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Abstract—This paper addresses the problem of training de- [10], and [11] were derived for orthogonal frequency-division
sign for frequency-selective channel and carrier frequency-offset multiplexing (OFDM) systems. The work in [12] focused on
(CFO) estimation in single- and multiple-antenna systems under zero-padded single-carrier and cyclic-prefixed multicarrier
different energy-distribution constraints. The performance metric
block transmissions. Training symbols were inserted in each
used here is the Cramér–Rao bound (CRB). The paper first
addresses the CFO-free case and then generalizes the results block in order to track channel variations. By decoupling
to include CFO-corrupted scenarios. Training sequences are channel estimation from data detection and using linear min-
designed that render the CRB for the CFO independent of the imum mean-square error, optimal training designs were derived.
channel zeros. The proposed training designs also facilitate simple In [9], optimum finite-alphabet constant amplitude training
implementation of the maximum-likelihood CFO and channel sequences were proposed for single-carrier systems. The effect
estimators. Simulation results illustrate the merits of the proposed of imperfect channel estimation on the mutual information or
training designs.
capacity was investigated in [20] and [15]. Training designs
Index Terms—Communication channels, frequency estimation, maximizing the mutual information, capacity, or cutoff rate
identification, synchronization, training. were studied in [12], [13], [15], and [21]. Training designs that
are optimal in the presence of CFO have received relatively
little attention. It was investigated for the case of single antenna
I. INTRODUCTION
systems in [6] using the worst-case asymptotic Cramér–Rao
N communication systems, accurate estimation of the carrier bounds (CRBs), i.e., the large-sample CRB associated with the
I frequency-offset (CFO) and the channel impulse response
(CIR) are usually required in order to achieve good symbol de-
worst channel realization. It was found that a white Gaussian
preamble minimizes such a performance metric. Here, we
tection performance [1]. This is particularly important in sys- use the exact CRB as a metric for training design. The idea
tems employing large alphabets, multicarrier modulations, or of using the CRB for training design was also considered in
multiple transmit antennas. In order to save bandwidth, con- [22] in the context of CFO estimation in OFDM systems, and
siderable effort has been devoted to non-data-aided (or blind) in [14] for frequency-selective channel estimation. First, we
estimation methods [2]. However, in most current practical sys- consider the case where there is no CFO and focus on channel
tems, channel/CFO estimation typically relies on transmitting a estimation. We optimize the preamble design under different
known training sequence, which may be prepended, appended, energy-distribution constraints. Then, we tackle the more chal-
or embedded in the data packet. Although this approach wastes lenging problem of training design for both CFO and channel
bandwidth, reliable and computationally simple estimates can estimation. A power-efficient preamble design that reduces the
be obtained. Therefore, this approach has received renewed at- complexity of CFO and channel estimation will be presented.
tention in the last few years [3]–[16]. Semiblind methods have The proposed preamble design can be accommodated easily in
also been reported in [17]–[19]. both serial and block (either cyclic-prefixed or zero-padded)
If training is to be used, it is important to optimize the transmissions. Our findings are novel in both single and mul-
resources allocated for training: the tradeoff is clearly between tiple antenna scenarios.
improved channel estimation and improved rate; the impact The structure of the paper is as follows. The MIMO signal
on the bit error rate (BER) is more subtle since BER depends model will be presented in Section II. In Section III, optimum
both upon the quality of the channel estimate as well as the training design for channel estimation in the CFO-free case
nominal signal-to-noise ratio (SNR). In the absence of CFO, will be investigated. Section IV proposes training designs
optimal training for multiple-input multiple-output (MIMO) for both channel and CFO estimation. Maximum likelihood
frequency-selective channel estimation has been recently ad- estimation will be addressed in Section V. Simulations results
dressed by many authors, e.g., [8]–[12]. The designs in [8], will be presented in Section VI and conclusions will be drawn
in Section VII.
Notation: Superscripts , and denote Hermitian, trans-
pose, and pseudoinverse operators. The trace, statistical expec-
Manuscript received June 17, 2005; revised October 24, 2005. The associate
editor coordinating the review of this manuscript and approving it for publica- tation, and the Kronecker product are denoted by , ,
tion was Dr. Athina Petropulu. and , respectively. The norm of a vector is denoted by
M. Ghogho is with the School of Electronic and Electrical Engineering, Uni- . The identity matrix is denoted by ; the sub-
versity of Leeds, Leeds LS29JT, U. K. (e-mail: m.ghogho@ieee.org).
A. Swami is with the Army Research Laboratory, Adelphi, MD 20783-1197
script will be dropped when there is no ambiguity about the size
USA (e-mail: a.swami@ieee.org). of the matrix. Finally, is the diag-
Digital Object Identifier 10.1109/TSP.2006.879318 onal matrix whose th diagonal entry is .
1053-587X/$20.00 © 2006 IEEE
3958 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 54, NO. 10, OCTOBER 2006
II. SIGNAL MODEL The channel vector is identifiable if and only if has full
column rank:
Consider a MIMO system with transmit and receive
antennas. Let the baud-sampled discrete-time channel impulse
response (CIR) between the th transmit and the th receive rank
antennas be denoted by ,
where is an upper bound on the length of the longest CIR. Thus a necessary but not sufficient condition for channel iden-
We assume that all the transmit (respectively, receive) antennas tifiability is .
are driven by the same local oscillator, a reasonable assump- The CRB for is a lower bound on the covariance of any
tion when the receive (transmit) antennas are collocated. This unbiased estimate of , i.e., [23]
implies that all pairs of transmit-receive antennas will experi-
ence the same CFO. In order to estimate the CFO and the CIRs, CRB (5)
the transmit antennas send possibly different -point
preambles,1 , , simulta- Since is an AWGN vector, the CRB for is readily obtained
neously. These preambles or training signals are known to the as
receiver. Ignoring the first samples (which could be con-
taminated by interblock interference), the received preamble at CRB (6)
the th receive antenna is modeled as
Thus, the CRBs for the ’s, the channels to receiver , are iden-
(1) tical and mutually decoupled. Further, for any given receive an-
tenna, the CRBs for the CIRs associated with different transmit
antennas are in general coupled; they can be made decoupled
where , if the training sequences are designed such that if
, is the normalized angular CFO, . Optimal design of the training sequences is investigated
in Section IV-A.
B. CFO-Corrupted Scenario
In the more general case where the received signals are cor-
We assume the ’s to be mutually independent circularly sym- rupted by CFO, the CRB for and are obtained as (see
metric complex white Gaussian noise vectors, with covariance Appendix I for a proof)
. We also assume that no a priori information about the sta-
tistics of the channels is available
CRB (7)
Let , ,
, and . The signal model in CRB
(1) can then be rewritten as
(8)
(2)
(3) where and
now channel dependent. In Section IV-B, we design training for all . The above condition implies that
sequences that make the CRB of channel-zeros-independent, , , which is a “cyclic-prefix” type
i.e., for a fixed , CRB is independent of the channel condition. Substituting (15) into (6), we note that the optimal
realizations (or channel zeros). training sequence for the design problem in (14) is an orthog-
onal sequence that maximizes . Equation (15) indicates that
the training sequences associated with the different transmit an-
IV. TRAINING SEQUENCE DESIGN tennas should be orthogonal, i.e.,
Since no a priori information about the channels is available
at the transmitter, the total transmit energy allocated to training (16)
is split equally between the transmit antennas, i.e.,
Under condition (C0), the maximum value for is , and
(12) it is obtained when
, and is the leading matrix of . constellations were also investigated. In this subsection, we as-
Therefore, (15) and (17) are equivalent to sume ( being an integer) and impose a cyclic
prefix structure on the training sequences, i.e.,
, . In this case, the orthogonality condition
in (15) becomes
(20)
and
(24)
their -point DFTs, i.e., DFT of , satisfy Proposition 1: If and the training sequences are
(c.f., (22)) designed as in (27), then the CRB for is channel-independent
and is given by
CRB (32)
V. MAXIMUM-LIKELIHOOD ESTIMATION
Note that the above class of sequences encompasses the se-
quences proposed in (23) and (25). Since is an AWGN vector, the ML estimate of and are
As to the CRB for , we first use (8) to obtain found to be
CRB (33)
(29)
(34)
where is given in (11). For the CIPT design in (27), we have where is defined in (9). When and the training
that and (using (28)) sequences satisfy the CIPT design condition in (27), we obtain
CRB
where ; so . A channel-inde-
pendent upper bound for the above quantity is given by (35)
CRB (36)
(31)
where indicates the real part of and is the correlation
where is the maximum eigenvalue of
. Note that the upper bound is equal to CRB
in the CFO-free case plus an extra term which depends on how
the ’s in (27) are chosen. Maximum energy efficiency (re-
spectively, unit PAPR) imposes constraints on the ’s as il- We observe that in the case of single antenna systems, the ML
lustrated in (22) (respectively, (25)). Furthermore, note that the estimate of is identical to the repetitive-slot-based nonlinear
above upper bound is strictly channel independent in the sense least squares estimate in [3], [5], [24]. This holds true only
that it does not even depend on the norm of . Numerical ex- for sequences satisfying (27), i.e., if the number of repetitive
amples in the simulation section show that this upper bound is slots in the training sequence after removing the cyclic prefix
very tight, i.e., it is very close to the exact CRB. We could also is not equal to , then the repetitive-slot-based nonlinear
minimize the upper bound with respect to the possible CIPT se- least-squares estimates are not ML. Note that the acquisition
quences using a numerical optimization routine. We have found range of the above ML estimator of is ,
that the special CIPT sequences in (23) are solutions to this op- which decreases with and . Thus, for large or/and ,
timization problem. the proposed training design is viable for fine CFO estimation
We summarize these results in the following proposition. only, i.e., for small values of .
3962 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 54, NO. 10, OCTOBER 2006
(37)
(38)
Again, in the CFO-free case, in the above channel estimate
should be set to zero.
Fig. 4. MSEs and (averaged) CRBs for channel estimation versus SNR.
Fig. 7. MSEs and (averaged) CRBs for CFO estimation versus M.
CRB
N.
vidual channels are not affected by . Fig. 8 also shows that
Fig. 6. MSEs and (averaged) CRBs for channel estimation versus the gain of the CIPT design over the PN design is uniform over
3964 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 54, NO. 10, OCTOBER 2006
. Finally, the gap between the upper-bound on CRB and The FIM is readily obtained as the equation shown at the top of
the average CRB for seems to increase with . the page, where .
The CRB for is given by the inverse of . Using the same
VII. CONCLUSION mathematical manipulations as in Appendix I of [6] along with
Optimal training designs were derived for MIMO frequency- (39), we obtain (7) and (8).
selective channel estimation under two energy constraints. A
subclass of these designs were shown to render the Cramér–Rao APPENDIX II
bound for the CFO channel independent. Using these designs, a
Here, we show that sequences whose DFTs are given in (22),
channel-independent upper bound on the aggregate CRB of the
where with being an integer, satisfy the design
CIRs was also derived. Simulations results show that the pro-
conditions in (20) and (21). First, it is obvious that the sequences
posed training designs outperform PN-sequence-based training
in (27) satisfy the first condition. Next, we show that within this
in terms of both CFO and channel MSE/CRB. Further, when the
class of sequences, the sequences in (22) are the only sequences
proposed training designs are used, a significant saving in com-
satisfying the condition in (21). Indeed, under (27), condition
putational complexity of the ML estimators can be achieved.
(21) is equivalent to
An interesting direction for future work is the extension of the
proposed designs to the case where different MIMO multipath
branches experience different CFOs or Doppler shifts, which
was investigated under the assumption of flat fading in [25].
APPENDIX I
The CRB derivations given here are a straightforward exten- Let and
sion of those in [6] to the case of MIMO systems. Thus, only an . The above equation becomes
outline of the derivations is provided.
For any unbiased estimates, and of and , we have
that
CRB
CRB The only solution to the above equation is
, , which concludes the proof.
The unknown parameters in the signal model (3) are , and If , then the sequences in (27) are the only sequences
. Since the additive noise is Gaussian and is modeled as satisfying condition (20). Therefore, the sequences in (22) are
a deterministic parameter vector, the CRBs for and the only sequences satisfying both (20) and (21).
are decoupled. To derive CRB , we first derive the CRB for
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