the uth transmit an
tenna to the vth receive antenna and ν
v
(t) is a complex zeromean white Gaussian
noise process with power spectral density N
0
. The received signal r
v
(t) is ﬁltered
by a matched ﬁlter, matched to g(t), and then sampled at the symbol rate of each
data stream.
Let the N
T
1 transmitted signal vector in the ith symbol interval be
s(i) = [s
1
(i), s
2
(i), , s
N
T
(i)]
T
, where []
T
denotes transpose. The N
R
1
received signal vector at the ith discretetime interval is obtained as
r(i) =
E
s
H(i)s(i) +ν(i) (4.3)
44
where ν(i) is the complex zeromean noise vector. The channel matrix H(i) (N
R
N
T
) is expressed as
H(i) =
h
1
(i) h
2
(i) . . . h
N
T
(i)
=
h
1,1
(i) h
1,2
(i) h
1,N
T
(i)
h
2,1
(i) h
2,2
(i) h
2,N
T
(i)
.
.
.
.
.
.
h
N
R
,1
(i) h
N
R
,2
(i) h
N
R
,N
T
(i)
¸
¸
¸
¸
¸
¸
¸
¸
¸
(4.4)
where N
R
1 column vectors h
u
(i) = [h
1,u
(i), h
2,u
(i), . . . , h
N
R
,u
(i)]
T
, u = 1, . . . , N
T
,
represent the channel coeﬃcients from the uth transmit antenna to all N
R
re
ceive antennas. Each element of H(i) is a zeromean, complex Gaussian ran
dom variable of unit variance. In the discretetime channel formulation adopted
above, the fading process is piecewiseconstant approximated in each symbol in
terval. It is assumed that the temporal variations of the fading processes, h
v,u
(t),
are such that the piecewiseconstant, discretetime approximation is valid. The
vth component of r(i) represents the received signal from the vth receive an
tenna and is expressed as r
v
(i) =
¸
N
T
u=1
√
E
s
h
v,u
(i)s
u
(i) +ν
v
(i). Let us assume that
ˆ
H(i−L), ,
ˆ
H(i−1), estimates of H(i−L), , H(i−1), and ˆ s(i−L), , ˆ s(i−1),
estimates of s(i − L), , s(i − 1), have been obtained. At the beginning of the
transmission, these channel coeﬃcients could be obtained by using pilot symbols.
In the proposed channel estimation and data detection scheme, H(i) is obtained
using
ˆ
H(i − L), ,
ˆ
H(i − 1) and ˆ s(i − L), , ˆ s(i − 1). Then, s(i) is detected
using
ˆ
H(i). After that,
ˆ
H(i −L + 1), ,
ˆ
H(i) and ˆ s(i −L + 1), , ˆ s(i) are used
to estimate H(i + 1). Periodic pilot blocks can be inserted in the data stream
to improve estimation quality and to stop error propagation when the receiver is
operating in the decision directed mode.
45
4.2. Channel Estimation and Data Detection
4.2.1. Decisiondirected Channel Estimation
Due to interantenna interference, it is impossible to solve for
ˆ
H(i) based
on the received signal model given in Eq. (4.3) even if an estimate of symbol
vector s(i) is available. Let us assume that estimates of previous symbols, ˆ s
u
(i −
L), ˆ s
u
(i − L + 1), , ˆ s
u
(i − 1), and channel coeﬃcients in previous symbol
intervals,
ˆ
h
v,u
(i −L),
ˆ
h
v,u
(i −L+1), ,
ˆ
h
v,u
(i −1), have been made. To estimate
h
v,u
(i), u = 1, , N
T
, v = 1, , N
R
, we consider a sliding window approach
in which
ˆ
h
v,u
(i) is derived from the received signals r(l), l = i − L, , i − 1,
and symbol decisions within a window of L symbols preceding the current symbol.
Speciﬁcally, y
v,u
(l) is constructed as
y
v,u
(l) =
r
v
(l) −
N
T
¸
k=1
k=u
E
s
ˆ
h
v,k
(l)ˆ s
k
(l)
¸
¸
/ˆ s
u
(l) (4.5)
u = 1, , N
T
, v = 1, , N
R
, l = (i −L), (i −L + 1), , (i −1).
Note that the vth element of r(l), r
v
(l), consists of the desired signal, the inter
antenna interference, and a noise term. Ideally, if the channel is noiseless, feedback
symbol decisions are correct, and channel estimates are perfect, then y
v,u
(l) in Eq.
(4.5) equals exactly
√
E
s
h
v,u
(l), the desired component needed for the decision
directed channel estimation. In a practical timevarying fading environment, there
will be decision and channel estimation errors, and y
v,u
(l) does not perfectly repre
sent the desired signal component
√
E
s
h
v,u
(l).
Let us deﬁne an L 1 vector y
vu
(i, L) and an (L + 1) 1 vector x(i, L) as
y
vu
(i, L) = [y
v,u
(i−L), y
v,u
(i−L+1), , y
v,u
(i−1)]
T
(4.6)
46
x(i, L) =
y
vu
(i, L)
h
v,u
(i)
¸
¸
¸
. (4.7)
The covariance matrix of zeromean vector x(i, L) can be written as F
x
=
E¦x(i, L)x
H
(i, L)¦ =
F
x11
f
x12
f
x21
f
x22
¸
¸
¸
, where ()
H
denotes conjugate transpose and
F
x11
= E¦y
vu
(i, L)y
H
vu
(i, L)¦ (4.8)
f
x12
= E¦y
vu
(i, L)h
H
v,u
(i)¦ (4.9)
f
x21
= E¦h
v,u
(i)y
H
vu
(i, L)¦ = f
H
x12
(4.10)
f
x22
= E¦h
v,u
(i)h
H
v,u
(i)¦. (4.11)
Given the availability of y
vu
(i, L), estimate of h
v,u
(i) can be obtained by
maximizing its conditional probability density function p¦h
v,u
(i)[y
vu
(i, L)¦ as
ˆ
h
v,u
(i) = max
h
v,u
(i)
p¦h
v,u
(i)[y
vu
(i, L)¦. (4.12)
For Rayleigh channels being considered, the (L + 1) 1 vector x(i, L) is complex
Gaussian
1
. Therefore, the conditional probability density function can be written
as [72]
p ¦h
v,u
(i)[y
vu
(i, L)¦ =
p¦y
vu
(i, L), h
v,u
(i)¦
p¦y
vu
(i, L)¦
=
1
π
L+1
[
F
x[
e
−x
H
(i,L)F
−1
x
x(i,L)
1
π
L
[
F
x11[
e
−y
H
vu
(i,L)F
−1
x11
y
vu
(i,L)
(4.13)
1
Under normal operation conditions, there will be occasional erroneous decisions on
previously sent symbols ˆ s
u
(l). However, a decision error does not aﬀect the Gaussian
distribution of x(i, L). This is because both the channel and noise components are zero
mean complex Gaussian (Rayleigh magnitude and uniform phase between 0−2π) and a
feedback decision error only introduces a rotation to the phase of the channel coeﬃcient
and noise component of y
v,u
(l).
47
where [ [ denotes the determinant of a matrix. By using the matrix inversion
lemma [101], F
−1
x
is expressed as
F
−1
x
=
F
x11
f
x12
f
x21
f
x22
¸
¸
¸
−1
=
F
xi11
f
xi12
f
xi21
f
xi22
¸
¸
¸
(4.14)
where
F
xi11
= (F
x11
−f
x12
f
−1
x22
f
x21
)
−1
(4.15)
f
xi22
= (f
x22
−f
x21
F
−1
x11
f
x12
)
−1
(4.16)
f
xi12
= −F
xi11
f
x12
f
−1
x22
(4.17)
f
xi21
= −f
xi22
f
x21
F
−1
x11
. (4.18)
Note that F
x
and F
x11
are ﬁxed and thus independent of x(i, L). Therefore,
maximizing the conditional probability density function is equivalent to minimizing
the following quadratic function
λ = x
H
(i, L)F
−1
x
x(i, L) −y
H
vu
(i, L)F
−1
x11
y
vu
(i, L). (4.19)
By letting the conjugate derivative of λ with respect to h
v,u
(i) to zero, we obtain
the decisiondirected maximum a posteriori probability estimate of h
v,u
(i) as
2
ˆ
h
v,u
(i) = w
H
y
vu
(i, L) (4.20)
where w = (f
x21
F
−1
x11
)
H
is the L 1 tap weight vector. This procedure needs to
be done for all elements of H(i) to form the estimated channel matrix
ˆ
H(i). It is
2
Because received signals and decisions of symbols in previous symbol periods are used
to predict the current channel state, the scheme derived is actually a channel predictor.
Although the term “channel estimation” is usually used to broadly refer to the procedure
from which the channel state is obtained through either prediction or estimation [72], it is
more precise to describe
ˆ
h
v,u
(i) derived in this chapter as a “predictor channel estimate”,
a term adopted in [73].
48
assumed that all elements of H(i) are identically distributed. Thus, tap weight w
is common for all coeﬃcients (any combination of v and u). If signiﬁcant changes
in the channel statistics (e.g., the Doppler shift) have occurred, however, f
x21
and
F
x11
(thus w) must be updated to reﬂect such changes.
The DD MAP channel prediction procedure is illustrated in Fig. 4.1. When
applied to the special case of a singleantenna system, the channel estimate de
rived in this chapter is similar to the linear minimum meansquare error (MMSE)
estimate [72, 74]. The tap weight is the same, but the MAP predictor estimate de
rived in this chapter combines previous received signals scaled by the corresponding
symbol decisions which form
ˆ
h
v,u
(i), whereas the MMSE estimate given in [72, 74]
combines estimates (e.g., obtained via a maximum likelihood approach) of past
channel trajectory up to time i −1.
4.2.2. Detection
Given the received signal in Eq. (4.3), s(i) can be detected using several
algorithms such as the maximum likelihood (ML) detection [80, 81], MMSE detec
tion, zeroforcing (ZF) detection [82, 83], and the BLAST scheme [7, 84]. The ZF
scheme has the lowest complexity and supports orthogonal matrix triangulariza
tion (QR decomposition) implementation. Moreover, at high signaltonoise ratios
(SNR), performance of the ZF scheme approaches that of the MMSE scheme. For
these reasons, the ZF scheme will be adopted in this chapter for data detection.
In the ZF scheme, the decision vector for the N
T
spatially multiplexed sym
bols in the ith interval is written as
β(i) =
ˆ
H
+
(i)r(i) (4.21)
49
D D
r
v
(i) r
v
(i1)
¦
z
T
N
u k
k
k k v s
i s i h E
1
,
) 1 ( ˆ ) 1 (
ˆ

) 1 ( ˆ
1
i s
u
r
v
(i2)
...
D

) 2 ( ˆ
1
i s
u
¦
z
T
N
u k
k
k k v s
L i s L i h E
1
,
) ( ˆ ) (
ˆ

) ( ˆ
1
L i s
u
r
v
(iL)
¦
z
T
N
u k
k
k k v s
i s i h E
1
,
) 2 ( ˆ ) 2 (
ˆ
y
vu
(i, L)
Optimal Combining of y
vu
(i, L):
) , (
1
11 21
L i y F f
vu x x
) (
ˆ
,
i h
u v
FIGURE 4.1. The DD MAP channel predictor for MIMO systems.
where ()
+
denotes the pseudoinverse. Because we consider an overdetermined
system (N
R
≥ N
T
),
ˆ
H
+
(i), omitting symbol index i, can be calculated as
ˆ
H
+
= [
ˆ
H
H
ˆ
H]
−1
ˆ
H
H
. If channel estimates are perfect (i.e.,
ˆ
H = H), then
β(i) =
√
E
s
s(i) + ξ(i), where ξ(i) = H
+
(i)ν(i) is the noise component after the
zeroforcing operation.
4.3. Numerical Examples and Discussion
For all numerical examples, binary phaseshift keying (BPSK) with a data
rate of R
b
= 1Mbps is chosen. Bit decisions for the BPSK system are obtained by
slicing the real part of β(i) given in Eq. (4.21) as ˆ s(i) = sgn¦'[β(i)]¦, where
'() denotes the real part. The Doppler shift is calculated based on a center
frequency f
c
= 2.0GHz. Fading processes among all transmit and receive antennas
50
6 8 10 12 14 16 18
10
−4
10
−3
10
−2
10
−1
10
0
Eb/N0 (dB)
B
E
R
L=3
L=5
L=7
L=9
Perfect channel estimates
FIGURE 4.2. BER versus E
b
/N
0
with diﬀerent memory depth L.
are assumed independent and identically distributed; their ﬁrst and second order
statistics do not change over the entire transmission horizon. Although the proposed
DD MAP scheme does not require periodic pilot bits in principle, errors introduced
in applying Eq. (4.5) will accumulate over bits. Therefore, periodic pilot bits are
added, but with a large block length of K = 600 bits unless explicitly speciﬁed
otherwise. Let P (N
T
≤ P < K) represent the number of pilot bits in each pilot
period. For small values of P, the fading rates of interest are such that the channel
remains approximately constant during one pilot period. The received signals in
the pilot period are written in an N
R
P matrix as Y
p
= [r(1), r(2), , r(P)] =
H
p
S
p
+V
p
, where r(p) was given in Eq. (4.3), H
p
is the channel coeﬃcient matrix
51
6 8 10 12 14 16 18
10
−3
10
−2
10
−1
10
0
Eb/N0 (dB)
B
E
R
M=2, N=2
M=2, N=3
M=3, N=3
M=3, N=4
FIGURE 4.3. BER versus E
b
/N
0
for diﬀerent number of transmit and receive
antennas.
in the pilot period, S
p
= [s(1), s(2), , s(P)], and V
p
= [ν(1), ν(2), , ν(P)].
Hence, channel estimates in the pilot period are obtained as
ˆ
H
p
= Y
p
S
+
p
.
Memory depth (window length) L for the DD MAP channel predictor aﬀects
the error performance. Fig. 4.2 shows the bit error rate (BER) versus bitenergyto
noisedensity ratio (E
b
/N
0
) curves of a (2, 3) system with diﬀerent values of L. The
maximum Doppler shift is f
d
= 74Hz (f
d
T
b
= 7.4 10
−5
), which is obtained based
on a vehicular speed of v = 40Km/h. BER curves shown are for memory depths
of L = 3, 5, 7, and 9. For comparison purposes, the error rate curve with perfect
channel estimates is also shown in the aforementioned ﬁgure. With the set of system
parameters applied, error performance improves signiﬁcantly when L increases from
52
6 8 10 12 14 16 18
10
−4
10
−3
10
−2
10
−1
10
0
Eb/N0 (dB)
B
E
R
v=30km/h
v=50km/h
v=70km/h
FIGURE 4.4. BER versus E
b
/N
0
with diﬀerent fading rates.
3 to 7. However, when L increases to over 7, performance improvement is negligible.
With L = 9 and other parameters adopted for a target BER of 10
−3
, the proposed
scheme performs approximately 2.5dB worse than the case when all coeﬃcients of
the matrix channel are perfectly known to the receiver.
Since channel estimation depends on the accuracy of interantenna interfer
ence cancellation using Eq. (4.5), it is expected that the performance will degrade
when the number of transmit antennas increases. Fig. 4.3 shows the BER versus
E
b
/N
0
curves with L = 7 and (N
T
, N
R
) = (2, 2), (2, 3), (3, 3), and (3, 4). Other pa
rameters applied are the same as adopted for Fig. 4.2. Under ideal conditions, the
ZF detection should yield the same error performance for cases of (N
T
, N
R
) = (2, 2)
53
6 8 10 12 14 16 18
10
−4
10
−3
10
−2
10
−1
10
0
Eb/N0 (dB)
B
E
R
K=400, quasi−static
K=700, quasi−static
K=1000, quasi−static
K=400, proposed scheme
K=700, proposed scheme
K=1000, proposed scheme
FIGURE 4.5. Performance comparison of the proposed scheme and the scheme
with the channel treated as block fading.
and (N
T
, N
R
) = (3, 3), if the received signal energy per symbol per antenna is the
same [67]. With actual channel estimates, it is observed that a (3, 3) system per
forms worse than a (2, 2) system.
The fading rate quantiﬁed by the Doppler shift aﬀects the performance of
any channel estimation schemes. If channel phase and magnitude remain constant
over a number of bits, accurate channel estimates are possible. As the fading
rate increases, estimation quality deteriorates. Fig. 4.4 shows BER versus E
b
/N
0
curves of a (2, 3) system with L = 7 and v = 30, 50, and 70Km/h. Performance
degradation from v = 30Km/h to v = 50Km/h is considerably less signiﬁcant than
that from v = 50Km/h to v = 70Km/h.
54
The rationale behind the quasistatic fading model is that the channel re
mains approximately constant over one block of data. If this were true, a simple
method would be to apply the channel estimates obtained using pilot symbols em
bedded with data for data detection in the whole block. This scheme will not work
well when the system is operating over a timevarying fading channel. Fig. 4.5 com
pares the performance of a (2, 3) system employing the proposed scheme with that
of the scheme based on the quasistatic fading model described above. Fading rate
is calculated based on v = 50Km/h and block lengths of K = 400, 700, and 1000
are evaluated. The proposed scheme performs worse in the low E
b
/N
0
region (high
BER values), but the scheme based on the quasistatic model reaches an error ﬂoor
between 10
−2
to 10
−3
with the set of system parameters applied. The major factor
causing this behavior of the proposed scheme in the low E
b
/N
0
region is that higher
error rates result in worse estimates of y
vu
(i, L).
4.4. Conclusion
A decision directed maximum a posteriori probability channel estimation
scheme for symbolbysymbol detection in MIMO systems has been derived. This
scheme has a low complexity and can be applied to timevarying Rayleigh fading
channels with an arbitrary spacedtime correlation function. Numerical results indi
cate that a long memory depth is unnecessary for a system to work well. The chan
nel estimation quality deteriorates as the number of transmit antennas increases.
The fading rate has a high impact on system performance, and the proposed scheme
is more appropriate for channels with low to medium normalized Doppler shifts.
Large block length between adjacent pilot blocks can be deployed with the proposed
scheme. This results in minimum overhead for pilot symbols. The schemes based
55
on the quasistatic channel model reach an error ﬂoor whereas the proposed scheme
works very well at high E
b
/N
0
values.
56
5. CHANNEL ESTIMATION FOR MOBILE MIMO OFDM SYSTEM
OFDM is attractive for wideband communications because of its ability to
transform a frequencyselective channel into a series of frequencyﬂat subchannels.
This scheme allows the system to transmit data reliably in a timedispersive, or
frequencyselective, channel without the need of a complex timedomain equal
izer. MIMO communication techniques [1] can be applied with OFDM to increase
spectral eﬃciency. It has recently become one of the most signiﬁcant technical
breakthroughs to solve the bottleneck of high data rate requirement and it is the
key technology in the emerging high data rate standards such as IEEE 802.16
and IEEE 802.11n. In MIMO OFDM systems, ﬂexible transmission and signal
processing techniques can be implemented to provide high quality measured by the
biterror rate (BER) and/or high data rate by exploiting either the diversity gain
and/or the spatial multiplexing gain. Realizing these gains requires knowledge of
CSI at the receiver, which is often obtained through channel estimation.
There exist two main types of channel estimation schemes: nonblind (or
pilot assisted) schemes, in which a portion of the bandwidth is allocated to training
symbols [24, 28], and blind approaches, which can be implemented by exploiting
the statistical properties [21] or the deterministic information of the transmitted
symbol (e.g., ﬁnite alphabet, constant modulus, etc.) [22, 23]. For pilot assisted
schemes, CSI can be estimated by exploiting the frequency correlation and/or the
time correlation of the pilot and data symbols. The estimates are in general reliable,
but pilot symbols imply signaling overhead. On the other hand, blind channel
estimation requires a long data observation interval. The slow convergence rate
limits the application of the statistical approach to mobile channels and a high
computation complexity due to the maximization process restricts the deterministic
57
approach. In [25], channel estimation algorithms based on combtype pilots with
improvements through interpolation at data frequencies were studied. Performance
bound of a pilot assisted least square (LS) channel estimator over a multipath slowly
fading channel was derived in [26]. When applied to OFDM systems over fastfading
channels, however, this scheme can not perform well due to the large normalized
Doppler shift. A Kalman ﬁlter based scheme to estimate the statetransition matrix
of timevarying MIMO OFDM channels and a scheme based on minimizing the
meansquare error (MSE) of a cost function were developed in [29, 30] and [31,
27], respectively. ICI and rapid channel variations make channel estimation more
challenging in mobile channels. In order to mitigate ICI eﬀects, various detection
structures were proposed and compared in [24]. These schemes generally have a
high complexity. In [28], an iterative multistage channel estimator with iterative
ICI cancellation to maximize the signaltonoiseplusICI ratio was derived.
In this chapter, we investigate pilot assisted channel estimation for MIMO
OFDM systems in the presence of ICI due to the nature of timevarying channels.
We ﬁrstly apply phase shift orthogonal (PSO) pilot sequences [86] for diﬀerent
transmit antennas to minimize the MSE of the LS channel estimates. As the LS
scheme requires the inversion of a largesize matrix (up to MM with M being the
number of subcarriers dedicated to pilot symbols) every OFDM symbol interval
in fastfading channels, its complexity becomes prohibitively high. Thus, we derive
an expectationmaximization (EM) based LS channel estimator to avoid matrix
inversions. Fastfading causes severe ICI in OFDM systems with large number
of densely spaced subcarriers. This interference becomes particularly disturbing
at normal freeway speed for such systems. With the estimate of the channel for
the current symbol interval and initially detected symbols, the ICI component is
estimated and removed before detecting the transmitted symbols. The detected
58
symbols are then fed back to the channel estimator for more accurate estimation
of the channel states in the next iteration.
Maximum a posteriori probability (MAP) channel estimation algorithms
generate optimal results. However, for many applications, the computational com
plexity could be prohibitively high as it needs to invert largesize matrices. This
chapter develops an iterative channel estimation and data detection scheme for mo
bile MIMO OFDM systems for which ICI cannot be neglected. The major contribu
tion is on deriving a lowcomplexity MAP channel estimator while maintaining high
datadetection performances for timevarying channels. In the proposed scheme,
channel estimates are initially obtained by using an LS algorithm that operates on
pilot symbols only. To avoid matrix inversion, we derive an expectation maximiza
tion (EM) algorithm to obtain the LS solutions. Then, a successive interference
cancellation (SIC) scheme is incorporated in the data detection process. With the
initial channel estimate and the temporary data decisions, the ICI component is
approximated and cancelled from the received signal. In fast fading channels, LS
estimates based on pilot symbols only might not be suﬃcient to provide a high de
tection performance. Once the temporary data decisions and channel estimates are
available, performance could be signiﬁcantly improved by using a MAP estimator.
In order to lower the complexity, we derive an EMbased MAP estimator by ex
ploiting the channel statistical information and employing lowrank approximation.
The temporary symbol decisions and the received signal after ICI cancellation are
ﬁnally processed by the derived EMbased MAP estimator to reﬁne CSI and data
detection.
Most of the existing research on MIMO detection has assumed uncorrelated
MIMO spatial channels. However, the channel can be correlated due to the small
angular spread and/or antenna spacing. We optimize data transmission by ex
59
ploiting the longterm correlation characteristics and incorporate it in the iterative
process. We provide extensive simulation results to evaluate the error performance
of the proposed scheme, including comparison with that of the LS scheme and the
ideal case − timeinvariant channels and perfect channel estimates. We show that
the proposed scheme does not have an error ﬂoor even under high Doppler shifts
and in the presence of a high spatial correlation.
5.1. System Model
Consider an (N
T
, N
R
) MIMO system, where N
T
and N
R
represent the num
ber of transmit and receive antennas, respectively. A subchannel is deﬁned as
the channel transmitted from the uth (1 ≤ u ≤ N
T
) transmit antenna to the
vth (1 ≤ v ≤ N
R
) receive antenna. If the antennas are suﬃciently separated
under the richscattering environment [38], channel fading processes for diﬀerent
subchannels can be assumed to be independent and identically distributed (i.i.d.).
OFDM with N subcarriers is followed by a spatial multiplexing block and serialto
parallel (S/P) converts the incoming OFDM signals into N
T
streams for simultane
ous transmission through the transmit antennas. Since the signal is bandlimited,
the timevarying multipath channel can be represented by using the tappeddelay
line model with timevarying coeﬃcients, but ﬁxed tap spacing [87]. The delay
spread of the channel determines the length of the tapped delay line and the tap
spacing must be equal to or less than the reciprocal of the signal bandwidth. The
impulse response of the channel is described by A
v,u
(n, l), which denotes the tap
gain of the lth path at time index n for the subchannel transmitted from the uth
antenna to the vth receive antenna. The maximum tap delay is assumed to be
less than or equal to the OFDM guard interval. In this chapter, we assume an
60
exponentially decaying multipath power proﬁle, which determines the power dis
tribution among the taps. The power proﬁle is also assumed to be the same for
all the subchannels. Thus, fading coeﬃcient A
v,u
(n, l) is modeled as a zeromean,
complex, wide sense stationary Gaussian process with a spacedtime correlation
function Φ(n
2
−n
1
, l
2
−l
1
) expressed as [85]
Φ(n
2
−n
1
, l
2
−l
1
) = E¦A
v,u
(n
1
, l
1
)A
∗
v,u
(n
2
, l
2
)¦
= J
0
(2πf
d
T
s
(n
2
−n
1
)) e
−l
1
/L
δ(l
2
−l
1
) (5.1)
where
=
1 −e
−1/L
1 −e
−(L+1)/L
(5.2)
is a normalization factor to ensure
¸
l
e
−l/L
= 1, E¦¦ denotes statistical expec
tation, ¦¦
∗
represents complex conjugate, δ() represents the Dirac delta function,
J
0
() is the zeroth order Bessel function of the ﬁrst kind, f
d
is the maximum Doppler
shift of the channel in Hz, and T
s
is the sampling interval. f
d
can be calculated
as f
d
= f
c
v/c, where f
c
is the carrier frequency, v is the vehicle speed, and c is
the light speed. The total number of taps is assumed to be L + 1, which depends
on the ratio of the maximum delay of the channel to the OFDM sampling inter
val. Let A(n, l) denote the N
R
N
T
MIMO fading channel matrix whose (v, u)th
element is A
v,u
(n, l). It is assumed that the fading among diﬀerent paths is uncor
related. The N
R
N
R
receiver correlation matrix is assumed to be identity and the
N
T
N
T
transmitter correlation matrix is denoted by T
l
. The spatially correlated
CSI matrix, H(n, l), is deﬁned as
H(n, l) = A(n, l)T
1/2
l
. (5.3)
With perfect sample timing, we can denote the discrete time multipath channel at
time nT
s
along the delay paths as
61
h
v,u
(n) = [h
v,u
(n, 0), h
v,u
(n, 1), , h
v,u
(n, L)]
T
(5.4)
where h
v,u
(n, l) is the (v, u)th element of matrix H(n, l). The discrete Fourier
transform of h
v,u
(n) is expressed as
H
v,u
(n) = Fh
v,u
(n) (5.5)
where F is an N (L + 1) matrix with F[k, l] = e
−j2πkl/N
, 0 ≤ k ≤ N − 1,
0 ≤ l ≤ L. The kth element of the N 1 vector H
v,u
(n), H
v,u
(k, n), represents
the frequency response of the channel for the kth subcarrier. In this model, the
channel coeﬃcients are assumed to be constant in one sampling interval, which is
much shorter than one OFDM symbol duration, and change over diﬀerent sampling
interval according to the spacedtime correlation function. In discrete time, the
signal transmitted from the uth antenna can be represented as
s
u
(n) =
E
s
N
N−1
¸
k=0
d
u
(k) e
j2πnk/N
(5.6)
where d
u
(k) is the transmitted data at the kth subcarrier from the uth antenna
and E
s
is the symbol energy per subcarrier. The signal received by the vth antenna
is expressed as
y
v
(n) =
N
T
¸
u=1
L
¸
l=0
h
v,u
(n, l)s
u
(n −l) + w
v
(n) (5.7)
where w
v
(n) is the zeromean additive white Gaussian noise (AWGN) with variance
N
0
. Since the guard interval is not less than the maximum delay of the channel,
there is no intersymbolinterference (ISI). For simplicity of notation, we let the
symbol energy per subcarrier be normalized to 1. After removing the guard inter
val, the received signal can be expressed as
y
v
(n) =
1
√
N
N
T
¸
u=1
N−1
¸
k=0
d
u
(k)H
v,u
(k, n)e
j2πnk/N
+ w
v
(n) (5.8)
62
where again H
v,u
(k, n) is the kth element of H
v,u
(n) given in Eq. (5.5). After
performing the Fourier transform on the received signal y
v
(n), the signal at the
kth subcarrier can be expressed as
Y
v
(k)=
1
N
N
T
¸
u=1
d
u
(k)
N−1
¸
n=0
H
v,u
(k, n)
+
N−1
¸
m=0,m=k
d
u
(m)
N−1
¸
n=0
H
v,u
(m, n)e
j2πn(m−k)/N
+ W
v
(k) (5.9)
where the second term on the righthand side represents the ICI component and
W
v
(k) =
1
√
N
N−1
¸
n=0
w
v
(n)e
−j2πnk/N
. (5.10)
Let ζ
v,u
(k) represent the ICI component caused by timevarying fading and
¯
H
v,u
(k)
denote the mean value of the channel response for the kth subcarrier. Eq. (5.9)
can be rewritten as
Y
v
(k) =
N
T
¸
u=1
d
u
(k)
¯
H
v,u
(k) + ζ
v,u
(k)
+ W
v
(k)
=
N
T
¸
u=1
d
u
(k)
¯
H
v,u
(k) + ζ
v
(k) + W
v
(k) (5.11)
where
¯
H
v,u
(k) =
1
N
N−1
¸
n=0
H
v,u
(k, n). (5.12)
The impulse response of the subchannel from transmit antenna u to receive antenna
v is expressed as
¯
h
v,u
= [
¯
h
v,u
(0),
¯
h
v,u
(1), ,
¯
h
v,u
(L)]
T
(5.13)
where
¯
h
v,u
(l) =
N−1
¸
k=0
¯
H
v,u
(k)e
j2πkl/N
=
1
N
N−1
¸
n=0
h
v,u
(n, l). (5.14)
63
Most of the recent work (e.g., [22, 27]) has adopted the quasistatic model,
assuming that h
v,u
(n, l) remains approximately constant over one OFDM symbol
duration. Under this assumption, there is no ICI. However, if the Doppler shift is
high and especially when the OFDM system has large number of densely spaced
subcarriers, this assumption is no longer valid. In this thesis, a more appropriate
assumption is made such that the channel coeﬃcients are assumed to be constant
in one sampling interval and change over diﬀerent sampling interval according to
the spacedtime correlation function.
5.2. EMBased LS Channel Estimation
EMbased LS is a pilot assisted channel estimation scheme to initially esti
mate the channel coeﬃcients for MIMO OFDM systems in the presence of ICI due
to the nature of timevarying channels. Let p
s
and M denote the pilot subcarrier
spacing and the number of subcarriers dedicated to pilot symbols, respectively.
The received pilot vector at receive antenna v, Y
v(p)
, and transmitted pilot matrix,
D
u(p)
, from transmit antenna u are written as
Y
v(p)
= [Y
v
(0), Y
v
(p
s
), Y
v
(2p
s
), , Y
v
((M −1)p
s
)]
T
(5.15)
D
u(p)
= diag[d
u
(0), d
u
(p
s
), d
u
(2p
s
), , d
u
((M −1)p
s
)] (5.16)
where diag[] denotes a diagonal matrix. From Eqs. (5.11) and (5.13), the received
vector of the vth antenna can be expressed as
Y
v(p)
= Q
(p)
h
v
+ζ
v(p)
+ W
v(p)
(5.17)
where
Q
(p)
= [D
1(p)
F
(p)
, D
2(p)
F
(p)
, , D
N
T
(p)
F
(p)
] (5.18)
64
h
v
= [
¯
h
T
v,1
,
¯
h
T
v,2
, ,
¯
h
T
v,N
T
]
T
(5.19)
and F
(p)
is an M (L + 1) DFT matrix with F
(p)
[k, l] = e
−j2πkl/N
, k =
0, p
s
, 2p
s
, , (M − 1)p
s
, 0 ≤ l ≤ L. The kth elements of M 1 vectors ζ
v(p)
(i.e., ζ
v
(k)) and W
v(p)
(i.e., W
v
(k)) were deﬁned in Eqs. (5.10) and (5.11), respec
tively. The least square (LS) estimate of h
v
is simply obtained as
ˆ
h
v
= (Q
(p)
)
+
Y
v(p)
(5.20)
where ()
+
denotes the pseudoinverse. Since Q
(p)
is an M N
T
(L + 1) matrix, it
will have a unique LS channel estimate as long as the number of pilot subcarriers
M is not less than N
T
times the number of channel delay taps (L+1). Calculating
the inverse of an N
T
(L + 1) N
T
(L + 1) square matrix could be computationally
extensive. Thus, it is favorable to ignore the channel taps whose magnitudes are
small, like the method of signiﬁcant tap catching method (STCM) proposed in [88].
With L
r
signiﬁcant taps (L
r
< L+1), the computation complexity can be reduced
to the inversion of an N
T
L
r
N
T
L
r
square matrix. However, an irreducible error
ﬂoor is introduced since the powerdelay proﬁle cannot be completely represented
by the L
r
taps [89, 90].
We derive an EMbased LS channel estimation scheme to provide a more
reliable channel estimate than the STCM scheme and at the same time avoid the
inversion of largesize matrices. This algorithm transforms the estimation process
for multipleinput channels into a series of independent singleinput singleoutput
(SISO) channel estimation. Since the received signal is decomposed and estimated
for each subchannel, it can be implemented more eﬃciently compared with other
algorithms.
Estep: for u = 1, 2, . . . , N
T
,
65
ˆ
Y
(g)
v,u(p)
= D
u(p)
F
(p)
ˆ
h
(g)
v,u
(5.21)
ˆ r
(g)
v,u(p)
=
ˆ
Y
(g)
v,u(p)
+ β
u
¸
Y
v(p)
−
N
T
¸
u=1
ˆ
Y
(g)
v,u(p)
¸
(5.22)
where superscript
g
represents the gth subiteration and
¸
N
T
u=1
β
u
= 1. Typically,
β
u
, u = 1, , N
T
, are chosen as β
1
= = β
N
T
.
Mstep: in order to minimize the detection error, the estimated channel
coeﬃcient can be expressed as
ˆ
h
(g+1)
v,u
= F
H
(p)
D
−1
u(p)
ˆ r
(g)
v,u(p)
. (5.23)
Since D
u(p)
is a diagonal matrix, D
−1
u(p)
can be obtained via division only.
The channel estimates can be initially set as
ˆ
h
(0)
v,u
= 1
L+1
, (1 ≤ v ≤ N
R
, 1 ≤ u ≤
N
T
), where 1
L+1
is an (L+1) 1 vector whose elements are all 1’s. Increasing the
number of subiterations G will result in better quality of the channel estimates.
However, as will be shown in the numerical examples section, for most common
MIMO OFDM conﬁgurations and fading rates, the performance saturates quickly
as G increases; thus, a large G is typically unnecessary.
5.3. Lowcomplexity MAP Channel Estimation
The transmitted data could be detected by simply employing the EMbased
LS estimates of the channel coeﬃcients. However, in fast timevarying fading chan
nels, the performance will be signiﬁcantly improved by employing a MAP channel
estimator. A major problem with applying a MAP estimator is the need of data
matrix inversion for every OFDM symbol. We investigate an EMbased MAP es
timator which takes the temporary symbol decisions and the received signals after
ICI cancellation to reﬁne CSI. The received signal of the vth antenna at the kth
66
subcarrier Y
v
(k) is expressed by Eq. (5.11). The received vector on all subcarriers
at antenna v can be expressed as
Y
v
= D H
v
+ζ
v
+ W
v
(5.24)
D = [D
1
, D
2
, , D
N
T
] (5.25)
D
u
= diag[d
u
(0), d
u
(1), , d
u
(N −1)] (5.26)
H
v
= [(H
v,1
)
T
, (H
v,2
)
T
, , (H
v,N
T
)
T
]. (5.27)
The uth element of H
v
is H
v,u
= F
¯
h
v,u
, where
¯
h
v,u
, u = 1, 2, , N
T
was deﬁned
in Eq. (5.13) and F is an N (L + 1) DFT matrix deﬁned in Eq. (5.5). The
kth elements of vectors Y
v
, ζ
v
, and W
v
(i.e., Y
v
(k), ζ
v
(k), and W
v
(k)) have been
deﬁned in Eqs. (5.9), (5.10), and (5.11), respectively. Since the EM algorithm can
decompose the MIMO channels into a series of SISO channels, the received vector
at antenna v can be expressed as
Y
v
=
N
T
¸
u=1
Y
v,u
(5.28)
where
Y
v,u
= D
u
H
v,u
+ξ
v,u
(5.29)
and ξ
v,u
is the component consisting of AWGN and ICI for the subchannel trans
mitted from the uth antenna to the vth receive antenna. By exploiting the channel
statistical information and employing low rank approximation, an expectation max
imization (EM) based MAP channel estimator of MIMO OFDM systems is derived
to achieve excellent performance without the need of any matrix inversion.
67
5.3.1. MAP Channel Estimation
Maximum a posteriori probability (MAP) algorithm achieves optimal esti
mates of the channel parameters. It maximizes the probability density function
(pdf) of H
v,u
conditioned on the received signal and the transmitted data matrix
as [72]
ˆ
H
v,u
= arg max
H
v,u
f
H
v,u
[Y
v,u
, D
u
(5.30)
where f() denotes the pdf. It was shown in [72] that the MAP estimate of the
parameter,
ˆ
H
v,u
, can be expressed as
ˆ
H
v,u
= µ +R
H
D
H
u
D
u
R
H
D
H
u
+R
N
−1
Y
v,u
−D
u
µ
=
R
H
D
H
u
D
u
R
H
D
H
u
+R
N
−1
Y
v,u
+
I −R
H
D
H
u
D
u
R
H
D
H
u
+R
N
−1
D
u
µ (5.31)
where µ and R
H
denote, respectively, the mean and covariance matrix of H
v,u
, and
R
N
is the covariance matrix of vector ξ
v,u
. For most common OFDM systems, the
number of subcarrier is a large number (e.g., 128). Therefore, the ICI component,
ζ
v,u
(k), can be approximated as a Gaussian random variable by invoking the central
limit theorem [100]. Once the Doppler shift is estimated, the variance of ICI, σ
2
ICI
,
can be estimated as [24]
σ
2
ICI
=
1
N
2
N−1
¸
m=0,m=k
N−1
¸
n
1
=0
N−1
¸
n
2
=0
E
¸
H
v,u
(m, n
1
)H
∗
v,u
(m, n
2
)
¸
e
j2π(n
1
−n
2
)(m−k)
N
=
1
N
2
N−1
¸
m=0,m=k
N−1
¸
n
1
=0
N−1
¸
n
2
=0
J
0
2πf
d
T(n
1
−n
2
)
N
e
j2π(n
1
−n
2
)(m−k)
N
=
1
N
2
N−1
¸
m=0, m=k
N + 2
N−1
¸
n=1
(N −n)J
0
(2πf
d
T
s
n) cos
2π(m−k)
n
N
. (5.32)
ξ
v,u
is assumed to be zero mean with covariance matrix of σ
2
I
N
, where I
N
is NN
identity matrix and σ
2
= σ
2
ICI
+ σ
2
AWGN
/N
T
. Eq. (5.31) can be rewritten as
68
ˆ
H
v,u
= R
H
D
H
u
(D
u
R
H
D
H
u
+ σ
2
I)
−1
Y
v,u
= R
H
(D
u
R
H
+ σ
2
(D
H
u
)
−1
)
−1
Y
v,u
= R
H
(R
H
+ σ
2
(D
H
u
D
u
)
−1
)
−1
D
−1
u
Y
v,u
. (5.33)
5.3.2. Low Rank Approximated MAP Channel Estimation
Since the transmitted data D
u
changes every OFDM symbol interval, the
system complexity could be prohibitively high due to the frequent inversion of
largesize matrices. It was shown in [91] that the instantaneous matrix (D
H
u
D
u
)
−1
can be replaced with E¦(D
H
u
D
u
)
−1
¦ at the expense of a negligible performance
degradation. Assuming a normalized constellation power and equally probable
constellation points, we can easily show that E¦(D
H
u
D
u
)
−1
¦ = αI, where I
N
is
an N N identity matrix and α equals 1, 1.8889, and 2.6854 for QPSK, 16QAM,
and 64QAM, respectively. Thus, Eq. (5.33) can be approximated as
ˆ
H
v,u
= R
H
(R
H
+ σ
2
E¦(D
H
u
D
u
)
−1
¦)
−1
D
−1
u
Y
v,u
= R
H
(R
H
+ σ
2
αI)
−1
D
−1
u
Y
v,u
= R
H
R
ˆ
H
v,u,LS
= Γ
ˆ
H
v,u,LS
(5.34)
where Γ = R
H
R and R = R
H
+ σ
2
αI. Furthermore, Γ can be optimally ap
proximated by an N N matrix, Γ
m
, with low rank. It was proven in [92] that
an optimal rank reduction can be achieved by minimizing the trace of the extra
covariance as
min
Γ
m
tr[(Γ −Γ
m
)R(Γ −Γ
m
)
T
]. (5.35)
69
The solution of above equation is to make Γ
m
R
1/2
the best low rank approximation
of ΓR
1/2
. After applying singular value decomposition (SVD) of matrix R
H
, R
H
=
UΛU
H
, ΓR
1/2
can be expressed as
ΓR
1/2
= R
H
R
−1/2
= R
H
(R
H
+ σ
2
αI)
−1/2
= UΛU
H
(U(Λ+ σ
2
αI)U
H
)
−1/2
= UΛ(Λ+ σ
2
αI)
−1/2
U
H
(5.36)
where Λ is a diagonal matrix with elements of λ
m
, m = 0, 1, , N − 1. Let X =
Λ(Λ+σ
2
αI)
−1/2
and ∆ = X(Λ+σ
2
αI)
−1/2
. The lowrank approximated channel
estimate is derived as
ˆ
H
v,u
= UX
m
U
H
(U(Λ+ σ
2
αI)U
H
)
−1/2
ˆ
H
v,u,LS
= UX
m
(Λ+ σ
2
αI)
−1/2
U
H
ˆ
H
v,u,LS
= U∆
m
U
H
D
−1
u
Y
v,u
(5.37)
where X
m
and ∆
m
are the N N diagonal matrices whose ﬁrst L + 1 diagonal
elements are the same as those of X and ∆, respectively. The rest of the diagonal
elements of X
m
and ∆
m
are all 0’s. Thus the ﬁrst L + 1 diagonal elements of ∆
m
are represented as
λ
m
λ
m
+σ
2
α
, m = 0, 1, 2, , L.
5.3.3. EMbased MAP Channel Estimation
Since the signal power is not changed by the transmitter correlation matrix,
the (m, n)th element of the covariance matrix R
H
can be derived as
[R
H
]
m,n
= E
¸
¯
H
v,u
(m)
¯
H
∗
v,u
(n)
¸
70
= E
L
¸
l
1
=0
¯
h
v,u
(l
1
)e
−j2πml
1
N
L
¸
l
2
=0
¯
h
v,u
(l
2
)e
−j2πnl
2
N
¸
=
1
N
2
E
L
¸
l=0
N−1
¸
n
1
=0
h
v,u
(n
1
, l)
N−1
¸
n
2
=0
h
v,u
(n
2
, l)e
−j2π(m−n)l
N
¸
=
1
N
2
E
L
¸
l=0
N−1
¸
n
1
=0
N−1
¸
n
2
=0
A
v,u
(n
1
, l)A
v,u
(n
2
, l)
e
−j2π(m−n)l
N
¸
=
L
¸
l=0
e
−l/L
e
−j2π(m−n)l
N
1
N
2
N−1
¸
n
1
=0
N−1
¸
n
2
=0
J
0
(2πf
d
T
s
(n
2
−n
1
)) (5.38)
It is assumed that the normalized Doppler shift is less than 0.05. Thus, the
value of J
0
(2πf
d
T
s
(n
2
−n
1
)) is close to 1. [R
H
]
m,n
can be approximated as
¸
L
l=0
e
−l/L
e
−j2π(m−n)l
N
, where the normalization factor is deﬁned in Eq. (5.2).
After performing SVD of matrix R
H
, we can obtain the unitary matrix U and the
singular values λ
m
, m = 0, 1, 2, , L.
The EMbased MAP algorithm can be eﬃciently implemented as
Estep: for u = 1, 2, . . . , N
T
,
ˆ
Y
(g)
v,u
= D
u
U∆
mi
U
H
F
ˆ
h
(g)
v,u
(5.39)
ˆ r
(g)
v,u
=
ˆ
Y
(g)
v,u
+ β
u
¸
Y
v
−
N
T
¸
u=1
ˆ
Y
(g)
v,u
¸
(5.40)
where, as the EMbased LS scheme, superscript
p
represents the gth subiteration
and β
u
, u = 1, , N
T
, satisfy
¸
N
T
u=1
β
u
= 1 and are typically chosen as β
1
= =
β
N
T
. ∆
mi
is the pseudoinverse of diagonal matrix ∆
m
; the L+1 nonzero diagonal
elements of ∆
mi
equal
λ
m
+σ
2
α
λ
m
, m = 0, 1, 2, , L.
Mstep: in order to minimize the detection error, the estimated channel
coeﬃcient can be expressed as
ˆ
h
(g+1)
v,u
= F
H
U∆
m
U
H
D
−1
u
ˆ r
(g)
v,u
. (5.41)
71
Since D
u
is a diagonal matrix, its inversion can be obtained by division only. No
matrix inversion is required for the proposed EMbased MAP channel estimator.
This scheme can achieve optimal performance with relatively low complexity.
72
6. DATA DETECTION FOR MOBILE MIMO OFDM SYSTEMS
The ultimate goal of a receiver is to detect the transmitted symbols with min
imum probability of detection error based on the received signal, which is distorted
by the noise and channel. For MIMO OFDM systems, the interference between
signals simultaneously transmitted from the multiple transmit antennas consider
ably increases the detection complexity. Maximum likelihood (ML) is an optimal
detector. However, the implementation is restricted by the signiﬁcant increase in
complexity, which exponentially grows with the number of transmit antennas [36].
Thus, several suboptimal detectors have been developed, e.g., zeroforcing (ZF)
and minimummeansquare error (MMSE) linear detectors. Both ZF and MMSE
can decouple spatial interference by matrix inversion. While reducing the detec
tion complexity, these receivers suﬀer a loss in diversity gain. It has been shown
that these receivers achieve a receive diversity order of N
R
− N
T
+ 1 instead of
the usual N
R
[82, 52]. Alternative nonlinear receivers have also been considered,
e.g., successive interference cancellation (SIC) [7, 93] detection. Signals transmit
ted from multiple antennas are detected in an optimal order and the interference is
successively cancelled from the received signal. In reality, the receiver is designed
by balancing the detection performance and the system complexity.
Based on the channel estimation schemes (LS, EMbased LS, EMbased
MAP, etc.) of MIMO OFDM systems described in Chapter 5, the (L + 1) 1
vector of the channel multipath fading,
ˆ
h
v,u
, can be estimated. Thus the estimate
of the channel frequency response at the kth subcarrier,
ˆ
H
v,u
(k)(v = 1, 2, , N
R
and u = 1, 2, , N
T
), can be obtained for all the subchannels by applying Eq.
(5.5). Let
ˆ
H(k) denote an N
R
N
T
channel matrix whose (v, u)th element is
ˆ
H
v,u
(k) and let Y (k) denote an N
R
1 received vector whose vth element is Y
v
(k).
73
From Eq. (5.11), the received vector at the kth subcarrier of MIMO systems can
be expressed as
Y (k) =
ˆ
H(k)d(k) +N(k) (6.1)
where d(k) is a N
T
1 transmitted vector whose uth element is d
u
(k) and N(k)
is a N
R
1 noise vector whose vth element is ζ
v
(k) plus W
v
(k).
6.1. ZF and MMSE Detection
A linear approach to recover d(k) from Y (k) is to use a N
T
N
R
weight
matrix W (either W
ZF
or W
MMSE
), which linearly combines the elements of Y (k)
to estimate the transmitted symbols, i.e.,
ˆ
d(k) = WY (k). By inverting the channel
with the weight matrix, the ZF algorithm nulls out the interference introduced from
the channel matrix. The ZF weight matrix is deﬁned as
W
ZF
=
ˆ
H(k)
†
=
ˆ
H(k)
H
ˆ
H(k)
−1
ˆ
H(k)
H
(6.2)
where ()
H
denotes Hermitian, ()
−1
denotes matrix inversion, ()
†
denotes ma
trix pseudoinversion. The drawback of the ZF detection scheme is that nulling
out the interference without considering the noise will increase the noise power
signiﬁcantly, which results in performance degradation. The analysis is mainly
described in Chapter 3. To avoid this noise enhancement, MMSE detec
tion scheme minimizes the meansquare of the detection error, i.e., J(W) =
E
(d(k) −
ˆ
d(k))
H
(d(k) −
ˆ
d(k))
¸
, with respect to W. The optimum weight can
be derived as
W
MMSE
=
ˆ
H(k)
H
ˆ
H(k) + σ
2
AWGN
I
N
T
−1
ˆ
H(k)
H
(6.3)
74
where σ
2
AWGN
is the variance of AWGN noise, I
N
T
is the N
T
N
T
identity matrix.
In the MMSE scheme, the decision vector for the N
T
spatially multiplexed symbols
on the kth subcarrier is obtained as
ˆ
d(k) =
ˆ
H(k)
H
ˆ
H(k) + σ
2
AWGN
I
N
T
−1
ˆ
H(k)
H
Y (k), k = 0, 1, , N −1 (6.4)
where
ˆ
d(k) is an N
T
1 vector whose uth element is the estimate of the symbol
transmitted from the uth antenna at the kth subcarrier,
ˆ
d
u
(k), u = 1, 2, , N
T
.
6.2. ICIbased MMSE Detection
The MMSE scheme would have worked were the channel a slowfading one,
as in such scenario ICI would have been very mild and could be neglected. In
a fastfading channel with high Doppler shift, however, the received signal could
be corrupted severely by ICI. Thus, Eq. (6.4) must be modiﬁed to incorporate
ICI to the MMSE process, forming the ICIbased MMSE to improve the detection
accuracy in the ﬁrst iteration when the ICI approximation and cancellation has yet
not begun. Data detection quality in this initial phase of the iterative process will
aﬀect the receiver performance.
Since for most common OFDM conﬁgurations, the number of subcarrier is
a large number (e.g., 128), the ICI component, ζ
v,u
(k), can be approximately as
a Gaussian random variable by invoking the the central limit theorem [100]. The
variance of ζ
v
(k) can be determined by exploiting the ICI power and the number
of transmit antenna as shown in Eq. (5.9) and Eq. (5.11). Once Doppler shift
is estimated, the variance of ζ
v
(k), N
T
σ
2
ICI
, can be estimated by Eq. (5.32). The
improved decision vector for the kth subcarrier employing the ICIbased MMSE
algorithm is obtained as
75
ˆ
d(k) =
ˆ
H(k)
H
ˆ
H(k) + (σ
2
AWGN
+ N
T
σ
2
ICI
)I
N
T
−1
ˆ
H(k)
H
Y (k) (6.5)
where
ˆ
d(k) is an N
T
1 vector whose uth element is
ˆ
d
u
(k), u = 1, 2, , N
T
.
In OFDM, a stream of symbols are modulated on many equally spaced par
allel subcarriers [17]. Modulation and demodulation are eﬃciently implemented
by IFFT and FFT. However, the orthogonality of the transmitted symbols is main
tained only if the channel is timeinvariant [28]. This section describes how the
ICI is generated due to the nature of timevarying channel. It is shown that ICI
can cause a signiﬁcant eﬀect on a system with large number of densely spaced sub
carriers even for a slowly fading channel. Data detection can be improved based on
the analysis and iterative cancellation of ICI.
In the presence of severe ICI, the ultimate solution would be to cancel it
in the detection process. The channel transfer function can be approximately ex
pressed by using the ﬁrstorder Taylor series expansion as [28]
H
v,u
(k, n) = H
v,u
(k, n
0
) + H
v,u
(k, n
0
)(n −n
0
). (6.6)
Then, ζ
v,u
(k) given in Eq. (5.11) can be rewritten as
ζ
v,u
(k) =
N−1
¸
m=0
H
v,u
(m, n
0
)
Ξ
k
(m)d(m) (6.7)
Ξ
k
(m) =
1
N
N−1
¸
n=0
(n −n
0
)e
j2πn(m−k)/N
, k = 0, 1, , N −1, m = 0, 1, , N −1.
(6.8)
Let Ξ be an NN matrix whose (k, m)th element is Ξ
k
(m), k, m = 0, 1, , N−1.
With the initial estimate of the channel and the temporary symbol decisions for all
the subcarriers, the ICI component is approximated as
ˆ
ζ
v,u
= ΞH
v,u
ˆ
d
u
(6.9)
76
ˆ
d
u
= [
ˆ
d
u
(0),
ˆ
d
u
(1), ,
ˆ
d
u
(N −1)]
T
(6.10)
ˆ
ζ
v,u
= [
ˆ
ζ
v,u
(0),
ˆ
ζ
v,u
(1), ,
ˆ
ζ
v,u
(N −1)]
T
(6.11)
H
v,u
= diag[H
v,u
(0, n
0
), H
v,u
(1, n
0
), , H
v,u
(N −1, n
0
)]. (6.12)
The ﬁrst order derivative of the channel response, H
v,u
(k, n
0
), can be estimated by
calculating the diﬀerence of
¯
H
v,u
(k) between two consecutive OFDM symbols [28].
The ICI component is then cancelled before the next iteration of data detection as
ˆ
Y
v
= Y
v
−
N
T
¸
u=1
ˆ
ζ
v,u
(6.13)
where Y
v
= [Y
v
(0), Y
v
(1), , Y
v
(N − 1)]
T
. Once the ICI component is cancelled
from the received signal, both channel estimation and data detection should be
signiﬁcantly improved. The block diagram of the proposed iterative EMbased
LS channel estimation and ICIbased MMSE detection scheme for MIMO OFDM
systems is shown in Fig. 6.1. Recall that for each transmit antenna, N data sym
bols are transmitted over the N orthogonal subcarriers during one OFDM sym
bol period. In the proposed receiver, an EMbased LS channel estimation scheme
described in Chapter 5 is used to estimate the channel coeﬃcients for all the sub
channels employing the output signals of the FFT block. Then, MMSE detection is
performed based on the ICI power, which can be calculated by exploiting the knowl
edge of the Doppler shift. Once the temporary hard decisions of the transmitted
symbols are available, the ICI component can be approximated and cancelled from
the received signal. Thus, a reﬁned received signal is constructed for the next itera
tion. This iterative process of EMbased channel estimation, MMSE detection, and
ICI approximation and cancellation will continue until certain performance criteria
are met. The performance gain and the impact of various choices of the algorithm
77
IFFT
1
N
T
EMbased
LS
Channel
Estimation
S/P
IFFT S/P
1
N
R
FFT
FFT
ICIbased
MMSE
1
st
Iteration
k
th
Iteration (k>1)
Data detection
MMSE
ICI Approximation and Cancellation
.
.
.
.
.
.
FIGURE 6.1. Block diagram of the proposed iterative EMbased LS channel esti
mation and ICIbased MMSE detection for MIMO OFDM systems.
and system related parameters with the proposed scheme will be presented and
discussed through numerical examples.
6.3. SIC Detection
Successive interference cancellation (SIC) uses the detectandcancel strat
egy similar to that of decisionfeedback equalizer. Either ZF or MMSE can be
used for detecting the signal component used for interference cancellation. It has
been shown that the capacity of MIMO systems decreases in the presence of high
transmit and/or the receive correlations [45, 94]. We will assess the performance
and robustness of the proposed channel estimation schemes in both independent
and highly correlated spatial channels. In highly correlated channels, an adaptive
precoder is needed to optimally adjust the signal power and phase for each antenna
78
by exploiting the longterm spatial correlation characteristics of the MIMO chan
nel. For systems with 2 transmit antennas, a precoder is designed to optimize the
multiple antenna transmission such that data transmitted from diﬀerent antennas
have the same error probability. The 2 2 precoder matrix is given as [93]
M =
√
P
1
0
0
√
P
2
e
−jψ
¸
¸
¸
(6.14)
where ψ = 2πBcos(θ
l
), P
1
=
(1+ρ)
2
1+(1+ρ)
2
, P
2
=
1
1+(1+ρ)
2
, and ρ is the modulus of the
antenna correlation coeﬃcient expressed as ρ = e
(−0.5)(2πBsin(θ
l
)γ
l
)
2
. For the special
case of independent MIMO channels, ρ = 0 and ψ = 0, which result in equal power
allocation (P
1
= P
2
= 1/2) and zero phaseshift. Details of optimal precoder design
for MIMO systems with more than 2 transmit antennas can be found in [93].
Upon obtaining the CSI matrix H(n, l) including spatial correlation eﬀects
by using the proposed scheme described in Section 5.2 or Section 5.3, A(n, l) can
be calculated through Eq. (5.3) for any transmit correlation matrix T
l
. After
applying a linear zeroforcing ﬁlter to the N
R
1 received vector of the kth sub
carrier, i.e., g(k) = A(n, l)
†
Y (k), the symbol transmitted from the ﬁrst antenna
can be estimated by the dot product of the ﬁrst column of T
1/2
l
and g(k).
ˆ
d
1
(k) = [T
1/2
l
(:, 1)]
H
g(k)/
P
1
. (6.15)
Then, the interference coming from the ﬁrst detected symbol can be subtracted
from g(k) before detecting the next symbol as
ˆ g(k) = g(k) −
P
1
T
1/2
l
(:, 1)
ˆ
d
1
(k). (6.16)
The symbol transmitted from the second antenna can be estimated as
ˆ
d
2
(k) = (T
1/2
l
(:, 2))
H
ˆ g(k)/(
P
2
e
−jψ
). (6.17)
79
The block diagram of the iterative EMbased MAP channel estimation and
SIC data detection for MIMO OFDM systems is shown in Fig. 6.2. In the trans
mitter, the adaptive MIMO precoder [93] utilizes spatial multiplexing scheme and
optimally adjusts the signal power and phase for each antenna by exploiting the
long term spatial correlation characteristics of the MIMO channels. Modulation
and demodulation of OFDM are eﬃciently implemented by the means of inverse
fast Fourier transform (IFFT) and fast Fourier transform (FFT). In the receiver,
we propose an EMbased least square (LS) channel estimation scheme to initially
estimate the channel coeﬃcients for all the subchannels by employing the output
signals of the OFDM demodulation. Data is detected by successive interference
cancellation (SIC) scheme. Once the temporary hard decisions of the transmitted
symbols are available, the ICI component can be approximated and cancelled from
the received signal. The received signals after ICI cancellation, the detected sym
bols and the statistical information of the channels are feedback to the EMbased
MAP scheme to obtain more accurate channel parameters.
1
N
T
EMbased
LS
Channel
Estimation
1
N
R
ICI Cancellation
.
.
.
.
.
.
Adaptive
MIMO
Precoder
SIC
Detection
EMbased MAP
Channel Estimation
OFDM
Modulation
OFDM
Demodulation
FIGURE 6.2. Block diagram of simpliﬁed MAP channel estimation and data de
tection for MIMO OFDM systems.
80
6.4. Numerical Examples and Discussion
Error performance of iterative EMbased LS channel estimation and ICI
based MMSE detection for MIMO OFDM systems is shown in Fig. 6.3 – Fig.
6.8. Simulation results are obtained with N = 128 subcarriers employing QPSK
modulation. A cyclic preﬁx of 16 samples is inserted at the beginning of each
OFDM symbol to avoid ISI. One pilot subcarrier is inserted after every 4 data sub
carriers. Thus, the pilot spacing in the frequency domain equals 4/(NT
s
). Since
the multipath spread of the channel is assumed to be LT
s
, the coherence bandwidth
is approximately equal to 1/(LT
s
). Let R be the ratio of the pilot spacing to the
channel coherence bandwidth. That is, R =
4L
N
. Since the grid density of the
pilot symbols must satisfy the 2D sampling theorem in order to recover channel
parameters [95], the pilot spacing must not be greater than half of the coherence
bandwidth, which results in R ≤ 0.5. Thus, R = 0.4375 will be adopted unless
explicitly speciﬁed otherwise (e.g., in Fig. 6.6).
It was shown in [86] that to minimize the MSE of the LS channel estimate,
the pilot sequence must be equipowered, equispaced, and phaseshift orthogonal for
each transmit antenna in frequencyselective environments. Let us deﬁne X
u
1
,u
2
=
F
H
(p)
D
H
u
1
(p)
D
u
2
(p)
F
(p)
, u
1
, u
2
= 1, 2, , N
T
, to measure the orthogonality among
the training sequences, where D
u(p)
and F
(p)
were deﬁned in Section 5.2. It is
required that
X
u
1
,u
1
= I
L+1
(6.18)
X
u
1
,u
2
= 0
(L+1)×(L+1)
, u
1
= u
2
(6.19)
where I is the identity matrix and 0 is matrix whose elements are 0’s. The rows
of the Hadamard matrix satisfy the above criteria and will be used as the training
sequences for diﬀerent transmit antennas.
81
5 10 15 20
10
−4
10
−3
10
−2
10
−1
E
s
/N
0
(dB)
B
E
R
No ICI Cancellation
ICI Cancellation, 1 iteration
ICI Cancellation, 2 iterations
FIGURE 6.3. BER versus E
s
/N
0
with and without ICI cancellation
((N
t
, N
r
) = (2, 3), f
d
T = 0.113, and G = 9).
Since the normalized Doppler shift f
d
T, where T is the OFDM symbol du
ration, describes the channel fading rapidity for a given data rate better than the
absolute Doppler shift f
d
, f
d
T will be used for measuring fading rates. Values
of f
d
T are chosen similar to those adopted in [86]. The channel is assumed to
have 15 multipath components (L = 14) (unless explicitly speciﬁed otherwise) with
an exponentially decaying powerdelay proﬁle. If both the transmitter and the
receiver antennas are suﬃciently separated under the richscattering environment
[38], channel fading processes for diﬀerent subchannels are assumed to be inde
pendent and identically distributed (i.i.d.). In simulations, fading processes are
piecewiseconstant approximated, allowing the channel coeﬃcients to be constant
82
5 10 15 20 25 30
10
−3
10
−2
10
−1
10
0
E
s
/N
0
(dB)
B
E
R
G=3
G=6
G=9
G=12
FIGURE 6.4. The eﬀect of the number of subiterations in the EM process
((N
t
, N
r
) = (2, 2), f
d
T = 0.0452, after 2 iterations of ICI cancellation).
in one sampling interval and change over diﬀerent sampling intervals according to
the spacedtime correlation function given in Eq. (5.1). The deterministic method
described in [48] has been widely used in simulations to generate frequencyﬂat
Rayleigh fading channel coeﬃcients with controllable normalized Doppler shifts.
However, it is diﬃcult to generate uncorrelated multipath components using this
approach. Furthermore, there are known problems with the autocorrelation of the
fading process generated using this model. Thus, many modiﬁed simulators have
been proposed [49–51]. We adopt the model in [49] in our simulations because it
results in better autocorrelation properties of the fading process than the one in
[48].
83
5 10 15 20 25 30
10
−3
10
−2
10
−1
10
0
E
s
/N
0
(dB)
B
E
R
Standard ZF scheme
No ICI Cancellation
ICI Cancellation, 1 iteration
ICI Cancellation, 2 iterations
FIGURE 6.5. Comparison of the proposed scheme with a common ZF detection
scheme ((N
t
, N
r
) = (2, 2) and f
d
T = 0.0452).
The number of subiterations in the EM process G, as mentioned in Sec
tion 5.2, aﬀects the receiver performance. As will be shown later in Fig. 6.4, for
common system conﬁgurations, performance improvements will saturate at G = 9
subiterations. Hence, in the EM process for all simulations, G = 9 with step sizes
of β
1
= β
2
= . . . = β
N
T
= 1/N
T
will be adopted unless explicitly speciﬁed oth
erwise. Fig. 6.3 compares the biterrorrate (BER) performances of the proposed
iterative scheme for a (2,3) MIMO system at a fading rate of f
d
T = 0.113. The
curve corresponding to the case of no ICI cancellation is obtained by employing
the EMbased channel estimates combined with a common MMSE data detection.
Not considering ICI in the MMSE detection process obviously causes an error ﬂoor.
84
5 10 15 20
10
−5
10
−4
10
−3
10
−2
10
−1
E
s
/N
0
(dB)
B
E
R
R=0.4375
R=0.25
R=0.0625
Ideal Case
FIGURE 6.6. The eﬀect of the ratio of pilot spacing to channel coherence band
width R ((N
t
, N
r
) = (2, 3) and f
d
T = 0.113).
The proposed scheme with only two iterations improves the system performance
signiﬁcantly. However, performance improvements are insigniﬁcant with more than
two iterations. Thus, in all the rest of the simulations BER curves will be obtained
after two iterations, except in Fig. 6.5.
In terrestrial digital video broadcasting (DVBT) systems, normalized
Doppler shift of 0.0452 corresponds to the vehicle speeds of 304.72km/h for the 2k
mode (2048 subcarriers) and 76.18km/h for the 8k mode (8192 subcarriers) [28].
Fig. 6.4 shows the BER performance with diﬀerent number of subiterations (G) of
EM algorithm for a (2,2) MIMO OFDM system at a fading rate of f
d
T = 0.0452.
There is a huge improvement if G is increased from 3 to 9; however the improvement
85
5 10 15 20
10
−5
10
−4
10
−3
10
−2
10
−1
E
s
/N
0
(dB)
B
E
R
fdT=0.113
fdT=0.0904
fdT=0.0452
Ideal Case
FIGURE 6.7. Performance comparison between the proposed scheme and the ideal
case ((N
t
, N
r
) = (2, 3) and L = 5).
is negligible beyond G = 9 subiterations. Fig. 6.5 compares the performance of
the ICIbased MMSE with phaseshift orthogonal training sequence (POTS) with
that of the common ZF detection scheme with orthogonal training sequence (OTS).
Signiﬁcant performance gains of the proposed scheme over the common ZF scheme
are observed for a (2,2) MIMO system at a medium normalized Doppler shift of
f
d
T = 0.0452.
The eﬀect of the ratio R deﬁned at the beginning of this section on the BER
performance for a (2,3) MIMO system operating at a fading rate of f
d
T = 0.113 is
shown in Fig. 6.6. As expected, the lower the ratio, the better the performance.
However with the same channel scenario and system conﬁguration, a lower value
86
5 10 15 20
10
−5
10
−4
10
−3
10
−2
10
−1
10
0
E
s
/N
0
(dB)
B
E
R
N
T
=2, N
R
=2
N
T
=2, N
R
=3
N
T
=2, N
R
=4
FIGURE 6.8. The eﬀect of antenna conﬁgurations (f
d
T = 0.113 and R = 0.4375).
of R results in a lower spectral eﬃciency. It will be useful to see the performance
gap between the proposed scheme with that of the ideal case, which is deﬁned as
zero Doppler shift (thus, no ICI) and perfect knowledge of channel coeﬃcients. In
simulation for the ideal case, fading coeﬃcients are generated based on the quasi
static model. The BER performance with diﬀerent Doppler shifts is shown in
Fig. 6.7 for a (2,3) MIMO system and the channel has ﬁve multipath components
(L = 4). The performance gap is within 3dB compared to the ideal case with f
d
T
as high as 0.113.
Fig. 6.8 shows the BER versus E
s
/N
0
curves with f
d
T = 0.113 and
R = 0.4375 for diﬀerent numbers of transmit and receive antennas: (N
T
, N
R
) =
87
(2, 2), (2, 3), (2, 4). Under the same system conﬁguration and fading rate, the
proposed scheme achieves about 4dB gain over the scheme given in [86] for a (2,4)
MIMO system at the BER of 1.2 10
−3
. Also, as expected, a (2, 4) system per
forms much better than a (2, 2) or a (2, 3) system, as it has the highest diversity gain
provided by large diﬀerence between the number of receive and transmit antennas.
5 10 15 20
10
−4
10
−3
10
−2
10
−1
E
s
/N
0
(dB)
B
E
R
G=3
G=6
G=9
G=12
FIGURE 6.9. The eﬀect of the number of subiterations in the EM process
(N
T
= 2, N
R
= 3, uncorrelated spatial channels).
Error performance of iterative EMbased MAP channel estimation and SIC
detection for MIMO OFDM systems is shown in Fig. 6.9 – Fig. 6.14. Simulation
results are obtained with N = 128 subcarriers employing QPSK modulation. A
cyclic preﬁx of 16 samples is inserted at the beginning of each OFDM symbol to
avoid ISI. One pilot subcarrier is inserted after every 4 data subcarriers. R is
deﬁned as the ratio of the pilot spacing to the channel coherence bandwidth. That
88
5 10 15 20
10
−3
10
−2
10
−1
10
0
E
s
/N
0
(dB)
B
E
R
EM−based LS channel estimation
LS channel estimation
EM−based MAP channel estimation
MAP channel estimation
Ideal case
FIGURE 6.10. Performance comparison of various channel estimation schemes
(N
T
= 2, N
R
= 2, uncorrelated spatial channels).
is, R =
4L
N
. Fading processes for diﬀerent subchannels are all assumed to be
independent and identically distributed for spatially uncorrelated MIMO channels.
In terrestrial digital video broadcasting 2k mode (DVBT) systems, if the vehicle
speed is 134.8km/h, the normalized Doppler shift is 0.02 [28]. Thus, f
d
T = 0.02 is
considered to be a fairly large Doppler shift for the simulated mobile environment.
In simulations, fading processes are piecewiseconstant approximated, allowing the
channel coeﬃcients to be constant in one sampling interval and change over diﬀerent
sampling intervals according to the spacedtime correlation function given in Eq.
(5.1).
89
5 10 15 20
10
−5
10
−4
10
−3
10
−2
10
−1
E
s
/N
0
(dB)
B
E
R
EM−based LS channel estimation
LS channel estimation
EM−based MAP channel estimation
MAP channel estimation
Ideal case
FIGURE 6.11. Performance comparison of various channel estimation schemes
(N
T
= 2, N
R
= 3, uncorrelated spatial channels).
The number of subiterations in the EM process G, as mentioned in Section
5.3.3, aﬀects the receiver performance. As will be shown later in Fig. 6.9, for
common system conﬁgurations, performance improvements will saturate at G = 9
subiterations. Hence, in the EM process for all simulations, G = 9 with step
sizes of β
1
= β
2
= . . . = β
N
T
= 1/N
T
will be adopted unless explicitly speciﬁed
otherwise. Figs. 6.10 and 6.11 compare the error performances when the receiver
employs an LS, a MAP, an EMLS, and an EMMAP channel estimator for 2, 2)
(i.e., N
T
= 2, N
R
= 2) and (2, 3) MIMO OFDM systems. Performance of the
ideal case − zero Doppler shift (thus, no ICI) and perfect knowledge of channel
coeﬃcients − is used as the baseline performance. The EMMAP scheme performs
90
5 10 15 20
10
−5
10
−4
10
−3
10
−2
10
−1
E
s
/N
0
(dB)
B
E
R
R=0.4375
R=0.25
R=0.0625
Ideal Case
FIGURE 6.12. The eﬀect of the ratio of pilot spacing to channel coherence band
width (N
T
= 2, N
R
= 3, uncorrelated spatial channels).
almost the same as the normal MAP scheme, but the latter is computationally much
more extensive than the former. Approximately 2dB improvement is observed with
the EMbased MAP estimator over the EMbased LS estimator.
The eﬀect of the ratio of pilot spacing to the channel coherent bandwidth on
the BER performance for a (2, 3) MIMO OFDM system operating at a fading rate
of f
d
T = 0.02 is shown in Fig. 6.12. As expected, the lower the ratio, the better the
performance. However with the same channel scenario and system conﬁguration, a
lower value of R results in a lower spectral eﬃciency. The performance gap between
the proposed scheme with that of the ideal case increases with larger R.
91
5 10 15 20
10
−6
10
−5
10
−4
10
−3
10
−2
10
−1
10
0
E
s
/N
0
(dB)
B
E
R
(2,2) EM−based MAP estimator
(2,2) Ideal Case
(2,3) EM−based MAP estimator
(2,3) Ideal Case
(2,4) EM−based MAP estimator
(2,4) Ideal Case
FIGURE 6.13. Performance of the proposed scheme with diﬀerent antenna conﬁg
urations (R = 0.4375, uncorrelated spatial channels).
Fig. 6.13 shows the BER versus E
s
/N
0
curves with the EMbased MAP
channel estimator under f
d
T = 0.02, R = 0.4375, and diﬀerent numbers of transmit
and receive antennas: (2, 2), (2, 3), (2, 4). The error performance is also compared
with the ideal case. For all cases simulated, performance of the proposed scheme
is within about 2dB of that of the ideal case. In order to demonstrate the ro
bustness of the proposed algorithm in the presence of high spatial correlations, the
error performance of a (2, 2) system with diﬀerent spatial correlation coeﬃcients
([ρ[ = 0.75, 0.93, 0.993, 1) is presented in Fig. 6.14. With the knowledge of channel
correlation matrix, a precoder is applied for transmit power and phase optimiza
tion. Combined with the proposed EMMAP estimator and the iterative detection
92
15 20 25 30 35
10
−4
10
−3
10
−2
10
−1
10
0
E
s
/N
0
(dB)
B
E
R
No precoder (ρ=0.993)
No precoder (ρ=0.93)
No precoder (ρ=0.75)
With precoder (ρ=1)
FIGURE 6.14. Performance of the proposed scheme in the presence of high spatial
correlation (N
T
= 2, N
R
= 2, f
d
T = 0.04).
scheme, no error ﬂoors are observed even under high spatial correlation and fast
fading (f
d
T = 0.04).
6.5. Conclusion
We have proposed an iterative EMbased LS and ICIbased MMSE detec
tion scheme for MIMO OFDM systems over timevarying fading channels. This
scheme incorporates an EM algorithm to avoid inversions of largesize matrices in
obtaining the LS channel estimates. This signiﬁcantly reduces the computational
complexity while the LS performance is still maintained. To improve data detection
performance, variance of ICI caused by timevarying fading is taken into consid
93
eration in the MMSE process of the initial iteration. The ICI component is then
approximated and cancelled in the iterative channel estimation and data detection
process.
An iterative EMbased MAP channel estimation and SIC detection is pro
posed for MIMO OFDM systems. The initially detected symbols and the received
signals after ICI cancellation are processed by the EMbased MAP estimator to
reﬁne the channel state information (CSI). Simulation results under diﬀerent chan
nel environments, MIMO conﬁgurations, and other algorithmrelated parameters
demonstrate the great robustness of the proposed scheme to fast fading and spatial
correlations. With a fading rate as high as f
d
T = 0.02, the proposed EMMAP
scheme achieves an error performance that is within about 2dB of the ideal case −
zero Doppler shift (thus no ICI) and perfect knowledge of channel state informa
tion. We also observe a 2dB gain of the proposed EMbased MAP scheme over the
least square (LS) scheme at medium normalized Doppler shifts.
94
7. CONCLUSIONS
7.1. Summary
In this thesis, we have proposed solutions to address various challenging
physical layer issues of mobile MIMO OFDM systems, including channel analy
sis and modelling, channel estimation, and data detection. There are four main
contributions in this thesis.
Firstly, we have derived the closedform pdf expressions of the condition
number (MMSVR) of the channel matrix for various MIMO conﬁgurations. These
analytical results can be used to predict the relative performance of MIMO OFDM
systems without complicated systemlevel simulations. They can also be applied to
determine the lower capacity bound of such systems. Through the channel analysis,
it is clearly observed that an additional receive antenna could provide signiﬁcant
performance improvements. The analytical results indicating the gain/loss of dif
ferent conﬁgurations predicted using the mean of the square of MMSVR match
the results obtained through systemlevel simulations very well. The analysis pre
sented in Chapter 3 provides a simple and eﬀective way to predict the relative
performances of diﬀerent MIMO OFDM conﬁgurations.
Secondly, a decision directed maximum a posteriori probability (MAP) chan
nel estimation scheme for symbolbysymbol detection in MIMO systems has been
derived. This scheme has a low complexity and can be applied to timevarying
Rayleigh fading channels with an arbitrary spacedtime correlation function. Nu
merical results indicate that a long memory depth is unnecessary for a system to
work well. The channel estimation quality deteriorates as the number of transmit
antennas increases. The fading rate has a high impact on system performance and
the proposed scheme is more appropriate for the channels with low to medium
95
Doppler shifts. Large block length between adjacent pilot blocks can be deployed
with the proposed scheme. This results in minimum overhead for pilot symbols.
The schemes based on the quasistatic channel model reach an error ﬂoor whereas
the proposed scheme works very well at high E
b
/N
0
values.
In Sections 5.2 and 6.2, we have derived an expectation maximization (EM)
based LS channel estimation and ICIbased MMSE data detection in MIMO OFDM
systems over timevarying fading channels, respectively. The proposed scheme in
corporates an EM algorithm to avoid inversions of largesize matrices in obtaining
the LS channel estimates. This signiﬁcantly reduces the computational complexity
while the LS performance is still maintained. To improve data detection perfor
mance, variance of ICI caused by timevarying fading is taken into consideration
in the MMSE process of the initial iteration. The ICI component is then approxi
mated and cancelled in the iterative channel estimation and data detection process.
We have provided a comprehensive performance evaluation of the proposed scheme
with diﬀerent channel environments, MIMO conﬁgurations, algorithm parameters
such as the number of subiterations in the EM process, and detection schemes.
Comparison is made between the proposed scheme and existing schemes under
similar system setup and channel conditions. The proposed scheme was found to
have superior performance than existing schemes in fastfading environments.
Finally, in order to minimize the MSE of the channel estimates and reduce
the complexity of the implementation simultaneously, an EMbased MAP channel
estimator is proposed in Section 5.3. The channel parameters are initially ob
tained by an EMbased least square (LS) estimator. Then a successive interference
cancellation (SIC) scheme described in Section 6.3 is considered for the data de
tection. With the estimate of the channel and the detected data for the current
symbol interval, ICI component is approximated and removed from the received
96
signals. The detected symbols and the received signals after ICI cancellation are
fed back to the MAP estimator to reﬁne the CSI. 2dB gain is observed by our pro
posed EMbased MAP scheme over LS scheme at medium normalized Doppler shift
(f
d
T = 0.02). Performance comparison is made between the proposed scheme and
the ideal case with no Doppler shift and perfect channel estimation. The proposed
scheme achieves excellent performance in fast fading channels with relatively low
complexity. The system performance is also analyzed over the spatially correlated
channels. By exploiting only the long term correlation characteristics, the signal is
optimally transmitted and can be successively detected with no error ﬂoor.
7.2. Future Research
Most of the design and analysis in this thesis is based on openloop MIMO
OFDM systems, which implies no feedback of channel information. However, it has
been shown that channel adaptive transmit beamforming can improve considerably
the performance of MIMO systems [10, 102] by optimally using the available CSI
information at the transmitter. Furthermore, if only limited feedback bits are
available per fading block due to the limited bandwidth of the feedback link, the
eﬀect on the optimal transmission should be analyzed.
97
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AN ABSTRACT OF THE THESIS OF Jie Gao for the degree of Doctor of Philosophy in Electrical and Computer Engineering presented on December 12, 2005. Title: Channel Estimation and Data Detection for Mobile MIMO OFDM Systems
Abstract approved: Huaping Liu
Designing spectral eﬃcient, highspeed wireless links that oﬀer high qualityofservice and range capability has been a critical research and engineering challenge. In this thesis, we mainly address the complexity and performance issues of channel estimation and data detection in multipleinput multipleoutput (MIMO) orthogonal frequency division multiplexing (OFDM) systems over timevarying channels. We derive the probability density function (pdf) expressions of the condition number (i.e., the maximumtominimumsingularvalue ratio, MMSVR) of the channel state information matrix of MIMO OFDM systems. It is shown that this ratio is directly related to the noise enhancement in openloop systems and provides a signiﬁcant insight on the system capacity. A decisiondirected (DD) maximum a posteriori probability (MAP) channel estimation scheme of MIMO systems is derived. Error performance of a zeroforcing receiver with the DD MAP and perfect channel estimates is provided and compared. This scheme has a low complexity and can be applied to timevarying Rayleigh fading channels with an arbitrary spacedtime correlation function.
We propose an iterative channel estimation and data detection scheme for MIMO OFDM systems in the presence of intercarrierinterference (ICI) due to the nature of timevarying channels. An ICIbased minimummeansquare error (MMSE) detection scheme is derived. An expectationmaximization (EM) based least square (LS) channel estimator is proposed to minimize the meansquare error (MSE) of the channel estimates and to reduce the complexity of the implementation. With the estimate of the channel and initially detected symbols, ICI is estimated and removed from the received signal. Thus more accurate estimation of the channel and data detection can be obtained in the next iteration. An EMbased MAP channel estimator is derived by exploiting the frequency/time correlation of the pilot and data subcarriers. Performance comparison is made between the proposed schemes and the ideal case – timeinvariant channels and perfect channel estimation. We optimize the data transmission by exploiting the long term correlation characteristics. The transmitted data is successively detected without an error ﬂoor in spatially correlated channels. The algorithms proposed in this thesis allow lowcomplexity implementation of channel estimation and data detection for MIMO OFDM systems over timevarying fading channels, while providing good error performance.
c Copyright by Jie Gao December 12, 2005 All Rights Reserved
Channel Estimation and Data Detection for Mobile MIMO OFDM Systems by Jie Gao
A THESIS submitted to Oregon State University
in partial fulﬁllment of the requirements for the degree of Doctor of Philosophy
Presented December 12, 2005 Commencement June 2006
Doctor of Philosophy thesis of Jie Gao presented on December 12, 2005
APPROVED:
Major Professor, representing Electrical and Computer Engineering
Director of the School of Electrical Engineering and Computer Science
Dean of the Graduate School
I understand that my thesis will become part of the permanent collection of Oregon State University libraries. My signature below authorizes release of my thesis to any reader upon request.
Jie Gao, Author
understanding and unconditional love that I received from my parents and my husband Yutao. and to Shiwei Zhao. Dr. . Finally. research. committee. I would like to express my deepest gratitude for the constant support. Ozdural for the collaborative work in Chapter 3. His wide knowledge and logical way of thinking have been of great value for me. Mario E.ACKNOWLEDGMENTS First of all I would like to express my sincere gratitude to my advisor Dr.D. Yu Zhang and Liang Xian for always being available for technical discussions. Maga˜ a.D. His technical advice and constructive comments have provided a good basis for this thesis. for providing me the opportunity to work with the great people that I met along the way. Special thanks to Orhan C. Zhongfeng Wang for their great eﬀorts and signiﬁcant amount of time to serve on my Ph. Huaping Liu for his continuous encouragement. Bart Eleveld. Thinh n Nguyen and Dr. My thanks to all the members in my lab for their help and friendship. I would also like to thank Intel Corp. I am deeply indebted to Dr. support and guidance throughout my graduate studies. I am very thankful for his patience and always believing in me during the ups and downs of my Ph. Dr.
. . . . . . . . . . . . . . . . .2 Analysis of MIMO Channel . . . . . . . . . . . . . 30 3. . . . . . . . . . . . . . . . . . 41 4. . .1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 1. . . . . . . . . . . . . . . . . . . . . . . . . . .1 System Model and Detection Schemes. . . . . . . . . . . . . . . . 1 1 5 8 MIMO OFDM COMMUNICATION SYSTEMS. . . . 27 3.2 MIMO Frequencyselective and Timevarying Channels . . . . . .TABLE OF CONTENTS Page 1 INTRODUCTION . . . . . . . Notation Summary . . 30 3. . . . . . . . . . . . . . . . . . . . . . . .1 Information Theory of MIMO . . . . . . . . . . . . . . . . . . . . . . .2 Detection . . . . . Objective and Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 4 DECISIONDIRECTED ESTIMATION OF MIMO TIMEVARYING RAYLEIGH FADING CHANNELS . . . . . . . . . . . 29 3. . . . . . . . . 21 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1. . . . . . . . . .1 MIMO Channels and Properties . . . . . . . . . . . . .4 Numerical Examples and Discussion . . . . . . . . . . . . . . . . . . . . 28 3. . .1 System Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 2. . . . . . . .3 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2. . . . . . . . 28 3. . . . . . . . . 42 . . . . . . . . . . . . . . . . . . . . . . .2 Analysis of Channel Characteristics . . . . . . . . . . . . .3 2 Background and Motivation. . . . . .1. . . . .1 System Model . . . . . . . . . . . . . . . . . 22 3 PERFORMANCE MODELLING OF MIMO OFDM SYSTEMS VIA CHANNEL ANALYSIS . . . . . . . . . . 10 2. . . . . . . . . . .1 Channel Model . . . . . . .1 1. . . . . . . . . . . . . . . . . .2. . . . . . . . . . . . . . . . . . . . . . 10 2. 31 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1. . . . . . . . . . . . . .1. .3 Spatially Correlated and Uncorrelated MIMO Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 2.2 Simulation Model of MIMO Timevarying Channels . . . . 1. .
67 5. . . . . . . . . . . . . . .4 6. . . . . . . . . . . . . 92 7 CONCLUSIONS.2. . . . . .2. . . . . . . . . 56 5. . . . . . . . . . . 77 Numerical Examples and Discussion . . . . . . . . . . . . . . . .2 Summary . . . . . . . . . . . . . . . . . . . . . . 72 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 SIC Detection . . . . . . . 65 5. . . . . . . . . . . . . . . . . . . . . . . . . . .1 MAP Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . .1 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 6. . . . . . . . . . . . . . . . . .1 Decisiondirected Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 4. . . . . . . . . . . . . . . . . 94 Future Research . .3. . . . . . . . . . . . 96 . . . . . . . . . . . . . . . . 49 Conclusion . . . . . . . . . . . . . . . 45 4. . . . . . . . . . . . . . . . . . 68 5. . . . . . . . .3 EMbased MAP Channel Estimation . . .3. . . . . . . . . . . . . . . . . . . . . .2 6. . . . . . . . . . . . . . . . . . . . . . . . . . 69 6 DATA DETECTION FOR MOBILE MIMO OFDM SYSTEMS . .2 Detection . . . . . .5 ZF and MMSE Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 Lowcomplexity MAP Channel Estimation . . . . . . . . . . . . . . 73 ICIbased MMSE Detection . . . . . . . . .2 Low Rank Approximated MAP Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 CHANNEL ESTIMATION FOR MOBILE MIMO OFDM SYSTEM . . . . . . . . . . . . . . . . .2 5. . . .3 6. . . . . . . . . . . . . . . . . .4 5 Numerical Examples and Discussion . . . . . . . 48 4. . . . . . . . . . . . . .3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 5. . 80 Conclusion . . . . . . . . . . . . . . . . . . . 59 EMBased LS Channel Estimation . . . .3 System Model . . . . . . . . . . . .2 Channel Estimation and Data Detection . . . .TABLE OF CONTENTS (Continued) Page 4.3 4. . . . . . . . . . . . . . . . . . . . . . . 94 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . .TABLE OF CONTENTS (Continued) Page BIBLIOGRAPHY. . . . . . . . . 97 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . .4 2. . . . . . .7 2. . . . . . . . . . . .6 2. . . . . . . 15 Channel capacity versus SNR. .9 3. .2 3. . . . . . . . 36 Analytical and simulated probability density of MMSVR for 3 × 3 and 3 × 4 MIMO OFDM conﬁgurations. . . . . . . . . . . . . . . .1 4. . . .3 4. . Throughput comparison of MIMO OFDM systems [70]. . . . . . . . . . . . . . . . . 25 Analytical and simulated probability density of MMSVR for 2 × 2 and 2 × 3 MIMO OFDM conﬁgurations. . .2 4. . . . . . . . . . . . . . . . . . . . . . . . 17 Relative capacity gain versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . .LIST OF FIGURES Figure 2. . . . . . . . . . . . . . . . . . . . . . . . . .5 Page Blockdiagram of a MIMO OFDM system. . 39 The DD MAP channel predictor for MIMO systems. . . . . . 11 Average capacity of spatially uncorrelated MIMO Rayleigh fading channels versus SNR. . . . . . . . . . . . . . . . . . . . . . . 14 Outage probability of spatially uncorrelated MIMO Rayleigh fading channel versus SNR. . . . . . . . . .4 4. . . . 51 BER versus Eb /N0 with diﬀerent fading rates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 3. . .3 2. . . . . . . . . 23 The ideal and simulated crosscorrelation of real and imaginary parts of the modiﬁed Jakes model. . . . . . . . . . . . . . . 49 BER versus Eb /N0 with diﬀerent memory depth L. . . . . . .5 2. . . . . . . . . . . 37 Throughput comparison of MIMO OFDM systems [70]. . . . . . . . . . . . . . . . . . 38 . . . . . . . . . . . . . .2 2. . . 50 BER versus Eb /N0 for diﬀerent number of transmit and receive antennas. . . .8 2. . . .4 4. . . . . . . . . . . . . . . . . .3 3. . . . . . . . 53 . . . . . . . 52 Performance comparison of the proposed scheme and the scheme with the channel treated as block fading. . . 18 Spatial multiplexing order of spatially uncorrelated MIMO Rayleigh fading channels versus SNR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 The theoretical and simulated autocorrelation of the modiﬁed Jakes model. . . . . . . . . 24 The ideal and simulated crosscorrelation of diﬀerent multipath components of the modiﬁed Jakes model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. 3) and L = 5). . . . . 79 BER versus Es /N0 with and without ICI cancellation ((Nt . . 2) and fd T = 0. . . . . . . uncorrelated spatial channels). . . . . . . . . . . . . .4 6. . . . 77 Block diagram of simpliﬁed MAP channel estimation and data detection for MIMO OFDM systems. .4375. . . . . . . . . . . . Nr ) = (2.2 6. . .113 and R = 0. . 81 The eﬀect of the number of subiterations in the EM process ((Nt . . . . .LIST OF FIGURES (Continued) Figure 6. . . . . . . . . . .14 Performance of the proposed scheme in the presence of high spatial correlation (NT = 2. . . . . . . . . .3 6.0452). . . 2). . . 83 The eﬀect of the ratio of pilot spacing to channel coherence bandwidth R ((Nt . and G = 9). . . . . . . . . . . . .12 The eﬀect of the ratio of pilot spacing to channel coherence bandwidth (NT = 2. . .10 Performance comparison of various channel estimation schemes (NT = 2. . .6 6.9 Page Block diagram of the proposed iterative EMbased LS channel estimation and ICIbased MMSE detection for MIMO OFDM systems. . . . . . . . . . . . . . fd T = 0. . . . after 2 iterations of ICI cancellation). . uncorrelated spatial channels). . . . 84 Performance comparison between the proposed scheme and the ideal case ((Nt . . . 3) and fd T = 0. . . . . . . . . . 91 6. . 92 .7 6. . . . . . .0452.04). . . . . . . .113. . . NR = 3. . . NR = 3. . . 89 6. . . . .8 6. . . 86 The eﬀect of the number of subiterations in the EM process (NT = 2. 88 6. . 85 The eﬀect of antenna conﬁgurations (fd T = 0. . . . . . . . . . . . . Nr ) = (2. . . . . Nr ) = (2.4375). . . . . . 90 6. . . . . . . . . . . . . .13 Performance of the proposed scheme with diﬀerent antenna conﬁgurations (R = 0. . . . .5 6. . . Nr ) = (2. . . . . . . uncorrelated spatial channels). . . uncorrelated spatial channels). . . . 3). . . . . 82 Comparison of the proposed scheme with a common ZF detection scheme ((Nt . . .1 6. . 87 6. . fd T = 0. . . .113). . . . uncorrelated spatial channels). . . .11 Performance comparison of various channel estimation schemes (NT = 2. . . . . fd T = 0. . . Nr ) = (2. . . . . . . . . NR = 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . NR = 3. . . NR = 2. . .
INTRODUCTION 1. businesses. particularly in rural communities. It provides wireless services in WMAN and it has the potential to make broadband service available in regions where it is currently not feasible.16 speciﬁcations. 802.11b. provides wireless services in WLAN.1. 802.11g. worldwide interoperability of microwave access (WiMax) is emerging as a lastmile broadband wireless Internet access solution. WiFi.Channel Estimation and Data Detection for Mobile MIMO OFDM Systems 1. Background and Motivation With the rapid growth of wireless communications.11a and 802. WLAN provides homes. Multipleinput multipleoutput (MIMO) systems use multiple transmit and receive antennas to create multiple spatial channels between the transmitter and . In the last ten years. Home A/V network involves wireless connection of electronic and data devices for the convenient access to information and entertainment.11. The main challenge of all these wireless applications is to support high data rate of over one hundred megabits per second with limited bandwidth and restricted power consumption. Based on IEEE 802. there has been an increasing demand for high data rate communications in many applications. such as wireless local area network (WLAN). which includes IEEE wireless standards 802. wireless metropolitan area network (WMAN). and home audio/visual (A/V) network. and campuses with enhanced opportunities to connect to the Internet outside the limited area covered by wired networks.
The performance improvement of MIMO systems can be assessed by diversity gain and spatial multiplexing gain. Spatial multiplexing gain is evaluated by the linear increase in capacity without additional power or bandwidth resources. and spacetimefrequency coding (STFC) are designed to exploit the diversity gain. 8] is an eﬀective approach to achieve spatial multiplexing gain. frequency and space. The upper bound for pairwise word error probability of spacetimefrequency codes was derived in [6]. 5]. spacefrequency coding (SFC).g. e. If perfect channel state information (CSI) is available at the receiver. the average capacity grows linearly with the smaller of the numbers of transmit and receive antennas under certain channel conditions. 2]. Alamouti proposed an orthogonal spacetime block coding for systems with two transmit antennas. This gain is realized by transmitting independent data streams from individual antennas to maximize data rates. the interference between signals simultaneously transmitted from the multiple transmit antennas considerably increases the detection complexity. The optimal detection scheme is maximum likelihood (ML) where the receiver compares all possible combinations of the .. which requires lowcomplexity decoding and provides full diversity gain. which oﬀers the basis for increasing the data rate with limited bandwidth. MIMO systems have been shown to provide high spectral eﬃciencies [1. VBLAST (vertical Bell Labs Layered spacetime) proposed in [7. In [3]. The major potential advantage of MIMO is that signals at both the transmitter and receiver sides are processed in a way such that either the quality measured by bit error rate (BER) or the data rate of the system can be improved. However. time. Spacetime coding (STC). Spacefrequency codes that achieve the maximum diversity gain and optimal coding advantage in frequencyselective MIMO fading channels were proposed in [4. Diversity gain is achieved by transmitting the same signal over multiple independent fading environments.2 receiver.
However. but it converges to zero as SNR increases. By exploiting CSI at both the transmitter and receiver.. It could become prohibitive with many antennas and highorder modulations. zeroforcing (ZF) and minimummeansquare error (MMSE). and is a promising technique for future high data rate wireless systems. CSI is also required at the transmitter as well. a multicarrier modulation technique.3 transmitted symbols with the observed ones. e. which grows exponentially with the number of transmit antennas. while in the closedloop MIMO. especially for mobile communications for which the channel exhibits fastfading [9. Thus. Both ZF and MMSE can decouple spatial interference by matrix inversion. However.. e. OFDM has been used in digital video and audio broadcasting.g. full diversity gain and full spatial multiplexing gain can be achieved by eigenbeamforming. it suﬀers from signiﬁcant increase in complexity. feeding back CSI to the transmitter with limited delay and cost is not a trivial task.g. Orthogonal frequency division multiplexing (OFDM). 10]. It is shown in [11] and [12] that the relative gain in capacity of closedloop systems over openloop systems is signiﬁcant at low signaltonoise ratios (SNR). several suboptimal detection schemes have been developed. To mitigate the ISI caused by the chan . MMSE scheme enhances the detection accuracy by utilizing the noise and interference statistics. Demodulation and modulation are eﬃciently implemented by means of fast Fourier transform (FFT) and inverse fast Fourier transform (IFFT). terrestrial digital video broadcasting (DVBT). divides the wideband channel into many narrow parallel subchannels. thus increasing the symbol duration and reducing the intersymbolinterference (ISI) due to multipath [13–16]. ZF detection scheme will result in poor performance due to the large noise enhancement under certain illconditioned channels. An openloop MIMO is a system where the CSI is only required at the receiver.
g.4 nel multipath spread. It allows the system to transmit data reliably in a timedispersive. CSI can be estimated by using either nonblind pilot assisted approaches that a fraction of the bandwidth is allocated to the known training sequence or blind approaches. such as the mobile WiMax (IEEE 802. two pilot insertion patterns were considered: one exploits the frequencydomain correlation by inserting pilot symbols on certain subcarriers.). the system performance relies on the knowledge of CSI at the receiver. The combination of MIMO and OFDM has been designed to improve the quality of service (QoS) and/or data rate of the system by exploiting the multiplexing gain and/or the diversity gain. 23]. Intercarrierinterference (ICI) due to the nature of timevarying and rapid channel variations makes perfect channel estimates impossible in mobile channels [18–20]. For pilot assisted channel estimation scheme [24]. blind channel estimation requires long time of data observation. will employ multiple transmit and receive antennas with OFDM modulation for increased spectral eﬃciency and improved performance. ﬁnite alphabet. or frequencyselective. The signal is orthogonal under the assumption that the channel is timeinvariant. Evolving wireless standards.11n). each block of IFFT coeﬃcients is preceded by a cyclic preﬁx (CP) whose length is at least equal to the channel length..16e) and WiFi (IEEE 802. constant modulus. Compared with the pilot assisted scheme. Perfect channel estimates can be obtained only if the channel is noiseless and time invariant. the other exploits the . The latter can be implemented by exploiting the statistical information or the deterministic information of the transmitted symbol properties (e. etc. However. A very slow convergence rate limits the application of the statistical approach to mobile channels [21] and the huge computation complexity due to the maximization operation restricts the deterministic approach [22. channel without the need for a complex timedomain equalizer [17].
In order to mitigate ICI eﬀects. Objective and Contributions In this thesis. 30] and [27. respectively. channel estimation algorithms based on combtype pilots with improvements through interpolation at data frequencies were studied. These schemes generally have a high complexity. In [28]. Under this assumption. assuming that the channel coeﬃcients remain approximately constant over the entire OFDM symbol duration. Performance bound of a pilot assisted least square (LS) channel estimator over a multipath slowly fading channel was derived in [26]. the timedomain approach. requires fewer pilot symbols than the frequencydomain approach. In [25]. MIMO OFDM communication systems are described and the statistical . A Kalman ﬁlter based scheme to estimate the statetransition matrix of timevarying MIMO OFDM channels and a scheme based on minimizing the meansquare error (MSE) of a cost function were developed in [29.2. we propose lowcomplexity channel estimation and data detection schemes for MIMO OFDM systems over frequencyselective and fastfading channels. For slowfading channels. an iterative multistage channel estimator. Recent works [22.5 timedomain correlation by inserting pilot symbols on all subcarriers at some time slots. owing to the slower correlation decaying rate. especially when the number of subcarriers is large. The discrete Fourier transform (DFT) and discrete cosine transform (DCT) interpolationbased channel estimation schemes were proposed in [32–34] for MIMO OFDM systems. there is no ICI. 31]. 27] have adopted the quasistatic model. this assumption is no longer valid for fastfading channels. which iteratively cancels ICI by maximizing the signaltonoiseplusICI ratio was derived. various detection structures were proposed and compared in [24]. 1. However. ICI makes channel estimation more challenging in mobile channels.
e. A decisiondirected (DD) maximum a posteriori probability (MAP) channel estimation scheme for MIMO timevarying fading channels is derived in Chapter 4. we derive the analytical probability density function (pdf) expression of the condition number (i. Extensive channel analysis simulations are performed for diﬀerent MIMO conﬁgurations to validate the accuracy of the derived closedform pdf of the MMSVR. In Chapter 3. a zeroforcing (ZF) receiver is applied to detect the spatially multiplexed data on a symbolbysymbol basis. Simulated error performance of a ZF receiver with the DD MAP . channel information has to be estimated at the receiver. Because of the high sensitivity of MIMO detection scheme with respect to the channel matrix properties. channel modelling is particularly critical to assess the performance of various MIMO conﬁgurations. It is also demonstrated that the CSI at the transmitter does not dramatically increase the average capacity when the SNR is high. The pdf of this ratio could be used to predict the relative performance of various MIMO conﬁgurations with respect to each other without complex systemlevel simulations. In order to exploit the potential advantage of MIMO systems. We show that this ratio is directly related to the noise enhancement in openloop MIMO systems and it provides a signiﬁcant insight on the overall system capacity. Symbol decisions are then fed to the channel predictor for estimation of channel coeﬃcients in future symbol intervals. MMSVR) of the CSI matrix. maximumtominimumsingularvalue ratio. With the estimate of the channel matrix for the current symbol interval. The advantage of implementing multiple antennas at the transmitter and receiver is shown by reviewing the average and outage capacity of MIMO systems. The pdf can also be used to compute the probability of whether certain channels will fail in highthroughput mode.6 properties of the simulation models for the timevarying Rayleigh fading channels are also discussed in Chapter 2..
The complexity of the implementation can be very high due to the frequent inversion of large size matrices. However. and the proposed scheme is more appropriate for channels with low to medium Doppler shifts. we derive an EMbased MAP channel estimator of MIMO OFDM systems to achieve excellent performance without the need of any matrix inversion. ICI could be very severe for OFDM systems with a large number of subcarriers. This scheme has a low complexity and can be applied to timevarying Rayleigh fading channels with an arbitrary spacedtime correlation function. Large block length between adjacent pilot blocks can be deployed with the proposed scheme. Channel estimates are initially obtained by EMbased LS algo . By exploiting the channel statistical information and employing low rank approximation. we derive an ICIbased minimummeansquare error (MMSE) detection scheme to signiﬁcantly improve the initial detection accuracy. After analyzing ICI for each subcarrier. for many applications. In fastfading channels. We propose an iterative channel estimation and data detection scheme for MIMO OFDM systems over frequencyselective and fastfading channels. In order to minimize the mean square error (MSE) of the least square (LS) channel estimate.7 and perfect channel estimates is provided and compared. For wideband transmission. Therefore. consecutive rows of Hadamard matrix are designed as pilot sequences for transmit antennas. The fading rate has a high impact on system performance. an expectation maximization (EM) based LS channel estimator is derived to reduce the receiver complexity while maintaining a high system performance. the computational complexity could be prohibitive due to the need of inversion of largesize matrices. which results in minimum overhead for pilot symbols. in Chapter 5. OFDM is combined with MIMO scheme to mitigate the ISI over frequencyselective fading channels. MAP algorithms generate optimal results.
the data transmission to eliminate an error ﬂoor.3. a successive interference cancellation (SIC) scheme is considered for the data detection. Via such analysis. the system performance in spatially correlated channels is also analyzed. by exploiting the long term correlation characteristics. Notation Summary Acronyms and mathematical notations are listed below. the simulated error performance of the proposed scheme is compared with that of the LS scheme and the ideal case – timeinvariant channels and perfect channel estimation. Then. In Chapter 6. the ICI component is approximated and removed from the received signals. the detected symbols and the received signals after ICI cancellation are fed back to the derived EMbased MAP estimator to reﬁne the CSI. Finally.8 rithm. we optimize. Notation (·)T (·)H (·)∗ (·)† (·)1/2 (·)−1 δ(·) trace(·) Description Transpose Hermitian Complex conjugate Pseudoinverse Matrix squareroot Matrix inversion Dirac delta Sum of diagonal elements . However the channel can be correlated due to the small angular spread and/or not large enough antenna spacing. With the estimate of the channel and the detected data. Most recent work is based on the assumption of uncorrelated MIMO spatial channels. In this thesis. 1.
d.i.9 det(·) MIMO OFDM i. BTS SU RCG ZF MMSE ML MAP EM ISI ICI CSI MMSVR BER SNR SVD Matrix determinant Multipleinput multipleoutput Orthogonal frequency division multiplexing Independent and identically distributed Base transceiver station Subscriber unit Relative capacity gain Zeroforcing Minimummeansquare error Maximum likelihood Maximum a posterior probability Expectation maximization Intersymbolinterference Intercarrierinterference Channel state information Maximumtominimumsingularvalue ratio Bit error rate Signaltonoise ratio Singularvalue decomposition .
Pilot symbols are inserted based on the priorknown pilot patterns. Each of the parallel output symbol streams corresponding to a particular transmit antenna follows the same procedure. the transmitted signals arrive at the receiver from various directions over multiple paths. The demodulation of OFDM could be implemented by using FFT. If the waves of multipath signals undergo phase reversal. Because there are obstacles and reﬂectors in the wireless propagation channels. amplitude. and delay. the guard interval of each OFDM symbol is removed. reduction of the signal strength at the receiver can occur. At the receiver side. the source bitstream is mapped to a symbol stream by the digital modulator. the detected symbols are demodulated to restore the transmitted bitstream. The modulation of OFDM could be eﬃciently implemented by using IFFT. At the transmitter side.10 2. This kind of phenomenon is called multipath fading. which is generally modeled .1. which are characterized as timevarying. MIMO OFDM COMMUNICATION SYSTEMS The blockdiagram of a MIMO OFDM system is shown in Fig. Then the CSI can be extracted and estimated by using the received signal and the pilot information. Spatial multiplexing is a MIMO technique that independent multiple symbol streams are transmitted at the same frequency band over diﬀerent spatial channels. MIMO Channels and Properties This section describes the mobile MIMO wireless channels. 2. 2. The received signal is the summation of these arriving waves with diﬀerent phase. A CP is usually appended to each OFDM symbol to avoid ISI due to the eﬀect of channel multipath spread. Transmitted symbols are detected based on the processed received signal and the estimated CSI.1. Then the symbol stream is paralleltoserial (P/S) converted for transmission. Finally.
the transmitted data rate should be smaller than the coherent bandwidth. For a reliable wireless communication without using an adaptive equalizer or other antimultipath techniques. Blockdiagram of a MIMO OFDM system. FFT Guard Interval Removal Guard Interval Removal S/P FFT . . . This time dispersion of the channel is called multipath delay spread or channel delay spread. S/P Pilot Insertion IFFT Guard Interval Appending P/S Channel Guard Interval Appending P/S Binary data Demodulation Channel Estimation ICIbased Data Detection ICI Approx. . S/P FIGURE 2. .11 Binary data S/P Modulation MIMO Spatial Multiplexing Pilot Insertion IFFT . which equals approximately the inverse of the channel multipath spread. Common measures of multipath delay spread are the rootmean square (rms) delay spread and maximum multipath delay. as Rayleigh fading [35. It is a major obstacle to the reliability of the wireless channels and causes signiﬁcant degradation in the performance of digital wireless communications systems. which is an important parameter to access the performance of wireless systems. Diﬀerent arrival time of the multiple reﬂections of the transmitted signal may result in ISI.1. . 36].
2) where det(·) denotes the determinant operator. s is the NT ×1 transmitted signal vector. N > N . ρ = Es ). y is the NR ×1 received signal vector. Eq. . n is the additive white complex Gaussian noise with E{nnH } = N0 I NR . (2. ensures a ﬁxed total transmit power. the system capacity can be expressed as [1] CEP (H) = log2 det(I NR + ρ HH H ) NT (2. Information Theory of MIMO The system capacity is deﬁned as the maximum transmission rate such that the probability of error could be arbitrary small. Eq.3) where m is rank of the MIMO channel matrix and λi is the ith eigenvalue of the Wishart matrix Q.1) where Es is the transmitted symbol energy.e. and (·)H denotes Hermitian.4) Thus the capacity of MIMO systems grows linearly with the smaller of the number of transmit and receive antennas rather than logarithmically.1.2) and Eq. NR ≥ NT Q= HH H . H is the NR ×NT MIMO CSI matrix.1. T R (2. N0 With equal power (EP) transmission for NT transmit antennas.. Consider a MIMO system with NT transmit and NR receive antennas over a frequencyﬂat fading channel. which is deﬁned as [60] H H H. NT . Let us deﬁne ρ as the signaltonoise ratio (SNR) at any receiver antenna (i. (2.2) can be rewritten in an eigenmode form as m CEP (H) = i=1 log2 (1 + λi ρ ) NT (2. The normalization by the number of transmit antenna.12 2. which can be modeled as y= Es Hs + n NT (2.
A ) can be obtained by averaging over all realizations of the CSI matrix as CEP. ε. is deﬁned as the maximum achievable rate with the outage probability of = {TR : Prob{CEP (H) < TR } < ε}. 2. NR ) denotes a MIMO system with NT transmit antennas and NR receive antennas.3 shows the outage probability of spatially uncorrelated MIMO Rayleigh fading channels versus SNR with diﬀerent MIMO conﬁgurations. If the CSI is unknown at the transmitter and the transmitted signal has Gaussian distribution.5) where E{·} denotes statistical expectation. CEP. 2. O. (2.6) Example: Fig.3) only describe the instantaneous channel capacity of a ﬁxed or one realization of the wireless channel. ε O.7) with the power constrain of trace(V ) ≤ ρ. Let V denote the covariance matrix of the transmitted signal s. The outage capacity. the equal power with . The ﬁxed transmission rate TR is set to be 4 bits per second per Hz. A = E{CEP (H)} (2. (NT . ε .2 shows the average (or ergodic) capacity of spatially uncorrelated MIMO Rayleigh fading channels versus SNR with diﬀerent MIMO conﬁgurations. It is shown in the ﬁgure that the average capacity grows linearly with the smaller of the numbers of transmit and receive antennas. The capacity of the random channel can be characterized by two values: the average (or ergodic) capacity and outage capacity. CEP. Let us deﬁne the ﬁxed transmission rate as TR . The average capacity (CEP. the channel capacity can be expressed as C(H) = max log2 det(I NR + HV H H ) V (2.13 (2. Example: Fig.
4). Average capacity of spatially uncorrelated MIMO Rayleigh fading channels versus SNR. If the CSI is fed back to the transmitter.10) Average (or ergodic) Capacity(bits/sec/Hz) 0 2 4 6 SNR(dB) 8 10 12 14 FIGURE 2.8) where σ 2 is the noise variance at the receive antenna and λi is the eigenvalue of the Wishart matrix deﬁned in Eq. The channel capacity of one speciﬁc MIMO system is deﬁned as NT C≡ i=1 log2 1 + Pi λi σ2 (2.8) (10. In order to obtain the optimal power allocation.2) (4.14 40 35 30 25 20 15 10 5 0 (2.4) (6. uncorrelated sources is the optimal solution. And more power is dynamically allocated to the good condition channels while keeping the same total transmission power. the optimal covariance matrix can be obtained by the waterﬁlling (WF) algorithm. let us deﬁne . (2.6) (8.2.
. we obtain δPi δCO 1 λi /σ 2 = − ν = 0.10) the optimal power allocated to the ith transmit antenna is (2. NT CO ≡ i=1 log2 Pi λi 1+ 2 +ν σ NT P− i=1 Pi (2. δPi log2 1 + Pi λi /σ 2 By deﬁning µ = expressed as Pi = σ2 µ− λi + 1 . ν log2 (2.2) (3.e. Outage probability of spatially uncorrelated MIMO Rayleigh fading channel versus SNR.3.5) 0 2 SNR(dB) 4 6 8 −2 FIGURE 2. δCO = 0).9) where ν is the Lagrange multiplier.3) (4.11) where µ is determined by the power constraint such that . After setting the partial derivative of CO with respect to Pi to zero (i.15 10 0 10 Outage Probability −1 10 −2 10 −3 (2.4) (5.
0.6475i −0.1749 − 0. (2.1451 + 0. i=1 (2.1092 − 0. x ≤ 0.3028i −0.12) The channel capacity with waterﬁlling can be expressed as [2] NT CW F = i=1 NT log2 1 + log2 1 + i=1 Pi λi σ2 λi µ −1 σ2 + = where (x)+ is deﬁned as (2.3263 + 0.1 and ρ can be calculated as ρ = 10SN R/10 = 10. (2. Example: Analyze the optimal power allocation numerically based on the waterﬁlling principle for a (3.5050i −0.16) Step 1: Assume that nonzero power is allocated to all the channels including the worst channel with smallest eigenvalue.0527}.7821 + 0. 2. λi (i = 1.3307i The eigenvalues of the corresponding Wishart matrix.0836i −0. 0.15) 0.14) Since µ is a nonlinear function of the eigenvalues.9010.6553 + 0. are calculated as {2. 3).11) can be calculated as .3248 + 0. The µ deﬁned in Eq.13) (x)+ = x.2595i . x > 0 0. 3) MIMO channel. whose CSI matrix is expressed as 0.4241i H = 0. the optimal capacity can be analyzed numerically for the random channel. Thus the noise variance is σ 2 = 0. Let us assume that the total transmit power is normalized to 1 and the SNR is 10dB.5736i 0.16 NT Pi = P. (2.5213i 0. (2.1169 − 0.3793 + 0.2508.
5333.0182.18) = 0. (2. no power is allocated to channel 3. Step 2: Since the above assumption is not valid.4. Channel capacity versus SNR. and µ is recalculated as µ= Since σ2 λ2 1 P + σ 2 ( λ1 + 1 ) λ2 2 σ2 .17) = 1. (2. σ2 . A new assumption is made such that nonzero power is allocated only to channel 1 and channel 2.1110 and µ > this assumption is valid.4667. P2 = 0.5777. we 8 7 6 Capacity(bits/sec/Hz) 5 4 3 2 Equal Power Transmission Water−filling Transmission 0 2 4 6 SNR(dB) 8 10 12 14 1 FIGURE 2.17 1 P + σ 2 ( λ1 + 1 λ2 µ= However. The relative capacity gain (RCG) is deﬁned as . λi Step 3: The optimal power can be calculated as Pi = µ − obtain P1 = 0. λ2 = 0. and P3 = 0. λ3 = 1.8992 and µ < the assumption is not valid. since σ2 λ3 + 1 ) λ3 3 σ2 . Thus.
Fig. 2) MIMO system. Fig. In the ﬁgure. If the transmitter has channel parameters.18 30 (2.19) where CW F is the capacity with waterﬁlling scheme and CEP is the capacity achieved with equal power allocation. it proves that the capacity gain due to CSI feedback disappears gradually with an increased SNR.5. power is optimally allocated to the spatial channel based on the waterﬁlling principle.4 shows the channel capacity with waterﬁlling and equalpower transmission. RCG = CW F − CEP CEP (2. equal power allocation is applied. 2. 2. If channel information is only available at the receiver.2) MIMO System with Rayleigh fading Relative Capacity Gains due to CSI feedback(%) 25 20 15 10 5 0 0 2 4 6 SNR(dB) 8 10 12 14 FIGURE 2. Relative capacity gain versus SNR. .5 shows the relative capacity gain of a (2.
20) ρ→∞ OD = − lim ρ→∞ (2. Spatial Multiplexing Order of MIMO System . 2.6) (8. Spatial multiplexing order of spatially uncorrelated MIMO Rayleigh fading channels versus SNR.10) 50 100 150 200 250 300 SNR(dB) 350 400 450 500 FIGURE 2.8) (10..21) The spatial multiplexing order is the asymptotic rate at which the average capacity increases with the log scale of SNR.19 There are two asymptotic values to measure the average capacity CA and the outage probability ε: spatial multiplexing order (OSP ) and diversity order (OD ). 10 9 8 7 6 5 4 3 2 1 (2.6 that a MIMO channel can provide a spatial multiplexing order as large as NT if the number of transmit antennas is equal to the number of receive antennas (i. It is shown in Fig.e. NT = NR ).6. log2 (ρ) (2.2) (4. which are deﬁned as OSP = lim CA log2 (ρ) log2 (ε) .4) (6.
where L depends on the ratio of the maximum delay spread of the channel to the OFDM sampling interval. 0). In this case.u (n.u (n.2. · · · . the channel becomes a memoryless channel and the frequency response is ﬂat. l) denotes the tap gain of the lth path at time index n. If L equals 0. which results in ﬂat fading. the timevarying multipath channel can be represented by using the tappeddelay line model with timevarying coeﬃcients but ﬁxed tap spacing [87]. It occurs if the channel delay spread is signiﬁcant compared with the symbol period. Each subchannel is composed of L + 1 paths. the channel is described as frequencyselective fading. With perfect sample timing. Av.20 2. Consider a system with NT transmit antennas and NR receive antennas. This is referred to as ﬂat fading. . then individual frequencies might be attenuated and faded diﬀerently [37].u (n. we can denote the discrete time multipath subchannel from the uth transmit antenna to the vth receive antenna at time nTs as Av. which results in ISI. if the channel coherence bandwidth is much smaller than the signal bandwidth.u (n. Since the signal is bandlimited.u (n) = [Av. The subchannels are deﬁned as the channels over which the signal is transmitted from the uth (1 ≤ u ≤ NT ) transmit antenna to the vth (1 ≤ v ≤ NR ) receive antenna. The delay spread of the channel determines the length of the tapped delay line and the tap spacing must be equal to or less than the reciprocal of the signal bandwidth. The current symbol will collide with later ones. On the other hand. 1). then fading across the entire signal bandwidth is highly correlated. Av.1. L)]T (2. MIMO Frequencyselective and Timevarying Channels If the signal bandwidth is much smaller than the channel coherent bandwidth.22) where (·)T denotes transpose and Av.
l). If both the transmit and receive antennas are suﬃciently separated under the richscattering environment [38]. l1 = l2 (2. Rl = I NR ).u (n.i. represent the mean of the departure angle and the variance of the departure angular spread for the lth path. In this thesis. the subscriber unit (SU) is surrounded by many local scatterers and the antenna spacing is large such that the SU antennas are spatially uncorrelated. l1 )}vecH {A(n.e. and vec{A(n. l)} is the NR NT × 1 vector constructed by stacking all of the columns of matrix A(n.23) where (·)H denotes Hermitian. l = 0. u)th element is Av.21 2. However. l) denote the NR × NT uncorrelated MIMO fading channel matrix whose (v. T l = I NT and Rl = I NR .3.. The spatial channels at the BTS are correlated and determined by the BTS antenna spacing and the angular spread observed at the BTS array [39].).e. channel fading processes for diﬀerent subchannels are assumed to be independent and identically distributed (i. L. respectively. 1. · · · . Assume that diﬀerent paths are uncorrelated. l2 )} = 0NT NR .. the NT × NT transmitter correlation matrix T l and NR × NR receiver correlation matrix Rl reduce to identity matrices.. i. The propagation scenario considered in this thesis is a typical cellular deployment: the base transceiver station (BTS) is located in the tower. Spatially Correlated and Uncorrelated MIMO Channels Let A(n. i. l). In this case. Thus. which is suﬃciently high without any obstruction or local scatterers. 0NT NR represents NT NR × NT NR zero matrix. the transmitter correlation matrix can be represented as .e. If there is no angular spread [39].1.d. we focus our analysis on the downlink case. E vec{A(n. Let θl and γl2 . the transmitter refers to BTS and the receiver refers to SU (i. An uniform linear array (ULA) at both the transmitter and receiver is assumed.
In this MIMO fading channel model.29) where hv. · · · . 0). l). With perfect sample timing. The spatially correlated CSI matrix.u (n. it is shown in [40] that the (m.2.26) where B is the relative antenna spacing.u (n.u (n) = [hv. the rank of the CSI matrix H(n.25) (2. 1).22 T l = a(θl )aT (θl ) a(θl ) = 1. hv. If the angular spread is not zero. 2.u (n. we can denote the discrete time multipath channel at time nTs as hv. Many approaches have been proposed for the modelling and simulation of . Simulation Model of MIMO Timevarying Channels Mobile channel simulators are commonly used to test and evaluate the systems. l) = Rl A(n. ej2π(NT −1)B cos(θl ) B = fc b/c T (2. hv. u)th element of matrix H(n. ej2πB cos(θl ) . l) will most likely have high rank.n ≈ e−j2π(n−m)B cos(θl ) e(−0. n)th element of transmitter correlation matrix T l can be approximated as [T l ]m. H(n. l) is the (v.27) (2. l). L)]T (2. l) is determined not only by the Rayleigh fading (A(n.5)(2π(n−m)B sin(θl )γl ) .28) where (·)1/2 denotes matrix square root. l)) but also by the fading correlation at the transmitter and receiver (T l and Rl ). If the angular spread of the lth path is large. c is the light speed. l)T l 1/2 1/2 2 (2.u (n. · · · . This model is assumed and veriﬁed by measurements in [44–47]. is deﬁned as [39] H(n. and fc is the carrier frequency.24) (2. H(n. b is the absolute antenna spacing.
The theoretical and simulated autocorrelation of the modiﬁed Jakes model.6 0.3 0. The channel of each pair of transmit and receive antennas is assumed to have L + 1 multipath components and fading processes are piecewiseconstant approximated. the Jakes model [48] has been widely used for Rayleigh fading channels. 1 Absolute value of auto−correlation of fading process 0. [49] .23 mobile radio channels. Fading processes for diﬀerent spatial subchannels and diﬀerent paths are all assumed to be independent. Since Jakes model is a deterministic model and has diﬃculties in generating uncorrelated multipath.7 0.7. Among them.5 0. Also. which allows the channel coeﬃcients to be constant in one sampling interval and change over diﬀerent sampling intervals according to the spacedtime correlation function. the ﬁrst and second order statistics of the channel do not change over the entire transmission horizon.1 0 100 200 300 400 500 600 Time index 700 800 900 1000 Theoretical result Simulation Result FIGURE 2.8 0.2 0. diﬀerent modiﬁed simulators are proposed in [49–51].4 0.9 0.
3 −0.5 0. the fading waveform can be modeled with N1 complex oscillators (N1 = Nr /4). proposes a modiﬁed Jakes model to generate uncorrelated mutipath waveforms based on WalshHadamard codewords. By setting αn = 2π(n − 0.24 Cross−correlation of real and imaginary parts of fading process 0. The equal power oscillators are considered in order to eliminate the correlation. The waveform of the model is deﬁned as a(t) = 2 N1 N1 [cos(πn/N1 ) + j sin(πn/N1 )] cos(ωn t + θn ) n=1 (2. where fd is the maximum Doppler shift.2 −0. Nr ) such that the nth ray experiences a Doppler shift ωn = 2πfd cos(αn ).5)/Nr .1 0 −0.4 0. · · · .5 100 200 300 400 500 600 Time index 700 800 900 1000 Simulation Result Ideal Result FIGURE 2. This model assumes that Nr equalstrength rays arrive at a moving receiver with uniformly distributed arrival angle αn (n = 1.30) . 2.3 0. The ideal and simulated crosscorrelation of real and imaginary parts of the modiﬁed Jakes model.1 −0.8. where v is the vehicle speed.4 −0.2 0. fd can be calculated as fd = fc v/c.
In order to generate uncorrelated waveforms.1 0 −0.u (n. u)th element of matrix A(n. n) is the nth value of the lth WalshHadamard code sequence.1 −0.25 0. The lth waveform is generated as a(t. WalshHadamard codewords are used to weigh the oscillator values before summing. n) [cos(πn/N1 ) + j sin(πn/N1 )] cos(ωn t + θn ) n=1 (2. l) = 2 N1 N1 M (l. With a sampling interval of Ts . The ideal crosscorrelation of the real and imaginary parts of the waveform is .2 −0. is determined by the value of a(nTs .7.3 0. The ideal and simulated crosscorrelation of diﬀerent multipath components of the modiﬁed Jakes model. l). The theoretical and simulated autocorrelations of the waveform are shown in Fig.5 100 200 300 400 500 600 Time index 700 800 900 1000 Simulation Result Ideal Result FIGURE 2.4 0.2 0.3 −0. We can see the two results match very well. l). 2.31) where M (l.9.4 −0. the (v.5 Cross−correlation of different multipath components 0. where 2 N1 is the normalization factor to ensure E{a(t)a∗ (t)} = 1. Av. l).
l). which is zero as shown in the ﬁgure. 2.9 and it is compared with the ideal result.8. (2. But it has a slightly inferior crosscorrelation among diﬀerent multipath components compared to the simulation model proposed in [50]. l). can be obtained by Eq. the spatially correlated CSI matrix. The simulated crosscorrelation of the waveforms of diﬀerent multipath components is shown in Fig. . After obtaining uncorrelated channel coeﬃcient.u (n. 2. Av.26 zero and the simulated result is shown in Fig. H(n. The model [49] is considered in this thesis due to its better autocorrelation of the fading process.28). for diﬀerent multipath and distinct pair of transmit and receive antennas and having the knowledge of transmitter correlation matrix.
this approach will be more eﬃcient than the former. MIMO schemes [52–54] and OFDM [27] can be combined to operate at the highthroughput (HT) mode.. 65]. A large condition number (i. In this chapter. the maximumtominimum singularvalue ratio. Thus. 58].27 3. Common openloop linear detection schemes include the ZF and MMSE schemes [2. PERFORMANCE MODELLING OF MIMO OFDM SYSTEMS VIA CHANNEL ANALYSIS Implementation of high data rate WLAN has been a major focus of research in recent years. The eigenvalue analysis for MIMO OFDM systems can be used to reduce the overall system complexity [64. MMSVR could be a convenient and eﬀective metric to characterize the performance of diﬀerent MIMO conﬁgurations. 57] of various MIMO conﬁgurations.e. as it does not require complex systemlevel simulations. If analytical characterizations of the channel are available. assuming Rayleigh fading and independent and identically distributed MIMO OFDM subchannels. MMSVR) of the CSI matrix implies a high noise enhancement and causes the openloop schemes to fail in exploiting the available capacity [59]. The importance and eﬀectiveness of the eigenvalue distribution on MIMO system capacity and the overall system performance have been well recognized [60–63]. Existing research has relied mainly on obtaining the errorrate performance curves to determine the throughput and diversity gains [56. we derive the analytical . the relative capacity and throughput of diﬀerent system conﬁgurations can be obtained by using the channel characteristics. Alternatively. Such systems could achieve high spectral eﬃciency and/or a large coverage area that are critical for futuregeneration wireless local area networks. or the diversity mode. or the combination of both in fading environments [55].
3. 58] will be described. The pdf can also be used to estimate the lower bound on the noise enhancement [66] and the capacity of MIMO channels.4.1. · · · . In Section 3.k is the frequency response of the channel between the nth transmit antenna and the mth receive antenna for the kth subcarrier. Simulation results verify the accuracy of the closedform pdf expressions of MMSVR derived in this chapter.k (3. and all the transmitted symbols share N subcarriers. We establish the relationship between MMSVR and the achievable data throughput.2 introduces the channel model and then derives the pdf of the MMSVR of the channel matrix. · · · .k is the frequency .k . the MIMO OFDM system model and the openloop ZF and MMSE detection schemes [2.k + ζm.1) where Hm.1. the receiver has NR antennas.28 probability density function (pdf) of the MMSVR value.k Xn. · · · . which can be used to predict the relative performance of diﬀerent MIMO conﬁgurations.n. The frequency domain transmitted sequence from the nth (n = 1.k = n=1 Hm. NR ) receive antenna is expressed as NT Ym. while Section 3. NT ) transmit antenna is represented by Xn.3 provides simulation setup and discusses channel analysis simulation results for various MIMO conﬁgurations. The sequence received by the mth (m = 1.1. ζm. System Model and Detection Schemes 3.n. N represents the kth OFDM subcarrier. Concluding remarks are made in Section 3. where k = 1. Section 3. System Model Consider a MIMO OFDM system where the transmitter has NT antennas.1. This chapter is organized as follows.
Y T 1 2 N = HX + ζ where X = [X T . X2.1. ···.k ζ X k + 2. H N ] is a block diagonal matrix. (3. = . YNR . H 2 .29 response of zeromean additive white Gaussian noise (AWGN) with a onesided power spectral density of N0 .k . · · · . ζNR .k HNR . Y T.2.k · · · HNR .k . (3. · · · .k .NT .k ]T . Let us deﬁne the signal transmitted on the kth subcarrier from all the NT transmit antennas as X k = [X1.k .k = H kX k + ζk.k We obtain the general system description by vertically stacking the received signal given in Eq. ζ T ]T .NT . X T ]T . Y2.k · · · H1. · · · .2) ζ1. . XNT .2.k . ζ T . .1. Zeroforcing (ZF) is the simplest openloop method in which the estimates of the transmitted signals are obtained by multiplying the received signal Y with the pseudoinverse of the CSI matrix as . where (·)T denotes transpose. The received signal as a function of the respective CSI matrix H k can be expressed as Y k = [Y1. 1 2 N ζ = [ζ T . · · · .2. .k ]T H1.3) = diag[H 1 . Detection Openloop detection schemes require NR ≥ NT if the system operates at the spatial multiplexing mode. X T .k H1.1. 3. · · · . HNR .2) for all N subcarriers as Y = Y T. 1 2 N and H T (3.k .
The channel is modeled as a ﬁnite impulse response (FIR) ﬁlter where all the L + 1 paths are independent complex Gaussian random variables with zero .n×k . and W could be either W ZF or W M M SE . For a particular CSI matrix H. Note that the detection can be carried out on a subcarrier by subcarrier basis if there is no intercarrier interference.11 model with an exponential powerdelay proﬁle [69]. 3.n×k denotes the (n × k. This method requires channel estimates at the receiver. We adopt the IEEE 802. the noise enhancement will be high. it might result in a high noise enhancement.30 ˆ X = W ZF Y = H + Y = X + ξ (3. n × k)th component of a matrix. and since AWGN is not considered in the estimation process.4) where (·)+ represents the pseudoinverse.5) n×k. W ZF = H + is the weight matrix for the ZF scheme.2.n×k = N0 W W † (3. At high signaltonoise ratios (SNR)..e. the channel from transmit antenna n to receive antenna m) are assumed to be independent. This assumption is valid if the antenna spacing is greater than half of the wavelength of the carrier under richscattering environment.2.n×k where [·]n×k. the instantaneous noise power of the nth data stream transmitted on the kth subcarrier is written as [67] [E{ξξ † }]n×k. E{·} denotes expectation. the instantaneous noise enhancement factor for the nth data stream in the kth subcarrier is [W W † ]n×k. and ξ = H + ζ. Channel Model Spatial subchannels (i. When the MMSVR of H is large. Analysis of MIMO Channel 3.1.
however. In this model. H k . where β = e−Ts /τrms . In the downlink of a practical WLAN system. Ts represents the sampling period. the CSI matrix for each subcarrier. To normalize the 2 channel energy. as mentioned earlier. less than the number of transmit antennas NT . If the channel is illconditioned. · · · . detection using the ZF scheme will experience a low instantaneous SNR. the number of receive antennas NR should not be. the system could run in the high throughput (HT) mode (the number of spatial streams equals the number of transmit antennas) when the received SNR is moderately high. L = 10τrms /Ts .2. 3. the ﬁrst multipath component is chosen as ω0 = (1 − β)/(1 − β L+1 ). should not be an illconditioned1 matrix since such a matrix will cause a high noise enhancement in detection. and τrms is the root meansquare (RMS) delay spread of the channel. First of all. where a and b are deﬁned to be random variables obeying normal distribution with zero mean and variance of ωl2 /2. it is preferred to have more antennas at the transmitter considering power consumption of the receiver. L). it might be better 1 In this chapter.2. resulting in poor performance. For openloop operations. Analysis of Channel Characteristics For the ZF detection scheme to work eﬃciently. . some constraints must be met. a nonsquare matrix is deﬁned to be illconditioned if the minimum singular value of the channel matrix is signiﬁcantly small compared to the maximum singular value.31 mean and average power ωl2 (l = 0. Moreover. the power of multipath components decreases exponentially. The channel impulse response can be written as hl = a + jb. In this case. The energy of the lth 2 multipath component is then deﬁned as ωl2 = ω0 β l . 1.
N .1 −2 V k V k 2 2 0 σk.05 × 10−7 for a 2 × 3 system.11n MIMO WLAN standard is expected to have 2 to 4 transmit and 2 to 4 receive antennas.2 2 0 1 † = σk. using the singular value decomposition (SVD) of the CSI matrix. 1/σk.2 > 0) represent the singular values of matrix H k . For a ranktwo2 ZF scheme in the HT mode.k = W ZF.1  /σk.6) where σk.1 and σk. 1. 3 The probability of having σk.32 to switch the system to operate at the diversity mode (the number of spatial streams is less than the number of transmit antennas).2 2 also represent the noise enhancement factors for the two subchannels. and if γk 1.1 /σk.1 ≥ σk. it is found that the latter is unlikely3 .92 10−4 for a 4 × 5 system.k as † + + † + ΩZF. k = 1.1 2 and 1/σk. .k W † ZF.2 is small or because σk.1 is large. 1.2 (σk. A large γk value could arise either because σk.81 × 10−5 for a 4 × 4 system and 2.2  (3. 8.17 × 10−6 for a 3 × 3 system. · · · . we obtain ΩZF. Let γk = σk.k = H k (H k ) = (H k H k ) = (V k Σ† U † U k Σk V † )+ k k k = V k (Σ† Σk )+ V † k k 2 0 1/σk. thus γk is a good indicator of noise enhancement.71 × 10−9 for a 2 × 2 system.1 larger than ﬁve equals 8. we can conclude that the channel is illconditioned for the kth subcarrier. From simulation results.2 .1  † =Vk V k 0 1/σk.59 × 10−6 for a 3 × 4 system. Let the noise enhancement matrix for the kth subcarrier be Ωk . 5. For an open 2 The main focus of this chapter is on ranktwo and rankthree CSI matrices since the emerging IEEE 802.
Using the alternative capacity representation of [60]. Let λ1 ≥ λ2 ≥ · · · ≥ λu be the eigenvalues of the positivedeﬁnite matrix Qk . σk. The singular values of the CSI matrix for the kth OFDM carrier. Considering σk. a large γk value is mostly due to a small σk. (3. NR ).1 ≥ σk. respectively.2 ≥ · · · ≥ σk. This fact combined with Eq.1 2 + (u − 1) log2 1 + NT NT γk 2 .8) As mentioned earlier. λu are obtained to be −1 fλ (λ1 . are the positive squareroots of the eigenvalues of the positivedeﬁnite Wishart matrix given as Qk = H † H k .2. the capacity of the kth carrier can be written as u Ck = i=1 log2 1 + ρk σk.u > 0.u . MMSVR is also a good measure of the system capacity lower bound. where u = min(NT .u are the maximum and minimum singular values. λ2 .8) clearly indicates that a high value of MMSVR results in a considerably lowered system capacity.33 loop system with a rank higher than two.i 2 NT (3.1 has a Gaussian distribution.1 /σk. · · · . the joint pdf of the eigenvalues of Qk is needed.7) where ρk is the SNR of the kth subcarrier. The joint density function of λ1 . The Fourier transform of the channel impulse response of each OFDM carrier described in Section 3.u value. and σk. To obtain the pdf of γk . H k . λu ) = Ku.v e− i λi i λv−u i i<j (λi − λj )2 (3. where k (·)† represents Hermitian transpose.1 . (3.1 2 σk. the deﬁnition of γk can be generalized as σk.9) . a lower bound of the capacity can be written as Ck ≥ log2 1 + ρk ρk σk. · · · .
9).v is a normalization factor [60]. σu ) dσ1 dσu σ1 fγ (γ) = fγ σu ∞ (3. we can calculate the joint density function of λ1 and λu . and Ku. σu ) − 2 Fλ (σ1 .11) Using Eq. (3. 0). 0 ≤ λu ≤ σu ) 2 2 2 = Fλ (σ1 . σu ) = P ( λ1 ≤ σ1 . From Eq. (1 + γ 2 )6 (3. i = 1. (3. v = max(NT . σi .13) are fγ (γ)2×2 = fγ (γ)2×3 12γ(−1 + γ 2 )2 (1 + γ 2 )4 120γ 3 (−1 + γ 2 )2 = . · · · . u. (3. σu ) − Fλ (0. from which the joint cumulative distribution function is obtained as λ1 λu Fλ (λ1 .13) are . the probability density function of γ. NR ). can be derived as fσ (σ1 .13) For 2 × 2 and 2 × 3 conﬁgurations. λu ).34 where u = min(NT . NR ). of the positivedeﬁnite matrix Qk . omitting the subscript for simplicity of notation in the sequel. λu ) = 0 0 fλ (α. (3.11). u.9)(3.10) Since the singular values of H k . the distributions of γ obtained by using Eqs. the joint cumulative distribution of σ1 and σu is Fσ (σ1 . i = 1.15) Similarly for 3 × 3 and 3 × 4 systems.14) (3.9)(3. (3. fλ (λ1 . σu ) = d2 Fσ (σ1 . the distribution of the singular value ratios obtained using Eqs. (3. are the squareroot of the eigenvalues λi . 0) + Fλ (0. λu ≤ σu ) 2 2 = P (0 ≤ λ1 ≤ σ1 . (3. · · · .12) = 0  σu  fσ (σu γ. σu )dσu . β)dαdβ.
16) (3. γk is the ratio of the maximum and the minimum singular values of H k for the kth subcarrier.2 shows the simulation and theoretical results for the system with 3 transmit antennas. The analytical and simulated pdf of γk ..18) (3.2. Statistics are collected based on 10.e. the simulation and analytical results match very well. 64 subcarriers in one OFDM symbol with a subcarrier frequency spacing of 312.1.000 channel realizations.5kHz). 64. an RMS delay spread of τrms = 50ns and the maximum delay of 10τrms are considered. . Each channel tap is modeled as an independent complex Gaussian random variable. Fig. · · · .35 fγ (γ)3×3 = fγ (γ)3×4 216(−1 + γ 2 )7 (1 + γ 2 )(11 + 20γ 2 + 11γ 4 ) (2 + 5γ 2 + 2γ 4 )6 840γ 3 (−1 + γ 2 )7 (1 + γ 2 )(A3×4 (γ) + B3×4 (γ)) = (2 + 5γ 2 + 2γ 4 )9 (3. 3.3. Numerical Examples and Discussion In simulations. and as deﬁned in Section 3. The parameters of OFDM symbols are chosen as in the IEEE 802.2. (3. For both cases.19) The methodology of calculating the closedform theoretical expressions for the pdf of γ can be easily extended to MIMO OFDM systems with a rank higher than three. k = 1. 3. for a 2 × 2 system and a 2 × 3 system are shown in Fig. The CSI matrix is decomposed on a per OFDM carrier basis.17) where A3×4 (γ) = 4107γ 2 + 11562γ 4 + 15868γ 6 B3×4 (γ) = 454 + 11562γ 8 + 4107γ 10 + 454γ 12 .11a standard (i. 3.
10 MMSVR 12 14 16 18 20 The pdf of γ leads directly to results showing which N × M MIMO conﬁguration is an appropriate choice for the highthroughput mode. For example. it is well known that an N × (M + 1) openloop MIMO scheme outperforms an N × M system.36 0. A 3 × 3 conﬁguration is found to have a much higher probability of illconditioned channels compared to a 2 × 2 system. analytical result 2x2 MIMO OFDM. analytical result 2x3 MIMO OFDM. The pdf of γ derived in this letter conﬁrms this result. It is shown in [66] that the lower bound of the noise .005 0 2 4 6 8 FIGURE 3. The diﬀerence of noise enhancement between two MIMO conﬁgurations will result in diﬀerent throughput. Analytical and simulated probability density of MMSVR for 2 × 2 and 2 × 3 MIMO OFDM conﬁgurations. simulation result 2x3 MIMO OFDM. simulation result 0. the pdf of γ clearly demonstrates that a 2 × 2 spatial multiplexing system will experience a much higher probability of having an illconditioned channel compared to a 2 × 3 system.02 Probability of MMSVR 0.015 0. For instance.1.01 0.025 2x2 MIMO OFDM.
5452. 41.9636. Figs.3 and 3.015 3x3 MIMO OFDM. the relative throughput gains can be estimated through channel analysis as 2 2 10 log10 E{γN ×N }) − 10 log10 (E{γN ×(N +1) }) . simulation result 3x4 MIMO OFDM.37 0.2.9986 for 2 × 2.005 0 2 4 6 8 FIGURE 3.1853 and 17. Using these results.01 Probability of MMSVR 0. 2 × 3.4 show the upper . (3. This bound can be calculated using the analytical expression of the pdf of MMSVR as 2 E{γN ×M } = ∞ 1 γ 2 fγ (γN ×M )dγ. 3. analytical result 3x3 MIMO OFDM. 10 MMSVR 12 14 16 18 20 enhancement when ZF detection is adopted is given as the mean of the square of MMSVR. 3 × 3 and 3 × 4 MIMO conﬁgurations. 7. analytical result 3x4 MIMO OFDM.20) 2 The mean value of γN ×M is calculated to be 19. respectively. simulation result 0. Analytical and simulated probability density of MMSVR for 3 × 3 and 3 × 4 MIMO OFDM conﬁgurations.
For each realization.6dB over the 3 × 3 4 Five thousand channel realizations are created. It is observed that for a throughput of 80Mbps. and the 3 × 4 has a gain of 3. the 2 × 3 system attains an approximate 4. . the corresponding throughput is calculated as T hroughput(i) = D(i) ∗ (1 − P ER(i)). bound of the throughput curves of MIMO OFDM schemes versus SNR4 . The maximum throughput value over all MCS sets is adopted as the ideal hull throughput for a speciﬁc realization [70]. where D(i) is data rate provided by the ith MCS. After obtaining the packet error rate (PER) using the ith MCS.38 120 2x3 Open−Loop 2x2 Open−Loop 100 80 Throughput (Mbps) 60 40 20 0 0 5 10 15 SNR (dB) 20 25 30 FIGURE 3.3.2dB gain over the 2 × 2 system. Throughput comparison of MIMO OFDM systems [70]. the throughput of each modulation coding scheme (MCS) is calculated.
39
180 3x4 Open Loop 3x3 Open Loop 160
140
120 Throughput, Mbps
100
80
60
40
20
0
0
5
10
15 SNR, dB
20
25
30
FIGURE 3.4. Throughput comparison of MIMO OFDM systems [70].
system. These results match well with the results obtained by using Eq. (3.20): 4.2257dB gain for 2 × 3 over 2 × 2, and 3.5950dB gain for 3 × 4 over 3 × 3. The improvement provided by an extra receive antenna is attributed to having fewer illconditioned channels.
3.4. Conclusion We have derived the closedform pdf expressions of the condition number (MMSVR) of the channel matrix for various MIMO conﬁgurations. These analytical results can be used to predict the relative performance of MIMO OFDM
40 systems without complicated systemlevel simulations. They can also be applied to determine the lower capacity bound of such systems. Through the channel analysis, it is clearly observed that an additional receive antenna could provide signiﬁcant performance improvements. The analytical results and the gain/loss of diﬀerent conﬁgurations predicted using the mean of the square of MMSVR matches well that obtained through systemlevel simulations. The results presented in this letter provide a simple and eﬀective way for predicting the relative performances of diﬀerent MIMO OFDM conﬁgurations.
41 4. DECISIONDIRECTED ESTIMATION OF MIMO TIMEVARYING RAYLEIGH FADING CHANNELS MIMO communication systems have been shown to provide high spectral eﬃciencies [1]. If perfect channel coeﬃcients are available at the receiver, a linear increase in ergodic capacity is achievable with MIMO systems [60, 71]. Perfect channel estimates, however, can be obtained only if the channel is either static for a long time (noise can be averaged out) or perfect (no noise). The rapid phase and amplitude variations inherent in a timevarying fading channel render perfect estimates impossible, regardless of the type of channel estimation method used. Channel estimation has been studied extensively for singleantenna systems (e.g., [72–76]). In [68] a pilot embedding method, where lowlevel pilots are transmitted concurrently with data, was proposed for turbo decoding in a MIMO system. The eﬀects of pilot assisted channel estimation on the achievable data rates (capacity lower bound) over a frequency nonselective, quasistatic fading channel were analyzed in [77]. In this scheme, periodic pilot signals assigned to diﬀerent transmit antennas are assumed to be mutually orthogonal. Although it avoids interantenna interference within the pilot periods, such scheme could signiﬁcantly lower the spectral eﬃciency of the system. Throughput of a system with a maximumlikelihood channel estimator that employs periodic optimal training sequences for block and continuous ﬂat fading channels was studied in [78]. In [79], an iterative method was derived to improve the estimation of channel parameters for a MIMO system, based on the assumption that data decisions have already been made. This method needs to invert a matrix of size L × L, with L being the frame length per transmit antenna, for every frame. With practical frame lengths (e.g., L = 130, as applied in simulations in [79]), the computational load could be prohibitively high.
The estimated symbols are then incorporated in the DD MAP channel predictor to obtain estimates of the channel coeﬃcients in future symbol intervals. · · · . The received signals are corrupted by additive white Gaussian noise (AWGN). it has a lower complexity and is capable of operating with signiﬁcantly less pilot symbols. data are serialtoparallel converted and sent to NT transmit antennas for simultaneous transmission. System Model Consider a communication system with NT transmit and NR receive antennas. NR ) system. we derive a decision directed (DD) maximum a posteriori probability (MAP) channel estimation scheme for MIMO systems over timevarying fading channels. which employs M ary phaseshift keying (PSK) with zero intersymbol interference (ISI) design. which is statistically independent among diﬀerent receive antennas. NT (4.1) . We focus on the baseband model of a system. In the transmitter. The uth transmitted data stream (the signal from the uth transmit antenna) is expressed as ∞ xu (t) = i=−∞ Es su (i)g(t − iT ). over a timevarying. frequencynonselective Rayleigh fading channel. u = 1. The results can be easily extended to a MIMO system employing a more general pulseamplitude modulation (PAM) scheme. Each receive antenna responds to each transmit antenna through a statistically independent fading coeﬃcient.1.42 In this chapter. A zeroforcing receiver is applied to detect the spatially multiplexed symbols transmitted in the current symbol interval. Compared to most existing schemes. 4. The proposed scheme does not rely on the assumption of a quasistatic fading model and can be applied in a timevarying environment. denoted as an (NT .
the spacedtime correlation function of the channel can be modeled as Φ(∆t) = J0 (2πfd ∆t) [48]. . NR . · · · .3) . complex widesense stationary Gaussian process with a spacedtime correlation function Φ(∆t) expressed as Φ(∆t) = E{h(t)h∗ (t + ∆t)}. The received signal rv (t) is ﬁltered by a matched ﬁlter. NR (4. where [·]T denotes transpose. sNT (i)]T . 1. .43 where su (i) is the ith symbol of the uth data stream. · · · . Energy of g(t) is normalized to unity. and then sampled at the symbol rate of each data stream. s2 (i). The NR × 1 received signal vector at the ith discretetime interval is obtained as r(i) = Es H(i)s(i) + ν(i) (4.u (t) represents the fading process for signals from the uth transmit antenna to the vth receive antenna and νv (t) is a complex zeromean white Gaussian noise process with power spectral density N0 . and g(t) is the transmitted Nyquist pulse applied to all transmitted data streams. i..e. is the sum of signals transmitted from NT transmit antennas and is expressed as NT ∞ −∞ g 2 (t)dt = rv (t) = u=1 Es hv. .u (t)xu (t) + νv (t).2) where hv. where fd represents the maximum Doppler shift of the channel and J0 (·) is the zeroth order Bessel function of the ﬁrst kind. Es is the energy per symbol. zeromean. T is the symbol interval. v = 1. The timevarying fading channel introduces a random amplitude and phase shift to the transmitted signal. v = 1. . Let the NT × 1 transmitted signal vector in the ith symbol interval be s(i) = [s1 (i). The received signal of the vth antenna rv (t). The fading channel process h(t) is modeled as a normalized. In a typical mobile communication environment. where E{·} denotes statistical expectation and (·)∗ represents complex conjugate. matched to g(t).
· · · . are such that the piecewiseconstant. and s(i−L).1 (i) hNR .2 (i) · · · h1. .1 (i) h1. . The channel matrix H(i) (NR × NT ) is expressed as H(i) = h1 (i) h2 (i) .1 (i) h2. hNR . . · · · . Periodic pilot blocks can be inserted in the data stream to improve estimation quality and to stop error propagation when the receiver is operating in the decision directed mode. · · · .u (i).N (i) T =. s(i) is detected ˆ ˆ ˆ ˆ ˆ using H(i). . · · · . u = 1.NT (i) h2. . · · · . estimates of s(i − L).2 (i) · · · h2. It is assumed that the temporal variations of the fading processes. Each element of H(i) is a zeromean. s(i−1). In the proposed channel estimation and data detection scheme. s(i − 1).u (i)su (i) + νv (i). H(i−1). H(i) and s(i − L + 1).u (t).u (i)]T . hNT (i) h1. In the discretetime channel formulation adopted above. · · · . Then. represent the channel coeﬃcients from the uth transmit antenna to all NR receive antennas. s(i) are used to estimate H(i + 1). h2. H(i − 1) and s(i − L). the fading process is piecewiseconstant approximated in each symbol interval. H(i) is obtained ˆ ˆ ˆ ˆ using H(i − L). Let us assume that u=1 ˆ ˆ ˆ ˆ H(i−L).44 where ν(i) is the complex zeromean noise vector. estimates of H(i−L). . these channel coeﬃcients could be obtained by using pilot symbols. hv. NT . H(i−1). . At the beginning of the transmission. · · · . . . . discretetime approximation is valid. complex Gaussian random variable of unit variance.2 (i) · · · hNR . The vth component of r(i) represents the received signal from the vth receive an√ tenna and is expressed as rv (i) = NT Es hv. . . After that.NT (i) (4. have been obtained.u (i). .4) where NR×1 column vectors hu (i) = [h1. hNR . . s(i − 1). . . H(i − L + 1). · · · .
NT .2. · · · .6) . To estimate hv. NR . v = 1. yv. have been made. yv.u (l) in Eq. the interantenna interference.u (l). we consider a sliding window approach ˆ in which hv.u (i−1)]T (4. √ (4. rv (l). hv. su (i − 1). consists of the desired signal. Let us assume that estimates of previous symbols. yv. · · · .1. and channel coeﬃcients in previous symbol ˆ ˆ ˆ ˆ ˆ intervals. v = 1. · · · .u (l).u (l) = rv (l) − k=1 k=u ˆ Es hv. if the channel is noiseless. there will be decision and channel estimation errors. and channel estimates are perfect. and symbol decisions within a window of L symbols preceding the current symbol. L) as y vu (i. Ideally. In a practical timevarying fading environment. and yv. · · · .u (i − 1). l = i − L. Channel Estimation and Data Detection 4. · · · . (4. hv. · · · . and a noise term. L) = [yv. · · · . the desired component needed for the decisiondirected channel estimation. then yv.45 4.5) yv. Speciﬁcally.3) even if an estimate of symbol vector s(i) is available.u (i − L + 1). · · · .k (l)ˆk (l) /ˆu (l) s s u = 1.2. (i − L + 1). feedback symbol decisions are correct. · · · .u (l) is constructed as NT (4.u (i−L). hv. Let us deﬁne an L × 1 vector y vu (i. i − 1. l = (i − L). it is impossible to solve for H(i) based on the received signal model given in Eq. Note that the vth element of r(l).u (l) does not perfectly repre√ sent the desired signal component Es hv.u (i). su (i − L + 1). u = 1. su (i − ˆ L). (i − 1).u (i) is derived from the received signals r(l). NR . NT .u (i − L).u (i−L+1).5) equals exactly Es hv. Decisiondirected Channel Estimation ˆ Due to interantenna interference. L) and an (L + 1) × 1 vector x(i.
the (L + 1) × 1 vector x(i. L)} = f H vu x12 H fx22 = E{hv. a decision error does not aﬀect the Gaussian ˆ distribution of x(i.12) For Rayleigh channels being considered. L)} = . where (·)H denotes conjugate transpose and f x21 fx22 F x11 = E{y vu (i. the conditional probability density function can be written as [72] p {hv.u (l).u (i) The covariance matrix of zeromean vector x(i.u (i) can be obtained by maximizing its conditional probability density function p{hv.L) L+1 F π  x = −1 H 1 e−y vu (i.u (i)y vu (i.u (i)y vu (i. L)} vu H f x12 = E{y vu (i.46 (4.7) y vu (i.u (i)hv.8) (4.u (i)} f x21 = E{hv.u (i)y vu (i. there will be occasional erroneous decisions on previously sent symbols su (l). L)}.11) Given the availability of y vu (i. hv. estimate of hv. L)y H (i.9) (4.L) L F π  x11  (4.u (i) = max p{hv.u (i) (4.u (i)y H (i. L)hv. L) x(i. L)} as ˆ hv. L) is complex Gaussian1 . . L)} −1 H 1 e−x (i.13) 1 Under normal operation conditions.u (i)} p{y vu (i. (4. This is because both the channel and noise components are zeromean complex Gaussian (Rayleigh magnitude and uniform phase between 0−2π) and a feedback decision error only introduces a rotation to the phase of the channel coeﬃcient and noise component of yv. L). hv.u (i)}.L)F x11 y vu (i. hv. L)xH (i. L). However. L) = . L)} = p{y vu (i.L)F x x(i. L) can be written as F x = F x11 f x12 E{x(i. L). Therefore.10) (4.
maximizing the conditional probability density function is equivalent to minimizing the following quadratic function λ = xH (i.u (i) as2 ˆ hv. It is 2 Because received signals and decisions of symbols in previous symbol periods are used to predict the current channel state. L) (4.14) (4. Although the term “channel estimation” is usually used to broadly refer to the procedure from which the channel state is obtained through either prediction or estimation [72]. x vu x11 (4. By using the matrix inversion lemma [101]. L)F −1 x(i. it is ˆ more precise to describe hv.47 where  ·  denotes the determinant of a matrix. L)F −1 y vu (i. a term adopted in [73].u (i) derived in this chapter as a “predictor channel estimate”. This procedure needs to x11 ˆ be done for all elements of H(i) to form the estimated channel matrix H(i). the scheme derived is actually a channel predictor. .u (i) to zero. L). x11 (4. F −1 is expressed as x −1 F x11 f x12 F xi11 f xi12 F −1 = = x f x21 fx22 f xi21 fxi22 where F xi11 fxi22 f xi12 f xi21 −1 = (F x11 − f x12 fx22 f x21 )−1 = (fx22 − f x21 F −1 f x12 )−1 x11 −1 = −F xi11 f x12 fx22 = −fxi22 f x21 F −1 .19) By letting the conjugate derivative of λ with respect to hv.15) (4.16) (4.17) (4.18) Note that F x and F x11 are ﬁxed and thus independent of x(i.u (i) = wH y vu (i. we obtain the decisiondirected maximum a posteriori probability estimate of hv.20) where w = (f x21 F −1 )H is the L × 1 tap weight vector. L) − y H (i. Therefore. L).
(4. Moreover. however. 4. 4.1.48 assumed that all elements of H(i) are identically distributed. and the BLAST scheme [7. The DD MAP channel prediction procedure is illustrated in Fig.. Detection Given the received signal in Eq.g. 74] combines estimates (e. whereas the MMSE estimate given in [72.g. the ZF scheme will be adopted in this chapter for data detection.u (i). the decision vector for the NT spatially multiplexed symbols in the ith interval is written as ˆ+ β(i) = H (i)r(i) (4. performance of the ZF scheme approaches that of the MMSE scheme. the Doppler shift) have occurred. The tap weight is the same. For these reasons. When applied to the special case of a singleantenna system. 84].21) . at high signaltonoise ratios (SNR). zeroforcing (ZF) detection [82.2. obtained via a maximum likelihood approach) of past channel trajectory up to time i − 1. Thus.2.3). the channel estimate derived in this chapter is similar to the linear minimum meansquare error (MMSE) estimate [72. The ZF scheme has the lowest complexity and supports orthogonal matrix triangularization (QR decomposition) implementation. If signiﬁcant changes in the channel statistics (e. In the ZF scheme. MMSE detection. 81]. but the MAP predictor estimate derived in this chapter combines previous received signals scaled by the corresponding ˆ symbol decisions which form hv.. 74]. tap weight w is common for all coeﬃcients (any combination of v and u). s(i) can be detected using several algorithms such as the maximum likelihood (ML) detection [80. f x21 and F x11 (thus w) must be updated to reﬂect such changes. 83].
21) as s(i) = sgn { [β(i)]}. H (i). omitting symbol index i.0GHz. where (·) denotes the real part. Because we consider an overdetermined ˆ+ system (NR ≥ NT ). where (·)+ denotes the pseudoinverse.49 rv(i) NT k 1 k u D rv(i1) NT k 1 k u D ˆ E s hv . L): f x 21 Fx11 yvu (i. then √ β(i) = Es s(i) + ξ(i). can be calculated as ˆ+ ˆH ˆ ˆH ˆ H = [H H]−1 H .e. where ξ(i) = H+ (i)ν(i) is the noise component after the zeroforcing operation. NT D rv(iL) ˆ ˆ E s hv . Fading processes among all transmit and receive antennas . Numerical Examples and Discussion For all numerical examples. H = H).. If channel estimates are perfect (i.k (i 1) s k (i 1)  ˆ 2) s k (i  2) k 1 k u ˆ ˆ E s hv.3.k (i rv(i2) .u (i) FIGURE 4. k (i L) sk (i L )  ˆ su 1 (i 1) ˆ su 1 (i 2) ˆ su 1 (i L) yvu (i. Bit decisions for the BPSK system are obtained by ˆ slicing the real part of β(i) given in Eq. binary phaseshift keying (BPSK) with a data rate of Rb = 1Mbps is chosen... (4. The DD MAP channel predictor for MIMO systems.1. L ) ˆ hv . 4. The Doppler shift is calculated based on a center frequency fc = 2. L) 1 Optimal Combining of yvu (i.
Hp is the channel coeﬃcient matrix . Therefore. Let P (NT ≤ P K) represent the number of pilot bits in each pilot period. the fading rates of interest are such that the channel remains approximately constant during one pilot period. · · · .3). (4. The received signals in the pilot period are written in an NR × P matrix as Y p = [r(1). r(2). (4. r(P )] = Hp S p + V p . but with a large block length of K = 600 bits unless explicitly speciﬁed otherwise. BER versus Eb /N0 with diﬀerent memory depth L. where r(p) was given in Eq. errors introduced in applying Eq.5) will accumulate over bits. are assumed independent and identically distributed.50 10 0 L=3 L=5 L=7 L=9 Perfect channel estimates 10 −1 BER 10 −2 10 −3 10 −4 6 8 10 12 Eb/N0 (dB) 14 16 18 FIGURE 4. periodic pilot bits are added. For small values of P . Although the proposed DD MAP scheme does not require periodic pilot bits in principle. their ﬁrst and second order statistics do not change over the entire transmission horizon.2.
With the set of system parameters applied. BER curves shown are for memory depths of L = 3. and V p = [ν(1). ˆ Hence. and 9. s(P )]. ν(P )]. error performance improves signiﬁcantly when L increases from . N=3 M=3. 3) system with diﬀerent values of L. For comparison purposes. 7. channel estimates in the pilot period are obtained as Hp = Y p S + . N=4 10 −1 BER 10 −2 10 −3 6 8 10 12 Eb/N0 (dB) 14 16 18 FIGURE 4.4 × 10−5 ). S p = [s(1). which is obtained based on a vehicular speed of v = 40Km/h. · · · . s(2).3.2 shows the bit error rate (BER) versus bitenergytonoisedensity ratio (Eb /N0 ) curves of a (2. N=3 M=3. the error rate curve with perfect channel estimates is also shown in the aforementioned ﬁgure. 4. p Memory depth (window length) L for the DD MAP channel predictor aﬀects the error performance. Fig. 5. in the pilot period. N=2 M=2. The maximum Doppler shift is fd = 74Hz (fd Tb = 7. BER versus Eb /N0 for diﬀerent number of transmit and receive antennas.51 10 0 M=2. · · · . ν(2).
the proposed scheme performs approximately 2. 4. NR ) = (2. (2. when L increases to over 7. performance improvement is negligible. With L = 9 and other parameters adopted for a target BER of 10−3 . the ZF detection should yield the same error performance for cases of (NT . NR ) = (2.5). Since channel estimation depends on the accuracy of interantenna interference cancellation using Eq.3 shows the BER versus Eb /N0 curves with L = 7 and (NT . it is expected that the performance will degrade when the number of transmit antennas increases.2.5dB worse than the case when all coeﬃcients of the matrix channel are perfectly known to the receiver.4. BER versus Eb /N0 with diﬀerent fading rates. (3. 3). and (3. 2) . 3 to 7. Under ideal conditions. Fig. However. Other parameters applied are the same as adopted for Fig. 2). 4. 3). (4.52 10 0 v=30km/h v=50km/h v=70km/h 10 −1 BER 10 −2 10 −3 10 −4 6 8 10 12 Eb/N0 (dB) 14 16 18 FIGURE 4. 4).
50. proposed scheme K=1000. If channel phase and magnitude remain constant over a number of bits. quasi−static K=700. 3) system with L = 7 and v = 30. accurate channel estimates are possible.4 shows BER versus Eb /N0 curves of a (2. NR ) = (3. and 70Km/h.53 10 0 10 −1 K=400.5. estimation quality deteriorates. With actual channel estimates. 3) system performs worse than a (2. . 3). proposed scheme K=700. The fading rate quantiﬁed by the Doppler shift aﬀects the performance of any channel estimation schemes. Performance degradation from v = 30Km/h to v = 50Km/h is considerably less signiﬁcant than that from v = 50Km/h to v = 70Km/h. quasi−static K=400. Fig. proposed scheme BER 10 −2 10 −3 10 −4 6 8 10 12 Eb/N0 (dB) 14 16 18 FIGURE 4. Performance comparison of the proposed scheme and the scheme with the channel treated as block fading. 4. it is observed that a (3. if the received signal energy per symbol per antenna is the same [67]. As the fading rate increases. and (NT . 2) system. quasi−static K=1000.
The major factor causing this behavior of the proposed scheme in the low Eb /N0 region is that higher error rates result in worse estimates of y vu (i. Conclusion A decision directed maximum a posteriori probability channel estimation scheme for symbolbysymbol detection in MIMO systems has been derived. a simple method would be to apply the channel estimates obtained using pilot symbols embedded with data for data detection in the whole block.5 compares the performance of a (2. The channel estimation quality deteriorates as the number of transmit antennas increases. The fading rate has a high impact on system performance.4. and the proposed scheme is more appropriate for channels with low to medium normalized Doppler shifts. The proposed scheme performs worse in the low Eb /N0 region (high BER values). Fig. Numerical results indicate that a long memory depth is unnecessary for a system to work well. Fading rate is calculated based on v = 50Km/h and block lengths of K = 400. The schemes based .54 The rationale behind the quasistatic fading model is that the channel remains approximately constant over one block of data. and 1000 are evaluated. L). Large block length between adjacent pilot blocks can be deployed with the proposed scheme. 4. 700. 3) system employing the proposed scheme with that of the scheme based on the quasistatic fading model described above. This scheme has a low complexity and can be applied to timevarying Rayleigh fading channels with an arbitrary spacedtime correlation function. If this were true. This scheme will not work well when the system is operating over a timevarying fading channel. but the scheme based on the quasistatic model reaches an error ﬂoor between 10−2 to 10−3 with the set of system parameters applied. This results in minimum overhead for pilot symbols. 4.
55 on the quasistatic channel model reach an error ﬂoor whereas the proposed scheme works very well at high Eb /N0 values. .
16 and IEEE 802. Realizing these gains requires knowledge of CSI at the receiver. In MIMO OFDM systems. CSI can be estimated by exploiting the frequency correlation and/or the time correlation of the pilot and data symbols. It has recently become one of the most signiﬁcant technical breakthroughs to solve the bottleneck of high data rate requirement and it is the key technology in the emerging high data rate standards such as IEEE 802. constant modulus.. which can be implemented by exploiting the statistical properties [21] or the deterministic information of the transmitted symbol (e.) [22. etc. There exist two main types of channel estimation schemes: nonblind (or pilot assisted) schemes. On the other hand. ﬁnite alphabet. This scheme allows the system to transmit data reliably in a timedispersive. which is often obtained through channel estimation. The slow convergence rate limits the application of the statistical approach to mobile channels and a high computation complexity due to the maximization process restricts the deterministic . blind channel estimation requires a long data observation interval. but pilot symbols imply signaling overhead. 23].56 5. 28].11n. For pilot assisted schemes. The estimates are in general reliable. MIMO communication techniques [1] can be applied with OFDM to increase spectral eﬃciency. CHANNEL ESTIMATION FOR MOBILE MIMO OFDM SYSTEM OFDM is attractive for wideband communications because of its ability to transform a frequencyselective channel into a series of frequencyﬂat subchannels. in which a portion of the bandwidth is allocated to training symbols [24.g. and blind approaches. channel without the need of a complex timedomain equalizer. ﬂexible transmission and signal processing techniques can be implemented to provide high quality measured by the biterror rate (BER) and/or high data rate by exploiting either the diversity gain and/or the spatial multiplexing gain. or frequencyselective.
This interference becomes particularly disturbing at normal freeway speed for such systems. channel estimation algorithms based on combtype pilots with improvements through interpolation at data frequencies were studied. respectively. an iterative multistage channel estimator with iterative ICI cancellation to maximize the signaltonoiseplusICI ratio was derived. Performance bound of a pilot assisted least square (LS) channel estimator over a multipath slowly fading channel was derived in [26]. we derive an expectationmaximization (EM) based LS channel estimator to avoid matrix inversions. In [28]. A Kalman ﬁlter based scheme to estimate the statetransition matrix of timevarying MIMO OFDM channels and a scheme based on minimizing the meansquare error (MSE) of a cost function were developed in [29. In this chapter. With the estimate of the channel for the current symbol interval and initially detected symbols. Fastfading causes severe ICI in OFDM systems with large number of densely spaced subcarriers. the ICI component is estimated and removed before detecting the transmitted symbols. In order to mitigate ICI eﬀects. 30] and [31. we investigate pilot assisted channel estimation for MIMO OFDM systems in the presence of ICI due to the nature of timevarying channels. various detection structures were proposed and compared in [24]. The detected . its complexity becomes prohibitively high. ICI and rapid channel variations make channel estimation more challenging in mobile channels. 27]. These schemes generally have a high complexity. In [25]. We ﬁrstly apply phase shift orthogonal (PSO) pilot sequences [86] for diﬀerent transmit antennas to minimize the MSE of the LS channel estimates. this scheme can not perform well due to the large normalized Doppler shift.57 approach. When applied to OFDM systems over fastfading channels. As the LS scheme requires the inversion of a largesize matrix (up to M ×M with M being the number of subcarriers dedicated to pilot symbols) every OFDM symbol interval in fastfading channels. however. Thus.
However. Once the temporary data decisions and channel estimates are available. the channel can be correlated due to the small angular spread and/or antenna spacing. Most of the existing research on MIMO detection has assumed uncorrelated MIMO spatial channels. Then. we derive an expectation maximization (EM) algorithm to obtain the LS solutions. In fast fading channels. In the proposed scheme. Maximum a posteriori probability (MAP) channel estimation algorithms generate optimal results. LS estimates based on pilot symbols only might not be suﬃcient to provide a high detection performance. The temporary symbol decisions and the received signal after ICI cancellation are ﬁnally processed by the derived EMbased MAP estimator to reﬁne CSI and data detection. performance could be signiﬁcantly improved by using a MAP estimator. a successive interference cancellation (SIC) scheme is incorporated in the data detection process. the ICI component is approximated and cancelled from the received signal. To avoid matrix inversion. However. channel estimates are initially obtained by using an LS algorithm that operates on pilot symbols only. The major contribution is on deriving a lowcomplexity MAP channel estimator while maintaining high datadetection performances for timevarying channels. the computational complexity could be prohibitively high as it needs to invert largesize matrices. With the initial channel estimate and the temporary data decisions. We optimize data transmission by ex . we derive an EMbased MAP estimator by exploiting the channel statistical information and employing lowrank approximation. for many applications. In order to lower the complexity. This chapter develops an iterative channel estimation and data detection scheme for mobile MIMO OFDM systems for which ICI cannot be neglected.58 symbols are then fed back to the channel estimator for more accurate estimation of the channel states in the next iteration.
OFDM with N subcarriers is followed by a spatial multiplexing block and serialtoparallel (S/P) converts the incoming OFDM signals into NT streams for simultaneous transmission through the transmit antennas. which denotes the tap gain of the lth path at time index n for the subchannel transmitted from the uth antenna to the vth receive antenna. where NT and NR represent the number of transmit and receive antennas. We provide extensive simulation results to evaluate the error performance of the proposed scheme. The delay spread of the channel determines the length of the tapped delay line and the tap spacing must be equal to or less than the reciprocal of the signal bandwidth. 5. including comparison with that of the LS scheme and the ideal case − timeinvariant channels and perfect channel estimates. System Model Consider an (NT . the timevarying multipath channel can be represented by using the tappeddelay line model with timevarying coeﬃcients.). The impulse response of the channel is described by Av. l). A subchannel is deﬁned as the channel transmitted from the uth (1 ≤ u ≤ NT ) transmit antenna to the vth (1 ≤ v ≤ NR ) receive antenna. In this chapter.d. Since the signal is bandlimited. We show that the proposed scheme does not have an error ﬂoor even under high Doppler shifts and in the presence of a high spatial correlation. NR ) MIMO system.59 ploiting the longterm correlation characteristics and incorporate it in the iterative process. respectively. If the antennas are suﬃciently separated under the richscattering environment [38]. but ﬁxed tap spacing [87].1.i. channel fading processes for diﬀerent subchannels can be assumed to be independent and identically distributed (i. The maximum tap delay is assumed to be less than or equal to the OFDM guard interval. we assume an .u (n.
3) With perfect sample timing.2) is a normalization factor to ensure · e−l/L = 1. l2 − l1 ) expressed as [85] Φ(n2 − n1 .u (n. Let A(n. where fc is the carrier frequency. l). l) denote the NR × NT MIMO fading channel matrix whose (v. l2 − l1 ) = E{Av. l)T l . {·}∗ represents complex conjugate. Thus. and Ts is the sampling interval. 1/2 (5. wide sense stationary Gaussian process with a spacedtime correlation function Φ(n2 − n1 . The NR × NR receiver correlation matrix is assumed to be identity and the NT × NT transmitter correlation matrix is denoted by T l . δ(·) represents the Dirac delta function. The power proﬁle is also assumed to be the same for all the subchannels. which depends on the ratio of the maximum delay of the channel to the OFDM sampling interval. and c is the light speed. we can denote the discrete time multipath channel at time nTs along the delay paths as . It is assumed that the fading among diﬀerent paths is uncorrelated. u)th element is Av. The spatially correlated CSI matrix. v is the vehicle speed. H(n. fd can be calculated as fd = fc v/c. The total number of taps is assumed to be L + 1.u (n. E{·} denotes statistical expec tation.60 exponentially decaying multipath power proﬁle. l1 )A∗ (n2 . which determines the power distribution among the taps. l). J0 (·) is the zeroth order Bessel function of the ﬁrst kind.1) (5. l2 )} v. complex.u (n1 . is deﬁned as H(n. l) = A(n. fading coeﬃcient Av. fd is the maximum Doppler shift of the channel in Hz. l) is modeled as a zeromean.u = · J0 (2πfd Ts (n2 − n1 )) · e−l1 /L δ(l2 − l1 ) where = 1 − e−1/L 1 − e−(L+1)/L l (5.
u (k. In this model.u (n).5) where F is an N × (L + 1) matrix with F [k. hv. l] = e−j2πkl/N . and change over diﬀerent sampling interval according to the spacedtime correlation function. 0 ≤ k ≤ N − 1. we let the symbol energy per subcarrier be normalized to 1. Hv.4) where hv. Since the guard interval is not less than the maximum delay of the channel. n)ej2πnk/N + wv (n) u=1 k=0 (5.u (n) is expressed as H v.u (n. l). 1). u)th element of matrix H(n. For simplicity of notation.6) where du (k) is the transmitted data at the kth subcarrier from the uth antenna and Es is the symbol energy per subcarrier. The discrete Fourier transform of hv.u (n. l)su (n − l) + wv (n) (5.7) where wv (n) is the zeromean additive white Gaussian noise (AWGN) with variance N0 . In discrete time. the signal transmitted from the uth antenna can be represented as su (n) = Es N N −1 du (k) · ej2πnk/N k=0 (5. which is much shorter than one OFDM symbol duration. · · · .u (k.u (n) = F hv.8) .u (n. The signal received by the vth antenna is expressed as NT L yv (n) = u=1 l=0 hv.61 hv. 0). n). the channel coeﬃcients are assumed to be constant in one sampling interval. represents the frequency response of the channel for the kth subcarrier.u (n. The kth element of the N × 1 vector H v. L)]T (5.u (n) (5.u (n) = [hv.u (n. hv. 0 ≤ l ≤ L. the received signal can be expressed as 1 yv (n) = √ N NT N −1 du (k)Hv. After removing the guard interval. l) is the (v. there is no intersymbolinterference (ISI).
· · · .u (k) represent the ICI component caused by timevarying fading and Hv.9) can be rewritten as NT Yv (k) = u=1 NT ¯ du (k)Hv. the signal at the kth subcarrier can be expressed as 1 Yv (k) = N + m=0.u (0).u (k) denote the mean value of the channel response for the kth subcarrier. n=0 (5. (5.13) ¯ hv.u = [hv.5). n=0 (5. After performing the Fourier transform on the received signal yv (n).u (k) + ζv (k) + Wv (k) (5. n) n=0 N −1 du (m) n=0 Hv.u (n.10) ¯ Let ζv.u (l) = = 1 N ¯ Hv.u (k)ej2πkl/N k=0 N −1 hv. n)ej2πn(m−k)/N + Wv (k) (5.u (k) = N N −1 Hv.u (L)]T where N −1 (5.12) The impulse response of the subchannel from transmit antenna u to receive antenna v is expressed as ¯ ¯ ¯ ¯ hv.11) = u=1 where 1 ¯ Hv. n). Eq. hv.9) where the second term on the righthand side represents the ICI component and 1 Wv (k) = √ N N −1 wv (n)e−j2πnk/N .u (k.u (n) given in Eq.m=k NT N −1 du (k) u=1 N −1 Hv.u (1).u (k. hv. (5. n=0 (5. n) is the kth element of H v.62 where again Hv.u (k) + ζv.u (m. l).u (k.u (k) + Wv (k) ¯ du (k)Hv.14) .
du (ps ).16) where diag[·] denotes a diagonal matrix.15) (5. The received pilot vector at receive antenna v. du (2ps ).g. [22. 27]) has adopted the quasistatic model. a more appropriate assumption is made such that the channel coeﬃcients are assumed to be constant in one sampling interval and change over diﬀerent sampling interval according to the spacedtime correlation function. From Eqs.17) .63 Most of the recent work (e.13). D u(p) . D NT (p) F (p) ] (5. assuming that hv. Yv (ps ). · · · . · · · . Yv (2ps ).11) and (5. there is no ICI. Under this assumption.2. D 2(p) F (p) .18) (5. Let ps and M denote the pilot subcarrier spacing and the number of subcarriers dedicated to pilot symbols. the received vector of the vth antenna can be expressed as Y v(p) = Q(p) · hv + ζ v(p) + W v(p) where Q(p) = [D 1(p) F (p) . respectively. · · · . In this thesis. (5. this assumption is no longer valid. However. 5.. Yv ((M − 1)ps )]T D u(p) = diag[du (0). EMBased LS Channel Estimation EMbased LS is a pilot assisted channel estimation scheme to initially estimate the channel coeﬃcients for MIMO OFDM systems in the presence of ICI due to the nature of timevarying channels. du ((M − 1)ps )] (5. from transmit antenna u are written as Y v(p) = [Yv (0). and transmitted pilot matrix. Y v(p) . l) remains approximately constant over one OFDM symbol duration.u (n. if the Doppler shift is high and especially when the OFDM system has large number of densely spaced subcarriers.
hv.1 . Calculating the inverse of an NT (L + 1) × NT (L + 1) square matrix could be computationally extensive. With Lr signiﬁcant taps (Lr < L + 1). The least square (LS) estimate of hv is simply obtained as ˆ hv = (Q(p) )+ Y v(p) (5. Wv (k)) were deﬁned in Eqs.2 . Estep: for u = 1.e. · · · . .20) where (·)+ denotes the pseudoinverse. 2.19) and F (p) is an M × (L + 1) DFT matrix with F (p) [k.. Since Q(p) is an M × NT (L + 1) matrix. Thus. Since the received signal is decomposed and estimated for each subchannel. hv. the computation complexity can be reduced to the inversion of an NT Lr × NT Lr square matrix.11).. The kth elements of M × 1 vectors ζ v(p) (i. 0 ≤ l ≤ L. . it is favorable to ignore the channel taps whose magnitudes are small. an irreducible error ﬂoor is introduced since the powerdelay proﬁle cannot be completely represented by the Lr taps [89. 2ps . . (M − 1)ps . l] = e−j2πkl/N . respectively.NT ]T T T T (5.64 ¯ ¯ ¯ hv = [hv. like the method of signiﬁcant tap catching method (STCM) proposed in [88]. NT .10) and (5. . We derive an EMbased LS channel estimation scheme to provide a more reliable channel estimate than the STCM scheme and at the same time avoid the inversion of largesize matrices. it can be implemented more eﬃciently compared with other algorithms. . it will have a unique LS channel estimate as long as the number of pilot subcarriers M is not less than NT times the number of channel delay taps (L + 1). k = 0. This algorithm transforms the estimation process for multipleinput channels into a series of independent singleinput singleoutput (SISO) channel estimation. 90]. ps . However. (5. · · · .e. ζv (k)) and W v(p) (i.
u ˆ (g) r v. the performance saturates quickly as G increases. · · · .u(p) . thus. u = 1. The received signal of the vth antenna at the kth . Typically.3. are chosen as β1 = · · · = βNT .65 ˆ (g) ˆ (g) Y v. (p) u(p) ˆ (5.u = F H D −1 r v. Mstep: in order to minimize the detection error.23) Since D u(p) is a diagonal matrix.u(p) + βu Y v(p) − ˆ (g) Y v. We investigate an EMbased MAP estimator which takes the temporary symbol decisions and the received signals after ICI cancellation to reﬁne CSI. the estimated channel coeﬃcient can be expressed as (g) ˆ (g+1) hv. Increasing the number of subiterations G will result in better quality of the channel estimates. (1 ≤ v ≤ NR . NT . u(p) ˆ (0) The channel estimates can be initially set as hv. 1 ≤ u ≤ NT ). Lowcomplexity MAP Channel Estimation The transmitted data could be detected by simply employing the EMbased LS estimates of the channel coeﬃcients.22) βu = 1. for most common MIMO OFDM conﬁgurations and fading rates.u = 1L+1 . However. in fast timevarying fading channels. 5.u(p) NT u=1 (5.u(p) = D u(p) F (p) hv. a large G is typically unnecessary.u(p) where superscript g (5. the performance will be signiﬁcantly improved by employing a MAP channel estimator. D −1 can be obtained via division only. A major problem with applying a MAP estimator is the need of data matrix inversion for every OFDM symbol. where 1L+1 is an (L + 1) × 1 vector whose elements are all 1’s.21) NT u=1 ˆ (g) = Y v. However. as will be shown in the numerical examples section. represents the gth subiteration and βu .
28) where Y v.29) and ξ v. (H v. respectively. Since the EM algorithm can decompose the MIMO channels into a series of SISO channels. D 2 .u = F hv.11).u + ξ v. The kth elements of vectors Y v .24) (5. ζv (k).u is the component consisting of AWGN and ICI for the subchannel transmitted from the uth antenna to the vth receive antenna. · · · . and W v (i.. and Wv (k)) have been deﬁned in Eqs. du (N − 1)] H v = [(H v. · · · .1 )T .11). ζ v . (5. (H v.u . (5. D NT ] D u = diag[du (0).u = D u H v.10). and (5. the received vector at antenna v can be expressed as NT Yv = u=1 Y v. (5. (5. (5. · · · .u . The received vector on all subcarriers at antenna v can be expressed as Y v = D · H v + ζv + W v D = [D 1 . an expectation maximization (EM) based MAP channel estimator of MIMO OFDM systems is derived to achieve excellent performance without the need of any matrix inversion.25) (5.u (5. 2.5). where hv. . By exploiting the channel statistical information and employing low rank approximation.66 subcarrier Yv (k) is expressed by Eq. NT was deﬁned in Eq.27) ¯ ¯ The uth element of H v is H v. u = 1.9). du (1).e. (5.26) (5.u (5. · · · .13) and F is an N × (L + 1) DFT matrix deﬁned in Eq. Yv (k).NT )T ].2 )T .
(5.u ˆ parameter. (5. 128). ζv. MAP Channel Estimation Maximum a posteriori probability (MAP) algorithm achieves optimal estimates of the channel parameters. the variance of ICI.u is assumed to be zero mean with covariance matrix of σ 2 I N .3. where I N is N ×N 2 2 identity matrix and σ 2 = σICI + σAW GN /NT .u (k).m=k n1 =0 n2 =0 N −1 N −1 N −1 J0 m=0. It was shown in [72] that the MAP estimate of the Y v. Therefore.g.u .u conditioned on the received signal and the transmitted data matrix as [72] ˆ H v..1. the ICI component. can be approximated as a Gaussian random variable by invoking the central 2 limit theorem [100]. the number of subcarrier is a large number (e. Once the Doppler shift is estimated. respectively.u . can be expressed as ˆ H v.30) where f (·) denotes the pdf. and RN is the covariance matrix of vector ξ v. n2 ) · e j2π(n1 −n2 )(m−k) N m=0. m=k n=1 (N − n)J0 (2πfd Ts n) cos 2π(m − k) n N .u . It maximizes the probability density function (pdf) of H v.u Y v.31) I − RH D H D u RH D H + RN u u where µ and RH denote. Eq. σICI .32) ξ v. the mean and covariance matrix of H v.u (m.u (m. For most common OFDM systems. H v.u + Du · µ (5.u − D u µ · Y v. can be estimated as [24] 2 σICI 1 = 2 N = 1 N2 N −1 N −1 N −1 ∗ E Hv.67 5.31) can be rewritten as . D u H v. n1 )Hv.u .u = µ + RH D H D u RH D H + RN u u = RH D H D u RH D H + RN u u −1 −1 −1 (5.m=k n1 =0 n2 =0 N −1 N −1 2πfd T (n1 − n2 ) N ·e j2π(n1 −n2 )(m−k) N 1 = 2 N N +2 m=0.u = arg max f H v.
u u u = RH (RH + σ 2 αI)−1 D −1 · Y v. Γm . the system complexity could be prohibitively high due to the frequent inversion of largesize matrices. we can easily show that E{(D H D u )−1 } = αI. 16QAM. It was shown in [91] that the instantaneous matrix (D H D u )−1 u can be replaced with E{(D H D u )−1 } at the expense of a negligible performance u degradation.35) .u = RH (RH + σ 2 · E{(D H D u )−1 })−1 D −1 · Y v.6854 for QPSK. 1. Γ can be optimally approximated by an N × N matrix.33) can be approximated as ˆ H v.u u = RH (RH + σ 2 · (D H D u )−1 )−1 D −1 · Y v.68 ˆ H v. and 2.u.2.LS ˆ = Γ · H v. Eq. (5. Assuming a normalized constellation power and equally probable constellation points. Thus. respectively. u u (5.LS (5.u.3.8889. where I N is u an N × N identity matrix and α equals 1.u . Γm (5.u u ˆ = RH R · H v. Furthermore. It was proven in [92] that an optimal rank reduction can be achieved by minimizing the trace of the extra covariance as min tr[(Γ − Γm )R(Γ − Γm )T ]. with low rank.34) where Γ = RH R and R = RH + σ 2 αI. and 64QAM. Low Rank Approximated MAP Channel Estimation Since the transmitted data D u changes every OFDM symbol interval.33) 5.u u u = RH (D u RH + σ 2 · (D H )−1 )−1 · Y v.u = RH D H (D u RH D H + σ 2 I)−1 · Y v.
the (m.n = E Hv. After applying singular value decomposition (SVD) of matrix RH . respectively. Let X = Λ(Λ + σ 2 αI)−1/2 and ∆ = X(Λ + σ 2 αI)−1/2 . · · · .u. ΓR1/2 can be expressed as ΓR1/2 = RH R−1/2 = RH (RH + σ 2 αI)−1/2 = U ΛU H (U (Λ + σ 2 αI)U H )−1/2 = U Λ(Λ + σ 2 αI)−1/2 U H (5.m λm +σ 2 α = 0. EMbased MAP Channel Estimation Since the signal power is not changed by the transmitter correlation matrix.LS ˆ = U X m (Λ + σ 2 αI)−1/2 U H · H v. 1.3.u u (5.u = U X m U H (U (Λ + σ 2 αI)U H )−1/2 · H v. · · · . 5. RH = U ΛU H .3. N − 1. The rest of the diagonal elements of X m and ∆m are all 0’s. m = 0.u (n) .69 The solution of above equation is to make Γm R1/2 the best low rank approximation of ΓR1/2 . n)th element of the covariance matrix RH can be derived as ¯ ¯∗ [RH ]m. Thus the ﬁrst L + 1 diagonal elements of ∆m are represented as λm . 1.37) where X m and ∆m are the N × N diagonal matrices whose ﬁrst L + 1 diagonal elements are the same as those of X and ∆.36) where Λ is a diagonal matrix with elements of λm .LS = U ∆m U H · D −1 Y v. L. 2.u.u (m)Hv. The lowrank approximated channel estimate is derived as ˆ ˆ H v.
we can obtain the unitary matrix U and the singular values λm . ˆ (g) ˆ (g) Y v.05. superscript and βu . (5.40) where. .u (5. the estimated channel coeﬃcient can be expressed as ˆ (g+1) hv. NT .n can be approximated as is deﬁned in Eq.u (n2 .39) ˆ (g) Y v. 1. L. 2. The EMbased MAP algorithm can be eﬃciently implemented as Estep: for u = 1. l)Av. 1.m λm = 0. u = 1. . 2. . −j2π(m−n)l L −l/L N e . l) e l=0 −l/L n1 =0 n2 =0 −j2π(m−n)l N −j2π(m−n)l N e l=0 e 1 · 2 N N −1 N −1 J0 (2πfd Ts (n2 − n1 )) n1 =0 n2 =0 (5.2).u = F H U ∆m U H D −1 r (g) .70 L =E l1 =0 ¯ hv.u r (g) ˆ (g) = Y v.u (n2 . where the normalization factor After performing SVD of matrix RH . L. l) l=0 n1 =0 L N −1 N −1 n2 =0 hv.u p (5. · · · .41) . . Mstep: in order to minimize the detection error. as the EMbased LS scheme.u ˆ v.u (n1 . · · · .u (l1 )e L N −1 −j2πml1 N L ¯ hv. l=0 e [RH ]m.u + βu Y v − NT u=1 (5. ∆mi is the pseudoinverse of diagonal matrix ∆m . NT . Thus.38) It is assumed that the normalized Doppler shift is less than 0. the value of J0 (2πfd Ts (n2 − n1 )) is close to 1. m = 0.u (n1 . 2.u = D u U ∆mi U H F hv. · · · . u ˆ v.u (l2 )e l2 =0 N −1 −j2πnl2 N = = = 1 E N2 1 E N2 L hv. l)e −j2π(m−n)l N Av. the L + 1 nonzero diagonal elements of ∆mi equal λm +σ 2 α . satisfy NT u=1 represents the gth subiteration βu = 1 and are typically chosen as β1 = · · · = βNT .
71 Since D u is a diagonal matrix. No matrix inversion is required for the proposed EMbased MAP channel estimator. . its inversion can be obtained by division only. This scheme can achieve optimal performance with relatively low complexity.
Both ZF and MMSE can decouple spatial interference by matrix inversion. In reality. these receivers suﬀer a loss in diversity gain. the implementation is restricted by the signiﬁcant increase in complexity. It has been shown that these receivers achieve a receive diversity order of NR − NT + 1 instead of the usual NR [82.u (k) and let Y (k) denote an NR × 1 received vector whose vth element is Yv (k).. can be estimated. .) of MIMO OFDM systems described in Chapter 5. the interference between signals simultaneously transmitted from the multiple transmit antennas considerably increases the detection complexity. 2. NT ).72 6. the (L + 1) × 1 ˆ vector of the channel multipath fading. Hv. can be obtained for all the subchannels by applying Eq.g.u (k)(v = 1. For MIMO OFDM systems.u . ˆ (5. Let H(k) denote an NR × NT channel matrix whose (v. which exponentially grows with the number of transmit antennas [36]. e. Alternative nonlinear receivers have also been considered. 93] detection. DATA DETECTION FOR MOBILE MIMO OFDM SYSTEMS The ultimate goal of a receiver is to detect the transmitted symbols with minimum probability of detection error based on the received signal. EMbased LS. Thus the estimate ˆ of the channel frequency response at the kth subcarrier. the receiver is designed by balancing the detection performance and the system complexity. Maximum likelihood (ML) is an optimal detector. hv. · · · . u)th element is ˆ Hv. 52]. Signals transmitted from multiple antennas are detected in an optimal order and the interference is successively cancelled from the received signal. Based on the channel estimation schemes (LS. NR and u = 1. EMbased MAP. e.5). While reducing the detection complexity. successive interference cancellation (SIC) [7. Thus.. However. 2. several suboptimal detectors have been developed. zeroforcing (ZF) and minimummeansquare error (MMSE) linear detectors. · · · . which is distorted by the noise and channel. etc.g.
e. 6. The ZF weight matrix is deﬁned as ˆ ˆ ˆ W ZF = H(k)† = H(k)H H(k) −1 ˆ H(k)H (6.11). (·)† denotes matrix pseudoinversion. with respect to W .e. To avoid this noise enhancement.1) where d(k) is a NT × 1 transmitted vector whose uth element is du (k) and N (k) is a NR × 1 noise vector whose vth element is ζv (k) plus Wv (k). The optimum weight can be derived as 2 ˆ ˆ W M M SE = H(k)H H(k) + σAW GN I NT −1 ˆ H(k)H (6.. The drawback of the ZF detection scheme is that nulling out the interference without considering the noise will increase the noise power signiﬁcantly. ZF and MMSE Detection A linear approach to recover d(k) from Y (k) is to use a NT × NR weight matrix W (either W ZF or W M M SE ). the ZF algorithm nulls out the interference introduced from the channel matrix.73 From Eq.1. The analysis is mainly described in Chapter 3. d(k) = W Y (k).. the received vector at the kth subcarrier of MIMO systems can be expressed as ˆ Y (k) = H(k)d(k) + N (k) (6. i. which linearly combines the elements of Y (k) ˆ to estimate the transmitted symbols.2) where (·)H denotes Hermitian. which results in performance degradation. (5. J(W ) = ˆ ˆ E (d(k) − d(k))H (d(k) − d(k)) . (·)−1 denotes matrix inversion. MMSE detec tion scheme minimizes the meansquare of the detection error.3) . i. By inverting the channel with the weight matrix.
however. 2. NT σICI .32). (6. NT . can be estimated by Eq. In the MMSE scheme. the decision vector for the NT spatially multiplexed symbols on the kth subcarrier is obtained as 2 ˆ ˆ ˆ d(k) = H(k)H H(k) + σAW GN I NT −1 ˆ H(k)H Y (k).4) ˆ where d(k) is an NT × 1 vector whose uth element is the estimate of the symbol ˆ transmitted from the uth antenna at the kth subcarrier. k = 0. the variance of ζv (k). forming the ICIbased MMSE to improve the detection accuracy in the ﬁrst iteration when the ICI approximation and cancellation has yet not begun.4) must be modiﬁed to incorporate ICI to the MMSE process. the ICI component. 1. Thus. the received signal could be corrupted severely by ICI. the number of subcarrier is a large number (e. · · · . · · · . as in such scenario ICI would have been very mild and could be neglected. Eq. ζv. 128). 6. The variance of ζv (k) can be determined by exploiting the ICI power and the number of transmit antenna as shown in Eq.. ICIbased MMSE Detection The MMSE scheme would have worked were the channel a slowfading one. Once Doppler shift 2 is estimated. In a fastfading channel with high Doppler shift. (5. I NT is the NT × NT identity matrix. Since for most common OFDM conﬁgurations.9) and Eq. N − 1 (6.2.g.11). (5. The improved decision vector for the kth subcarrier employing the ICIbased MMSE algorithm is obtained as . u = 1. Data detection quality in this initial phase of the iterative process will aﬀect the receiver performance.74 2 where σAW GN is the variance of AWGN noise.u (k). du (k). can be approximately as a Gaussian random variable by invoking the the central limit theorem [100]. (5.
1. the orthogonality of the transmitted symbols is maintained only if the channel is timeinvariant [28]. k. · · · .9) . 1. m = 0.u (k.11) can be rewritten as N −1 (6. NT . n0 ) Ξk (m)d(m) (6. a stream of symbols are modulated on many equally spaced parallel subcarriers [17].u (m. n) = Hv. the ultimate solution would be to cancel it in the detection process. · · · . The channel transfer function can be approximately expressed by using the ﬁrstorder Taylor series expansion as [28] Hv. 1.8) Let Ξ be an N ×N matrix whose (k. n0 ) + Hv.u (k. Modulation and demodulation are eﬃciently implemented by IFFT and FFT. m = 0. N − 1. m)th element is Ξk (m). · · · .75 2 2 ˆ ˆ ˆ d(k) = H(k)H H(k) + (σAW GN + NT σICI )I NT −1 ˆ H(k)H Y (k) (6.5) ˆ ˆ where d(k) is an NT × 1 vector whose uth element is du (k). In the presence of severe ICI. · · · . n0 )(n − n0 ).u (k) = m=0 N −1 Hv. Then. ζv. Data detection can be improved based on the analysis and iterative cancellation of ICI.7) 1 Ξk (m) = N (n − n0 )ej2πn(m−k)/N . This section describes how the ICI is generated due to the nature of timevarying channel.u (k.u = ΞH v. However. N − 1. It is shown that ICI can cause a signiﬁcant eﬀect on a system with large number of densely spaced subcarriers even for a slowly fading channel. k = 0.6) ζv. n=0 (6. In OFDM. u = 1.u (k) given in Eq. (5. 2. With the initial estimate of the channel and the temporary symbol decisions for all the subcarriers. the ICI component is approximated as ˆ ˆ ζ v.u du (6. N −1.
Hv. This iterative process of EMbased channel estimation.u (k) between two consecutive OFDM symbols [28].u (N − 1)]T H v. ζv. n0 )]. n0 ). du (1). (6. Yv (1). a reﬁned received signal is constructed for the next iteration. Once the ICI component is cancelled from the received signal. Thus.u (0). n0 ).u = diag[Hv. · · · . the ICI component can be approximated and cancelled from the received signal. Yv (N − 1)]T .u (k. The performance gain and the impact of various choices of the algorithm . 6. an EMbased LS channel estimation scheme described in Chapter 5 is used to estimate the channel coeﬃcients for all the subchannels employing the output signals of the FFT block. Hv. · · · .u (N − 1. The ICI component is then cancelled before the next iteration of data detection as ˆ Yv =Yv − NT u=1 ˆ ζ v. which can be calculated by exploiting the knowledge of the Doppler shift.u (1).u (6. Hv. Recall that for each transmit antenna. MMSE detection is performed based on the ICI power.u = [ζv. In the proposed receiver. MMSE detection. Then. · · · . Once the temporary hard decisions of the transmitted symbols are available.u (0. and ICI approximation and cancellation will continue until certain performance criteria are met.13) where Y v = [Yv (0).12) The ﬁrst order derivative of the channel response. du (N − 1)]T ˆ ˆ ˆ ˆ ζ v. both channel estimation and data detection should be signiﬁcantly improved.11) (6. can be estimated by ¯ calculating the diﬀerence of Hv.u (1. N data symbols are transmitted over the N orthogonal subcarriers during one OFDM symbol period.1. n0 ). The block diagram of the proposed iterative EMbased LS channel estimation and ICIbased MMSE detection scheme for MIMO OFDM systems is shown in Fig.76 ˆ ˆ ˆ ˆ du = [du (0).10) (6. ζv. · · · .
3. Block diagram of the proposed iterative EMbased LS channel estimation and ICIbased MMSE detection for MIMO OFDM systems. SIC Detection Successive interference cancellation (SIC) uses the detectandcancel strategy similar to that of decisionfeedback equalizer. and system related parameters with the proposed scheme will be presented and discussed through numerical examples. We will assess the performance and robustness of the proposed channel estimation schemes in both independent and highly correlated spatial channels. NR FFT EMbased LS Channel Estimation FFT ICIbased MMSE 1st Iteration MMSE kth Iteration (k>1) Data detection ICI Approximation and Cancellation FIGURE 6. .77 1 S/P IFFT 1 . S/P IFFT NT . It has been shown that the capacity of MIMO systems decreases in the presence of high transmit and/or the receive correlations [45. . . an adaptive precoder is needed to optimally adjust the signal power and phase for each antenna . In highly correlated channels. 94]. 6. Either ZF or MMSE can be used for detecting the signal component used for interference cancellation.1. .
e. 2))H g (k)/( P2 e−jψ ).3) for any transmit correlation matrix T l . which result in equal power allocation (P1 = P2 = 1/2) and zero phaseshift. The 2 × 2 precoder matrix is given as [93] √ 0 P1 (6. i.5)(2πB sin(θl )γl ) . 1)]H g(k)/ 1/2 and g(k).16) The symbol transmitted from the second antenna can be estimated as 1/2 ˆ ˆ d2 (k) = (T l (:. the interference coming from the ﬁrst detected symbol can be subtracted from g(k) before detecting the next symbol as ˆ g (k) = g(k) − 1/2 ˆ P1 T l (:. For the special case of independent MIMO channels. (6. Then. Upon obtaining the CSI matrix H(n. (6..14) M = √ −jψ 0 P2 e where ψ = 2πB cos(θl ). After applying a linear zeroforcing ﬁlter to the NR × 1 received vector of the kth subcarrier.15) P1 . 1+(1+ρ)2 P2 = 1 . 1+(1+ρ)2 and ρ is the modulus of the 2 antenna correlation coeﬃcient expressed as ρ = e(−0.17) . the symbol transmitted from the ﬁrst antenna can be estimated by the dot product of the ﬁrst column of T l 1/2 ˆ d1 (k) = [T l (:. 1)d1 (k). l)† Y (k). For systems with 2 transmit antennas. (5. (6. g(k) = A(n. l) can be calculated through Eq.3. l) including spatial correlation eﬀects by using the proposed scheme described in Section 5. P1 = (1+ρ)2 . a precoder is designed to optimize the multiple antenna transmission such that data transmitted from diﬀerent antennas have the same error probability.2 or Section 5. A(n.78 by exploiting the longterm spatial correlation characteristics of the MIMO channel. Details of optimal precoder design for MIMO systems with more than 2 transmit antennas can be found in [93]. ρ = 0 and ψ = 0.
Block diagram of simpliﬁed MAP channel estimation and data detection for MIMO OFDM systems. Data is detected by successive interference cancellation (SIC) scheme.2. the ICI component can be approximated and cancelled from the received signal. NR OFDM Demodulation EMbased LS Channel Estimation SIC Detection EMbased MAP Channel Estimation ICI Cancellation FIGURE 6. . The received signals after ICI cancellation. 1 1 Adaptive MIMO Precoder OFDM Modulation . 6. we propose an EMbased least square (LS) channel estimation scheme to initially estimate the channel coeﬃcients for all the subchannels by employing the output signals of the OFDM demodulation.2. NT . . Modulation and demodulation of OFDM are eﬃciently implemented by the means of inverse fast Fourier transform (IFFT) and fast Fourier transform (FFT).79 The block diagram of the iterative EMbased MAP channel estimation and SIC data detection for MIMO OFDM systems is shown in Fig. Once the temporary hard decisions of the transmitted symbols are available. . the detected symbols and the statistical information of the channels are feedback to the EMbased MAP scheme to obtain more accurate channel parameters. In the receiver. the adaptive MIMO precoder [93] utilizes spatial multiplexing scheme and optimally adjusts the signal power and phase for each antenna by exploiting the long term spatial correlation characteristics of the MIMO channels. . In the transmitter. .
u2 = 0(L+1)×(L+1) . which results in R ≤ 0. Simulation results are obtained with N = 128 subcarriers employing QPSK modulation.u1 = I L+1 Xu1 .18) (6. A cyclic preﬁx of 16 samples is inserted at the beginning of each OFDM symbol to avoid ISI.. .8.6). 6.5. the coherence bandwidth is approximately equal to 1/(LTs ). NT . Let us deﬁne Xu1 . u2 = 1. 6. to measure the orthogonality among (p) u the training sequences.g. 6. That is. 2.4. the pilot spacing in the frequency domain equals 4/(N Ts ). in Fig. where D u(p) and F (p) were deﬁned in Section 5. R = 0. Thus.4375 will be adopted unless explicitly speciﬁed otherwise (e. The rows of the Hadamard matrix satisfy the above criteria and will be used as the training sequences for diﬀerent transmit antennas. Let R be the ratio of the pilot spacing to the channel coherence bandwidth. Thus. · · · . Since the multipath spread of the channel is assumed to be LTs . R = 4L . the pilot sequence must be equipowered.19) where I is the identity matrix and 0 is matrix whose elements are 0’s. Numerical Examples and Discussion Error performance of iterative EMbased LS channel estimation and ICIbased MMSE detection for MIMO OFDM systems is shown in Fig. It was shown in [86] that to minimize the MSE of the LS channel estimate. equispaced. It is required that Xu1 . and phaseshift orthogonal for each transmit antenna in frequencyselective environments.3 – Fig. u1 = u2 (6. One pilot subcarrier is inserted after every 4 data subcarriers.80 6.u2 = F H D H1 (p) D u2 (p) F (p) . the pilot spacing must not be greater than half of the coherence bandwidth.2. u1 . N Since the grid density of the pilot symbols must satisfy the 2D sampling theorem in order to recover channel parameters [95].
fd T will be used for measuring fading rates.113. The channel is assumed to have 15 multipath components (L = 14) (unless explicitly speciﬁed otherwise) with an exponentially decaying powerdelay proﬁle.81 10 −1 10 −2 BER 10 −3 10 −4 No ICI Cancellation ICI Cancellation. 3). fd T = 0. If both the transmitter and the receiver antennas are suﬃciently separated under the richscattering environment [38]. 2 iterations 5 10 Es/N0(dB) 15 20 FIGURE 6. Values of fd T are chosen similar to those adopted in [86]. and G = 9). Since the normalized Doppler shift fd T . BER versus Es /N0 with and without ICI cancellation ((Nt . channel fading processes for diﬀerent subchannels are assumed to be independent and identically distributed (i. where T is the OFDM symbol duration.i.). In simulations. Nr ) = (2.3.d. describes the channel fading rapidity for a given data rate better than the absolute Doppler shift fd . fading processes are piecewiseconstant approximated. allowing the channel coeﬃcients to be constant . 1 iteration ICI Cancellation.
1). fd T = 0. after 2 iterations of ICI cancellation). in one sampling interval and change over diﬀerent sampling intervals according to the spacedtime correlation function given in Eq.4. Nr ) = (2. Thus. However.0452. The deterministic method described in [48] has been widely used in simulations to generate frequencyﬂat Rayleigh fading channel coeﬃcients with controllable normalized Doppler shifts. there are known problems with the autocorrelation of the fading process generated using this model. We adopt the model in [49] in our simulations because it results in better autocorrelation properties of the fading process than the one in [48]. 2). Furthermore. (5. many modiﬁed simulators have been proposed [49–51]. .82 10 0 10 −1 BER 10 −2 G=3 G=6 G=9 G=12 10 −3 5 10 15 Es/N0(dB) 20 25 30 FIGURE 6. it is diﬃcult to generate uncorrelated multipath components using this approach. The eﬀect of the number of subiterations in the EM process ((Nt .
Hence. Not considering ICI in the MMSE detection process obviously causes an error ﬂoor. Fig. as mentioned in Section 5. 6.4. for common system conﬁgurations. = βNT = 1/NT will be adopted unless explicitly speciﬁed otherwise. . 6. . 2) and fd T = 0. performance improvements will saturate at G = 9 subiterations. Comparison of the proposed scheme with a common ZF detection scheme ((Nt .0452). aﬀects the receiver performance. 1 iteration ICI Cancellation.113. The number of subiterations in the EM process G. G = 9 with step sizes of β1 = β2 = . in the EM process for all simulations.5.83 10 0 Standard ZF scheme No ICI Cancellation ICI Cancellation.3) MIMO system at a fading rate of fd T = 0.2.3 compares the biterrorrate (BER) performances of the proposed iterative scheme for a (2. As will be shown later in Fig. Nr ) = (2. The curve corresponding to the case of no ICI cancellation is obtained by employing the EMbased channel estimates combined with a common MMSE data detection. 2 iterations −1 10 BER 10 −2 10 −3 5 10 15 Es/N0(dB) 20 25 30 FIGURE 6. .
4 shows the BER performance with diﬀerent number of subiterations (G) of EM algorithm for a (2.25 R=0. However. 6.84 10 −1 R=0. except in Fig. The proposed scheme with only two iterations improves the system performance signiﬁcantly. however the improvement .4375 R=0.6.2) MIMO OFDM system at a fading rate of fd T = 0. in all the rest of the simulations BER curves will be obtained after two iterations. normalized Doppler shift of 0. performance improvements are insigniﬁcant with more than two iterations. 3) and fd T = 0.0452. There is a huge improvement if G is increased from 3 to 9. Nr ) = (2.72km/h for the 2k mode (2048 subcarriers) and 76.5.0625 Ideal Case 10 −2 BER 10 −3 10 −4 10 −5 5 10 Es/N0(dB) 15 20 FIGURE 6. Fig. 6. The eﬀect of the ratio of pilot spacing to channel coherence bandwidth R ((Nt . In terrestrial digital video broadcasting (DVBT) systems.0452 corresponds to the vehicle speeds of 304.113). Thus.18km/h for the 8k mode (8192 subcarriers) [28].
6. a lower value .0904 fdT=0. Signiﬁcant performance gains of the proposed scheme over the common ZF scheme are observed for a (2.113 fdT=0.7. As expected. However with the same channel scenario and system conﬁguration. the better the performance. is negligible beyond G = 9 subiterations. the lower the ratio.85 10 −1 fdT=0. 6.0452.5 compares the performance of the ICIbased MMSE with phaseshift orthogonal training sequence (POTS) with that of the common ZF detection scheme with orthogonal training sequence (OTS). 3) and L = 5).0452 Ideal Case 10 −2 BER 10 −3 10 −4 10 −5 5 10 Es/N0(dB) 15 20 FIGURE 6. Nr ) = (2. Fig.3) MIMO system operating at a fading rate of fd T = 0.6. Performance comparison between the proposed scheme and the ideal case ((Nt .113 is shown in Fig.2) MIMO system at a medium normalized Doppler shift of fd T = 0. The eﬀect of the ratio R deﬁned at the beginning of this section on the BER performance for a (2.
Fig. The BER performance with diﬀerent Doppler shifts is shown in Fig.113 and R = 0. fading coeﬃcients are generated based on the quasistatic model. which is deﬁned as zero Doppler shift (thus. 6. 6.4375).4375 for diﬀerent numbers of transmit and receive antennas: (NT .8. The eﬀect of antenna conﬁgurations (fd T = 0. In simulation for the ideal case. NR=2 NT=2. It will be useful to see the performance gap between the proposed scheme with that of the ideal case. The performance gap is within 3dB compared to the ideal case with fd T as high as 0. of R results in a lower spectral eﬃciency.113.7 for a (2. NR=3 10 −1 N =2.113 and R = 0.86 10 0 NT=2. no ICI) and perfect knowledge of channel coeﬃcients.3) MIMO system and the channel has ﬁve multipath components (L = 4).8 shows the BER versus Es /N0 curves with fd T = 0. N =4 T R 10 BER 10 −2 −3 10 −4 10 −5 5 10 Es/N0(dB) 15 20 FIGURE 6. NR ) = .
2 × 10−3 . a (2. 3) system. as it has the highest diversity gain provided by large diﬀerence between the number of receive and transmit antennas. The eﬀect of the number of subiterations in the EM process (NT = 2. Error performance of iterative EMbased MAP channel estimation and SIC detection for MIMO OFDM systems is shown in Fig. 6. uncorrelated spatial channels). 3). R is deﬁned as the ratio of the pilot spacing to the channel coherence bandwidth. 2). as expected. 4).14. Under the same system conﬁguration and fading rate. One pilot subcarrier is inserted after every 4 data subcarriers.9 – Fig.87 (2.9. That . A cyclic preﬁx of 16 samples is inserted at the beginning of each OFDM symbol to avoid ISI. 4) system performs much better than a (2. Also. (2. NR = 3. the proposed scheme achieves about 4dB gain over the scheme given in [86] for a (2. 2) or a (2. 6. 10 −1 10 −2 BER 10 −3 G=3 G=6 G=9 G=12 10 −4 5 10 Es/N0 (dB) 15 20 FIGURE 6. Simulation results are obtained with N = 128 subcarriers employing QPSK modulation.4) MIMO system at the BER of 1. (2.
. (5. In terrestrial digital video broadcasting 2k mode (DVBT) systems. if the vehicle speed is 134.8km/h.02 [28].10. allowing the channel coeﬃcients to be constant in one sampling interval and change over diﬀerent sampling intervals according to the spacedtime correlation function given in Eq. fading processes are piecewiseconstant approximated. the normalized Doppler shift is 0. In simulations. fd T = 0. N Fading processes for diﬀerent subchannels are all assumed to be independent and identically distributed for spatially uncorrelated MIMO channels. Performance comparison of various channel estimation schemes (NT = 2. R = 4L .88 10 0 10 −1 BER 10 −2 EM−based LS channel estimation LS channel estimation EM−based MAP channel estimation MAP channel estimation Ideal case 10 −3 5 10 Es/N0(dB) 15 20 FIGURE 6.02 is considered to be a fairly large Doppler shift for the simulated mobile environment. is. NR = 2. uncorrelated spatial channels). Thus.1).
Figs. Performance of the ideal case − zero Doppler shift (thus. a MAP. no ICI) and perfect knowledge of channel coeﬃcients − is used as the baseline performance. Hence.11. NR = 3.10 and 6. The number of subiterations in the EM process G. 6. 3) MIMO OFDM systems. As will be shown later in Fig. and an EMMAP channel estimator for 2. aﬀects the receiver performance.11 compare the error performances when the receiver employs an LS. . .e. uncorrelated spatial channels).9. G = 9 with step sizes of β1 = β2 = . performance improvements will saturate at G = 9 subiterations. 2) (i. as mentioned in Section 5. an EMLS.. for common system conﬁgurations. Performance comparison of various channel estimation schemes (NT = 2. The EMMAP scheme performs . = βNT = 1/NT will be adopted unless explicitly speciﬁed otherwise.89 10 −1 10 −2 BER 10 −3 10 −4 EM−based LS channel estimation LS channel estimation EM−based MAP channel estimation MAP channel estimation Ideal case 5 10 Es/N0(dB) 15 20 10 −5 FIGURE 6.3. NT = 2. NR = 2) and (2. 6. in the EM process for all simulations.3.
4375 R=0.12.02 is shown in Fig.12. . almost the same as the normal MAP scheme. a lower value of R results in a lower spectral eﬃciency.90 10 −1 R=0. the lower the ratio. NR = 3. but the latter is computationally much more extensive than the former. the better the performance.25 R=0. 3) MIMO OFDM system operating at a fading rate of fd T = 0. The eﬀect of the ratio of pilot spacing to channel coherence bandwidth (NT = 2. Approximately 2dB improvement is observed with the EMbased MAP estimator over the EMbased LS estimator. As expected. The performance gap between the proposed scheme with that of the ideal case increases with larger R. uncorrelated spatial channels). 6. The eﬀect of the ratio of pilot spacing to the channel coherent bandwidth on the BER performance for a (2.0625 Ideal Case 10 −2 BER 10 −3 10 −4 10 −5 5 10 Es/N0(dB) 15 20 FIGURE 6. However with the same channel scenario and system conﬁguration.
02.4375. For all cases simulated. The error performance is also compared with the ideal case.75.13. 4). uncorrelated spatial channels). 0.2) EM−based MAP estimator (2.3) EM−based MAP estimator (2. 2).993.2) Ideal Case (2.3) Ideal Case (2.14.4) Ideal Case 5 10 Es/N0(dB) 15 20 FIGURE 6. Combined with the proposed EMMAP estimator and the iterative detection .93.4375. a precoder is applied for transmit power and phase optimization. 6. Fig. 0. performance of the proposed scheme is within about 2dB of that of the ideal case. and diﬀerent numbers of transmit and receive antennas: (2.4) EM−based MAP estimator (2. 6. R = 0. Performance of the proposed scheme with diﬀerent antenna conﬁgurations (R = 0. the error performance of a (2. With the knowledge of channel correlation matrix. 3).13 shows the BER versus Es /N0 curves with the EMbased MAP channel estimator under fd T = 0. In order to demonstrate the robustness of the proposed algorithm in the presence of high spatial correlations. 2) system with diﬀerent spatial correlation coeﬃcients (ρ = 0. (2.91 10 0 10 −1 10 −2 BER 10 −3 10 −4 10 −5 10 −6 (2. (2. 1) is presented in Fig.
14.04). Conclusion We have proposed an iterative EMbased LS and ICIbased MMSE detection scheme for MIMO OFDM systems over timevarying fading channels. variance of ICI caused by timevarying fading is taken into consid .5. NR = 2. 6. This signiﬁcantly reduces the computational complexity while the LS performance is still maintained. This scheme incorporates an EM algorithm to avoid inversions of largesize matrices in obtaining the LS channel estimates. no error ﬂoors are observed even under high spatial correlation and fast fading (fd T = 0. Performance of the proposed scheme in the presence of high spatial correlation (NT = 2.993) No precoder (ρ=0.75) With precoder (ρ=1) 15 20 25 Es/N0 (dB) 30 35 10 −4 FIGURE 6.92 10 0 10 −1 BER 10 −2 10 −3 No precoder (ρ=0. fd T = 0. scheme. To improve data detection performance.04).93) No precoder (ρ=0.
93 eration in the MMSE process of the initial iteration. the proposed EMMAP scheme achieves an error performance that is within about 2dB of the ideal case − zero Doppler shift (thus no ICI) and perfect knowledge of channel state information. MIMO conﬁgurations. and other algorithmrelated parameters demonstrate the great robustness of the proposed scheme to fast fading and spatial correlations. With a fading rate as high as fd T = 0. The ICI component is then approximated and cancelled in the iterative channel estimation and data detection process. The initially detected symbols and the received signals after ICI cancellation are processed by the EMbased MAP estimator to reﬁne the channel state information (CSI). .02. We also observe a 2dB gain of the proposed EMbased MAP scheme over the least square (LS) scheme at medium normalized Doppler shifts. Simulation results under diﬀerent channel environments. An iterative EMbased MAP channel estimation and SIC detection is proposed for MIMO OFDM systems.
we have proposed solutions to address various challenging physical layer issues of mobile MIMO OFDM systems. Secondly. There are four main contributions in this thesis. This scheme has a low complexity and can be applied to timevarying Rayleigh fading channels with an arbitrary spacedtime correlation function. These analytical results can be used to predict the relative performance of MIMO OFDM systems without complicated systemlevel simulations. we have derived the closedform pdf expressions of the condition number (MMSVR) of the channel matrix for various MIMO conﬁgurations. Firstly. Through the channel analysis. Numerical results indicate that a long memory depth is unnecessary for a system to work well. CONCLUSIONS 7. it is clearly observed that an additional receive antenna could provide signiﬁcant performance improvements. The analysis presented in Chapter 3 provides a simple and eﬀective way to predict the relative performances of diﬀerent MIMO OFDM conﬁgurations. The fading rate has a high impact on system performance and the proposed scheme is more appropriate for the channels with low to medium . and data detection. They can also be applied to determine the lower capacity bound of such systems.94 7. The analytical results indicating the gain/loss of different conﬁgurations predicted using the mean of the square of MMSVR match the results obtained through systemlevel simulations very well.1. The channel estimation quality deteriorates as the number of transmit antennas increases. a decision directed maximum a posteriori probability (MAP) channel estimation scheme for symbolbysymbol detection in MIMO systems has been derived. channel estimation. including channel analysis and modelling. Summary In this thesis.
variance of ICI caused by timevarying fading is taken into consideration in the MMSE process of the initial iteration. The proposed scheme was found to have superior performance than existing schemes in fastfading environments.3 is considered for the data detection. Then a successive interference cancellation (SIC) scheme described in Section 6. With the estimate of the channel and the detected data for the current symbol interval. This results in minimum overhead for pilot symbols.95 Doppler shifts. The schemes based on the quasistatic channel model reach an error ﬂoor whereas the proposed scheme works very well at high Eb /N0 values. To improve data detection performance.2. and detection schemes. We have provided a comprehensive performance evaluation of the proposed scheme with diﬀerent channel environments. we have derived an expectation maximization (EM) based LS channel estimation and ICIbased MMSE data detection in MIMO OFDM systems over timevarying fading channels. algorithm parameters such as the number of subiterations in the EM process. Finally.3. in order to minimize the MSE of the channel estimates and reduce the complexity of the implementation simultaneously. In Sections 5. ICI component is approximated and removed from the received . Large block length between adjacent pilot blocks can be deployed with the proposed scheme. The proposed scheme incorporates an EM algorithm to avoid inversions of largesize matrices in obtaining the LS channel estimates. Comparison is made between the proposed scheme and existing schemes under similar system setup and channel conditions. MIMO conﬁgurations. The ICI component is then approximated and cancelled in the iterative channel estimation and data detection process. respectively.2 and 6. The channel parameters are initially obtained by an EMbased least square (LS) estimator. This signiﬁcantly reduces the computational complexity while the LS performance is still maintained. an EMbased MAP channel estimator is proposed in Section 5.
Future Research Most of the design and analysis in this thesis is based on openloop MIMO OFDM systems. which implies no feedback of channel information. The detected symbols and the received signals after ICI cancellation are fed back to the MAP estimator to reﬁne the CSI. The system performance is also analyzed over the spatially correlated channels. it has been shown that channel adaptive transmit beamforming can improve considerably the performance of MIMO systems [10. By exploiting only the long term correlation characteristics. The proposed scheme achieves excellent performance in fast fading channels with relatively low complexity. 2dB gain is observed by our proposed EMbased MAP scheme over LS scheme at medium normalized Doppler shift (fd T = 0. the signal is optimally transmitted and can be successively detected with no error ﬂoor.96 signals. Performance comparison is made between the proposed scheme and the ideal case with no Doppler shift and perfect channel estimation.02). 102] by optimally using the available CSI information at the transmitter. the eﬀect on the optimal transmission should be analyzed. Furthermore. .2. 7. However. if only limited feedback bits are available per fading block due to the limited bandwidth of the feedback link.
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