2016 30th International Conference on Advanced Information Networking and Applications Workshops
Adaptive Carrier Frequency Offset and Channel
Estimation for MIMO-OFDM Systems
Chang-Yi Yang Yu-Li Chen
Department of Computer Science and Department of Computer Science and
Information Engineering Information Engineering
National Penghu University of Science Ming Chuan University
and Technology Taoyuan, Taiwan
Penghu, Taiwan yorkchen@mail.mcu.edu.tw
cyyang@npu.edu.tw
Abstract—The issues of carrier frequency offset (CFO) and
channel estimation are very important for multi-input multi-
output orthogonal frequency division multiplexing (MIMO-
OFDM) wireless communication systems. In this paper, the
problems of CFO and channel estimation are considered. An
adaptive estimation algorithm is proposed. It can estimate CFO
and channel parameters at the same time. Since the estimation
method is real-time, it can work at a fast time-varying
environment. However, the model becomes a huge nonlinear
system if CFO and channel parameters are estimated
simultaneously. It is a heavy load for the wireless communication
system, even the extended Kalman filter can solve the nonlinear
estimation. A multiple model, which includes many subchannel
models, is constructed. The subchannel with CFO can be
separately estimated. The accurate CFO is obtained by
integrating estimated CFOs from subchannel models with
weighting technology. The computational complexity can be
reduced by this method. Finally, several simulations are given to
prove the performance in comparison with other methods.
Index Terms—Multi-input multi-output orthogonal
frequency division multiplexing (MIMO-OFDM) communication
system, carrier frequency offset (CFO), extended Kalman filter.
I. INTRODUCTION
With the success of the multi-input multi-output (MIMO)
and the orthogonal frequency division multiplexing (OFDM)
systems, the combination of both techniques, known as
MIMO-OFDM, has gained considerable attention for
broadband communications [1]-[4]. The advantages of the
MIMO-OFDM system include antenna diversity, high data
rate, elimination of inter-symbol interference (ISI) effect and
low complexity.
One of the disadvantages of MIMO-OFDM lies in its
sensitivity of carrier frequency offset (CFO) due to carrier
frequency mismatches between transmitter and receiver
oscillators. The CFO induces a phase error that causes a loss
of orthogonality among sub-carriers and, therefore, increases
inter-carrier interference (ICI) and attenuates the desired
signal. These effects reduce the effective signal-to-noise ratio
in OFDM reception such that the system performance is
degraded [5].
In order to approach the theoretical capacity and achieve
maximum diversity gain, channel parameters are required.
978-1-5090-2461-2/16 $31.00 © 2016 IEEE 949
DOI 10.1109/WAINA.2016.68
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Hai-Yan Song
College of Information And
Communication Engineering
Harbin Engineering University
Harbin, China
songhaiyan0508@hrbeu.edu.cn
Therefore, channel estimation is essential for design of
MIMO-OFDM systems. Different research approaches have
been adopted for channel estimation and tracking [6]-[11]. An
expectation-maximization (EM)-based channel estimation
method has been proposed for channel estimation to detect the
transmitted data in [12]. However, the EM algorithm needs
numerous iterations to achieve optimal channel estimation
results.
Although an extended Kalman filter with the pilot-
symbol-aided method to track a MIMO-OFDM channel has
been proposed in [13], channel estimation with a pilot-symbol-
aided method may occupy the available bandwidth (valuable
for the service provider) and may degrade the data throughput
[14], [15]. Other research works include the cyclic comb-type
training structure proposed in [16], in which all types of
training symbols are transmitted cyclically at each antenna and
estimated for the channel frequency response with weights
obtained from the corresponding mean-square errors (MSEs)
at the receiver. An iterative maximum likelihood (ML) channel
estimation for signal detection under a large variation of
channel responses in the frequency domain was proposed in
[17]. In addition, a decision-directed channel estimation in the
frequency domain using a Kalman-based filter was proposed
in [18]. All of the above researches only consider the channel
estimation problem. The CFO due to mismatch between
transmitter and receiver oscillators is not taken into account in
those algorithms.
Since the accuracy of the channel estimation result
depends on the exact carrier frequency at the receiver, the idea
of joint CFO and channel estimation has initially been
proposed for OFDM system [19], and then extended to
MIMO-OFDM systems [20]. A closed-form joint CFO and
channel estimation was proposed for point-to-point MIMO-
OFDM systems [21] and then extended to coordinated MIMO-
OFDM systems. However, these closed-form solutions are not
real-time so that they are not suitable for fading channel
environment.
A pilot-aided algorithm has been developed in [22] for
MIMI-OFDM systems operating in a fast time-varying
environment. It performs the estimation using extended
Kalman filter and basis expansion model (BEM) technology.
 As the channel delay spread increases, the number of channel
taps also increases, and a large number of BEM coefficients
have to be estimated. This requires more pilot symbols.
The motivation of this paper is to develop a new adaptive
algorithm capable of jointly estimating the CFO and channel
parameters. However, the model becomes a huge nonlinear
system if CFO and channel parameters are estimated
simultaneously. A multiple model, which includes many
subchannel models, is constructed. The subchannel with CFO
can be separately estimated. The accurate CFO is obtained by
integrating estimated CFOs from subchannel models with
weighting technology. The computational complexity can be
reduced by this method. The simulation results demonstrate
the improvements of the proposed scheme over other methods.
II. SYSTEM MODELS OF MIMO-OFDM SYSTEMS
A MIMO-OFDM system with Nt transmit antennas, Nr
receive antennas, and Nc subcarriers is considered. As shown
in Fig. 1, the information bits are first modulated by an M-ary
quadratic amplitude modulator (QAM). The modulated M-
QAM symbols are encoded by an OSTBC encoder and fed
into an OFDM modulator. In the OSTBC scheme [1], the data
stream to be transmitted is encoded in blocks, which are
distributed among the spaced antennas and across time.
Fig. 1. Block diagram of the MIMO-OFDM transmitter
The time-domain channel impulse response from the jth
transmit antenna to the ith receive antenna of the lth path
sampling of the complex time-varying fading channel with
length L at the nth OFDM symbol is represented as hl j ,i (n) .
For the Rayleigh fading channel, an AR process can match its
special characteristics [13], [19], [23]. The second-order AR
model (AR(2)) is adopted here due to its simplicity and
accuracy. Therefore, the lth path of the time-domain channel
impulse response from the jth transmit antenna to the ith
receive antenna at the nth OFDM symbol can be modeled by
hl j ,i (n)  a1j ,i (n 1)hl j ,i (n 1)  a2j ,i hl j ,i (n  2)  lj ,i (n)
for i  0, , Nr  1 , j  0, , Nt  1 , and l = 0, , Nc-1,
where l j ,i (n) is a zero-mean complex white Gaussian
process. Parameter a1j ,i (n) and a2j ,i are determined by Doppler
frequency shift due to the velocity change of the mobile
station. These parameters are defined in [24] as
a1j ,i (n)  2rd cos  2 f Dj ,i (n)T  , a2j ,i  rd2
j ,i
where f (n) is the maximum Doppler frequency shift in the
D oscillator. The time-domain impulse response hl j ,i (n) can be
nth symbol period, and rd is the pole radius that corresponds to
the steepness of the peaks of the power spectrum. A possible
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assumption that can be made is that the velocities of any
antenna pair between the transmitter and the receiver are all
equal in any time instant, i.e., a1j ,i (n)  a1 (n) , i, j . Since
the velocity of the mobile station is time-varying and
unavailable, a1j ,i (n) is time-varying too.
Meanwhile, it is assumed that all the transmitting antennas
at a BS share the same oscillator, as do the receiving antennas
at the MS. Therefore, a MS has one time-varying CFO,
f (n) . For a subcarrier frequency of fs Hz, the CFO is
normalized to the subcarrier frequency as v(n)  f (n) / f s .
As described in [22], v(n) can be defined as the following
AR(1) model
v(n)  bv(n  1)  v (n) (3)
where b is typically chosen between 0.99 and 0.9999, and
wv(n) is assumed to be zero-mean Gaussian. In order to
prevent the system performance degraded, the best way is to
jointly estimate a1(n), v(n), and hl j ,i (n) .
III. ADAPTIVE ALGORITHM FOR JOINT CFO AND CHANNEL
ESTIMATION
The transmitted signal shall be regenerated by an equalizer
from received signal. Therefore, the equalizer requires the
channel information to minimize the MSE between the
transmitted signal and the regenerated signal. Since the
channel information is unknown to the equalizer, the channel
estimation of the MIMO-OFDM system becomes an important
issue. A decision-directed Kalman filter is proposed to
estimate the channel information. The MMSE equalizer can be
implemented according to the estimation result. The block
diagram of the MIMO-OFDM receiver is shown in Fig. 2.
(1)
Fig. 2. An MIMO-OFDM receiver with decision-directed channel tracking
Here, one receiver antenna (Nr=1) is considered in
designing the joint frequency offset and channel estimator,
since the same estimation procedure can be adopted on the
other receiver antennas. However, the estimates from different
receiver antennas can also be combined to achieve a more
(2) accurate estimate.
Since all receiver antennas share the same receiver
simply expressed as hl j (n) . The training signal Si,k(n) means
950
 the signal from the ith subchannel of the kth transmit antenna. method to estimate them simultaneously. The extended
The received vector r (n) for all subcarriers is defined as Kalman filter is introduced here to solve the nonlinear
T estimation problem.
r (n)  r0 r1 rNc 1  C Nc . Therefore, the received From the dynamics of the state equations in (7) and
signal for each subchannel can be expressed as Kalman filter algorithm [25], we can obtain
ri (n)  y i (n)  wi (n), i  0, , Nc  1 (4) ˆ n  1| n  1))
X̂(n | n  1)  G(X( (10)
where X̂(n | n) = X̂(n | n  1) + Ka (n)e(n) (11)
2 iv ( n )
Nt 1 j Nt 1 where
y i ( n)  S
k 0
i,k ( n)e Nc
hik (n)  s
k 0
i,k (n)hik (n) e(n)  r (n)  D(X( ˆ n | n  1)) (12)
(5)
2 iv ( n ) and Ka(n) is the corresponding Kalman gain. Here, e(n)
j
si , k (n)  Si , k (n)e Nc
denotes the prediction error. Ka(n) is employed to minimize
the covariance E{e(n)e(n)T} of the prediction error. The
Let extended Kalman gain Ka(n) and the error covariance matrices
H
hi (n)   h0i (n) h1i (n) hNi c 1 (n)  P(n|n) of the smooth range prediction and estimation are
(6) obtained from the following equations:
H
h(n)   h H 0 (n) h H 1 (n) h H Nt 1 (n)  P  n | n  1  gP  n  1| n  1 g H   V2 I (13)
1
Joint CFO and channel estimation problem can be transformed Ka (n)  P  n | n  1 d dP  n | n  1 d  Q 
H H 2
(14)
into the following state-space equations.
P  n | n    I  Ka (n)d  P  n | n  1 (15)
X(n)  G(X(n 1))  V(n) (7) where
r (n)  D(X(n))  w(n) (8) b 0 0 0
0 0 
where G  X   1 0
 ( n) b (n) v (n) g=  (16)
 a ( n)     (n)  X 0 h(n) a1 I Nt Nc a2 I Nt Nc 
X(n)   1  , G (X(n))   a1 (n)  , V(n)  a 
 (9)  
 h(n)   a1 (n)h(n)  a2 h(n  1)  Vh (n)  0 0 I Nt N c 0 Nt Nc 
     
 h(n  1)   h(n)   0 
and
However, the joint estimation in (7) is a nonlinear problem
due to the coupling. It is not easy for any linear estimation
------------------------------------------------------------------------------------------------------------------------------------------------------------
0 0 s0,0 (n) 0 0 0 s00,11 (n) 0 0 s0,0 Nt 1 ( n) 0 0
 2 
 j y1 0 0 s1,0 (n) 0 0 0 s1,1 (n) 0 0 s0, Nt 1 ( n) 0 
D  X   Nc 
d=   (17)
X  
 2 ( N c  1) 
j yNc 1 0 0 0 0 sNc 11,00 (n) 0 0 sNc 1,1
1 1 ( n) 0 0 sNc 11, Nt 1 ( n) 
 Nc 

It is noted that r(n) C Nc , X(n) C 

2 Nt Nc  2
, Ka (n) C 
2 Nt Nc  2 Nc
, P(n | n) C 
2 Nt Nc  2 2 Nt Nc  2
C
2 Nt Nc  2 2 Nt Nc  2
, g , and
Nc  2 Nt Nc  2 N c  Nc
d C . Meanwhile, there is a matrix ( C ) to be inverted when K a (n) is calculated. The computational
complexity is very high.
-------------------------------------------------------------------------------------------------------------------------------- -----------------------
ri (n)  Di (Xi (n))  wi (n) (20)
IV. ADAPTIVE MULTIPLE SUBCHANNEL ESTIMATION where
 ( n) b (n) v (n)
 a ( n)      ( n) 
To reduce the computational complex, a multiple model,    a1 (n)   a 
X i ( n)  1
, G (X (n))  , V ( n)  (21)
 H i ( n)  i i  a1 (n) H i (n)  a2 H i (n  1)  i Vh (n) 
which includes many subchannel models, is proposed. For      i 
 H i (n  1)   H i ( n)   0 
subchannel i, we define the transmitted impulse response
vector Hi(n) as follows. Nt 1 j
2 iv ( n ) Nt 1

Nt 1 H Di (Xi (n)) = yi (n)  S i ,k (n)e Nc

hik (n)  s i ,k (n)hik (n) (22)
Hi (n)  h (n) h (n)
i
0 1
i h i (n)  (18) k 0 k 0

Associated with (4), the following state-space equation can be

By using the extended Kalman filter, the following equations
obtained for i  0, , Nc  1 .
can be obtained:
Xi (n)  Gi (Xi (n 1))  Vi (n) (19)

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 Note that ri  n  C1 , Xi (n) C 
2 Nt  2
, Ka (n) C 
2 Nt  21
ˆ (n  1| n  1))
X̂i (n | n  1)  Gi (X (23) ,
i
1 2 Nt  2
Pi (n | n ) C 
2 Nt  2 2 Nt  2
C
2 Nt  2 2 Nt  2
X̂i (n | n)  X̂i (n | n  1)  Kai (n)e(n) (24) , gi , d C .
Meanwhile, no matrix shall be inverted when K a (n) is
where
calculated. This algorithm can reduce the computational
ˆ (n | n  1)) complexity. Although there are Nc EKFs, it is still worthy.
ei (n)  ri (n)  di (Xi (25)
V. COMPUTER SIMULATION
The extended Kalman gain K ai (n) and the error covariance
Table 1 shows the power delay profile in the urban area
matrices Pi(n|n) of the smooth range prediction and estimation with the root-mean-square delay T  1s . Mobile velocities
are obtained from the following equations: from 5 to 200 km/hr are used to simulate different mobile
environments. The central frequency f c is 2 GHz in the
Pi  n | n  1  gi Pi  n  1| n  1 giH   2
Vi I (26) MIMO-OFDM system. The available bandwidth BW is 2.048
1
MHz which is divided into 512 subchannels. These
Kai (n)  Pi  n | n  1 diH di P  n | n  1 diH  Q2i  (27) correspond to a subcarrier symbol rate of 4 kHz and an
OFDM symbol duration of 312.5 s . The number of CPs
Pi  n | n    I  Kai (n)d  Pi  n | n  1 (28) N cp  128 is used to provide protection from ISI due to the
channel multipath delay spread. In the following simulations,
where
two transmitter antennas and two receiver antennas are used
b 0 0 0 ( Nt  2, N r  2 ) and the Alamouti code ( T  2 ) is adopted
0 0 
Gi  Xi  1 0 [2].
gi =  (29)
Xi 0 H i (n) a1 I Nt a2 I Nt 
  Table 1. Power Delay Profile in the Typical Urban Area
0 0 I Nt 0 Nt  Delay 0.0 0.2 0.5 1.6 2.3 5.0
Fractional 0.189 0.379 0.239 0.095 0.061 0.037
Di  Xi  2 i
di = j yi 0 si ,0 (n) si ,1 (n) si , Nt 1 (n) 0 0 0 Power
Xi  Nc 
(30)
By running the simulation for 50 trials and 1000 OFDM
There are Nc EKFs to estimate X̂i (n | n), i  1, , Nc . The block symbols per trial in this example, the performance of
the system is measured in term of the normalized mean square
covariance of E ei (n)eiT (n) of the smooth range prediction error (NMSE) of the channel estimation. The NMSE for the
error is expressed as mth subcarrier is defined as

E ei (n)eiT (n)  i (n)  di P  n | n  1 diH  Q2i (31)

NMSE( m) 

E H n (m)  Hˆ n (m)
2
 (36)
for i  0, , Nc  1 . Every X̂i (n | n) contains ν(n) and a1(n) .

E H n (m)
2

To get the accurate estimation result, we shall calculate the To simulate a velocity-varying mobile radio channel, we
weighting for each EKF. The likelihood function  i and the first assume that the velocity varies linearly in one second.
Following this, the initial and final velocities in one second
weighting wi for ith EKF, respectively, can be updated by are random variables uniformly distributed in the range from
5 km/hr ( f D  9.25 Hz) to 200 km/hr ( f D  370 Hz) in each
i (n)  N  ei (n); 0, i (n)  (32) trial. The compared methods are the algorithms which can
 i ( n) provide the channel estimation and prediction simultaneously.
wi (n) 
  ( n)
i
i
(33) The NMSEs, using different channel estimation methods, are
illustrated in the Fig. 3. The results of the 1st-order Kalman
where N  ei (n); 0, i (n)  denotes the Gaussian density filter [18] and the 2nd-order Kalman filter [25] were failures
function of ei(n) with zero mean and covariance i (n) . The because these two methods adopt fixed dynamics. The
estimated ν(n) and a1(n) can be obtained by proposed algorithm has best performance among testing
Nc 1
methods.
 w Xˆ (n) 1 0
T
vˆ(n)  i i 0 (34) VI. CONCLUSION AND FUTURE WORK
i
Nc 1 An adaptive carrier frequency offset and channel
 w Xˆ (n) 0 0
T
aˆ1 (n)  i i 1 0 (35) estimation for MIMO-OFDM systems has been proposed in
i
this paper. The channel model is described by a nonlinear
state-space dynamic equation. The states of the nonlinear

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 channel parameter system include the CFO, the time-varying
channel gains, and the dynamics of the channel. The CFO can
be described as an AR(1) model. However, the channel model
becomes a huge nonlinear system. Its computational
complexity is very high. To reduce the computational
complexity, a multiple model, which includes many
subchannel model models, is constructed. The subchannel
state with CFO can be separately estimated. The accurate
CFO, then, is obtained by integrating estimated CFOs from
subchannel models with weighting technology. The
simulation result indicates the proposed method can more
accurately estimate the channel state than existing methods.
Several works are not finished yet . First, most of the channel
tracking algorithms assumes the transmitted signal sn(m) can
be obtained. This is only true in the training mode, but the
transmitted signal is unknown for receiver in the tracking
mode. The proposed algorithm shall be modified for channel
estimation in the tracking mode. Second, after the channel
parameters are estimated, they shall be used to design the
MMSE equalizer. A robust optimal MMSE equalizer wishes
to be obtained from the information of the estimation
algorithm. These are our future works.
Fig. 3. NMSEs of channel estimations by different methods.
ACKNOWLEDGMENTS
This work of C-Y Yang was partly supported by the
Ministry of Science and Technology (MOST) in Taiwan
under grant MOST 105-2221-E-346-002. This work of H-Y
Song was partly supported by the Natural Science Foundation
of Heilongjiang Province, China under grant QC2014C079.
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