Joint Synchronization and Channel Estimation For MIMO-OFDM Systems Using EM Algorithm

IPASJ International Journal of Electronics & Communication (IIJEC)
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Volume 2, Issue 8, August 2014 ISSN 2321-5984

Volume 2, Issue 8, August 2014 Page 53

ABSTRACT
MIMO-OFDM systems are very sensitive to synchronization errors, especially the carrier frequency offset (CFO).In order to
detect the transmitted signal from each transmit antenna with data detection, we should estimate an accurate channel state
information (CSI) at the receiver. Therefore synchronization and channel estimation are challenging tasks in mobile MIMO-
OFDM communication systems. A joint carrier frequency synchronization and channel estimation scheme is proposed for
MIMO-OFDM system. The carrier frequency synchronization and channel estimation are performed iteratively via the
ExpectationMaximization (EM) algorithm using an OFDM preamble symbol. Simulation results present that the proposed
scheme achieves almost ideal performance.
Keywords:-MIMO, OFDM , Channel estimation, EM algorithm
1. INTRODUCTION
MIMO-OFDM systems are one of the systems which have become the basis of many communication researches
nowadays. A system with several high speed inputs and outputs in sending information or suitable diversity between
transmitter and receiver; however the estimation of the channel in this connection is complex. In order to reveal the
coherent of received signals, digital communication systems must have an exact estimation of the situation of exchange
channel between transmitter and receiver. Since increasing the number of transmitter and receiver antennas causes an
increase in the number of unknowns (coefficients of the channel between both antennas of transmitter and receiver) the
estimation of channels in multi-antenna systems is a lot more challenging than in one-antenna ones. A multi carrier
orthogonal modulation system , using the immediate Fourier diversion technique creates interest range and changes the
switch frequency to several flat sub channels; But lack of source and target and outbreak of delay by the channel
decreases the function of this system. In other words, this kind of system has a high sensitivity toward time and
frequency delays.

Fig. 1: Block Diagram MIMO-OFDM system model.
2. OFDM
Orthogonal frequency division multiplexing (OFDM) techniques has widely been considered to be a very promising
strategy to enhance data rate, capacity, and quality for broadband wireless systems over frequency-selective fading
channels. However, it is known to be very sensitive to the frequency synchronization and channel estimation errors [1].
Carrier frequency offset induced by the mismatches of local oscillators in transmitter and receiver causes inter carrier
interferences (ICI), which may result in significant performance degradation. Moreover, the coherent detection of
Joint Synchronization and Channel Estimation
for MIMO-OFDM Systems using
EM Algorithm
B.Lalithya
1
, N.sreekanth
2

1
(M. Tech Student, K.S.R.M College of Engineering, KADAPA, ANDHRA PRADESH, INDIA)

2
(Associate Professor, Department of ECE, K.S.R.M College Of Engineering, KADAPA,ANDHRA PRADESH, INDIA)


OFDM signals requires channel estimation to mitigate amplitude and phase distortions in a fading channel. For the
differential detection, however, it is known that the channel estimation is not needed, although it results in the 3-dB
loss of signal-to-noise ratio (SNR) [2][4].

Fig. 2: OFDM System Model
Several carrier frequency synchronization schemes for OFDM systems are reported in the literature [5][9]. In [5] and
[6], synchronization is achieved using the redundancy of the cyclic prefix. The synchronization schemes proposed in
[7]and [8] employs the maximum length sequence in frequency domain. In [9], the pseudo noise (PN)-based preamble
in time domain is used to achieve the frequency synchronization. Moreover, various channel estimation schemes for
OFDM system are also studied in the papers [2][4]. Especially, [4] studied and analyzed the performance of the
minimum mean square error (MMSE) and deterministic maximum likelihood (ML) estimators. The joint frequency
offset and channel estimation issue is also highlighted in [10] and [11]. To obtain the ML solutions for both frequency
offset and channel impulse response (CIR), the prohibitive computational was obtained based on the least square (LS)
CIR estimate. In [11], an adaptive approach (i.e., steepest descent algorithm) was employed to avoid the complexity of
joint ML estimation. However, it is known that the expectation-maximization (EM) algorithm [13]can provide the ML
solutions in an iterative manner for the joint ML estimation problem [12], [14]. In this paper, we propose the joint
carrier frequency synchronization and channel estimation scheme based on the EM algorithm employing an OFDM
preamble symbol to perform joint frequency synchronization and channel estimation iteratively. Expectation and
maximization steps in this scheme provide both channel and frequency offset estimates, respectively.
3. MIMO SYSTEM MODEL
we consider a MIMO system with N
t
transmit antennas and Nr receive antennas . The channels between transmit and
receive antennas are assumed to be independent frequency flat fading. The channel can be represented by H
Defining the transmit symbol vector s = C
Mx1
, the received signal y= , and
the AWGN noise vector v ,, the system model can be written as y = Hs + v, where
The each element in the AWGN noise vector is assumed to be a zero-mean circular symmetric
complex Gaussian variable, which implies that the phase rotation of v will not affect its statistical properties, and

SPACE TIME BLOCK CODE (STBC)
Space-time block codes were designed to achieve the maximum diversity order for the given number of transmit and
receive antennas subject to the constraint of having a simple linear decoding algorithm. This has made space-time
block codes a very popular and most widely used scheme. A simple Space-time Code suggested by Mr. Siavash M
Alamouti, presented a simple method for achieving spatial diversity with two transmit antennas. Here, we assume that
the channel is a Rayleigh multipath channel and the modulation is BPSK/QPSK.
The scheme is as follows -
1. Consider that we have a transmission sequence, for example
2. In normal transmission, we will be sending in the first time slot, in the second time slot, in the third time slot
and so on.


3. In this scheme, the symbols are to be grouped into groups of two. In the first time slot, send and from the first
and second antenna. In second time slot send and from the first and second antenna. In the third time slot send
and from the first and second antenna. In fourth time slot, send and from the first and second antenna, and so on.
4. Though we are grouping two symbols, we still need two time slots to send two symbols. Hence, there is no change
in the data rate.

0 1
, ,...
ns
i i i
0 1
, ,...
ns
s s s
s n
TX
s n
RX
1,N
h
,1 M
h
, M N
h
0 1
, ,...
ns
s s s
0 1
, ,...
ns
i i i

Fig. 3: A Block Diagram of generalized STBC

2-Transmit, 1-Receive Alamouti STBC coding

*
1 2
*
2 1
s s
s s
| |
|
\ .

Fig.4 -Transmit, 1-Receive Alamouti STBC coding
1Assumption
1.The channel experienced by each transmit antenna is independent from the channel experienced by other transmit
antennas.
2.For the ith transmit antenna, each transmitted symbol gets multiplied by a randomly varying complex number . As
the channel under consideration is a Rayleigh channel, the real and imaginary parts of are Gaussian distributed
having mean
0
i
h
=
and variance. 2
1
2
i
h
=
.
3.The channel between each transmit and receive antenna varies randomly with time. However, the channel is
assumed to remain constant over two time slots.
4. On the receive antenna, the noise w has the Gaussian probability density function with
2
2
2
( )
2
1
2
( )
n
e p n

=
with
0 =
and
2 0
2
N
=
.

5. The channel is known at the receiver.
Receiver with Alamouti STBC
In the first time slot, the received signal is,
| |
1
1 1 1 2 2 1 1 2 1
2
s
y h s h s w h h w
s
(
= + + = +
(

(1)
In the second time slot, the received signal is,
| |
*
* * 2
2 1 2 2 1 2 1 2 2
*
1
s
y h s h s w h h w
s
(
= + + = +
(

(2)
where y1 and y2 is the received symbol on the first and second time slot respectively, h1 is the channel from 1st
transmit antenna to receive antenna, h2 is the channel from 2nd transmit antenna to receive antenna, s1 and s2 are the
transmitted symbols and w1 and w2 is the noise on 1st and 2nd time slots.
Since the two noise terms are independent and identically distributed,


2
1 1 *
1 2 * 2
2
2
0
0
w w
E w w
w
w
(
(
( ( =
`
(
( )

(3)
For convenience, the above equation can be represented in matrix notation as follows:

1 1 2 1 1
* * * *
2 2 1 2 2
y h h s w
y h h s w
( ( ( (
= +
( ( ( (
(4)
Let us define
1 2
* *
2 1
h h
H
h h
(
=
(

. To solve for
1
2
s
s
(
(

,we need to find the inverse of H. We know that, for a general m x
n matrix, the pseudo inverse is defined as,
( )
1
H H
H H H H
+
=
(5)
The term,
( )
2 2
*
1 2 1 2 1 2
* * * 2 2
2 1 2 1
1 2
0
0
H
h h h h h h
H H
h h h h
h h
(
+ ( (
( = =
( (
( +

(6)
Since this is a diagonal matrix, the inverse is just the inverse of the diagonal elements, i.e.,

( )
2 2
1
1 2
2 2
1 2
1
0
1
0
H
h h
H H
h h
(
(
+
(
=
(
(
+
(

(7)
The estimate of the transmitted symbol is,

( )
( )
( )
1
1 1
*
2 2
1
1 1
*
2 2
1
1 1
*
2 2
H H
H H
H H
s y
H H H
s y
s w
H H H H
s w
s w
H H H
s w
( (
=
( (

| | ( (
= +
|
( (
\ .
( (
= +
( (

(8)
BER with Almouti STBC
Two transmitting antennas are used in Alamoutis STBC. Hence the total transmit power in the Alamoutis scheme
is twice that of the power used in 1Tx, 2Rx system that uses MRC. The BER for BPSK modulation in Rayleigh
channel with 1 transmit, 2 receive case is, on MRC
2
,
[1 2(1 )]
e M R C M R C M R C
P P P = +
(9)
where .
1
2
0
1 1 1
1
2 2
MRC
b
P
E
N
| |
|
| = +
|
|
\ .
(10)
With Alamoutis 2 transmit antenna, 1 receive antenna STBC case,
1
2
0
1 1 2
1
2 2
S TBC
b
P
E
N
| |
|
| = +
|
|
\ .
(11)
and BER is
| |
2
,
1 2(1 )
e STBC STBC STBC
P P P = +
(12)


4. DETECTION TECHNIQUES
1. Linear ZF Detection
Linear ZF detection is a common approach in MIMO detection, due to the simplicity of implementation without any a
priori knowledge of noise statistics as compared to MMSE detection. The mathematical expression of ZF filter is given
by
(13)
Thus the symbol estimate of ZF detection can be written as
(14)
we can observe that the performance of ZF detection is mainly affected by
(15)
Using SVD, the post-detection noise power can be decomposed
(16)
where the quantity denotes the equivalent signal power of the
i
th transmit antenna the receiver. The noise
enhancement effect will be enlarged if becomes small, which implies that the signals from the
i
th transmit
antenna experience the null channel. In other words, the
i
th singular value of H is close to zero. In the following
subsection, the MMSE detection will be presented, and the noise enhancement will be reduced by introducing statistical
information of the noise.
2. Linear MMSE Detection
Linear MMSE detection is based on the minimum mean square error criterion, which maximizes the SINR after
detection. The linear MMSE filter is given by
(17)
Hence, the output of linear MMSE detection can be evaluated as
(18)
Similar to ZF detection using SVD, the post-detection noise power can be expressed as
(19)
From the above equation, the noise enhancement is significantly reduced. If the equivalent signal power becomes
small, the mean square error will be close to zero.Hence, the noise enhancement in MMSE filter is
less critical compared to that in ZF filter.
3. ML Detection
Maximum likelihood (ML) detection is the optimum approach to detect the symbols from multiple transmit antennas
without iterative processing. In other words, ML detection can be considered as MAP detection without the aid of a
priori information. Defining C as a set of constellation points, and Nt as the number of transmit antennas , the ML
metric can be expressed as

(20)
where the quantity denotes all combinations of transmit symbols. The ML criterion calculates all combinations of
transmit symbols, and chooses one particular combination with the minimum Euclidean distance. Because the ML


metric will test every possible constellation point combination, its complexity will increase exponentially with the
number of transmit antennas. Hence, the application of ML detection will be prohibitive for high order modulation and
a large number of transmit and receive antennas.
5. EM ALGORITHM-BASED CHANNEL ESTIMATION
The proposed EM (Expectation-Maximization) algorithm has been widely used in a large number of areas that deal
with unknown factors affecting the outcome, such as signal processing, genetics, econometric, clinical, and sociological
studies. The EM-based channel estimation is an iterative technique for finding maximum likelihood (ML) estimates of
a channel. It is classified as a semi-blind method since it can be implemented when transmit symbols are not available.
Suppose that X is one of the C-
ary
symbols in the constellation of size C, such that X where Xi denotes
the
i
th symbol in the constellation. Then, the received signal for some subcarrier is given
Y=H.x+n (21)
The conditional probability density function of Y given H and X can be expressed as
(22)
Assuming that are transmitted with the same probability of 1/C, the conditional probability density function
of Y given H is
(23)
Assuming that the channel is not time-varying over D OFDM symbols, denote those
transmitted and received symbols in a vector form as
(24)

(25)
In the context of EM algorithm, Y is called incomplete data since the transmitted (latent) data X is hidden in the
observed data Y. Meanwhile, (Y, X) is called complete data because the observed and latent data are included in the
set. Since it is difficult to estimate the channel with incomplete data, the probability density function of incomplete
data is converted into the probability density function of complete data. The probability density function of
incomplete data is given by
(26)
which can also be represented by using the log-likelihood function as
(27)

Meanwhile, the probability density function of complete data can be rewritten by using the log-likelihood function as
(28)
In the conventional ML algorithm, H is estimated by maximizing the likelihood function f(YH) in Equation (5.3).
Due to the summation term of the exponential functions, however, it is not easy to derive a closed-form solution for H.
In the EM algorithm, H is estimated by iteratively increasing the likelihood function in Equation (5.8). In fact, the EM
algorithm consists of two iterative steps: expectation (E) step and maximization (M) step. In the E-step, the expected
value of the log-likelihood function of H is computed by taking expectation over X, conditioned on Y and using the
latest estimate of H, as follows:
(29)
where H^((P) )denotes the latest estimate of H. In the E-step, the log-likelihood functions of complete data in
Equation (5.8) are averaged over D OFDM symbols. In the subsequent M-step, is determined by maximizing
Equation (5.9) over all possible values of H. More specifically, it is obtained by differentiating Equation (5.9) with
respect to H and setting its derivative to zero, to yield the following result
H (30)


where and can be obtained by Equation (5.2) and Equation (5.3), respectively. Note that
Equation (5.10) can be viewed as a weighted least-square solution where an estimate of cross-correlation function is
divided by an estimate of auto-correlation function ,each being weighted by the corresponding probability density
functions.
6. SIMULATION AND RESULTS
System parameters in our simulations follow the IEEE802.11a standard, where the DFT size N and the number of
modulated sub carriers P equal 64 and 52, respectively. Each multipath is modelled as a zero-mean complex Gaussian
random variable; so, it varies according to Rayleigh distribution.

0 5 10 15
10
-3
10
-2
10
-1
Eb/No, dB
B
i
t

E
r
r
o
r

R
a
t
e
BER for BPSK modulation with Alamouti STBC (Rayleigh channel)

theory (nTx=1,nRx=1)
theory (nTx=1,nRx=2, MRC)
theory (nTx=2, nRx=1, ZF)
theory (nTx=2, nRx=1, ML)
sim (nTx=2, nRx=1, EM)

Fig. 5: BER plot for BPSK with 2 Tx and 1 Rx with EM Algorithm.
The Zero Forcing equalizer is not the best possible way to equalize the received symbol. The zero forcing equalizer
helps us to achieve the data rate gain, but can not take the advantage of diversity gain. With ML equalization, we come
close to the performance of 1 transmit 2 receive MRC case. We gain both throughput gain and diversity gain. A large
improvement in the performance of STBC OFDM compared to that of OFDM can be noted from the table. The results
of the present analysis shows that the transmission characteristics of a MIMO STBC OFDM (2X1) system employing
OFDM transmission , exhibits large improvement in BER values between the OFDM and MIMO STBC OFDM (2X1)
with EM algorithm multiplexing. It also indicates further increases in SNR improvement as we go from lower to higher
digital modulation schemes.
Conclusions
It can be concluded from the results presented above that,
1. For a MIMO STBC system, the OFDM Multiplexing techniques promotes to achieving better SNR performances
for digital transmission.
2. For MIMO-OFDM transmission for BER values of 10-3, the SNR performance increases with different modulation
schemes from BPSK to 4-QAM (~11 dB) and 4-QAM to 16-QAM (~1 dB) and BPSK to 16-QAM (~12 dB).
3. The SNR performance for BER values ~10-3 the STBC OFDM (EM equalization) multiplexing indicates large
improvements in the SNR values compared to that of OFDM multiplexing techniques.
4. The comparison of performance between OFDM and STBC OFDM techniques indicates SNR improvement for
BPSK modulation ~17dB, at BER ~10-3.
7. CONCLUSION
Here we proposed a joint carrier frequency synchronization and channel estimation scheme for OFDM systems based
on the EM algorithm. In the proposed scheme, expectation and maximization steps provide both channel and carrier
frequency offset estimates iteratively using an OFDM preamble symbol. The simulation results show that the proposed
algorithm achieves almost ideal performance compared other equalization methods.


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