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Tseng-Wen (Vincent) Feng1 2 , Ben Williams1 , Pao-Chu (Billy) Wang1 and Shyh-Kang Jeng2 ,
1: Advanced Micro Devices, Inc.
2: Dept. of EE and Grad. Inst. Communication Engr., National Taiwan Univ.
vincent.feng@amd.com
Abstract—In this paper, we conduct the window design for under the CFO effect over AWGN channels has been studied
single-input single-output (SISO) and multiple-input multiple- in [14]. In this paper, we design window coefficients to
output (MIMO) OFDM systems. The key value of this paper is to minimize the error variances due to CFO, phase noise, and
optimize the receiver SINR when carrier frequency offset (CFO)
and phase noise both affecting an OFDM system. To our best channel noise. Compared with [14], our method is to design
knowledge, this is the first research to design window coefficients window coefficients exploiting the information of CFO and
through leveraging the CFO and phase noise statistics for SISO the statistics of phase noise over frequency-selective channels.
and MIMO OFDM systems over frequency-selective channels. Furthermore we extend our method to multiple-input multiple-
CFO and phase noise will destroy the orthogonality of OFDM output (MIMO) OFDM systems. In the simulation results, we
system and lead to inter-carrier interference (ICI). Simulation
results show that our proposed method can improve the system can show that the proposed method can improve the system
performance. performance both for SISO and MIMO OFDM systems.
Index Terms—SISO, MIMO, OFDM, CFO, Window II. S YSTEM D ESCRIPTION
A. SISO OFDM in the Presence of CFO and Phase Noise
I. I NTRODUCTION
Assume that A(k) are the transmitted symbols containing
Orthogonal frequency division multiplexing (OFDM) is modulation symbols. After taking a D-point IDFT of A(k),
shown to be robust against frequency-selective channels and we have
has a low complexity equalization. One of the mismatch pa-
1
D−1
rameters is the carrier frequency offset between the transmitter 2π
s(n) = √ A(k)ej D kn . (1)
and receiver. Another parameter is phase noise coming from D k=0
any possible local oscillators at receiving and transmitting
A cyclic prefix (CP) of length G is appended to s(n) to avoid
ends. In both cases, the system performance will suffer from
the inter-block interference and the signal is transmitted from
an error-flooring due to the intercarrier interference (ICI).
the transmit antenna. At the receiver, after removing CP (which
There have been many literatures investigating the estimation
is larger or equal to the channel order L), we have the received
of CFO. A repeated training sequence is proposed in [1] for the
signals
estimation of the CFO. [4] utilizes the structure of the cyclic
prefix in OFDM systems for the CFO estimation. The effect of
L
phase noise on OFDM systems was investigated in [5][6]. In r(n) = h(l)s(n − l) + q(n), (2)
[5], the authors proposed a method to estimate the common l=0
phase error due to phase noise. In [7], the authors utilized where h(l) is the channel response and q(n) is the additive
the statistics of phase noise to jointly estimate CFO, phase noise. Define the normalized carrier frequency offset (CFO)
noise, and channel response for OFDM systems. In [8], the as
authors provided an iterative method to estimate phase noise Δfc
= 1 , (3)
and compensate the effect for OFDM systems. All the above
DT
methods focus on SISO OFDM systems. For MIMO OFDM
where Δfc is CFO and T is the sample spacing at the receiver.
systems, one can find the estimation of CFO in [9][10].
Denote the phase noise as φ(nT ). Due to CFO and phase
Windowing technique for OFDM and ASDL systems has
noise, the received signal becomes
been investigated in [11]-[14]. An adaptive windowing tech-
nique has been considered in [12] to improve the performance
L
j 2π
D n jφ(nT )
of OFDM systems. For ADSL systems, the windowing tech- r(n) = e e h(l)s(n − l) + q(n). (4)
l=0
nique has been used in [13] to overcome the narrow band
interference. The window design of SISO OFDM systems After removing CP and taking a D-point DFT, we have
In this subsection, we investigate the effect of CFO and Z(k) = A(k)H(k)Wφ, (0) + A(t)H(t)Wφ, (k − t)D ,
t=k
phase noise on MIMO OFDM systems. Suppose that there desired
are nt transmit and nr receive antennas at the transmitter and ICI
receiver respectively. The transmit symbol at the ith transmit (14)
antenna is denoted by Ai (k). After taking a D-point DFT, we
and Q(k) is the DFT of the windowed channel noise
have
∞
1
D−1
1 2π
=√ w(n)q(n)e−j D nk .
2π
si (n) = √ Ai (k)ej D kn . (7) Q(k) (15)
D k=0 D n=−∞
Denote the normalized CFO at the jth receive antenna as The function Wφ, (k) is defined as
Δfc,j 1
∞
j = 1 , (8) Wφ, (k) =
2π 2π
w(n)ejφ(nT ) ej D n e−j D nk . (16)
DT D n=−∞
where Δfc,j is the CFO at the jth receive antenna. Denote
the phase noise at the jth receive antenna as φj (nT ). Due to From (14), we can compute the variances of the desired signal
CFO and phase noise, the received signal at the jth receive and ICI at the kth subcarrier
antenna is 2
σde (k) = σs2 E |H(k)|2 E |Wφ, (0)|2 , (17)
t −1
n L
2π
rj (n) = ej D nj ejφj (nT ) hj,i (l)sj,i (n − l)D and
i=0 l=0
D−1
+ qj (n). (9) 2
σici (k) = σs2 E |H(t)|2 E |Wφ, (k − t)|2 , (18)
t=0,t=k
After removing CP and taking a D-point DFT, we have
t −1
n respectively, where we assume E {A(k)A∗ (l)} = σs2 δ(k − l).
Yj (k) = Iφj ,j (0) Ai (k)Hj,i (k) Moreover the variance of the windowed channel noise is
∞
i=0
N0
D−1 t −1
n σn2 (k) = |w(n)|2 , (19)
+ Iφj ,j (k − t)D Ai (t)Hj,i (t) + Qj (k),(10) D n=−∞
t=k i=0
where we assume that E {q(n)q ∗ (l)} = N0 δ(n − l). In the
where following, we would like to design the window coefficients to
maximize the SINR and thus improve the system performance.
1 jφj (nT ) −j 2π (k−j )
D−1
Iφj ,j (k) = e e D . (11) It has been shown [14] that to ensure ICI free in the absence
D n=0 of CFO and phase noise, the window coefficients must satisfy
From (10), we find that due to CFO and phase noise, the the Nyquist criterion. By doing that, for small values of φ and
orthogonality between the subcarriers is destroyed and there we can have
will be ICI. Notice that ICI comes not only from subcarries
Wφ, (0) ≈ const. (20)
but also from transmit antennas. Thus the system performance
will be degraded. In this case, we only need to design the window coefficients
to minimize the variance of ICI and channel noise. In what
III. W INDOW D ESIGN IN THE P RESENCE OF CFO AND follows, we will show how to minimize the variances of ICI
P HASE N OISE and channel noise by carefully designing window coefficients.
A. Window Technique for SISO OFDM Systems Define a vector w of (D+2Dθ +1)×1 containing the window
coefficients
In this section, we consider the window design for SISO
T
OFDM systems in the presence of CFO and phase noise. w = w(−Dθ ) · · · w(D + Dθ ) , (21)
2
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where G = L + 2Dθ + 1. Also define a (D + 2Dθ + 1) × 1 Solving the above equation for g, we obtain
vector ⎡ ⎤−1
T
D−1
N 0
b = ejφ(−Dθ T ) · · · ejφ((D+Dθ )T ) . (22) gopt = − ⎣C† A† (j)ΦA (j)C + 2 I⎦
j=1
γ
and a (D + 2Dθ + 1) × (D + 2Dθ + 1) diagonal matrix ⎡ ⎤
D−1
N 0
A (k) = ⎣C† A† (j)ΦA (j)d + C† d⎦ . (35)
2π j=1
γ
diag ej D (−Dθ )(−k) j 2π
D (D+Dθ )(−k)
··· e .(23)
After getting the optimal gopt , we can obtain the optimal
Using (21)-(23), we can rewrite Wφ, (k) in (16) as window coefficients wopt using (31).
1 T
Wφ, (k) = b A (k)w. (24)
D B. Window Technique for MIMO OFDM Systems
By doing this, we can write Similar results can be applied to MIMO OFDM systems. We
assume that the CFO between different receive antennas can be
1
E |Wφ, (k)|2 = 2 w† A† (k)ΦA (k)w, (25) different. The case where the CFO is the same for all receive
D antennas is a special case. Denote the window coefficients at
where Φ is the correlation matrix of ejφ(nT ) the jth receive antenna as wj (n). The signal after the window
operation is
Φ = E b∗ bT . (26)
rj (n) = wj (n)rj (n). (36)
Substituting (26) into (18), we have
After taking a D-point DFT, we have
2
σici (k) = j (k),
Yj (k) = Zj (k) + Q
⎛ ⎞ (37)
σs2 †
D−1
w ⎝ E |H(t)|2 A† (k − t)ΦA (k − t)⎠ w. where
D2 t −1
n
t=0,t=k
(27) Zj (k) = Wφj ,j (0) Aj,i (k)Hj,i (k)
i=0
Then collect the ICI variances from all subcarriers desired
⎛ ⎞ t −1 D−1
n
D−1
2
σici = γw† ⎝ A† (j)ΦA (j)⎠ w, (28) + Aj,i (t)Hj,i (t)Wφj ,j (k − t)D , (38)
i=0 t=k
j=1
ici
where
and Wφj ,j (k) is defined as
σ2
D−1
γ = s2 E |H(t)|2 . (29) 1
∞
2π 2π 2π
D t=0 Wφj ,j (k) = wj (n)ej D n ejφj (nT ) ej D tn e−j D nk . (39)
D n=−∞
Similarly we can collect the variance of channel noise from
all subcarriers Hj,i (k) is the D-point DFT of hj,i (l)
L
σn2 = N0 w† w. (30) Hj,i (k) =
2π
hj,i (l)e−j D lk . (40)
l=0
Assume that we can rewrite the window function in the form
of We can compute the variance of the desired signal and ICI as
t −1
w = d + Cg, (31) 2
n
σde,j (k) = σs2 E |Wφj ,j (0)|2 E |Hj,i (k)|2 , (41)
i=0
where d is a (D + 2Dθ + 1) × 1 vector
T and
d = 0 ··· 0 1 ··· 1 0 ··· 0 , (32) 2
σici,j (k) =
C is a (D + 2Dθ + 1) × (2Dθ + 1) matrix t −1 D−1
n
T σs2 E |Hj,i (t)|2 E |Wφj ,j (k − t)D |2 (42)
C = I2θ+1 0 −I2θ+1 , (33) i=0 t=k
and g is the parameter designed to minimize the variance of respectively. Collect the variance of ICI from all subcarriers
ICI and channel noise. Substituting (31) into (28) and (30), at the jth receive antenna
2 D−1
we would like to find the optimal g that minimizes σici + σn2
2 † †
2
σici,j = γj wj Aj (t)Φj Aj (t) wj , (43)
∇g (σici + σn2 ) = 0. (34) t=1
3
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where γj is defined as 2
D−1 nt −1
σs2
0
Magnitude (dB)
γj = E |Hj,i (k)|2 , (44) −2
D2 −4
k=0 i=0 −6
jφj (nT ) −8
and Φj is the correlation matrix of e
−10
antenna is computed as
Phase (degrees)
−100
2
σn,j = N0 wj† wj . (46) −200
−300
Suppose that the window function is given by
−400
D−1 −1 10
N0
AWGN, ideal
AWGN, mmse−win
† †
gj = − C Aj (t)Φj Aj (t)C + 2 I 10
−1 AWGN, rect−win
t=1
γ L=4, ideal
D−1 L=4, mmse−win
N0
−2 L=4, rect−win
C† A†j (t)Φj Aj (t)d + C† d .
10
(49)
t=1
γ
BER
−3
10
The optimal window coefficients wj is obtained substituting
(49) into (47). −4
10
4
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0
10
−1
10
0 −2
10 10
−3
−1 10
10
BER
−4
−2 10
10
−5
10
BER
−3 ideal
10
CFO=0.03, mmse−win
−6
10 CFO=0.03, rect−win
−4 CFO=0.03, BW=500kHz rmsa=3°, mmse−win
10 °
CFO=0.03, BW=500kHz rmsa=3 , rect−win
−7
10
0 5 10 15 20 25 30 35 40 45
−5 QPSK, mmse−win, 23dB SNR(dB)
10 QPSK, rect−win, 23dB
64QAM, mmse−win, 36dB
64QAM, rect−win, 36dB
10
−6 Fig. 4. BER performance of MIMO OFDM systems
0 0.02 0.04 0.06 0.08 0.1
CFO
0
10 [2] T. Pollet, M. V. bladel, and M. Moeneclaey, “BER sensitivity of OFDM
QPSK, mmse−win, 23dB systems to carrier frequency offset and wiener phase noise,” IEEE Trans.
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−1 64QAM, mmse−win, 36dB
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64QAM, rect−win, 36dB
tion for OFDM,” IEEE Trans. on Commun., vol. 45, no. 12, pp. 1613-1621,
−2
Jul. 1997.
10 [4] J.-J. van de Beek, M. Sandell and P. O. Borjesson, “ML estimation of
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BER
−3
10
[5] P. Robertson and S. Kaiser, “Analysis of the Effects of Phase-Noise in
Orthogonal Frequency Division Multiplex (OFDM) Systems,” in Proc.
−4 IEEE ICC, 1995.
10
[6] C. Muschallik, “Influence of RF Oscillators on an OFDM Signal,” IEEE
Trans. Consumer Electronics, vol. 41, no. 3, pp. 592-603, Aug. 1995.
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10
of Channel Response, Frequency Offset, and Phase Noise in OFDM,” IEEE
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−6
10
[8] Q. Zou, A. Tarighat, and Ali H. Sayed, “Compensation of Phase Noise in
1 2 3 4 5 6 7 8 9 OFDM Wireless Systems,” IEEE Trans. Signal Process., vol. 55, no. 11,
PN, rmsa
pp. 5407-5424, Nov. 2007.
[9] X. Ma, M.-K. Oh, G. B. Giannakis and D.-J. Park, “Hopping Pilots
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−4 for estimation of frequency-offset and multiantenna channels in MIMO-
OFDM,” IEEE Trans. on Commun, vol. 53, no. 1, pp. 162-172, Jan. 2005.
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BER
Fig. 3. (a) BER v.s. CFO (b) BER v.s. rmsa (c) BER v.s. BW in D = 64
5
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