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SPACE-TIME/FREQUENCY CODED MIMO AND

COOPERATIVE OFDM SYSTEMS


by
Zhefeng Li
A dissertation submitted to the Faculty of the University of Delaware in
partial fulllment of the requirements for the degree of Doctor of Philosophy in
Electrical & Computer Engineering
Summer 2010
c _ 2010 Zhefeng Li
All Rights Reserved
SPACE-TIME/FREQUENCY CODED MIMO AND
COOPERATIVE OFDM SYSTEMS
by
Zhefeng Li
Approved:
Kenneth E. Barner, Ph.D.
Chair of the Department of Electrical and Computer Engineering
Approved:
Michael J. Chajes, Ph.D.
Dean of the College of Engineering
Approved:
Debra Hess Norris, M.S.
Vice Provost for Graduate and Professional Education
I certify that I have read this dissertation and that in my opinion it meets
the academic and professional standard required by the University as a
dissertation for the degree of Doctor of Philosophy.
Signed:
Xiang-Gen Xia, Ph.D.
Professor in charge of dissertation
I certify that I have read this dissertation and that in my opinion it meets
the academic and professional standard required by the University as a
dissertation for the degree of Doctor of Philosophy.
Signed:
Leonard J. Cimini, Jr., Ph.D.
Member of dissertation committee
I certify that I have read this dissertation and that in my opinion it meets
the academic and professional standard required by the University as a
dissertation for the degree of Doctor of Philosophy.
Signed:
Javier Garcia-Frias, Ph.D.
Member of dissertation committee
I certify that I have read this dissertation and that in my opinion it meets
the academic and professional standard required by the University as a
dissertation for the degree of Doctor of Philosophy.
Signed:
Chien-Chung Shen, Ph.D.
Member of dissertation committee
ACKNOWLEDGEMENTS
As always, the completion of this dissertation would not be possible without
the support of many people. I would like to express my gratitude to my advisor,
Dr. Xiang-Gen Xia. For more than four years, he kept providing encouragement,
good teaching, and lots of great ideas. He is not only an advisor who teaches me,
he is also a friend who is studying and working with me. His enthusiasm and eorts
show us how to become a successful researcher.
I would like to thank Dr. Cimini, Dr. Garcia-Frias and Dr. Shen, who
have greatly contributed to my doctoral studies and have been so kind to serve
on the dissertation committee. Dr. Cimini is not only a famous researcher and
also a very good teacher. His lectures for Digital Communications and Wireless
Communications open a door through research for me and lead me into the wireless
communication area. I am grateful to Dr. Garcia-Frias for his encouragement and
practical advice for my research. His enthusiasm, his inspiration, and his great eorts
to explain things clearly and simply help me to obtain the solid foundation about
information theorem and channel coding theorem. This really makes my research
go faster and deeper. I would like to thank Dr. Shen for his insightful comments
and suggestion about my research. He is always very kindly and supportive and
I will always feel thankful to him for all his help and advice. It was a wonderful
experience to take Dr. Shens class of Wireless Networks and Mobile Computing.
He is an expert in wireless networks and his idea and knowledge brought great value
for my research from a dierent point of view.
iv
I also would like to thank my friends and colleagues who provided a stimulat-
ing and fun environment in which to learn and grow. Thanks Yue, Bo, Lu, Kejing,
Guo, Xu, Zheng, Xiantao, Tianyi, Xiaowei, and Huimin for all the help.
This dissertation is not an easy task for me. I did hesitate. I did feel frus-
trated. But I never stopped. Because I know that my parents always support me
and love me. I know that they are always proud of what I accomplished. This
dissertation is dedicated to my father Jilie and my mother Yuheng.
v
TABLE OF CONTENTS
LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Chapter
1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 MIMO-OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Cooperative OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Outline and Contributions . . . . . . . . . . . . . . . . . . . . . . . . 4
1.4 Notation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2 OSTFBC AND QOSTFBC CODED MIMO-OFDM SYSTEMS . 8
2.1 MIMO-OFDM System . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.1.1 MIMO-OFDM Channel . . . . . . . . . . . . . . . . . . . . . 8
2.1.2 Space-Time-Frequency Code . . . . . . . . . . . . . . . . . . . 9
2.1.3 Received MIMO-OFDM Signal . . . . . . . . . . . . . . . . . 10
2.1.4 ML decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.2 OSTFBC and QOSTFBC Coded MIMO-OFDM . . . . . . . . . . . . 12
2.2.1 OSTFBC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.2.2 QOSTFBC . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.2.3 Linear Transformation for Fast Decoding and Full Diversity . 15
2.3 Performances of OSTFBC and QOSTFBC in MIMO-OFDM Systems 18
vi
3 PRECODING FOR PAPR REDUCTION AT TRANSMITTER
USING CHU SEQUENCES . . . . . . . . . . . . . . . . . . . . . . . . 20
3.1 Denition of PAPR in OFDM Systems . . . . . . . . . . . . . . . . . 20
3.2 PAPR of OFDM Vectors with Repeated Symbols . . . . . . . . . . . 21
3.3 PAPR Reduction by Phase Adjustment in the Repetition . . . . . . . 22
3.4 PAPR Reduction by New Repetition Method and Phase Adjustment 24
3.4.1 New Repetition Method . . . . . . . . . . . . . . . . . . . . . 24
3.4.2 Phase Adjustment for PAPR Reduction Using Chu Sequences 25
3.4.3 Full Diversity of STFBC from the New Repetition . . . . . . . 29
3.4.4 Fast Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
3.5 Performances of OSTFBC and QOSTFBC in MIMO-OFDM with
Clipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4 CLIPPING NOISE MODEL BASED ML DECODING AT
RECEIVER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.1 Clipping Process and Clipping Noise Model in an OFDM System . . 37
4.2 Single-Symbol ML Decoding for OSTFBC in Clipped MIMO-OFDM
Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
4.3 Single-Symbol ML Decoding for QOSTFBC and Linearly Transformed
QOSTBC in Clipped MIMO-OFDM Systems . . . . . . . . . . . . . . 43
4.4 Clipping Ratio Estimation . . . . . . . . . . . . . . . . . . . . . . . . 50
4.4.1 CR Estimation Theorem for STBC Coded MIMO-OFDM
Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
4.4.2 Decision Aided CR Estimation Procedure . . . . . . . . . . . 54
4.5 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
4.5.1 Performance of Clipping Noise Model Based ML Decoding
with Perfect CR at the receiver . . . . . . . . . . . . . . . . . 55
4.5.2 Performance of Clipping Noise Model Based ML Decoding
with Estimated CR at the receiver . . . . . . . . . . . . . . . 58
vii
5 ALAMOUTI CODED COOPERATIVE OFDM SYSTEM . . . . . 62
5.1 Cooperative OFDM Channel Model . . . . . . . . . . . . . . . . . . . 62
5.2 Alamouti Coded Cooperative OFDM System Without Timing
Errors/Delays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
5.3 Alamouti Coded Cooperative OFDM System With Timing Errors and
Inter-block Interferences . . . . . . . . . . . . . . . . . . . . . . . . . 66
6 TIME DOMAIN INTERFERENCE CANCELLATION FOR
ALAMOUTI CODED COOPERATIVE OFDM SYSTEMS
WITH INSUFFICIENT CP . . . . . . . . . . . . . . . . . . . . . . . . 69
6.1 Interference Cancellation when
cp
< 2
cp
. . . . . . . . . . . . . 69
6.1.1 Transmitted sequences and interference sequences . . . . . . . 72
6.1.2 Estimation of interference sequences . . . . . . . . . . . . . . . 75
6.1.3 Interference Cancellation . . . . . . . . . . . . . . . . . . . . . 78
6.2 Interference cancellation when N
cp
1 > 2
cp
. . . . . . . . . 80
6.2.1 Transmitted Sequences and Interference Sequences . . . . . . 81
6.2.2 Estimation of Interference Sequences . . . . . . . . . . . . . . 85
6.2.3 Interference Cancellation . . . . . . . . . . . . . . . . . . . . . 88
6.3 Interference cancellation when N 1 > N
cp
1 . . . . . . . . 90
6.4 Simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
7 CONCLUSIONS AND FUTURE WORK . . . . . . . . . . . . . . . 96
7.1 Conclusions and Contributions . . . . . . . . . . . . . . . . . . . . . . 96
7.2 Future Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
BIBLIOGRAPHY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
viii
LIST OF FIGURES
2.1 Performance comparison among the space-time block code and
space-time-frequency block code without clipping for 1 receiver
antenna in MIMO-OFDM systems. . . . . . . . . . . . . . . . . . . 19
3.1 Signal amplitudes from repetition with and without phase
adjustment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3.2 Comparison of the complementary CDF of the PAPR of the discrete
OFDM signals with repetition factor = 4. . . . . . . . . . . . . . 27
3.3 Comparison of the complementary CDF of the PAPR of the ideally
band-limited (analog) OFDM signals with repetition factor = 4. . 28
3.4 Performance comparison of clipped 2 1 OFDM OSTFBC with
= 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
3.5 Performance comparison of clipped 4 1 OFDM linearly
transformed QOSTFBC with = 4. . . . . . . . . . . . . . . . . . 35
4.1 BER performance comparison of OSTFBC in clipped 2 2 OFDM
systems: (a) no convolutional code is added; (b) a convolutional
code is added. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
4.2 BER performance comparison of QOSTFBC in clipped 4 2 OFDM
systems: (a) no convolutional code is added; (b) a convolutional
code is added. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
4.3 MMSE of estimated CR. . . . . . . . . . . . . . . . . . . . . . . . . 59
4.4 Performance of clipping noise model based ML decoding; 4 transmit
antennas and 1 receive antenna linear transformed QOSTBC . . . . 60
4.5 Performance of iterative decoding; iteration number is 1. . . . . . . 61
ix
5.1 Time domain transmitted signals at the relay nodes. . . . . . . . . 65
6.1 Received sequences in time domain
cp
< 2
cp
. . . . . . . . . . . 70
6.2 Received sequences in time domain N
cp
1 > 2
cp
. . . . . . 80
6.3 Received sequences in time domain N 1 > N
cp
1. . . . 90
6.4 Performance comparison when
cp
< 2
cp
. . . . . . . . . . . . . 93
6.5 Performance comparison when N
cp
1 > 2
cp
. . . . . . . . 94
6.6 Performance comparison when N 1 > N
cp
1. . . . . . . 95
x
ABSTRACT
Space-time-frequency coded Multiple-Input and Multiple-Output Orthogonal
Frequency Division Multiplexing (MIMO-OFDM) systems have recently attracted
much attention for broadband wireless communications including recent IEEE stan-
dards 802.11n and 802.16e. Space-time/Frequency Coding (SFC) can achieve the
spatial and multipath diversities for a MIMO-OFDM system by coding across mul-
tiple antennas and subcarriers. In this research, we focus on a family of space-time-
frequency codes proposed by Zhang et al to achieve both full spatial and multipath
diversities by using Orthogonal Space-Time Block Codes (OSTBC). In particular, we
develop a precoding algorithm for Peak-to-Average Power Ratio (PAPR) reduction
and a clipping noise model based Maximum Likelihood (ML) decoding algorithm
for Space-Time-Frequency Block Codes (STFBC) coded MIMO-OFDM systems.
An important issue for OFDM systems is their high PAPR and it is important
to reduce the PAPR in a practical (power ecient) system. The rst goal of this
research is to modify the repeating process and adjust phases of coded symbols
so that the PAPR of the OFDM system is reduced. In particular, we propose to
use Chu sequences for phase adjustment and show that the discrete PAPR can be
reduced by times where is the times of the repeating across subcarriers.
Another ecient way to reduce the PAPR in OFDM systems is clipping. Af-
ter the clipping in an MIMO-OFDM system, the overall additive noise, including the
clipping distortion, may not be white. The second goal of this research is to develop
fast ML decoding algorithms for Orthogonal Space-Time-Frequency Block Codes
(OSTFBC) and Quasi Orthogonal Space-Time-Frequency Block Codes (QOSTFBC)
xi
in clipped MIMO-OFDM systems. By using a clipping noise model with Gaussian
approximation, our newly proposed fast ML decoding algorithms improve the sys-
tem performance without increasing the decoding complexity. Simulation results
are presented to illustrate the improvement.
In order to apply the clipping noise model based ML decoding, the clipping
ratio needs to be known at the receiver. We also consider the case when the clipping
ratio is not known at the receiver. So a decision-aided clipping ratio estimation for
MIMO-OFDM systems is proposed in our research, too.
Except for MIMO-OFDM systems, in this work, cooperative OFDM system
is investigated too. OFDM transmission has been proposed for cooperative commu-
nications to combat the time delays from the relay nodes, where the paths from relay
nodes to destination node are treated as multipaths and space-time (or frequency)
coding is used to achieve the spatial (or multipath) diversity. With this approach,
when the Cyclic Prex (CP) length is less than the time delay length, inter-block
interference occurs. In this research, we consider Alamouti coded OFDM systems in
cooperative communications where the CP length may be less than the time delay
length. By taking the advantage of the Alamouti code structure, we propose a time
domain interference cancellation algorithm.
xii
Chapter 1
INTRODUCTION
In this chapter, we rst briey introduce MIMO-OFDM systems and coop-
erative OFDM systems. Then, we summarize our work and contributions.
1.1 MIMO-OFDM
The MIMO channel is constructed with multiple transmit antennas and mul-
tiple receive antennas. MIMO systems can achieve large gains in capacity of com-
munication over wireless channels. For broadband wireless systems, the symbol
period becomes smaller relative to the channel delay spread, and therefore we have
to cope with frequency-selectivity fading. Large delay spread induces InterSym-
bol Interference (ISI), and cause a high performance degradation. So in frequency
selective fading channel, OFDM modulation is used to eliminate or reduce the ISI
caused by the multipath environments. Combination of MIMO systems with OFDM
technology is a promising system for broadband wireless communications.
Space-time coded MIMO-OFDM systems have recently attracted much at-
tention for broadband wireless communications including recent IEEE standards
802.11n and 802.16e. For MIMO-OFDM systems, various space-time/frequency
codes have been developed to achieve both spatial and multipath diversities by cod-
ing across subcarriers and multiple antennas and/or across OFDM symbols over the
time, see, for example, [1]-[8]. One of the important methods to achieve the full
multipath diversity is repeating across the subcarriers obtained by Su et al in [3].
1
However, most of the existing space-time/frequency codes to achieve the spatial and
multipath diversities do not have fast ML decoding.
Among the space-time codes used in MIMO-OFDM systems, OSTBC [9]-[13]
and Quasi-Orthogonal Space-Time Block Codes (QOSTBC) [15]-[25] play important
roles since they can achieve full spatial diversity and have fast ML decoding algo-
rithms [9]-[25] when the additive noise is white.
Recently, a family of space-time-frequency codes have been proposed in [8]
to achieve the full spatial and multipath diversities for MIMO-OFDM systems and
in the meantime they have the fast single-symbol ML decoding by using OSTBC,
see for example, [9]-[14], across multiple antennas and OFDM symbols, and also
repeating across subcarriers.
Although the repetition across subcarriers can achieve the multipath diver-
sity, it causes high PAPR. This is an important issue for OFDM systems and reduc-
ing the PAPR is important in a practical (power ecient) system.
One of the most ecient ways to reduce the PAPR is clipping [34] that,
however, induces clipping noise and the induced clipping noise in an MIMO-OFDM
system may not be white and thus the fast ML decoding for an OSTBC or QOSTBC
coded system may not hold. When the additive noise is not white, ML decoding for
spatially colored noised [26] needs to be considered.
Many clipping noise mitigation methods have been proposed in the literature.
Some of them are based on the decision-aided reconstruction (DAR) and clipping
noise cancellation [27]-[29] and some of them apply statistical clipping noise models
to the ML decoding [31]. All of these methods require the knowledge of the clipping
ratio (CR) at the receiver. However, in some applications, for example in inter-
ference channels, it is may be possible that the CR is not known at the receiver.
A clipping ratio estimation method has been proposed for single antenna OFDM
2
systems in [33]. This clipping ratio estimation method can be applied to pilot-tone-
based OFDM systems only. By calculating the statistics of the clipping noise at the
pilot subcarriers, the CR can be estimated from the statistical clipping noise model
given in [36]-[37].
1.2 Cooperative OFDM
Cooperative transmission, which uses a group of communication nodes to
transmit coded symbols together, can achieve diversity gain as MIMO systems do.
Compared to MIMO systems, which require multiple transmit antennas, cooperative
systems utilize the benets of multiple antennas transmission with only one antenna
at each node. It is more practical for some communication applications.
It is well-known that space-time coding can be applied in both MIMO and co-
operative systems to achieve spatial diversity [40][43], where multiple transmissions
are received at the receiver. A major dierence between MIMO and cooperative sys-
tems is that unlike an MIMO system, multiple transmissions from relay nodes in a
cooperative system may not be well synchronized and a space-time code achieving
spatial diversity for an MIMO system may not do in a cooperative system. This
issue has been studied lately in for example [44][53], where there are two major
approaches. One approach is from time domain considerations [44][47] and the
other approach is from frequency domain considerations [48][53]. The idea for the
frequency domain consideration is to treat paths from relay nodes to destination
node as multipaths and use OFDM transmissions at relay nodes to combat the time
delays, and then uses space-time/frequency coding to achieve the multipath (coop-
erative spatial in this case) diversity. The rst space-time coded OFDM system in
cooperative communications was proposed by Mei et al in [48] where Alamouti code
is used. For the OFDM approach, when the time delays from relay nodes are not
larger than the CP length, the interferences from the relays due to the time delays
do not appear. However, when the time delays are larger than the CP length, the
3
interferences occur. Note that, dierent from a conventional point-to-point OFDM
system where the time delay spread is mainly determined by the signal bandwidth
and thus the CP length can be pre-determined, the time delays from relay nodes
may vary and depend on a particular scenario in a cooperative system and thus a
pre-determined CP length always larger than the time delays may not be possible.
1.3 Outline and Contributions
In this research, the contributions are mainly from two aspects. The MIMO-
OFDM systems are rst considered. The main goal is to reduce the transmission
PAPR at the transmitter and improving the decoding performance at the receiver by
modelling clipping distortion. The second aspect is on cooperative OFDM systems.
The interference caused by time error of cooperative OFDM systems is studied and
a time domain interference cancellation method is proposed in this research.
In Chapter 2, we rst describe a space-time-frequency coded MIMO-OFDM
system model. We also generalize the STFC proposed in [8] from OSTBC to
QOSTBC that possesses higher rate than the OSTBC for more than two trans-
mit antennas. Similar to the OSTFBC from the OSTBC code, particular Alamouti
code, QOSTFBC can be obtained by repeating QOSTBC code [15]-[17] across fre-
quency subcarriers [30, 31]. The repetition of QOSTFBC in the frequency domain
can exploit the multipath diversity in MIMO-OFDM systems.
Compared to OSTFBC, due to the lack of the orthogonality, there are two
shortcomings of the above QOSTFBC. The rst shortcoming is that the above
QOSTFBC can not achieve full spatial diversity. The second shortcoming is that
the ML decoding for QOSTFBC becomes symbol-pair-wise decoding, which is more
complicated than symbol-wise ML decoding for OSTFBC.
In order to achieve full spatial diversity and fast decoding, we show that
linearly transformation method for single subcarrier QOSTBC is also applied to
4
QOSTFBC with multiple subcarriers. The linearly transformed QOSTFBC devel-
oped in this work achieves both full spatial and full multipath diversities, and also
has the fast ML decodings. Simulations for these schemes for MIMO-OFDM systems
with and without clipping have been presented to illustrate the theory.
The main goal of Chapter 3 is to modify the repeating process and adjust
their phases so that the PAPR of coded OFDM systems is reduced, and in the
meantime the full spatial and multipath diversities and the fast ML decoding are
still maintained. In particular, we propose to use Chu sequences [38, 39] for the
phase adjustments and show that the discrete PAPR can be reduced by times for
any SFC from the repeating, where is the times of the repeating across subcarriers.
Also, a new repetition method has been introduced so that the PAPR part caused by
the repetition is reduced to 0 dB after the phase adjustments using Chu sequences.
One of the most ecient ways to reduce the PAPR is clipping [34] that,
however, induces clipping noise. In Chapter 4, we consider clipped MIMO-OFDM
systems where OSTFBC or QOSTFBC is used. By applying the clipping noise
model from Bussgangs theorem used in, for example [35]-[37], we derive fast (single-
symbol) ML decoding algorithms for OSTFBC and QOSTFBC in clipped MIMO-
OFDM systems. Interestingly, the fast ML decoding properties for OSTFBC and
rotated QOSTFBC [9]-[25] in MIMO-OFDM systems without clipping are still main-
tained in clipped MIMO-OFDM systems. It should be emphasized that the newly
developed fast ML decoding for rotated QOSTBC proposed in [18]-[25] for MIMO
channels with white noise still has the single-symbol (or complex symbol-wise) de-
coding property in clipped MIMO-OFDM systems.
In Chapter 4, we also develop a decision-aided clipping ratio estimation for
an MIMO-OFDM system. By utilizing the code structure at the data subcarriers,
we can separate clipping distortions from multiple transmit antennas and calculate
the statistics of the clipping noise. Using the estimated CR from the decision-aided
5
clipping ratio estimation, any clipping noise mitigation method that requires to
know CR, such as [27]-[29] or clipping noise model based ML decoding proposed in
Chapter 4 can be used to improve the performance of an clipped OFDM system.
From Chapter 5, we start to discuss the second aspect of this research. The
space-time-frequency coded cooperative OFDM systems are rst introduced in this
chapter. Then interference caused by the time delay in cooperative OFDM systems
is investigated. When the time delays from relay nodes are not larger than the
CP length, the interferences from the relays due to the time delays do not appear.
However, when the time delays are larger than the CP length, the interferences
occur. Note that, dierent from a conventional point-to-point OFDM system where
the time delay spread is mainly determined by the signal bandwidth and thus the
CP length can be predetermined, the time delays from relay nodes may vary and
depend on a particular scenario in a cooperative system and thus a pre-determined
CP length always larger than the time delays may not be possible.
In Chapter 6, we are interested in the Alamouti coded OFDM systems for
cooperative communications when the CP length is less than the time delays from
the relay nodes. By taking the advantage of the Alamouti code structure between
two OFDM symbol blocks, we propose a time domain interference cancellation algo-
rithm to mitigate the interferences from time domain received signals. The channels
from relay nodes to destination node we consider in this research are assumed at
fading.
Finally, in Chapter 7, we summarize our conclusion and list some interesting
topics for future study.
1.4 Notation
In what follows, bold-face English letters represent vectors and matrices
and non-bold-face English letters represent scalars unless it is specied. Super-
scripts
T
,

, and
H
stand for transpose, conjugate and Hermitian, respectively.
6
diag(d
0
, d
1
, , d
N1
) or diag(d
n
, 0 n N 1) denotes an N N diagonal
matrix with diagonal scalar entries d
0
, , d
N1
. |a| denotes the norm of vector a
as |a| =
_

i
[a
i
[
2
if a = (a
i
). I
N
represents the identity matrix of size N N.
The Kronecker product is denoted by , i.e., A B = (a
ij
B), and the Hadamard
product is denoted by , i.e., A B = (a
ij
b
ij
), where A = (a
ij
) and B = (b
ij
).
i =

1. 1
1
= (1, , 1
. .

)
T
.
7
Chapter 2
OSTFBC AND QOSTFBC CODED MIMO-OFDM
SYSTEMS
This chapter starts from describing a space-time-frequency coded MIMO-
OFDM channel/signal model. Later, in particular, OSTFBC and QOSTFBC con-
cepts are discussed. Finally, performance comparison of coding schemes is presented.
2.1 MIMO-OFDM System
2.1.1 MIMO-OFDM Channel
Consider an MIMO frequency-selective Rayleigh fading channel with M
t
transmit antennas, M
r
receive antennas, and L independent propagation paths be-
tween each pair of transmit and receive antennas. We assume that the channel is
quasi-static or called block fading channel, i.e., the channel coecients remain xed
through one code block. The channel impulse response is denoted by
h
i,j
(t) =
L1

l=0

i,j
(l)(t
l
), (2.1)
where j and i denote the jth transmit antenna and the ith receive antenna for
j = 1, 2, , M
t
and i = 1, 2, , M
r
, respectively, l denotes the lth propagation
path between each pair of transmit and receive antennas, l = 0, 1, , L1,
l
is the
corresponding time delay of each path. For Rayleigh fading, the channel coecient

i,j
(l) is a zero-mean complex Gaussian random variable with variance
2
l
. We
assume that
i,j
(l) are i.i.d. random variables for any i, j, l. In order to normalize
8
the received signal power, the variances
2
l
are set to satisfy

L1
l=0

2
l
= 1 and for
convenience we use equal power delay prole for multipaths, and thus
2
l
=
1
L
.
For an MIMO-OFDM system with N subcarriers, the corresponding channel
frequency response for the nth OFDM subcarrier is given by
H
i,j
(n) =
L1

l=0

i,j
(l) exp(i
2n
T
s

l
), (2.2)
where i =

1, n represents the nth subcarrier, n = 0, 1, 2, , N1, and T


s
is the
duration of one OFDM symbol. We represent a vector of (H
i,1
(n), H
i,2
(n), , H
i,M
t
(n))
T
as H
i
(n) and (H
T
i
(0), H
T
i
(1), , H
T
i
(N 1))
T
as H
i
, where
T
stands for transpose.
and
H =
_
(H
1
)
T
, (H
2
)
T
, , (H
M
r
)
T
_
T
. (2.3)
2.1.2 Space-Time-Frequency Code
For a space-time-frequency coded MIMO-OFDM system, we represent a
coded symbol sent from the nth subcarrier at the jth transmit antenna during
the tth OFDM symbol period as C
t
j
(n) for t = 1, 2, , M
b
. We represent C(n) as
_
_
_
_
_
_
_
_
C
1
1
(n) C
1
2
(n) C
1
M
t
(n)
C
2
1
(n) C
2
2
(n) C
2
M
t
(n)
.
.
.
.
.
.
.
.
.
.
.
.
C
M
b
1
(n) C
M
b
2
(n) C
M
b
M
t
(n)
_
_
_
_
_
_
_
_
M
b
M
t
. (2.4)
The encoded space-time-frequency block code is represented by
C = diag(C(0), C(1), , C(N 1))
M
b
NM
t
N
. (2.5)
9
2.1.3 Received MIMO-OFDM Signal
At the receiver, after the cyclic prex removal and FFT, the received fre-
quency domain signal of the nth subcarrier at the ith receive antenna in the tth
OFDM symbol period is
Y
t
i
(n) =
_

M
t
M
t

j=1
C
t
j
(n)H
i,j
(n) + N
t
i
(n), i = 1, 2, , M
r
. (2.6)
The normalization factor

M
t
is used to normalize the power of the received signal,
in which is the signal-to-noise ratio (SNR) at the receiver. N
t
i
(n) is the additive
white Gaussian noise (AWGN) at the nth subcarrier and its variance
2
n
is assumed

2
n
= 1.
Received signals at the ith receive antenna from the nth subcarrier in a vector
form are
Y
i
(n) =
_

M
t
C(n)H
i
(n) +N
i
(n). (2.7)
where Y
i
(n) = (Y
1
i
(n), Y
2
i
(n), , Y
M
b
i
(n))
T
and N
i
(n) = (N
1
i
(n), N
2
i
(n), , N
M
b
i
(n))
T
.
Further stacking the received signals into vector form, we represent Y
i
=
(Y
T
i
(0), Y
T
i
(1), , Y
T
i
(N 1))
T
, N
i
= (N
T
i
(0), N
T
i
(1), , N
T
i
(N 1))
T
. So we
have
Y
i
=
_

M
t
CH
i
+N
i
. (2.8)
For M
r
receive antennas, let
X = diag(C, , C
. .
M
r
)
M
r
M
b
NM
r
M
t
N
, (2.9)
and
Y =
_
(Y
1
)
T
, (Y
2
)
T
, , (Y
M
r
)
T
_
.
Then, the overall vector-matrix form of the transmit-receive signal model becomes
Y =
_

M
t
XH+N.
10
Substituting (2.2) into (2.8), with some matrix permutations as [8], (2.8) can
be rewritten into
Y
i
=
_

M
t
Gh
i
+N
i
, (2.10)
and
G = ((I
M
b
D
0
)C, (I
M
b
D
1
)C, , (I
M
b
D
L1
)C), (2.11)
where
C =
_
_
_
_
_
_
_
_
C(0)
C(1)
.
.
.
C(N 1)
_
_
_
_
_
_
_
_
M
b
NM
t
. (2.12)
D
l
= diag(1, e
i2

l
T
s
, , e
i2(N1)

l
T
s
), h
i
= (h
T
i
(0), h
T
i
(1), , h
T
i
(L 1))
T
, and
h
i
(l) = (
i,1
(l),
i,2
(l), ,
i,M
t
(l))
T
. This form of received signals is used to discuss
the full diversity property for our STFBC design in Chapter 3.4.3.
2.1.4 ML decoding
If the additive noises are Gaussian, given X and H, the conditional random
vector Y is a vector of joint Gaussian random variables. The ML decoding for joint
Gaussian random variables as

C = arg min
CC
(Y
_

M
t
XH)
H

1
(Y
_

M
t
XH), (2.13)
where is a covariance matrix of the random vector Y, and the decoded codeword

C belongs to ( that is a set of space-time/frequency codewords from a given space-


time/frequency block code.
11
When the additive noises are white, the covariance matrix becomes =

2
n
I
M
r
M
b
N
, where I
m
is the mm identity matrix, and the ML decoding is simplied
as

C = arg min
CC
|Y
_

M
t
XH|
2
= arg min
CC
tr(Y
H
Y)
_

M
t
tr(Y
H
XH+H
H
X
H
Y)
+

M
t
tr(H
H
(X
H
X)H), (2.14)
where the norm | | is the Euclidean distance,
X
H
X = diag(C
H
C, , C
H
C
. .
M
r
)
M
r
M
t
NM
r
M
t
N
(2.15)
Note that, generally, (2.15), the last item of (2.14), decides the decoding
complexity because quadratic term of transmitted symbols may appear and only
appear in this item. We will discuss decoding complexity in detail in Chapter 4.
2.2 OSTFBC and QOSTFBC Coded MIMO-OFDM
2.2.1 OSTFBC
The simplest OSTBC is Alamouti code [9] for two transmit antennas of block
size M
b
= 2. For the OSTFBC proposed in [8], we simply repeat OSTBC [9] as:
S
k
= I

_
_
S
1,k
S
2,k
S

2,k
S

1,k
_
_
, (2.16)
where S
i,k
are i.i.d. information symbols, k is the index number of independent
STBC blocks, and k = 1, 2, ,
N

. = 2
log
2
L
is the number of the times a symbol
is repeated.
For an N-subcarrier STFBC block,
N

STBC blocks are assigned to N sub-


carriers with each of them repeated by times. So a whole encoded STF block code
is represented by
C = diag(S
1
, S
2
, , SN

)
M
b
NM
t
N
. (2.17)
12
We encode and decode S
k
independently for k. Without loss generality, in
this chapter, we only consider the rst block with subcarriers from 0 to 1.
Thus,
C = S
1
= I

_
_
S
1,1
S
2,1
S

2,1
S

1,1
_
_
. (2.18)
The repetition across subcarriers is to achieve the full multipath diversity as
rst shown by Su et al in [3].
It is obvious that code word C has orthogonal structure. So similar to
the single subcarrier Alamouti space-time code, quadratic term in (2.15) becomes
C
H
C = I

_
_
[S
1,1
[
2
+[S
2,1
[
2
0
0 [S
1,1
[
2
+[S
2,1
[
2
_
_
. There is no cross quadratic term
in the objective function (2.14), so we can make decision on each symbol individually
at the receiver. We call this decoding has symbol-wise decoding complexity. Note
that, there is an assumption that noise is AWGN, so we can use objective function
(2.14). If the noise is Gaussian but not white, which is the case in Chapter 4, we
have to consider decoding objective function (2.13). ML decoding with objective
function (2.13) may not have symbol wise decoding complexity for OSTFBC coded
MIMO-OFDM systems.
OSTBC with more transmit antennas can replace Alamouti code in (2.16) to
construct OSTFBC with more transmit antennas. Compared to the OSTBC code,
the OSTFBC achieves more diversity gain from multipaths at the cost of the lower
symbol rate because of the repetition. It is shown in [8] that the above OSTFBC
can achieve the full-diversity order M
t
M
r
L and symbol-wise decoding.
2.2.2 QOSTFBC
Similar to the OSTFBC from the OSTBC code, Alamouti code, QOSTFBC
can be obtained by repeating QOSTBC code [15]-[17] across frequency subcarriers
[30, 31].
13
For example, QOSTFBC for 4 transmit antennas is
S
k
= I

_
_
_
_
_
_
_
_
S
1,k
S
2,k
S
3,k
S
4,k
S

2,k
S

1,k
S

4,k
S

3,k
S
3,k
S
4,k
S
1,k
S
2,k
S

4,k
S

3,k
S

2,k
S

1,k
_
_
_
_
_
_
_
_
. (2.19)
A whole encoded QOSTF block code C is achieved by substituting (2.19)
into (2.17).
Similar to OSTFBC we talked in previous subsection. All block S
k
are inde-
pendent for decoding and encoding. For convenience, we only consider rst block.
C = S
1
= I

_
_
_
_
_
_
_
_
S
1,1
S
2,1
S
3,1
S
4,1
S

2,1
S

1,1
S

4,1
S

3,1
S
3,1
S
4,1
S
1,1
S
2,1
S

4,1
S

3,1
S

2,1
S

1,1
_
_
_
_
_
_
_
_
. (2.20)
Thus, quadratic term in (2.15) becomes
C
H
C = I

, (2.21)
where
=
_
_
_
_
_
_
_
_
P 0 Q 0
0 P 0 Q
Q 0 P 0
0 Q 0 P
_
_
_
_
_
_
_
_
(2.22)
P =
4

i=1
[S
i,1
[
2
and
Q =
2

i=1
(S
i,1
S

i+2,1
+ S

i,1
S
i+2,1
). (2.23)
14
Due to the lack of the orthogonality, there are two shortcomings of the
above QOSTFBC compared to an OSTFBC. The rst shortcoming is that the
rank/diversity order of the above QOSTFBC is only
M
t
2
M
r
L. The second short-
coming is that, if (2.21) is plugged into the ML decoding objective function (2.14),
at the receiver, when the noise is AWGN, the ML decoding becomes symbol-pair-
wise decoding due to the cross terms of S
i,1
and S
i+2,1
in (2.23) in the objective
functions.
2.2.3 Linear Transformation for Fast Decoding and Full Diversity
In order to achieve the full diversity, M
t
M
r
L in this case, symbol constellation
rotations for S
i+2,1
from S
i,1
has been proposed in [18, 19, 20], and optimal rotation
angles have been obtained in [20] to maximize the diversity product, where the ML
decoding is still symbol-pair-wise decoding.
By splitting the real and imaginary parts of S
i,1
and S
i+2,1
in the P and
Q terms in (2.23) and rotating these real and imaginary parts properly [21, 22,
23, 24, 25], the above symbol-pair-wise ML decoding can be reduced to symbol-
wise decoding (single-symbol decoding) and in the meantime, the diversity product
can be maximized. Optimal rotations for square QAM signal constellations were
obtained in [21, 22, 23, 24] and general optimal linear transformation for general
rectangular signal constellations were obtained in [25]. In the following, we briey
describe the general optimal linear transformation presented in [25] for QOSTBC
to achieve both symbol-wise ML decoding and maximal diversity product.
The main idea is to linearly transform the real and imaginary parts of each
two information symbols to split the P and Q terms in (2.23) into linear summa-
tions of quadratic terms of two real variables. Let o denote a rectangular QAM
15
constellation of total N
1
N
2
points:
o =
_
n
1
d
2
+i
n
2
d
2

n
i
(2N
i
1), (2N
i
3), , 1, 1, , 2N
i
3, 2N
i
1, i = 1, 2
_
,
(2.24)
where d is the distance of the closest points in each direction. The encoding is the
following.
Step 1 Binary information bits are mapped to 4 information symbols in o: Z
i
=
a
i
+ib
i
o where a
i
and b
i
are real for i = 1, 2, 3, 4.
Step 2 Linearly transform 8 real numbers a
i
and b
i
for i = 1, 2, 3, 4 into another 8
real numbers p
i
and q
i
for i = 1, 2, 3, 4 as follows:
(p
i
, q
i
, p
i+2
, q
i+2
)
T
= U(a
i
, b
i
, a
i+2
, b
i+2
)
T
, i = 1, 2, (2.25)
where U is a 4 4 matrix with all real entries and dened later.
Step 3 Form new 4 complex symbols from the above p
i
and q
i
: S
i
= p
i
+ iq
i
for
i = 1, 2, 3, 4. Then, these 4 symbols S
i
are input to the QOSTBC C in (2.20)
to be connected to a subcarrier in an MIMO-OFDM system.
The optimal linear transform U in Step 2 is obtained in [25] to achieve both the
optimal diversity product and the symbol-wise ML decoding as follows.
Let

1
=
4N
2
1
1
2(2N
2
1
+ 2N
2
2
1)
,
2
=
4N
2
2
1
2(2N
2
1
+ 2N
2
2
1)
, = arctan(2), =

5
12(1 +
1

2
)
,
and
R
1
=
_
_
cos() sin()
sin() cos()
_
_
, P =
_
_
0 1
1 0
_
_
, =
_
_
1 +
1
1 2
1
1 2
1
2
1
_
_
.
(2.26)
16
Denote a diagonalization of symmetric matrix as = V
T
DV, where D =
diag(
1
,
2
),
1
,
2
are the eigenvalues of and V is an orthogonal matrix. Let
W
1
= V
T
_
_

1
0
0

2
_
_
V, W
2
= V
T
_
_

2
0
0

1
_
_
VP, R
2
= PR
1
P.
(2.27)
Then, the linear transform U is one of the following three U
i
for i = 1, 2, 3:
U
1
=
_
_
W
1
W
2
W
1
R
1
W
2
R
2
_
_
, U
2
= U
1
P
2
, U
3
= U
1
P
3
, (2.28)
where
P
2
=
_
_
_
_
_
_
_
_
1 0 0 0
0 0 1 0
0 1 0 0
0 0 0 1
_
_
_
_
_
_
_
_
and P
3
=
_
_
_
_
_
_
_
_
1 0 0 0
0 0 0 1
0 0 1 0
0 1 0 0
_
_
_
_
_
_
_
_
.
The ML decoding objective function then becomes:
|Y
_

M
t
XH|
2
=
_

4
i=1
f
i
(a
i
, b
i
), if U = U
1
,

2
i=1
f
i
(a
i
, a
i+2
) +

2
i=1
f
i+2
(b
i
, b
i+2
), if U = U
2
,

2
i=1
f
i
(a
i
, b
i+2
) +

2
i=1
f
i+2
(b
i
, a
i+2
), if U = U
3
,
(2.29)
where f
i
(x, y) are known quadratic forms of real variables x and y. Thus, the ML
decoding of the linearly transformed QOSTBC becomes
arg min
CC
|Y
_

M
t
XH|
2
arg min
a
i
,b
i
f
i
(a
i
, b
i
), i = 1, 2, 3, 4, (2.30)
for example when U = U
1
. As a special case when signal constellation o is a square
QAM, i.e., N
1
= N
2
, the above linear transform U can be simplied as the following
orthogonal matrix:
U
1
=
1

2
_
_
I
2
I
2
R
1
R
1
_
_
. (2.31)
17
As a nal remark, as long as the decoding objective function is composed of
some linear functions of P and Q in (2.23) of complex symbols S
i
and some linear
functions of S
i
and S

i
for i = 1, 2, 3, 4, the above optimal linear transformation
theory applies, which will be the case for clipped MIMO-OFDM systems as we shall
see later.
Similar to OSTFBC, the repetition of QOSTFBC in the frequency domain
can exploit the multipath diversity in MIMO-OFDM systems. It is stated as the
following theorem whose proof is similar to the one for OSTFBC in [8] and the one
from repeating in [3]. The details of the proof are omitted.
Theorem 1 For a MIMO-OFDM system with M
t
transmit antennas and M
r
receive
antennas, and L independent paths, the linearly transformed QOSTFBC achieves the
full diversity of diversity order M
t
M
r
L.
Note that QOSTBC is a special case of QOSTFBC when = 1.
2.3 Performances of OSTFBC and QOSTFBC in MIMO-OFDM Sys-
tems
We compare OSTBC code, OSTFBC code, and linearly transformed QOSTFBC
code in MIMO-OFDM systems. In this simulation, an MIMO frequency-selective
Rayleigh channel is characterized by a two-ray, i.e., L = 2, equal power delay prole
in which the second path delay is 0.5s. An OFDM with N = 64 subcarriers
is used. The time duration of one OFDM symbol is T
s
= 3.2s. In this case, the
repetition times = L = 2.
Because of the repetition over the subcarriers, the STFBCs have lower sym-
bol rates than the original STBC. In order to compare the performances for the
same transmission bit rate, we assign larger constellations for STFBCs. In Fig. 2.1,
OSTBC uses BPSK modulation, while OSTFBC and QOSTFBC use 4QAM. The
upper curve marked by + is for the OSTBC over an 2 1 MIMO-OFDM system,
18
2 4 6 8 10 12 14
10
4
10
3
10
2
10
1
SNR(dB)
B
E
R
1bit/s/Hz
2 1 OSTBC (BPSK)
2 1 OSTFBC (4QAM)
4 1 transformed QOSTFBC (4QAM)
Figure 2.1: Performance comparison among the space-time block code and space-
time-frequency block code without clipping for 1 receiver antenna in
MIMO-OFDM systems.
i.e., M
t
= 2, M
r
= 1. In this case, the code has diversity gain M
t
M
r
= 2. The
middle curve marked with is for the OSTFBC over a 21 MIMO-OFDM system,
i.e., M
t
= 2, M
r
= 1. In this case, the code achieve the extra multipath diversity, so
diversity gain is M
t
M
r
L = 4. The lowest curve marked by is for the linearly trans-
formed QOSTFBC as in Chapter 2.2, where the diversity gain is 8. One can clearly
see the performance dierence. At the same bit transmission rate, the transformed
QOSTFBC has highest diversity gain among three codes and indeed achieves the
best performance.
19
Chapter 3
PRECODING FOR PAPR REDUCTION AT
TRANSMITTER USING CHU SEQUENCES
A family of space-time-frequency codes proposed in Chapter 2 can achieve the
full spatial and multipath diversities for MIMO-OFDM systems and in the meantime
they have the fast single-symbol ML decoding by using OSTBC and QOSTBC across
multiple antennas and OFDM symbols, and also repeating across subcarriers.
Although the repetition across subcarriers can achieve the multipath diver-
sity, it causes high PAPR. The main goal of this chapter is to modify the repeating
process and adjust phases for each repetition so that the PAPR of the OFDM sys-
tem is reduced, and in the meantime the full spatial and multipath diversities and
the fast ML decoding are still maintained. In particular, we propose to use Chu
sequences [38, 39] for the phase adjustments and show that the discrete PAPR can
be reduced by times for any SFC from the repeating, where is the times of the
repeating across subcarriers.
3.1 Denition of PAPR in OFDM Systems
For an OFDM system, the time-domain baseband signal can be represented
as
a(t) =
1

N
N1

n=0
A(n) exp(i2nt/T
s
), 0 t T
s
, (3.1)
20
where A(0), A(1), ..., A(N1) are complex information symbols transmitted through
N subcarriers. The PAPR is dened as
PAPR =
max[[a(t)[
2
]
E[[a(t)[
2
]
, (3.2)
where E() denotes the expectation. By sampling the above signal a(t) with sam-
pling interval length t = T
s
/N, we get a discrete time domain signal a = (a(n)) =
(a(nT
s
/N)) = IDFT(A, N) and the discrete PAPR is dened by max[[a(n)[
2
]/E[[a(n)[
2
].
In what follows, we are mainly concerned with discrete PAPR unless otherwise spec-
ied.
3.2 PAPR of OFDM Vectors with Repeated Symbols
For the space-time-frequency coding described in the preceding chapter, we
repeat an information symbol times across subcarriers for achieving the multipath
diversity. So we need to analyze PAPR of OFDM vectors with repeated symbols.
An input sequence of N/ information symbols can be represented as

o
i
= (S
i,1
, S
i,2
, , S
i,
N

)
T
, (3.3)
where S
i,k
are i.i.d. information symbols, k is the index number of independent
STBC blocks, and k = 1, 2, ,
N

. = 2
log
2
L
is the number of the times a symbol
is repeated.
Corresponding discrete time domain signal is
s
i
= IDFT(

o
i
,
N

). (3.4)
The N/ information symbols in

o
i
(3.3) are repeated times to obtain an OFDM
vector of size N 1:
o
i
=

o
i
1
1
, (3.5)
21
Then the time domain signal of o
i
is
s
i
(n) =
1

N
N

l=0
_
S
i,(l+1)
1

=0
exp(
i2n(l + )
N
)
_
=
1

N
N

l=0
S
i,(l+1)
exp(
i2nl
N
)
1

=0
exp(
i2n
N
). (3.6)
We dene two sequences as
s
i
(n) =
N

l=0
S
i,(l+1)
exp(
i2nl
N
)

1
(n) =
1

=0
exp(
i2n
N
), (3.7)
where
s
i
(n)

N/
is the periodic extension of s
i
in (3.4) and

1
(n)

N
is N-point IDFT of
sequence 1
1
padding N zeros at its end. Fig. 3.1 shows examples of sequence

1
(n)

N
for = 2 or = 4 when N = 64. Clearly its PAPR aects the PAPR of the
OFDM signal s
i
(n). We next propose two methods to adjust the above repeating
process and add a phase to an information symbol at each repeat so that the PAPR
of s
i
(n) can be reduced.
3.3 PAPR Reduction by Phase Adjustment in the Repetition
In this subsection, we propose to use a Chu sequence to adjust the phases
in the repetition. From [38, 39], a Chu sequence, a polyphase sequence, has perfect
cyclic autocorrelation. We represent a Chu sequence as = e
i(0)
, e
i(1)
, , e
i(1)
,
where
(n) =
_
_
_

(n + 1)n, odd,

n
2
, even,
0 n 1. (3.8)
Let o
i
=

o
i
. Then,
s
i
(n) =
1

N
N

l=0
_
S
i,(l+1)
1

=0
exp
_
i(
2n(l + )
N
+ ())
_
_
22
0 10 20 30 40 50 60
0
0.5
1
1.5
2
Amplitude of Sequence
1
(n),(N=64,=2)
Amplitude of Sequence
1
(n),(N=64,=2)
0 10 20 30 40 50 60
0
0.5
1
1.5
2
2.5
3
3.5
4
Amplitude of Sequence
1
(n),(N=64,=4)
Amplitude of Sequence
1
(n),(N=64,=4)
Figure 3.1: Signal amplitudes from repetition with and without phase adjustment.
=
1

N
N

l=0
S
i,(l+1)
exp(
i2nl
N
)
1

=0
exp
_
i(
2n
N
+ ())
_
. (3.9)
We dene a sequence as

1
(n) =
1

=0
exp
_
i(
2n
N
+ ())
_
, (3.10)
where

1
(n)

N
= IDFT(, N).
In Fig. 3.1, solid lines show the amplitude of
1
(n) in (3.10). From the gure,
when = 4,
1
(n) has lower PAPR than
1
(n) in (3.6). From (3.10), max([
1
(n)[
2
) =
8, when n =
5
8
N. Since the mean [
1
(n)[
2
is 4, we have PAPR= 2, which is about
3dB lower than
1
(n). However if = 2,
1
(n) achieves the same PAPR as
1
(n).
When Chu sequence is used to replace 1
1
, it means that we rstly rotate
an information symbol by a set of phases and then repeat phase shifted symbols at
dierent subcarriers. Then, the signal
1
(n) of the N-point IDFT of 1
1
padding
N zeros is replaced by
1
(n), the N-point IDFT of padding N zeros.
23
Although we may use a random phased sequence of length , its N-point IDFT
after padding N zeros at its end will never have a constant magnitude (0 dB
PAPR). In order to have a constant magnitude IDFT of a length sequence, the
IDFT size has to be too, which motivates the next method that is to change the
way of repetition.
Note that, it is not hard to check that the above phase adjustment does not
change the full diversity of the space-time-frequency code, i.e., the diversity order
is still M
t
M
r
L, as before.
3.4 PAPR Reduction by New Repetition Method and Phase Adjust-
ment
In this chapter, we rst propose a new repetition of information symbols, then
use a Chu sequence to adjust the phases of the information symbols, and nally we
present the full diversity property of an adjusted space-time-frequency code.
3.4.1 New Repetition Method
We re-design o
i
in (3.5) as
o
i
= 1
1


o
i
. (3.11)
Then, the time domain signal is
s
i
(n) =
1

N
N

l=0
_
S
i,(l+1)
1

=0
exp(
i2n(
N

+ l)
N
)
_
=
1

N
N

l=0
S
i,(l+1)
exp(
i2nl
N
)
1

=0
exp(
i2n

). (3.12)
24
We dene two sequences as
s
i
(n) =
N

l=0
S
i,(l+1)
exp(
i2nl
N
)

2
(n) =
1

=0
exp(
i2n

), (3.13)
where
s
i
(n)

N
= IDFT(

o
i
, N) and

2
(n)

is the periodic extension of IDFT(1


1
, ).
As one can see now, the signal

2
(n)

in (3.12) is the -point IDFT of 1


1
of length
.
3.4.2 Phase Adjustment for PAPR Reduction Using Chu Sequences
We replace 1
1
in (3.11) by a Chu sequence of length to obtain
o
i
=

o
i
. (3.14)
Thus, the time domain signal is
s
i
(n) =
1

N
N

l=0
_
S
i,(l+1)
1

=0
exp
_
i(
2n(
N

+ l)
N
+ ())
__
=
1

N
N

l=0
S
i,(l+1)
exp(
i2nl
N
)
1

=0
exp
_
i(
2n

+ ())
_
, (3.15)
We dene a sequence as

2
(n) =
1

=0
exp
_
i(
2n

+ ())
_
, (3.16)
where

2
(n)

is the periodic extension of IDFT(, ). Since a Chu sequence has the


perfect autocorrelation [38, 39], the absolute value of its -point IDFT is constant,
i.e.,

2
(n)

= 1 for all n, (3.17)


25
which means that its PAPR is 0 dB and it is already optimal. Comparing to the
PAPR of the OFDM signal in (3.12) before the phase adjustment, the PAPR of the
signal in (3.15) after the phase adjustment using a Chu sequence is reduced by
times. This implies the following result.
As a remark, it is not hard to see that any other sequence with perfect
autocorrelation property, i.e., its IDFT of its length has constant magnitude, will
work for the above PAPR reduction.
We now see some examples of PAPR distributions for discrete OFDM signals
via computer simulations. The complementary cumulative distribution function,
CCDF(x) =Pr(PAPR> x), is shown in Fig. 3.2. The number of subcarriers is
64 and each subcarrier is modulated by 16QAM. The repetition factor is = 4.
The dot line is for the case of the original repetition without phase rotation, and
the solid line is for the case of the original repetition but with Chu sequence phase
rotation, and the dashed line is for case of the new repetition with Chu sequence
phase rotation. It is shown that discrete OFDM signals by the new repetition with
Chu sequence has the lowest PAPR in statistics, while the PAPR of the original
repeating OFDM signals is the highest. In particular, for CCDF(x) = 10
3
, the
PAPR is reduced by more than 2.5 dB by the new repetition with Chu sequence.
Fig. 3.3 shows the approximation of the PAPR CCDF of the ideal band-
limited (analog) OFDM signals. The ideally band-limited (analog) OFDM signal
is generated by oversampling the signal by a factor of sixteen. Unlike to discrete
signals, the new repetition can not achieve lower PAPR than the original repetition,
however the Chu sequence still helps to reduce the PAPR.
26
2 3 4 5 6 7 8
10
4
10
3
10
2
10
1
10
0
CCDF(x)
x (dB)
P
r
(
P
A
P
R
>
x
)
New Repetition with Chu Sequence
Original Repetition with Chu Sequence
Original Repetition
Figure 3.2: Comparison of the complementary CDF of the PAPR of the discrete
OFDM signals with repetition factor = 4.
27
2 3 4 5 6 7 8
10
5
10
4
10
3
10
2
10
1
10
0
CCDF(x)
x (dB)
P
r
(
P
A
P
R
>
x
)
New Repetition with Chu Sequence
Original Repetition with Chu Sequence
Original Repetition
Figure 3.3: Comparison of the complementary CDF of the PAPR of the ideally
band-limited (analog) OFDM signals with repetition factor = 4.
28
3.4.3 Full Diversity of STFBC from the New Repetition
We now go back to the space-time-frequency coded MIMO-OFDM system
described in the preceding chapters. Let
C(n)

=
_
_
_
_
_
_
_
_
C
1
1
(n) C
1
2
(n) C
1
M
t
(n)
C
2
1
(n) C
2
2
(n) C
2
M
t
(n)
.
.
.
C
M
b
1
(n) C
M
b
2
(n) C
M
b
M
t
(n)
_
_
_
_
_
_
_
_
M
b
M
t
(3.18)
as (2.4) and C(n) be a space-time code of size M
b
M
t
, such as the 2 2 Alamouti
code for 2 antennas and the 4 4 QOSTBC for 4 antennas as used in the preceding
chapter. The space-time-frequency code C described before is that the columns
of C(n) are assigned to transmitters and the rows of C(n) are assigned to OFDM
symbols and each element in C(n) is repeated by L times across subcarriers
along index n, i.e., C
t
j
(n
1
+ (m1)) = C
t
j
(n
2
+ (m1)) for 0 n
1
, n
2
1
for any xed m with 1 m
N

and 1 t M
b
, 1 j M
t
. By following
[3], it is shown in [8] that if the original space-time code C(n) has full diversity, the
space-time-frequency code C from the original repetition has diversity order M
t
M
r
L
when M
b
= M
t
.
The question now is whether the space-time-frequency code with the new
repetition and phase adjustment in the preceding two subsections, Chapters 3.4.1
and 3.4.2, for a full diversity space-time code C(n) still has the full diversity. The
following result provides an answer for this question.
Theorem 2 Let C(n) be a full diversity space-time code of size M
b
M
t
, its columns
are assigned to transmitters and its rows are assigned to OFDM symbols. Let the
symbols (or components) of C(n) are repeated and phase adjusted as (3.11) and
(3.14) across subcarriers, i.e., along index n, respectively, and L where L is the
29
number of multipaths of distinct time delays
l
, 0 l L 1. Then, such a space-
time-frequency code has full diversity, i.e., achieves the diversity order M
t
M
r
L, if

q
T
s
N

,= an integer, for p ,= q. (3.19)


Proof: For any two distinct space-time-frequency code matrices C and

C, let
their dierence matrix be

C = C

C ,= 0. Without loss of generality, we may
assume

C(1) = C(1)

C(1) ,= 0. Substituting

C into (2.11), we have

G = [(I
M
b
D
0
)

C, (I
M
b
D
1
)

C, , (I
M
b
D
L1
)

C]. (3.20)
We extract the submatrix associated with

C(1) from

G as in Appendix of [8]:
B = ((diag()V) I
M
b
)(I
L


C(1)), (3.21)
where
V =
_
_
_
_
_
_
_
_
1 1 1


1

N


L1
.
.
.
.
.
.
.
.
.
.
.
.

(1)
N

(1)
N


1

(1)
N


L1
_
_
_
_
_
_
_
_
, (3.22)
where = e
i2/T
s
. We then write the submatrix of the rst L rows of V as

V =
_
_
_
_
_
_
_
_
1 1 1


1

N


L1
.
.
.
.
.
.
.
.
.
.
.
.

(L1)
N

(L1)
N


1

(L1)
N


L1
_
_
_
_
_
_
_
_
. (3.23)
Similar to the proofs in [8, 3], our space-time-frequency code achieve the diversity
order M
b
M
t
L if rank(

V) = L, i.e., it is full rank, which is checked as follows.


Since

V is a Vandermonde matrix, we have
det(

V) =

0q<pL1
(
N


q
). (3.24)
30
The square matrix

V is of full rank if and only if det(

V) ,= 0. So for any pair of


q
and
p
,
rank(

V) = L
det(

V) ,= 0
N


p
,=
N


q
, for p ,= q
e
i2

p
T
s
N

,= e
i2

q
T
s
N

, for p ,= q

q
T
s
N

,= an integer, for p ,= q. (3.25)

We normalize the time dierence by T


c
, the duration of a chip, so

q
T
c
= N
p,q
, (3.26)
where N
p,q
is the number of chips that delay between qth and pth multipaths spans
over.
Since
T
s
T
c
= N,
(3.25)
N
p,q
T
c
NT
c
N

,= an integer, for p ,= q

N
p,q

,= an integer, for p ,= q. (3.27)


In general, N
p,q
is not necessary to be an integer. So, if N
p,q
is not an
integer, the above condition is automatically satised. In case when N
p,q
is an
integer, we need to choose that does not divide N
p,q
for any p, q or adjust T
c
so that
N
p,q

is not an integer. When L multipaths are of time delays


l
= lT
c
,
0 l L 1, the above condition is then also satised.
Note that, for the original repeating (3.5) used in [3, 8], in the above proof,
the factor
N

does not appear on the exponential of in (3.22) and (3.23) and



p

q
T
s
can be only a fraction and thus the above condition is naturally satised.
From the above proof, one can see that the form of a Chu sequence does
not aect the full diversity property of the STFBC, while the repetition method
does.
31
Since the result in Theorem 2 is for a general full diversity space-time code
C(n) of size M
b
M
t
, it holds for the Alamouti code for two transmit antennas and
the linearly transformed QOSTBC for four transmit antennas as described before.
3.4.4 Fast Decoding
From (2.14), we have

C = arg min
CC
tr(Y
H
Y)
_

M
t
tr(Y
H
XH+H
H
X
H
Y)
+

M
t
tr(H
H
(X
H
X)H). (3.28)
where X
H
X = I
M
r
C
H
C.
For OSTFBC, substituting (3.14) into (2.16) and (2.17), we have
C
H
C = diag(

) diag
_
_
_
_
R
k
0
0 R
k
_
_
, 1 k
N

_
_
= I

diag
_
_
_
_
R
k
0
0 R
k
_
_
, 1 k
N

_
_
, (3.29)
where R
k
=

2
i=1
[S
i,k
[
2
.
For QOSTFBC, substituting (3.14) into (2.19) and (2.17), we have
C
H
C = diag(

) diag
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
P 0 Q 0
0 P 0 Q
Q 0 P 0
0 Q 0 P
_
_
_
_
_
_
_
_
, 1 k
N

_
_
_
_
_
_
_
_
(3.30)
where P and Q are dened as (2.23).
For both cases, the decoding equations satisfy the fast ML decoding condition
we have discussed in Chapter 2.2.
32
3.5 Performances of OSTFBC and QOSTFBC in MIMO-OFDM with
Clipping
In this chapter, we compare performance of OSTFBC and QOSTFBC in
MIMO-OFDM systems, where the original repetition and the new repetition with
phase adjustments are applied.
In our simulation systems, we use clipping process at the transmitter. The
clipping process we use is
[ a(n)[ =
_
_
_
[a(n)[, if [a(n)[ A
max
A
max
, if [a(n)[ > A
max
, (3.31)
where A
max
is the maximum amplitude of signals allowed by the nonlinear amplier.
The clipping ratio r is dened by
r =
A
max

P
in
, (3.32)
where P
in
is the average signal power before clipping.
In Fig. 3.4 and Fig. 3.5, the MIMO frequency-selective Rayleigh channel
characterized by a four-ray, i.e., L = 4, equal power delay prole in which the delays
are [0, 0.15, 0.3, 0.45]s. In this case, the repetition times = L = 4. Note that
these systems do satisfy the full-diversity condition we obtained in Theorem 2 in
Chapter 3.4.3.
In these simulations, 16QAM is used. In Fig. 3.4, 21 OSTFBC is used, and
in Fig. 3.5, 4 1 linearly transformed QOSTFBC [25] is used. In Fig. 3.4 and Fig.
3.5, the dashed curves are for the original repetition algorithm proposed in [8], and
the dot curves are for original repetition algorithm with phase adjustments, and the
solid curves are for our newly proposed repetition algorithm with phase adjustments.
As one can see, in all cases of dierent clipping ratios, Chu sequences for the phase
adjustment in the original repetition method help to reduce the PAPR, and our
newly proposed repetition algorithm and phase adjustments using Chu sequences
always achieve the best performances than the original repetition algorithm does.
33
8 10 12 14 16 18 20
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
1bit/s/Hz
Original Repetition
Original Repetition with Chu Sequences
New Repetition with Chu Sequences
=1.2
=1.5
=2.0
Figure 3.4: Performance comparison of clipped 21 OFDM OSTFBC with = 4.
34
8 10 12 14 16 18 20
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
1bit/s/Hz
Original Repetition
Original Repetition with Chu Sequences
New Repetition with Chu Sequences
=1.2
=1.5
=2.0
Figure 3.5: Performance comparison of clipped 4 1 OFDM linearly transformed
QOSTFBC with = 4.
35
Chapter 4
CLIPPING NOISE MODEL BASED ML DECODING AT
RECEIVER
An important issue for OFDM systems is their high PAPR and it is important
to reduce the PAPR in a practical (power ecient) system. One of the most ecient
ways to reduce the PAPR is clipping [34] that, however, induces clipping noise and
the induced clipping noise in an MIMO-OFDM system may not be white and thus
the fast ML decoding for an OSTBC or QOSTBC coded system may not hold.
When the additive noise is not white, ML decoding for spatially colored noised [26]
needs to be considered.
In this chapter, we consider clipped MIMO-OFDM systems where OSTFBC
or QOSTFBC is used. By applying the clipping noise model from Bussgangs the-
orem used in, for example [35]-[37], we derive fast (single-symbol) ML decoding
algorithms for OSTFBC and QOSTFBC in clipped MIMO-OFDM systems. In-
terestingly, the fast ML decoding properties for OSTFBC and rotated QOSTFBC
[9]-[25] in MIMO-OFDM systems without clipping are still maintained in clipped
MIMO-OFDM systems. It should be emphasized that the newly developed fast
ML decoding for rotated QOSTFBC proposed in [18]-[25] for MIMO channels with
white noise still has the single-symbol (or complex symbol-wise) decoding property
in clipped MIMO-OFDM systems.
Above decoding algorithm requires the knowledge of the clipping ratio (CR)
at the receiver. However, in some applications, for example in interference channels,
36
it is may be possible that the CR is not known at the receiver. A clipping ratio es-
timation method has been proposed for single antenna OFDM systems in [33]. This
clipping ratio estimation method can be applied to pilot-tone-based OFDM systems
only. By calculating the statistics of the clipping noise at the pilot subcarriers, the
CR can be estimated from the statistical clipping noise model given in [36]-[37]. In
this chapter, we also develop a decision-aided clipping ratio estimation for a clipped
MIMO-OFDM systems where OSTBC and QOSTBC are used at the transmitter
and the CR is not known at the receiver.
4.1 Clipping Process and Clipping Noise Model in an OFDM System
We rst review the clipped signal and clipping noise models described in [35]-
[37] and then extend this model developed for SISO systems to MIMO systems which
results in a spatially colored noise model. For an OFDM system, the time-domain
baseband signal can be represented as
s(t) =
1

N
N1

n=0
A
n
exp(i2nt/T
s
), 0 t T
s
, (4.1)
where A
0
, A
1
, ..., A
N1
are the original complex information symbols transmitted
through N subcarriers.
By oversampling the above signal s(t) at a time interval length t = T
s
/(JN),
where J is a oversampling factor, we get a discrete time domain signal
s(k) =
1

J
s(kT/(JN)) = a(k)exp(i(k)), k = 0, . . . , JN 1, (4.2)
where a(k) is the amplitude of s(k) and (k) is the phase.
The clipping process can be represented by
a(k) =
_
_
_
a(k), if a(k) A
max
A
max
, if a(k) > A
max
, (4.3)
s(k) = a(k)exp(i(k)). (4.4)
37
where A
max
is the maximum amplitude of signals allowed by a nonlinear amplier.
If the amplitude of signal s(k) is above A
max
, it is clipped. The clipping ratio r is
dened as
r =
A
max

P
in
, (4.5)
where P
in
is the average signal constellation power before clipping, i.e., the mean
power of C(n) in (2.4). In this work, we use normalized information symbols at
the transmitter so that P
in
= 1. The clipping ratio is a very important factor that
aects the BER performance and PAPR after the clipping.
After clipping, sequence s(k) passes through a low-pass equivalent band pass
lter (BPF)[35]. The out-of-band radiation is eliminated. However the distortion
caused by clipping can not be eliminated by the lter.
The clipped time domain signal s(k) can be modelled as the summation of
an attenuated signal component and the clipping distortion [35]-[36] as
s(k) = s(k) + d(k), (4.6)
where is the attenuation factor dened as
= 1 e
r
2
+

r
2
erfc(r), (4.7)
and d(k) is the clipping distortion. Thus, the frequency domain signal converted
from the clipped time domain signal s(k) can be written as

S(n) = S(n) + D(n), (4.8)


where S(n) and D(n) are the DFTs of s(k) and d(k), respectively. Note that, if
S(n) is not i.i.d.,

S(n) is not i.i.d. either. In this case, channel interleaving and
deinterleaving can eliminate the statistical dependence of S(n). Thus, we assume
that S(n) is i.i.d. From [35]-[36], the distortion in the frequency domain is a complex
Gaussian random variable with zero mean. In [37], the clipping distortion variance
is calculated as

2
D
= P
in
(1 e
r
2

2
). (4.9)
38
Thus, at the receiver, the received signal in the frequency domain is
Y (n) =
_

M
t
H(n)S(n) +
_

M
t
H(n)D(n) + N(n), (4.10)
where N(n) is the additive Gaussian noise at the nth subcarrier and independent of
the distortion. So, (Y (n)[S(n), H(n)) is a Gaussian random variable and its variance
is

M
t
[H(n)[
2

2
D
+
2
n
, (4.11)
where M
t
= 1 in the single antenna case. We assume that the receiver knows the
clipping level as a system design parameter and thus the receiver can calculate the
attenuation factor and the clipping distortion variance as (4.7) and (4.9), respec-
tively. From the above equation, one can see the dierence between the channel
AWGN and the clipping distortion. The distortion caused by the clipping at the
transmitter depends on the transmitted signal and increases with the transmitted
signal power. Since the distortion is passed through the channel, the distortion is
faded through the channel as a transmitted signal is.
Although the above model is for single antenna OFDM systems, it also applies
to any pair transmit and receive antennas in MIMO-OFDM systems. For an MIMO-
OFDM system, with C in (2.5), the signal model in (2.8) becomes
Y
i
=
_

M
t

CH
i
+N
i
=
_

M
t
CH
i
+
_

M
t
DH
i
+N
i
. (4.12)
where D is the distortion matrix. The detailed form of D depends on the detailed
form of the STFBC C. In the following, OSTFBC and QOSTFBC for C will be
considered. There are at least two ways to decode (4.12). One is to directly decode
C without the consideration of the clipping distortion D. In this case, the AWGN
is only considered and the fast decoding algorithms described in Chapter 2.2 apply.
39
The other is to decode C by considering the clipping noise in the overall additive
noise
_

M
t
DH
i
+N
i
that may not be white. Thus, ML decoding for spatially colored noise [26] needs to
be considered. The goal of the following discussions is to derive fast ML decoding
algorithms for OSTFBC and QOSTFBC in clipped MIMO-OFDM systems when the
above clipping noise model is used, and we show that the fast (complex) symbol-
wise decoding algorithms for the OSTFBC and linearly transformed QOSTFBC
described in Chapter 2.2 can be maintained.
4.2 Single-Symbol ML Decoding for OSTFBC in Clipped MIMO-OFDM
Systems
Let us rst recall the OSTFBC structure (2.16) and (2.17) introduced in
Section 2.2.1.
S
k
= I

_
_
S
1,k
S
2,k
S

2,k
S

1,k
_
_
, (4.13)
and
C = diag(S
1
, S
2
, , SN

)
M
b
NM
t
N
. (4.14)
Without loss of generality, we only consider Alamouti code and = 2. In
this case, the distortion matrix D is
D = diag(D
1
, D
2
, , DN

)
M
b
NM
t
N
. (4.15)
where
D
k
=
_
_
_
_
_
_
_
_
D
1,k
(0) D
2,k
(0) 0 0
D

2,k
(0) D

1,k
(0) 0 0
0 0 D
1,k
(1) D
2,k
(1)
0 0 D

2,k
(1) D

1,k
(1)
_
_
_
_
_
_
_
_
, (4.16)
40
where D
i,k
() is the additive distortion of th repetition of S
i,k
. Because clipping
is a nonlinear process, so the distortion caused by clipping is not simply repeated
times, i.e. D
i,k
(0) ,= D
i,k
(1). Since the information symbols S
i,k
are independent in
terms of i, the corresponding distortions D
i,k
() are also independent in terms of i.
We also approximately treat distortions from dierent subcarriers independent, i.e.
D
i,k
() are independent in terms of and k as [36]. Considering the correlation of
D
i,k
() with dierent and k may improve performance at the cost of a very high
computational complexity. So it is not considered in this research.
Thus, based on the model described in Chapter 4.1, D
i,k
() are independent
complex Gaussian random variables with zero mean and covariances:
E[D
i,k
(n)D

j,h
()] =
_
_
_

2
D
, if i = j , n = and k = h
0, otherwise
, (4.17)
where
2
D
is given in (4.9).
Because we treat D
k
independently in term of k, without loss generality, in
this chapter we consider D
1
only i.e.
N

= 1, D = D
1
, and C = S
1
. We drop the
index k.
The covariance matrix of the received signal Y given C and H can be calcu-
lated as follows from (4.17). From (4.12), it is not hard to see
= Cov(Y, Y[C, H) = (
i,j
)
1i,jM
r
, (4.18)
where
i,j
= E[DH
i
H
H
j
D
H
] + E[N
i
N
H
j
], thus

i,j
=
_
_
A
ij
(0)I
2
0
0 A
ij
(1)I
2
_
_
44
(4.19)
is the (i, j)th block in , where
A
ij
() =
_
_
_

M
t

2
D
([H
i,1
()[
2
+[H
i,2
()[
2
) +
2
n
, if i = j,

M
t

2
D
(H
i,1
()H

j,1
() + H
i,2
()H

j,2
()), if i ,= j.
(4.20)
41
Lemma 1 If matrix =
_
_
_
_
A
ij
(0)I
2
0
0 A
ij
(1)I
2
_
_
_
_
1i,jM
with constants A
ij
()
has an inverse, then its inverse
1
also has the form
1
=
_
_
_
_
A

ij
(0)I
2
0
0 A

ij
(1)I
2
_
_
_
_
1i,jM
where A

ij
() are constants.
Proof: A 2 2 matrix A
ij
()I
2
is equivalent to a scalar number A
ij
() in
terms of the arithmetic operations of complex numbers. Thus matrix is equiva-
lent to
_
_
_
_
A
ij
(0) 0
0 A
ij
(1)
_
_
_
_
1i,jM
in terms of complex number arithmetic op-
erations by using the mapping from A
ij
()I
2
to A
ij
(). Let the inverse matrix of
_
_
_
_
A
ij
(0) 0
0 A
ij
(1)
_
_
_
_
1i,jM
be
_
_
_
_
A

ij
(0) 0
0 A

ij
(1)
_
_
_
_
1i,jM
that is equiva-
lent to
_
_
_
_
A

ij
(0)I
2
0
0 A

ij
(1)I
2
_
_
_
_
1i,jM
. Lemma 1 is proved.
With this lemma, we next derive the ML decoding (2.13) when has the
above form (4.18) and then

1
=
_
_
_
_
A

ij
(0)I
2
0
0 A

ij
(1)I
2
_
_
_
_
1i,jM
. (4.21)
Let
V
i
() = Y
i
()
_

M
t
C()H
i
(), i = 1, 2, , M
r
, and = 0, 1. (4.22)
Substitute (4.21) and (4.22) into (2.13),

C = arg min
CC
M
r

i=1
M
r

j=1
1

=0
V
H
i
()A

ij
()I
2
V
j
()
= arg min
CC
M
r

i=1
M
r

j=1
1

=0
A
ij
()V
H
i
()V
j
(). (4.23)
42
In objective function (4.23), the quadratic form of complex symbols is
C
H
()C() =
_
_
S
1
S
2
S

2
S

1
_
_
H
_
_
S
1
S
2
S

2
S

1
_
_
=
_
_
[S
1
[
2
+[S
2
[
2
0
0 [S
1
[
2
+[S
2
[
2
_
_
, = 0, 1. (4.24)
So
A
ij
()V
H
i
()V
j
() =
2

l=1
f
i,j,l
(S
l
), (4.25)
where each f
i,j,l
(x) is a known quadratic form of complex variable x. Thus, the ML
decoding of the OSTFBC in the clipped MIMO-OFDM system is

C = arg min
CC
(Y
_

M
t
XH)
H

1
(Y
_

M
t
XH)
(

S
1
,

S
2
) = arg min
S
1
,S
2
2

i=1
f
i
(S
i
), (4.26)
where each f
i
(x) is a known quadratic form of complex variable x, which is similar to
the ML decoding of the OSTBC in an MIMO-OFDM system without the clipping,
i.e., symbol-wise decoding.
4.3 Single-Symbol ML Decoding for QOSTFBC and Linearly Trans-
formed QOSTBC in Clipped MIMO-OFDM Systems
We now consider the QOSTFBC (2.19) for a clipped MIMO-OFDM system,
where the complex symbols S
i,k
= p
i,k
+ iq
i,k
, i = 1, 2, 3, 4, may (for linearly trans-
formed QOSTBC [25]) or may not (original QOSTBC) be obtained by linearly trans-
forming the original complex information symbols Z
i,k
= a
i,k
+ ib
i,k
, i = 1, 2, 3, 4,
[25]:
(p
i,k
, q
i,k
, p
i+2,k
, q
i+2,k
)
T
= U(a
i,k
, b
i,k
, a
i+2,k
, b
i+2,k
)
T
, i = 1, 2,
where U is the linear transform matrix from [25].
43
Similar to Chapter 4.2, we only consider = 2. In this case, the distortion
matrix D is
D = diag(D
1
, D
2
, , DN

)
M
b
NM
t
N
, (4.27)
where
D
k
=
_
_
D
k
(0) 0
0 D
k
(1)
_
_
, (4.28)
where
D
k
() =
_
_
_
_
_
_
_
_
D
1,k
() D
2,k
() D
3,k
() D
4,k
()
D

2,k
() D

1,k
() D

4,k
() D

3,k
()
D
3,k
() D
4,k
() D
1,k
() D
2,k
()
D

4,k
() D

3,k
() D

2,k
() D

1,k
()
_
_
_
_
_
_
_
_
. (4.29)
Similar to the OSTFBC case in Chapter 4.2, in order to derive the ML decoding of a
QOSTFBC in a clipped MIMO-OFDM system, we need to calculate the covariance
matrix of the total noise terms including both the clipped noise and AWGN terms.
To do so, we need to calculate the correlations between the distortions D
i,k
() for
i = 1, 2, 3, 4. When the information symbols S
i,k
, i = 1, 2, 3, 4, are independent
each other, the distortions D
i,k
(), i = 1, 2, 3, 4, are also independent in terms of
i. When the linearly transformed QOSTFBC is used, since S
i,k
are obtained from
linearly transforming independent symbols Z
i,k
, complex symbols S
i,k
, i = 1, 2, 3, 4,
in general, may not be uncorrelated. However, when the linear transformation is
unitary, complex symbols S
i,k
, i = 1, 2, 3, 4, are uncorrelated too. Based on this
observation, in what follows, we only consider the case when a signal constellation
o is a square QAM. In this case, the linear transform U in [25] is unitary. Thus, all
reals p
i,k
, q
i,k
for i = 1, 2, 3, 4 are uncorrelated and therefore complex symbols S
i,k
for i = 1, 2, 3, 4 are uncorrelated. Hence, in this case, it is reasonable to assume
that the distortions D
i,k
() for i = 1, 2, 3, 4 are also uncorrelated, which has been
veried by our numerous simulations. Since they are Gaussian with zero mean, the
distortions D
i,k
() for i = 1, 2, 3, 4 are independent and thus we also have (4.17) for
44
i, j = 1, 2, 3, 4. For the same reason of Section 4.2, we set D = D
1
and C = S
1
, and
drop the index k in derivation.
With (4.17), by some algebra, the conditional covariance matrix can be cal-
culated as
= Cov(Y, Y[C, H) = (
i,j
)
1i,jM
r
, (4.30)
where

i,j
=
_
_
_
_
_
_
_
_
A
ij
(0)I
2
B
ij
(0)I
2
0 0
B
ij
(0)I
2
A
ij
(0)I
2
0 0
0 0 A
ij
(1)I
2
B
ij
(1)I
2
0 0 B
ij
(1)I
2
A
ij
(1)I
2
_
_
_
_
_
_
_
_
(4.31)
is the (i, j) block in , where
A
ij
() =
_

M
t

2
D
([H
i,1
()[
2
+[H
i,2
()[
2
+[H
i,3
()[
2
+[H
i,4
()[
2
)
+
2
n
, if i = j,

M
t

2
D
(H
i,1
()H

j,1
() + H
i,2
()H

j,2
() + H
i,3
()H

j,3
()
+H
i,4
()H

j,4
()), if i ,= j,
(4.32)
B
ij
() =

M
t

2
D
(H
i,1
()H

j,3
() + H
i,3
()H

j,1
() + H
i,2
()H

j,4
()
+H
i,4
()H

j,2
()).
(4.33)
Lemma 2 If a block matrix has the form in (4.30) with constants A
ij
() and
B
ij
(), 1 i, j M
r
, and has an inverse, then its inverse matrix
1
is also a
block matrix of the same form as .

1
=
_

i,j
_
1i,jM
r
(4.34)
45
where

i,j
=
_
_
_
_
_
_
_
_
A

ij
(0)I
2
B

ij
(0)I
2
0 0
B

ij
(0)I
2
A

ij
(0)I
2
0 0
0 0 A

ij
(1)I
2
B

ij
(1)I
2
0 0 B

ij
(1)I
2
A

ij
(1)I
2
_
_
_
_
_
_
_
_
, (4.35)
for some constants A

ij
() and B

ij
(), 1 i, j M
r
.
Proof: Similar to the proof of Lemma 1, we map a 22 matrix AI
2
to complex
number A and thus the set of 2 2 matrices AI
2
for all complex numbers A is
isomorphic to the complex number eld and the set of 8 8 matrices

i,j
=
_
_
_
_
_
_
_
_
A
ij
(0)I
2
B
ij
(0)I
2
0 0
B
ij
(0)I
2
A
ij
(0)I
2
0 0
0 0 A
ij
(1)I
2
B
ij
(1)I
2
0 0 B
ij
(1)I
2
A
ij
(1)I
2
_
_
_
_
_
_
_
_
(4.36)
is isomorphic to the following set of 4 4 matrices
/=
_

_
_
_
_
_
_
_
_
_
A
ij
(0) B
ij
(0) 0 0
B
ij
(0) A
ij
(0) 0 0
0 0 A
ij
(1) B
ij
(1)
0 0 B
ij
(1) A
ij
(1)
_
_
_
_
_
_
_
_
: for complex numbers A
ij
(), B
ij
()
_

_
.
(4.37)
Therefore, the set of matrices = (
ij
)
1i,jM
r
where
ij
has the form in (4.36)
is isomorphic to the set of matrices (M
ij
)
1i,jM
r
[ M
ij
/. It is not hard to
see that all the arithmetic operations and matrix inverses of 4 4 matrices in set
/ are closed, i.e., the results of the arithmetic operations and inverses of matrices
in / are also in /. Therefore, the inverse of any block matrix (M
ij
)
1i,jM
r
for
M
ij
/ also has the block matrix form (

M
ij
)
1i,jM
r
for

M
ij
/, which is
equivalent to say that the inverse of any matrix = (
ij
)
1i,jM
r
where
ij
has the
46
form in (4.36) also has the form (

ij
)
1i,jM
r
where

ij
has the form in (4.36). This
proves Lemma 2.
We next derive the ML decoding (2.13) for QOSTBC C and with the form
(4.30). Let
V
i
() = Y
i
()
_

M
t
C()H
i
(), (4.38)
and

i,j
() =
_
_
A

ij
()I
2
B

ij
()I
2
B

ij
()I
2
A

ij
()I
2
_
_
, (4.39)
which is the submatrix (4.35). i, j = 1, 2, , M
r
and = 0, 1.
Substitute (4.34) and (4.38) into (2.13), the ML decoding becomes

C = arg min
CC

V
H
i
()
i,j
()V
j
(). (4.40)
In order to simplify the above ML decoding, we rst have the following lemma.
Lemma 3 If matrices
i,j
() have the following form

i,j
() =
_
_
A

ij
()I
2
B

ij
()I
2
B

ij
()I
2
A

ij
()I
2
_
_
, (4.41)
where A

ij
() and B

ij
() are known constants, then V
H
i
()
i,j
()V
j
() is a linear
function of

4
i=1
[S
i
[
2
and

2
i=1
(S
i
S

i+2
+ S

i
S
i+2
), and S
i
, S

i
, i = 1, 2, 3, 4, i.e.,
V
H
i
()
i,j
()V
j
() = g
i,j,1
(
4

l=1
[S
l
[
2
)
+g
i,j,2
(
2

l=1
(S
l
S

l+2
+ S

l
S
l+2
))
+g
i,j,3
(S
1
, , S
4
, S

1
, , S

4
), (4.42)
where g
i,j,1
(x) and g
i,j,2
(x) are two known linear functions of variable x, and g
i,j,3
()
is also a known linear function of all its arguments.
47
Proof: Let
J
4
=
_
_
_
_
_
_
_
_
0 0 1 0
0 0 0 1
1 0 0 0
0 1 0 0
_
_
_
_
_
_
_
_
. (4.43)
Then,
V
H
i
()
i,j
()V
j
() = V
H
i
()(A

ij
()I
4
+ B

ij
()J
4
)V
j
()
= A

ij
()V
H
i
()V
j
() + B

ij
()V
H
i
()J
4
V
j
(). (4.44)
The rst term in the right hand side of (4.44) is
V
H
i
()V
j
() = Y
H
i
()Y
j
()
_

M
t
(Y
H
i
()C()H
j
() +H
H
i
()C
H
()Y
j
())
+
2

M
t
(H
H
i
()(C
H
()C())H
j
()) (4.45)
and the second term in the right hand side of (4.44) is
V
H
i
()J
4
V
j
() = Y
H
i
()J
4
Y
j
()

_

M
t
(Y
H
i
()J
4
C()H
j
() +H
H
i
()C
H
()J
4
Y
j
())
+
2

M
t
(H
H
i
()(C
H
()J
4
C())H
j
()). (4.46)
While
C()
H
C() =
_
_
_
_
_
_
_
_
S
1
S
2
S
3
S
4
S

2
S

1
S

4
S

3
S
3
S
4
S
1
S
2
S

4
S

3
S

2
S

1
_
_
_
_
_
_
_
_
H
_
_
_
_
_
_
_
_
S
1
S
2
S
3
S
4
S

2
S

1
S

4
S

3
S
3
S
4
S
1
S
2
S

4
S

3
S

2
S

1
_
_
_
_
_
_
_
_
= (4.47)
for QOSTFBC C in (2.19), it is also easy to check that
C()
H
J
4
C() =
_
_
QI
2
PI
2
PI
2
QI
2
_
_
, (4.48)
48
where P and Q have the forms in (2.23). By plugging (4.47), (2.23), and (4.48) into
(4.45) and (4.46) and then (4.44), the decomposition (4.42) can be obtained and
therefore Lemma 3 is proved.
From Lemma 2 and then Lemma 3, the ML decoding objective function in
(4.42) of a QOSTFBC in clipped MIMO-OFDM has the same form as that of the
QOSTFBC in an MIMO system. Therefore, the linear transformation technique for
the QOSTFBC described in Chapter 2.2.3 for MIMO-OFDM without the clipping
also applies to the clipped MIMO-OFDM. In other words, we have the following
result.
Theorem 3 By following the encoding steps of linear transformation in Chapter
2.2.3 with independent complex information symbols Z
i
= a
i
+ ib
i
for i = 1, 2, 3, 4,
the ML decoding of the linearly transformed QOSTBC in a clipped MIMO-OFDM
system is (complex) symbol-wise decoding, i.e., the ML decoding objective function
has the following decomposition
(Y
_

M
t
XH)
H

1
(Y
_

M
t
XH) =
4

i=1
f
i
(a
i
, b
i
), (4.49)
where f
i
(x, y) are known quadratic forms of real variables x and y.
As a remark, in the above ML decoding, the inverse
1
of the covariance
matrix of the form in (4.30) is needed. Although the size of is 8M
r
8M
r
, it
is structured and its inverse is equivalent to the inverse of a M
r
M
r
block matrix
with 4 4 block matrices in set / dened in (4.37) as explained in the proof of
Lemma 2. Note that every element M
ij
in set / can be represented by
M
ij
=
_
_
A
ij
(0)I
2
+ B
ij
(0)J
2
0
0 A
ij
(1)I
2
+ B
ij
(1)J
2
_
_
where A
ij
() and B
ij
() are two complex numbers and
J
2
=
_
_
0 1
1 0
_
_
.
49
Also note that not only the matrix multiplications, additions, and inverses are closed
in /, but also the matrix multiplication of elements in / is commutative, i.e.,
M
1
ij
M
2
ij
= M
2
ij
M
1
ij
when M
1
ij
, M
2
ij
/. The numerical operations over set /
are similar to that over a number eld. Thus, 8M
r
8M
r
matrix is essentially
equivalent to an M
r
M
r
matrix and therefore its inverse is essentially an inverse
of M
r
M
r
matrix inverse, where M
r
is the number of receive antennas. As a nal
remark, although Theorem 3 is for a linearly transformed QOSTFBC, when the
linear transformation is the identity matrix, the linearly transformed QOSTFBC
goes back to an original QOSTFBC. In other words, the result in Theorem 3 also
applies to an original QOSTFBC without any linear transformation.
4.4 Clipping Ratio Estimation
The decoding algorithm proposed in previous chapters requires the knowledge
of the clipping ratio (CR) at the receiver. However, in some applications, for example
in interference channels, it is may be possible that the CR is not known at the
receiver. In this chapter, we consider the case that we do not know the clipping
ratio at the receiver and propose a decision-aided algorithm to estimate it. We rst
derive the CR estimation theorem for MIMO-OFDM system and then propose a
decision aided clipping ratio estimation algorithm. For convenient, we discuss the
clipping ratio estimation algorithm only for STBC coded MIMO-OFDM systems,
i.e., the repeating factor = 1. The algorithm and derivation can be easily extended
to STFBC coded MIMO-OFDM systems, which we describe previously.
4.4.1 CR Estimation Theorem for STBC Coded MIMO-OFDM Systems
A clipping ratio estimation method has been proposed for single antenna
OFDM systems in [33]. This clipping ratio estimation method can be applied to
pilot-tone-based OFDM systems only. By calculating the statistics of the clipping
50
noise at the pilot subcarriers, the CR can be estimated from the statistical clipping
noise model given in [36]-[37].
In this research, we consider clipped MIMO-OFDM systems where OSTBC
and QOSTBC are used at the transmitter and the CR is not known at the re-
ceiver. For MIMO-OFDM systems, through a multiple transmit antenna channel,
the distortion from dierent transmit antennas are added to one received signal.
If we subtract pilot symbols from received signals as [33], we can not get an esti-
mation of the distortion as what can be obtained in [33] for single antenna case,
rather we get an estimate of the combination of the distortions from all transmitted
antennas. Thus, the pilot-tone-based clipping ratio estimation method in [33] is
not applicable to MIMO-OFDM systems. Based on this observation, we develop
a decision-aided clipping ratio estimation for an MIMO-OFDM system. By utiliz-
ing the code structure at the data subcarriers, we can separate clipping distortions
from multiple transmit antennas and calculate the statistics of the clipping noise.
Because we use decoded symbols to estimate the clipping distortion at the receiver,
we call our method decision-aided clipping ratio estimation. The dierence between
our method and the pilot-tone-based CR estimation in [33] is the way how receiver
calculates the statistic of the clipping noise. CR estimation and statistical clipping
noise model used for both methods are same. Compared to the pilot-tone-based
CR estimation, our method does not have any restriction to pilot patterns and is
able to use more estimation samples from the data subcarriers than only pilot sub-
carriers. Using the estimated CR by the decision-aided clipping ratio estimation,
any clipping noise mitigation method that requires to know CR, such as [27]-[29] or
clipping noise model based ML decoding can be used to improve the performance
of an clipped OFDM system.
We now develop a decision aided CR estimation algorithm by calculating
the distortion from data subcarriers instead of pilot subcarriers. Moreover for an
51
STBC coded MIMO-OFDM system, codewords transmitted at data subcarriers have
orthogonal or quasi-orthogonal structure in the space and time domains. So it is
easy to calculate the distortion from data subcarriers, if we know data symbols at
the receiver. In our algorithm, we rst make decisions on data symbols without
considering the clipping noise. This initial decision on the data symbols is used to
estimate the CR at the receiver. Then the ML decoding with the estimated CR is
implemented to make new decision on the data symbols.
Without loss of generality, we use Alamouti code as an example to describe
our CR estimation algorithm in the following discussion. Similar discussion can be
easily extended to other STBC coded MIMO-OFDM system such as other OSTBC
and QOSTBC coded MIMO-OFDM systems.
The received signal in the frequency domain is
Y
i
(n) =
_

M
t
C(n)H
i
(n) +
_

M
t
D
n
H
i
(n) +N
i
(n),
where n = 1, 2, , N. Because, in this section, repeating factor = 1,
D
n
=
_
_
D
1,n
(0) D
2,n
(0)
D

2,n
(0) D

1,n
(0)
_
_
. (4.50)
We use Z(n) to represent the overall additive noise and distortion as
Z(n) =
_
_
Z
1
(n)
Z
2
(n)
_
_
=
_

M
t
D
n
H
i
(n) +N
i
(n)
= Y
i
(n)
_

M
t
C(n)H
i
(n). (4.51)
For the Alamouti code, we derive an equivalent equation
_
_
Z
1
(n)
Z

2
(n)
_
_
=
_

M
t
H

i
(n)
_
_
D
1,n
(0)
D
2,n
(0)
_
_
+
_
_
N
1
i
(n)
N
2
i
(n)
_
_
, (4.52)
where H

i
(n) is
H

i
(n) =
_
_
H
i,1
(n) H
i,2
(n)
H

i,2
(n) H

i,1
(n)
_
_
. (4.53)
52
We dene a vector parameter as
=
_
_

1

2
_
_
= (H

i
(n))
1
_
_
Z
1
(n)
Z

2
(n)
_
_
, (4.54)
where
1
and
2
are i.i.d. random variables.
Note that, for the clipped MIMO-OFDM system, the pilot symbols are also
clipped by the nonlinear amplier or by the deliberate clipping procedure. So the
channel frequency response estimated by the pilot-based method is not the estima-
tion of the channel frequency response H
i
(n), but the attenuated channel frequency
response H
i
(n). Without knowing CR, we can not calculate the attenuation factor
at the receiver. Thus, we use attenuated channel frequency response H
i
(n) in
(4.54) as a whole parameter/variable.
For low CR and high SNR case, the clipping distortion dominates the additive
noise Z(n). Similar to [33], we ignore the AWGN item N
i
(n) in (4.51). Thus, the
variance of random variables
i
is

=
2

1
=
2

2


M
t

2
D

2
. (4.55)
From the statistical model of the clipping distortion we derived in Chapter
4.1, we can have

2
D

2
=
1 e
r
2

_
1 e
r
2
+

r
2
erfc(r)
_
2
_
1 e
r
2
+

r
2
erfc(r)
_
2
. (4.56)
Substituting (4.56) into (4.55),
2

is a function of its only variable r, where


r is the clipping ratio we want to estimate at the receiver.
If we know
2

at the receiver, the clipping ratio can be numerically solved


from (4.55) and (4.56).
53
4.4.2 Decision Aided CR Estimation Procedure
Based on the above derivation, we have the following CR estimation method.
At the receiver, we rst do the ML decoding as

C(n) = arg min


C(n)C
M
r

i=1
|Y
i
(n)
_

M
t
C(n)

H
i
(n)|
2
, (4.57)
where

H
i
(n) is the attenuated channel estimation.
In this step, we ignore the clipping distortion term
_

M
t
D
n
H
i
(n) in equation
(4.12) and

C(n) is the initial hard decision we make on the transmitted codeword.
Secondly, we approximately assume that

C(n) is the codeword C(n) we trans-
mitted and subtract the signal term from the received signal to calculate the overall
noise Z(n) as (4.51).
Thirdly, the parameter is calculated by (4.54). Then
2

is the average
power of a number of samples of

. The more samples of

we use, the more
accurate the statistics of the average power we can estimate.
Finally, the clipping ratio r can be estimated by numerically solving equation
(4.55) with average
2

.
With the estimated clipping ratio, the clipping noise model based ML decod-
ing [30] can be used. The new objective function for ML decoding is

C = arg min
CC
(Y
i
(n)
_

M
t
C(n)H
i
(n))
H

1
(Y
i
(n)

_

M
t
C(n)H
i
(n)), (4.58)
where is a function of the clipping ratio, which has been shown in Chapter 4.2 to
have the fast single symbol decoding although the noise is colored.
54
4.5 Simulation Results
4.5.1 Performance of Clipping Noise Model Based ML Decoding with
Perfect CR at the receiver
In the following simulations, the MIMO frequency-selective Rayleigh channel
is characterized by a two-ray, i.e., L = 2, equal power delay prole in which the
second path delay is 0.5s. An OFDM with N = 64 subcarriers is used. The time
duration of one OFDM symbol is T
s
= 3.2s. We only choose OSTFBC as (2.16)
and QOSTFBC as (2.19) with = 2 for examples. Since these two codes have the
same symbol rate, they have the same bit rate if the same signal constellation o
is used. In our simulations, the signal constellation o is always 16QAM and the
throughput is 4 bits/s/Hz.
In Fig. 4.1- Fig. 4.2, we compare the decoding performances of OSTFBC
and QOSTFBC in clipped MIMO-OFDM systems between the original decoding
algorithms without considering the clipping noise and with considering the clipping
noise and our newly developed ML decoding algorithm. We concatenate a rate 1/2
convolutional encoder of generator [133,171] with OSTFBC or QOSTFBC encoder.
We implement the decoding of OSTFBC or QOSTFBC with hard outputs and then
the hard-decision Viterbi decoder for the convolutional code is used. The dashed
lines are for the original decoding without considering the clipping noise, and the
solid lines are for our newly developed ML decoding algorithms with considering
the clipping noise. As one can see, in all cases, our newly developed ML decoding
algorithms always achieve better performance than the original decoding algorithm
does without considering the clipping noise eect. When clipping ratio is smaller, the
variance of the clipping distortion is larger, and the improvement is more signicant.
If the transmitted SNR is increased, the variance of the clipping distortion is also
linearly increased, and the performance improvement is increased too.
55
10 12 14 16 18 20
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
Original Decoding
New Decoding
NonClipped
=1.0
=1.2
=1.5
(a)
6 8 10 12 14 16
10
7
10
6
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
Original Decoding
New Decoding
Nonclipped
=1.0
=1.2
=1.5
(b)
Figure 4.1: BER performance comparison of OSTFBC in clipped 2 2 OFDM
systems: (a) no convolutional code is added; (b) a convolutional code
is added.
56
10 12 14 16 18 20
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
Original Decoding
New Decoding
NonClipped
=1.0
=1.2
=1.5
(a)
6 8 10 12 14 16 18 20
10
6
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
Original Decoding
New Decoding
Nonclipped
=1.0
=1.2
=1.5
(b)
Figure 4.2: BER performance comparison of QOSTFBC in clipped 4 2 OFDM
systems: (a) no convolutional code is added; (b) a convolutional code
is added.
57
4.5.2 Performance of Clipping Noise Model Based ML Decoding with
Estimated CR at the receiver
In this chapter, we rst show the minimum mean square error (MMSE) of the
estimated CR by the decision aided CR estimation algorithm. We then compare the
decoding performances of the two dierent decoding methods for the STBC coded
MIMO-OFDM systems with the estimated CR with the clipping noise model and
without the clipping noise model.
In the following simulations, the MIMO frequency-selective Rayleigh channel
is characterized by a two-ray, i.e., L = 2, equal power delay prole in which the
second path delay is 0.5s. An OFDM with N = 64 subcarriers is used. The time
duration of one OFDM symbol is T
s
= 3.2s.
Fig. 4.3 shows the MMSE of the estimated CR by the decision aided CR
estimation algorithm with Alamouti OSTBC code and linear transformed QOSTBC
code. From this gure, the MMSE of the estimation decreases when the system SNR
increases. At the high SNR, the estimation error is very small and the estimation
algorithm is eective. Also it is easy to see that there are more errors when CR is
large. Because, at the high CR, distortion is small compared to AWGN, so AWGN
domains the statistical property of the noise term in equation (4.12) and causes the
large estimation error for CR. Although the estimation method is more accurate for
small CR, the estimation error is reduced to very small for large CR at large SNR
as shown in Fig. 4.3.
In Fig. 4.4, we show the performances of the clipping noise model based
ML decoding proposed in [30] by using our estimated CR. The case of 4 transmit
and 1 receiver antenna QOSTBC with the linear transformation [25] is considered.
We assume that we know the attenuated channel response H at the receiver. In
the gure, curves marked by o are for the ML decoding without using the clipping
noise model, and curves marked by _ are for the clipping noise model based ML
58
10 15 20 25 30
0
0.2
0.4
0.6
0.8
1
SNR(dB)
M
M
S
E

o
f

E
s
t
i
m
a
t
e
d

C
R
Linear transformed QOSTBC code with 4 Tx and 1 Rx
CR=2.0
CR=1.8
CR=1.6
CR=1.4
CR=1.2
10 15 20 25 30
0
0.2
0.4
0.6
0.8
1
SNR(dB)
M
M
S
E

o
f

E
s
t
i
m
a
t
e
d

C
R
Alamouti code
CR=2.0
CR=1.8
CR=1.6
CR=1.4
CR=1.2
Figure 4.3: MMSE of estimated CR.
59
decoding with estimated clipping ratio, and curves marked by are for the clipping
noise model based ML decoding with perfect clipping ratio. From the gure, we can
see that if we do not know CR at the receiver, the CR estimation can improve the
decoding performance. And accurate CR estimation at high SNR and low CR can
achieve nearly the same decoding performance as the one with the perfect known
CR.
16 17 18 19 20 21 22 23 24
10
6
10
5
10
4
10
3
10
2
SNR(dB)
B
E
R
Decoding with unknown CR
Decoding with estimated CR
Decoding with perfect CR
=1.0
=1.2
=1.5
Figure 4.4: Performance of clipping noise model based ML decoding; 4 transmit
antennas and 1 receive antenna linear transformed QOSTBC
In [28], the authors proposed an iterative decoding to cancel the clipping
noise. After we estimate the CR at the receiver, we can also apply this itera-
tive decoding method to improve the performance. In Fig. 4.5, the same coded
MIMO-OFDM system is simulated as Fig. 4.4. Iterative decoding at the receiver
is implemented. Iteration number is 1. Simulation results show that the iterative
60
decoding with estimated CR can always improve the decoding performance under
dierent clipping ratios. For large SNR and low CR, the improvement is signicant.
10 12 14 16 18 20
10
5
10
4
10
3
10
2
10
1
SNR(dB)
B
E
R
Non iterative decoding
Iterative decoding with estimated CR
=1.0
=1.2
=1.5
Figure 4.5: Performance of iterative decoding; iteration number is 1.
61
Chapter 5
ALAMOUTI CODED COOPERATIVE OFDM SYSTEM
From this chapter, we begin to discuss another important wireless communi-
cation system, cooperative OFDM system. Firstly, we describe the Alamouti coded
cooperative OFDM channel/signal model. Consider a cooperative system with one
source node, one destination node and two relay nodes. The source node rst trans-
mits information to both relay nodes. We only adopt the decode-and-forward (DF)
protocol, so it is assumed that information symbols are correctly detected by relay
nodes and then sent to the destination node.
5.1 Cooperative OFDM Channel Model
Every relay node has only one transmit antenna, and destination node has
M
r
receive antennas. We assume that the channel is quasi-static (block fading)
at fading, i.e., the channel coecients remain xed through one code block. The
channel impulse response is denoted by
h
k
i,j
(t) = a
k
i,j
(t
k
i,j
), (5.1)
where j and i denote the jth relay node and the ith receive antenna for j = 1, 2
and i = 1, 2, , M
r
, respectively, k is the OFDM symbol/block index,
k
i,j
is the
corresponding time delay of each path. When there exist timing errors,
k
i,1
,=
k
i,2
.
For Rayleigh fading, the channel coecient a
k
i,j
is a zero-mean complex Gaussian
random variable. We assume that a
k
i,j
are i.i.d. random variables in terms of k, i, j
with variance
2
a
. In order to normalize the received signal power, the variance
62

2
a
= 1. For convenience, we assume that the timing delay
k
i,j
is rounded to the
nearest sampling position, so

k
i,j
N
T
s
is an index number always, where T
s
is the
duration of one OFDM symbol.
For an OFDM system with N subcarriers, the corresponding channel fre-
quency response for the nth OFDM subcarrier is denoted by H
k
i,j
(n). Since we
assume channels are at fading, so channel coecients in the frequency domain are
H
k
i,j
(n) = a
k
i,j
exp(i
2n
T
s

k
i,j
) (5.2)
where n represents the nth subcarrier, n = 0, 1, 2, , N 1.
5.2 Alamouti Coded Cooperative OFDM System Without Timing Er-
rors/Delays
We next rst consider the Alamouti coded cooperative OFDM signals without
timing errors at the destination to see both structures of the signals in the time and
the frequency domains. These structures will be used later for the interference
cancellation.
After relay nodes detect the information symbols sent from the source node,
the detected symbols are encoded into Alamouti code in a distributed way at two
relay nodes as
C
k
(n) =
_
_
S
k
1
(n) S
k
2
(n)
(S
k
2
(n))

(S
k
1
(n))

_
_
, (5.3)
where S
k
1
(n) and S
k
2
(n) are two independent information symbols. C
k
(n) is a space-
time codeword carried by nth subcarrier and is independent in terms of n. According
to this code structure, the rst column is transmitted by rst relay node in two
consecutive OFDM symbol periods, while the second column is sent by the second
relay node.
We represent frequency domain symbol sequence and time domain signal se-
quence as vectors S
k
i
= [S
k
i
(0), S
k
i
(1), , S
k
i
(N1)], and s
k
i
= [s
k
i
(0), s
k
i
(1), , s
k
i
(N
63
1)] = IDFT(S
k
i
), respectively. After IDFT, a CP sequence of length
cp
is added to
each OFDM time domain sequence. The nal transmitted signals at the relay nodes
are shown as Fig. 5.1, where
c
2k
j
= [c
2k
j
(0), c
2k
j
(1), , c
2k
j
(N 1)], (5.4)
which is a discrete time domain sequence that is sent by the jth relay node in the
rst OFDM symbol period of the kth Alamouti coded block, and
c
2k+1
j
= [c
2k+1
j
(0), c
2k+1
j
(1), , c
2k+1
j
(N 1)], (5.5)
which is a discrete time domain sequence that is sent by the jth relay node in the
second OFDM symbol period of the kth Alamouti coded block. Thus, c
2k
1
, c
2k
2
, c
2k+1
1
,
and c
2k+1
2
are the corresponding time domain sequences after the IDFT of S
k
1
, S
k
2
,
(S
k
2
)

, and (S
k
1
)

, respectively. From the IDFT property, it is not dicult to show


that the time domain sequences have the following relationship in the frequency
domain due to the Alamouti code structure:
c
2k
1
(m) = s
k
1
(m),
c
2k
2
(m) = s
k
2
(m),
c
2k+1
1
(m) =
_
s
k
2
((N m))
N
_

,
c
2k+1
2
(m) =
_
s
k
1
((N m))
N
_

(5.6)
When there is no time delays/errors from two relay nodes, i.e.,
k
i,1
=
k
i,2
= 0, the
two discrete time domain received sequences of two OFDM symbols at destination
node are
y
2k
i
(m) =
_

2
_
c
2k
1
(m)a
k
i,1
+ c
2k
2
(m)a
k
i,2
_
+ w
2k
i
(m),
y
2k+1
i
(m) =
_

2
_
c
2k+1
1
(m)a
k
i,1
+ c
2k+1
2
(m)a
k
i,2
_
+ w
2k+1
i
(m), (5.7)
where w
2k
i
(m) and w
2k+1
i
(m) are the additive white Gaussian noise (AWGN) with
zero-mean and unit-variance. Denote y
2k
i
= [y
2k
i
(m), 0 m N 1], which is
64
c
2k1
1
CP c
2k
1
CP c
2k+1
1

c
2k1
2
CP c
2k
2
CP c
2k+1
2

Figure 5.1: Time domain transmitted signals at the relay nodes.
the received sequence in the rst OFDM symbol period of the kth Alamouti coded
block, and y
2k+1
i
= [y
2k+1
i
(m), 0 m N1], which is the received sequence in the
second OFDM symbol period of the kth Alamouti coded block. The normalization
factor

2
is used to normalize the power of the received signal, in which is the
signal-to-noise ratio (SNR) at the receiver.
After CP removal and DFT transformation, the received signals for two con-
secutive OFDM symbol periods on the nth subcarrier in the kth coded block are,
Y
2k
i
(n) =
_

2
(S
k
1
(n)a
k
i,1
+ S
k
2
(n)a
k
i,2
) + W
2k
i
(n), (5.8)
Y
2k+1
i
(n) =
_

2
((S
k
2
(n))

a
k
i,1
+ (S
k
1
(n))

a
k
i,2
) + W
2k+1
i
(n),
where W
2k
i
(n) and W
2k+1
i
(n) are the frequency domain AWGN. For convenience, we
also represent a vector of (H
k
i,1
(n), H
k
i,2
(n))
T
as H
k
i
(n), and Y
k
i
(n) = (Y
2k
i
(n), Y
2k+1
i
(n))
T
,
and W
k
i
(n) = (W
2k
i
(n), W
2k+1
i
(n))
T
. Then, the received signals in vector form be-
come
Y
k
i
(n) =
_

2
C
k
(n)H
k
i
(n) +W
k
i
(n). (5.9)
For M
r
receive antennas, let
B
k
(n) =
_
_
_
_
_
_
_
_
_
_
_
C
k
(n) 0 0 0
0 C
k
(n) 0 0
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
0 0
.
.
.
C
k
(n) 0
0 0 . . . 0 C
k
(n)
_
_
_
_
_
_
_
_
_
_
_
2M
r
2M
r
, (5.10)
65
and
Y
k
(n) =
_
_
_
_
_
_
_
_
Y
k
1
(n)
Y
k
2
(n)
.
.
.
Y
k
M
r
(n)
_
_
_
_
_
_
_
_
, H
k
(n) =
_
_
_
_
_
_
_
_
H
k
1
(n)
H
k
2
(n)
.
.
.
H
k
M
r
(n)
_
_
_
_
_
_
_
_
, W
k
(n) =
_
_
_
_
_
_
_
_
W
k
1
(n)
W
k
2
(n)
.
.
.
W
k
M
r
(n)
_
_
_
_
_
_
_
_
.
Then, the overall vector-matrix form of the transmit-receive signal model at the nth
subcarrier becomes
Y
k
(n) =
_

2
B
k
(n)H
k
(n) +W
k
(n).
Since the additive noises are white Gaussian, the ML decoding is

S
k
1
(n),

S
k
2
(n) = arg min

B
k
(n)C
|Y
k
(n)
_

B
k
(n)H
k
(n)|
2
, (5.11)
where ( is a set of space-time codewords from a given space-time block code.
5.3 Alamouti Coded Cooperative OFDM System With Timing Errors
and Inter-block Interferences
We next consider the case when there are timing errors at the destination
node. We assume at the receiver, the timing errors are known. Without loss of
generality, we always synchronize the receiver to the signals from the rst relay node,
and assume that the signals from the second relay node arrive at the destination
node samples later than the signals from the rst relay node, i.e.,
k
i,1
= 0 and
N
k
i,2
T
s
= .
When is less than
cp
, discrete received signals in the time domain are
y
2k
i
(m) =
_

2
_
c
2k
1
(m)a
k
i,1
+ c
2k
2
((m))
N
a
k
i,2
_
+ w
2k
i
(m),
y
2k+1
i
(m) =
_

2
_
c
2k+1
1
(m)a
k
i,1
+ c
2k+1
2
((m))
N
a
k
i,2
_
+ w
2k+1
i
(m). (5.12)
66
In the frequency domain, signals from the second relay node have a phase change.
Y
2k
i
(n) =
_

2
(S
k
1
(n)a
k
i,1
+ S
k
2
(n)a
k
i,2
exp(i
2n
T
s
)) + W
2k
i
(n),
Y
2k+1
i
(n) =
_

2
((S
k
2
(n))

a
k
i,1
+ (S
k
1
(n))

a
k
i,2
exp(i
2n
T
s
))
+W
2k+1
i
(n). (5.13)
From (5.13), received signals have no interference. And if we know delay at the
receiver, the Alamouti code orthogonal structure still holds and OFDM transmission
eliminates the interference by covering the delay with enough CP [48].
When is larger than
cp
, the timing error causes inter-block interferences
in the time domain and destroys the frequency orthogonality of OFDM. Next, we
derive the interference signal models in the time domain and the frequency domain,
respectively. Those interference signal models, especially the one in the time domain,
are used for designing interference cancellation algorithm in next chapters.
Time domain received signals are
y
2k
i
(m) =
_

2
_
c
2k
1
(m)a
k
i,1
+
_
c
2k
2
((m))
N
+ d
2k
(m)
_
a
k
i,2
_
+ w
2k
i
(m),
y
2k+1
i
(m) =
_

2
_
c
2k+1
1
(m)a
k
i,1
+
_
c
2k+1
2
((m))
N
+ d
2k+1
(m)
_
a
k
i,2
_
+w
2k+1
i
(m), (5.14)
where d
2k
(m) and d
2k+1
(m) are the inter-block interference. Denote the dierence
between the delay and the CP length as =
cp
. Thus,
d
2k
(m) =
_
_
_
c
2k1
2
(N + m) s
k
2
(N + m), if 0 m 1
0, if m
,
d
2k+1
(m) =
_
_
_
s
k
2
(N + m) (s
k
1
( m))

, if 0 m 1
0, if m
. (5.15)
Note that, in the time domain only the rst samples in one OFDM symbol period
suer the interference.
67
In the frequency domain, we have
Y
2k
i
(n) =
_

2
_
S
k
1
(n)a
k
i,1
+ S
k
2
(n)a
k
i,2
exp(i
2n
N
) + D
2k
(n)a
k
i,2
_
+ W
2k
i
(n), (5.16)
Y
2k+1
i
(n) =
_

2
_
(S
k
2
(n))

a
k
i,1
+ (S
k
1
(n))

a
k
i,2
exp(i
2n
N
) + D
2k+1
(n)a
k
i,2
_
+ W
2k+1
i
(n),
where
D
2k
(n) =
1

N
1

m=0
d
2k
(m) exp(i
2n
N
m),
D
2k+1
(n) =
1

N
1

m=0
d
2k+1
(m) exp(i
2n
N
m). (5.17)
If we denote the interference matrix as
D
k
(n) =
_
_
0, D
2k
(n) exp(i
2n
N
)
0, D
2k+1
(n) exp(i
2n
N
)
_
_
. (5.18)
Then, we have a frequency domain received signal matrix-vector form as
Y
k
i
(n) =
_

2
_
C
k
(n) +D
k
(n)
_
H
k
i
(n) +W
k
i
(n). (5.19)
After we separate the interference from transmitted symbols, we have Alamouti
orthogonal code C
k
(n) in (5.19) and the additive interference and noise terms as
E
k
i
(n) =
_

2
D
k
(n)H
k
i
(n) +W
k
i
(n). (5.20)
68
Chapter 6
TIME DOMAIN INTERFERENCE CANCELLATION
FOR ALAMOUTI CODED COOPERATIVE OFDM
SYSTEMS WITH INSUFFICIENT CP
In this chapter, we propose our interference cancellation method for the case

when
cp
< N 1 We divide the problem into three cases. In Chapter 6.1,
we discuss the case when
cp
< 2
cp
. In Chapter 6.2, we discuss the case
when 2
cp
< N
cp
1. Finally, in Chapter 6.3, we consider the case when
N
cp
1 < N1. Note, there is an assumption that N 3
cp
, which usually
hold for practical OFDM systems.
6.1 Interference Cancellation when
cp
< 2
cp
In this chapter, we propose a time domain interference cancellation algorithm
when
cp
< 2
cp
. The basic idea is as follows.
Fig. 6.1 shows the time domain sequences transmitted from both relay nodes,
when
cp
< 2
cp
. In the gure, the rst row is the discrete time domain sequence
transmitted from the rst relay node, while the second row is from the second relay
node. We separate the data sequences from CP sequences by black blocks. T
cp
is the synchronized CP period at the receiver, while T
s1
and T
s2
are the rst and

Note that when > N, the interference and the current signal are independent
and a space-time code structure may not help and thus this case is not the
interest of this work.
69
CP CP
CP CP
s1
T
s2
T T
cp
T
cp
1
B
2
B
1
E
2
E
2
G
1
s
D 1
s
E
2
s
D 2
s
E
1
s
J
2
s
J
1
s
T
2
s
T 2
s
P
1
A
2
A
1
C
2
C
1
F
2
F
1
D
2
D
2
1
k
c
2 1
1
k
c
2 1
2
k
c
2
2
k
c
W
Figure 6.1: Received sequences in time domain
cp
< 2
cp
.
the second synchronized OFDM symbol periods, respectively. At the receiver, we
assume that we always synchronize to the rst relay node whose signals arrive at
the receiver rst. Because of the delay, the transmitted sequences from the second
relay node are not synchronized at the receiver. CP sequences fall into synchronized
OFDM symbol periods and partial data sequences fall into synchronized CP periods
as shown in Fig. 6.1. Received sequences are superposition of both sequences from
the rst and the second relay nodes.
We dene several segments and samples in the time domain sequences, which
are shown in Fig. 6.1 by capital letters dened in (6.1)-(6.13) later. Any two
segments with the same capital letter are the transmitted time domain sequences
arriving at receiver at the same time. In Fig. 6.1, segments A
2
and [s
2
, E
2
], which
are time domain signals from previous OFDM symbol periods, fall into OFDM
symbol periods T
s1
and T
s2
, respectively, and cause interferences. Because of the
delay, segments D
2
and [s
2
, G
2
] are the data signals that are cut o from the OFDM
symbol periods T
s1
and T
s2
, respectively, while their front remaining parts of the
CP length are the same as the CP and therefore are kept. So in order to cancel the
interferences and satisfy the frequency orthogonality of OFDM, we need to subtract
A
2
and [s
2
, E
2
] out from the received signals and reconstruct D
2
and [s
2
, G
2
] to
replace A
2
and [s
2
, E
2
], respectively. Due to the Alamouti code structure, the
70
coded OFDM sequences have the relationship (5.3) in the frequency domain and
the relationship (5.6) in the time domain. The two time domain signal sequences
c
2k
1
and c
2k+1
2
in the two consecutive OFDM symbols consist of the same samples
in conjugate in reversed order, while sequences c
2k+1
1
and c
2k
2
also consist of the
same samples in negative conjugate and in reversed order. The main idea of our
interference cancellation algorithm is to use this property to estimate and cancel the
interferences in time domain as follows.
In Fig. 6.1, segments F
1
and C
2
consist of the same information of trans-
mitted signals, while segments F
2
and C
1
also consist of the same information of
transmitted signals. Thus, we can approximately solve for those transmitted signals
from the received signals in the time domain and therefore we can solve for F
1
. Since
segment D
1
is the cyclic repetition of F
1
in the CP, a solution for F
1
also provides a
solution for D
1
. Using a solved D
1
, we may solve for segment D
2
in the time domain
from the received signal that is a superposition of the segments D
1
and D
2
. Note
that at the receiver, we already have the decision on the previous Alamouti coded
OFDM block. After the IDFT on the previous decoded code sequence, segment A
2
is known at the receiver. Then replacing segment A
2
by a solution of segment D
2
,
we can mitigate the interference for the rst OFDM symbol period.
For the second OFDM symbol period, E
1
and E
2
consist of the same infor-
mation about transmitted signals. The dierence between E
1
and E
2
is that E
2
is
the reverse of E
1
and each element in E
1
is the negative conjugate of an element in
E
2
. From this time domain property, we rst solve for E
2
from the received signals.
Then, B
2
is the repetition of E
2
and thus can be obtained from E
2
. With B
2
and
the received signal that is B
1
+ B
2
, we can solve for B
1
. Since segment B
1
is a
reversed conjugate segment of G
2
, with B
1
we can get G
2
. Finally, we replace E
2
by G
2
to cancel the interference for the second OFDM period.
In the second period, there is an individual sample s
2
in front of segment E
2
71
causing interference too. We want to replace it by data signal s
2
. Signals s
1
, s
2
,
s
1
, s
2
, s
1
, s
2
, s
1
, s
2
, and s
2
have a relationship in the time domain. So we
can estimate them from the time domain received signals. Then, replacing s
2
by
s
2
from the received signal, we can cancel all interferences for both OFDM symbol
periods in one Alamouti coded block. In the next chapters, we shall derive the
detailed algorithms.
6.1.1 Transmitted sequences and interference sequences
Before we introduce our method, we rst dene some important transmit
signal sequences. We use these sequences to describe our method in this chapter
later.
Subsequences in transmit signal sequences from the rst relay are
s
A
1
= [c
2k
1
(m), 0 m 1] = [s
k
1
(m), 0 m 1], (6.1)
which is the subsequence that consists of rst samples in the rst OFDM symbol
period. And
s
B
1
= [c
2k
1
(m),
cp
+ 1 m 1] = [s
k
1
(
cp
+ m), 1 m 1], (6.2)
which is the subsequence that includes 1 samples from the
cp
+ 2th to th in
the rst OFDM symbol period. And
s
C
1
= [c
2k
1
(m), 2
cp
+ 1 m 2
cp
+ ]
= [s
k
1
(2
cp
+ m + 1), 0 m 1], (6.3)
which is the subsequence that includes samples from the 2
cp
+2th to 2
cp
++1th
in the rst OFDM symbol period. And
s
E
1
= [c
2k+1
1
(m), 1 m 1] = [(s
k
2
(N m))

, 1 m 1], (6.4)
72
which is the subsequence that consists of 1 samples from the second to th in
the second OFDM symbol period. And
s
F
1
= [c
2k+1
1
(m), N
cp
m N
cp
+ 1]
= [(s
k
2
(
cp
m))

, 0 m 1], (6.5)
which is the subsequence that includes samples from the N
cp
+ 1th to N

cp
+ th in the second OFDM symbol period.
Subsequences in transmit signal sequences from the second relay are
s
A
2
= [c
2k1
2
(m), N m N 1], (6.6)
which is an interference subsequence from previous coded OFDM block.
And
s
C
2
= [c
2k
2
(m),
cp
+ 1 m
cp
]
= [s
k
2
(
cp
+ m + 1), 0 m 1], (6.7)
which is the subsequence that includes samples from the
cp
+2th to
cp
+1th
in the rst OFDM symbol period. And
s
D
2
= [c
2k
2
(m), N m N
cp
1]
= [s
k
2
(N + m), 0 m 1], (6.8)
which is the subsequence that includes samples from the N +1th to N
cp
th
in the rst OFDM symbol period. And
s
E
2
= [c
2k
2
(m), N + 1 m N 1]
= [s
k
2
(N + m), 1 m 1], (6.9)
which is the subsequence that includes last 1 samples in the rst OFDM symbol
period. And
s
F
2
= [c
2k+1
2
(m), N 2
cp
m N 2
cp
1]
= [(s
k
1
(2
cp
+ m))

, 0 m 1], (6.10)
73
which is the subsequence that includes samples from the N 2
cp
+ 1th to
N 2
cp
th in the second OFDM symbol period. And
s
G
2
= [c
2k+1
2
(m), N + 1 m N
cp
1]
= [(s
k
1
( m))

, 1 m 1], (6.11)
which is the subsequence that includes 1 samples from the N + 2th to
N
cp
th in the second OFDM symbol period.
Two subsequences in CP are
s
D
1
= [(s
k
2
(
cp
m))

, 0 m 1], (6.12)
which is the subsequence that consists of rst samples in the second CP of a
coded block from the rst relay node. And
s
B
2
= [s
k
2
(N + m), 1 m 1], (6.13)
which is the subsequence that consists of last 1 samples in the rst CP of a
coded block from the second relay node.
Formulas (6.2) and (6.11) show that
s
G
2
= (flip(s
B
1
))

. (6.14)
From Fig. 6.1 one can see that there are two symbols in front of s
B
1
and s
G
2
,
respectively. The reason why these symbols are separated from sequences s
B
1
and
s
G
2
is because if we include those symbols into the two sequences, we will not have
the relationship (6.14). These individual samples are dened separately as follow.
s
1
= c
2k
1
(
cp
) = s
k
1
(
cp
), which is the last time domain sample before s
B
1
.
s
2
= s
k
2
(N ), which is the last time domain sample in CP before s
B
2
.
s
1
= c
2k
1
() = s
k
1
(), which is the rst time domain sample after s
B
1
.
s
2
= c
2k
2
(0) = s
k
2
(0), which is the rst time domain sample after s
B
2
.
74
s
1
= c
2k+1
1
(0) = (s
k
2
(0))

, which is the only one time domain sample be-


tween CP period and s
E
1
.
s
2
= c
2k
2
(N ) = s
k
2
(N ), which is the last time domain sample before
s
E
2
.
s
1
= c
2k+1
1
() = (s
k
2
(N ))

, which is the rst time domain sample after


s
E
1
.
s
2
= (s
k
1
(
cp
))

, which is the rst time domain sample after s


E
2
and the rst
time domain sample in CP of the second OFDM block.
s
2
= c
2k+1
2
(N ) = (s
k
1
())

, which is the last time domain sample before


s
G
2
.
After we have all the above subsequences and symbols dened, we can easily
describe the interference sequences as
d
2k
= [d
2k
(m), 0 m 1] = s
A
2
s
D
2
,
d
2k+1
= [d
2k+1
(m), 0 m 1] = [s
2
, s
E
2
] [s
2
, s
G
2
]. (6.15)
Sequences s
A
2
, s
D
2
, s
E
2
, and s
G
2
are intuitively shown in Fig. 6.1. In next chapter,
we show how to use the relationships among all the subsequences to estimate and
mitigate the interference sequences in (6.15).
6.1.2 Estimation of interference sequences
The interference sequences are shown in (6.15) where sequence s
A
2
is the
interference from the last Alamouti coded OFDM block. We already have decision
on the previous coded OFDM block. After IDFT on the previous decoded code
sequence, s
A
2
, an estimation of sequence s
A
2
, is known at the receiver. Now, we
need to estimate other subsequences in (6.15) at the receiver.
From the denitions of (6.3), (6.7), (6.5), and (6.10), we have
s
C
2
= (flip(s
F
1
))

,
s
F
2
= (flip(s
C
1
))

. (6.16)
75
Dene their corresponding received sequences in the time domain as
y
C
i

= [y
2k
i
(m), 2
cp
+ 1 m 2
cp
+ ] =
_

2
s
C
1
h
k
i,1
+
_

2
s
C
2
h
k
i,2
+w
C
i
,
y
F
i

= [y
2k+1
i
(m), N
cp
m N
cp
+ 1]
=
_

2
s
F
1
h
k
i,1
+
_

2
s
F
2
h
k
i,2
+w
F
i
. (6.17)
Substituting (6.3), (6.7), (6.5), and (6.10) into (6.17), for 2
cp
+ 1 m 2
cp
+ ,
we obtain
_
_
_
y
2k
i
(m) =
_

2
h
k
i,1
s
k
1
(m) +
_

2
h
k
i,2
s
k
2
(m) + w
2k
i
(m),
y
2k+1
i
(N + m) =
_

2
h
k
i,1
(s
k
2
(m))

+
_

2
h
k
i,2
(s
k
1
(m))

+ w
2k+1
i
(N + m).
(6.18)
At the receiver, we have the time domain received signal y
2k
i
(m) for any i, k, and m.
Thus, for 2
cp
+ 1 m 2
cp
+ ,
_

_
s
k
1
(m) =
h
k
i,2
(y
2k+1
i
(N+m))

+(h
k
i,1
)

y
2k
i
(m)

2
(|h
k
i,1
|
2
+|h
k
i,2
|
2
)
,
s
k
2
(m) =
(h
k
i,2
)

y
2k
i
(m)h
k
i,1
(y
2k+1
i
(N+m))

2
(|h
k
i,1
|
2
+|h
k
i,2
|
2
)
.
(6.19)
and an estimation s
F
1
of sequence s
F
1
is then
s
F
1
= (( s
k
2
(
cp
))

, ( s
k
2
(
cp
1))

, , ( s
k
2
(
cp
+ 2))

, ( s
k
2
(
cp
+ 1))

).
(6.20)
Note that the sequence s
D
1
in CP is the repetition of the sequence s
F
1
in the second
OFDM symbol period as shown in Fig. 6.1. So s
D
1
, an estimation of the subsequence
s
D
1
, can be set to equal to s
F
1
.
We also denote the partial received sequence in CP as
y
D
i

=
_

2
s
D
1
h
k
i,1
+
_

2
s
D
2
h
k
i,2
+w
D
i
. (6.21)
Thus,
s
D
2
=
_
2

y
D
i
s
D
1
h
k
i,1
h
k
i,2
, (6.22)
76
which gives an estimate of sequence s
D
2
in the time domain.
In the second OFDM period, we denote y
E
i
as the received time domain
sequence that includes the rst 1 samples that are suered by the interference:
y
E
i

= [y
2k+1
i
(m), 1 m 1] =
_

2
s
E
1
h
k
i,1
+
_

2
s
E
2
h
k
i,2
+w
E
i
. (6.23)
Interestingly, the elements of sequence s
E
1
are the negative conjugate of the elements
in sequence s
E
2
in the reversed order, i.e. s
E
1
= (flip(s
E
2
))

. Substituting (6.4)
and (6.9) into (6.23), we obtain, for 1 m

2
|,
_
_
_
y
2k+1
i
(m) =
_

2
h
k
i,1
(s
k
2
(N m))

+
_

2
h
k
i,2
s
k
2
(N + m) + w
2k+1
i
(m),
y
2k+1
i
(m) =
_

2
h
k
i,1
(s
k
2
(N + m))

+
_

2
h
k
i,2
s
k
2
(N m) + w
2k+1
i
(m).
(6.24)
Thus, for 1 m

2
|, we have
_

_
s
k
2
(N m) =
(h
k
i,2
)

y
2k+1
i
(m)+h
k
i,1
(y
2k+1
i
(m))

2
(|h
k
i,2
|
2
|h
k
i,1
|
2
)
,
s
k
2
(N + m) =
h
k
i,1
(y
2k+1
i
(m))

+(h
k
i,2
)

y
2k+1
i
(m)

2
(|h
k
i,2
|
2
|h
k
i,1
|
2
)
.
(6.25)
An estimation of s
E
2
is then
s
E
2
=
_
s
k
2
(N + 1), , s
k
2
(N 2), s
k
2
(N 1)
_
. (6.26)
Due to CP we know that sequences s
B
2
and s
E
2
are the same as shown in
Fig. 6.1. So s
E
2
is also an estimation of s
B
2
. Dene received sequence as
y
B
i

= [y
2k
i
(m),
cp
+ 1 m 1] =
_

2
s
B
1
h
k
i,1
+
_

2
s
B
2
h
k
i,2
+w
B
i
.(6.27)
Then sequence s
B
1
can be estimated as follows:
s
B
1
=
_
2

y
B
i
s
E
2
h
k
i,2
h
k
i,1
. (6.28)
Note that sequence s
B
1
is the conjugate of s
G
2
in reversed order, i.e., s
G
2
= (flip(s
B
1
))

.
If we take conjugate on s
B
1
and reverse the sequence, we get an estimate s
G
2
of se-
quence s
G
2
.
77
By far, we have estimated all the subsequences in the interferences. However
there are several individual samples in the interferences that have not been estimated
yet such as s
2
and s
2
. In order to estimate those time domain samples, we dene
four received signals as
y

= y
2k
i
(
cp
) =
_

2
s
1
h
k
i,1
+
_

2
s
2
h
k
i,2
+ w
2k
i
(
cp
)
=
_

2
h
k
i,1
s
k
1
(
cp
) +
_

2
h
k
i,2
s
k
2
(N ) + w
2k
i
(
cp
),
y

= y
2k
i
() =
_

2
s
1
h
k
i,1
+
_

2
s
2
h
k
i,2
+ w
2k
i
()
=
_

2
h
k
i,1
s
k
1
() +
_

2
h
k
i,2
s
k
2
(0) + w
2k
i
(),
y

= y
2k+1
i
(0) =
_

2
s
1
h
k
i,1
+
_

2
s
2
h
k
i,2
+ w
2k+1
i
(0)
=
_

2
h
k
i,1
(s
k
2
(0))

+
_

2
h
k
i,2
s
k
2
(N ) + w
2k+1
i
(0),
y

= y
2k+1
i
() =
_

2
s
1
h
k
i,1
+
_

2
s
2
h
k
i,2
+ w
2k+1
i
()
=
_

2
h
k
i,1
(s
k
2
(N ))

+
_

2
h
k
i,2
(s
k
1
(
cp
))

+ w
2k+1
i
(). (6.29)
By solving (6.29), we can estimate s
k
2
(0), s
k
2
(N ) and s
k
1
() as
s
k
2
(N ) =
(h
k
i,2
)

y
2k
i
(
cp
) h
k
i,1
(y
2k+1
i
())

2
([h
k
i,1
[
2
+[h
k
i,2
[
2
)
,
s
k
2
(0) =
_

2
(h
k
i,2
)

( s
k
2
(N ))

(y
2k+1
i
(0))

2
(h
k
i,1
)

,
s
k
1
() =
y
2k
i
()
_

2
h
k
i,2
s
k
2
(0)
_

2
h
k
i,1
. (6.30)
Then s
2
= s
k
2
(N ) and s
2
= ( s
k
1
())

.
6.1.3 Interference Cancellation
In the time domain, during the rst OFDM symbol period, only the rst
samples are interfered. We denote y
A
i
as the received time domain sequence that
78
includes the rst samples suered from the interference:
y
A
i

= [y
2k
i
(m), 0 m 1] =
_

2
s
A
1
h
k
i,1
+
_

2
s
A
2
h
k
i,2
+w
A
i
=
_

2
s
A
1
h
k
i,1
+
_

2
s
D
2
h
k
i,2
+
_

2
(s
A
2
s
D
2
)h
k
i,2
+w
A
i
. (6.31)
As in (6.15), s
A
2
s
D
2
is the total interference. We can mitigate this interference by
subtracting s
A
2
s
D
2
and a new received sequence after the interference cancellation
is
y
A
i

= [ y
2k
i
(m), 0 m 1] = y
A
i

_

2
(s
A
2
s
D
2
)h
k
i,2
. (6.32)
For the second OFDM symbol period in a coded OFDM block, [s

i
, s
E
2
]
[s

i
, s
G
2
] is the time domain interference. Received sequence [y

i
, y
E
i
] consists of the
rst received samples, which are suered from the interference [s

i
, s
E
2
] [s

i
, s
G
2
],
in the second OFDM period. So we mitigate the interference as
y

= y
2k+1
i
(0) = y

i

_

2
( s
2
s
2
)h
k
i,2
. (6.33)
Then,
y
E
i

= [ y
2k+1
i
(m), 1 m 1] = y
E
i

_

2
(s
E
2
s
G
2
)h
k
i,2
. (6.34)
After the above interference cancellation process, we have two new received
signal sequences y
2k
i
= [ y
2k
i
(m), 0 m N 1] and y
2k+1
i
= [ y
2k+1
i
(m), 0 m
N 1], where
y
2k
i
(m) =
_
_
_
y
2k
i
(m), 0 m 1
y
2k
i
(m), m N 1,
(6.35)
and
y
2k+1
i
(m) =
_
_
_
y
2k+1
i
(m), 0 m 1
y
2k+1
i
(m), m N 1.
(6.36)
79
T
cp
s1
T
1
A
2
A
1
H
2
H
1
B
2
B
1
C
2
C
1
D
2
D
1
I
2
I
1
E
2
E
1
F
2
F
2
G
2
J
T
cp
s2
T
1
s
E 1
s
D
2
s
D 2
s
E
1
s
J
2
s
J
1
s
T
2
s
T
2
s
P
CP CP
CP CP
2
1
k
c
2 1
1
k
c
2
2
k
c
2 1
2
k
c
W
Figure 6.2: Received sequences in time domain N
cp
1 > 2
cp
.
After the DFT, the new time domain received sequences are transferred into the
frequency domain signals and then the common Alamouti coded OFDM signal de-
tection can be applied. In Chapter 6.4, our simulation will show that signicant per-
formance improvement with our interference cancellation method can be achieved.
As a remark, one can see that in the above interference sequence estimation,
one needs to divide the channel coecients h
k
i,j
that may have small values at the
receiver. Since these channel coecients are assumed known at the receiver, in prac-
tice one may implement the above interference sequence estimation and interference
cancellation only when the channel coecients are not too small, i.e., one may set
a threshold, as what we shall do in our simulations later.
6.2 Interference cancellation when N
cp
1 > 2
cp
In Chapter 6.1, we considered the case when delay satises condition of

cp
< 2
cp
. In this chapter, we consider the case when N
cp
1 > 2
cp
. If
> 2
cp
, the interference sequence is longer than CP sequence. Although the basic
idea is the same, some subsequences that we estimate in the previous chapter need to
be estimated in a dierent way and the derivation is little more complicated. Fig. 6.2
shows the time domain sequences from both relay nodes, when N
cp
1 > 2
cp
.
When the delay is longer, more samples fall into next OFDM period and become
interference.
From Fig. 6.2, [A
2
, s
2
, H
2
] is the interference from the last Alamouti coded
OFDM block. We assume that its estimation is obtained by decoding the previous
80
Alamouti coded OFDM block. The way that we estimate D
2
, E
2
, and G
2
is the
same as Chapter 6.1 except that they are longer now.
We next discuss how to estimate two new interference segments I
2
and J
2
shown in Fig. 6.2. The segments I
1
and I
2
consist of the same information about
transmitted signals. The dierence between I
1
and I
2
is that I
2
is the reverse of
I
1
and each element in I
1
is the negative conjugate of an element in I
2
. From this
time domain property, we can solve I
2
from the received signals. Because J
2
has the
same samples as H
1
in the reversed order and conjugate, so instead of estimating J
2
directly, we estimate H
1
rst. We already assume that we have an estimation of H
2
.
The sequence H
1
can be estimated by subtracting estimation of H
2
from received
signals. Then an estimation of J
2
is easy to obtain by reversing the estimation of
H
1
in its conjugate. Similar to Chapter 6.1, we rst dene several segments and
samples in the time domain. All segments are shown/located in Fig. 6.2 by capital
letters that are dened in (6.37)-(6.46) next.
6.2.1 Transmitted Sequences and Interference Sequences
Besides the subsequences similar to the subsequences dened in Chapter 6.1,
we will also dene some new segments such as H
1
, I
1
, and J
1
shown in Fig. 6.2.
Some subsequences in transmit signal sequences from the rst relay are
s
A
1
= [c
2k
1
(m), 0 m
cp
1] = [s
k
1
(m), 0 m
cp
1], (6.37)
which is the subsequence that consists of the rst
cp
samples in the rst OFDM
symbol period. And
s
H
1
= [c
2k
1
(m),
cp
+ 1 m 1]
= [s
k
1
(
cp
+ m), 1 m
cp
1], (6.38)
81
which is the subsequence that includes
cp
1 samples from the
cp
+ 2th to
th positions in the rst OFDM symbol period. And
s
B
1
= [c
2k
1
(m), m 1] = [s
k
1
( + m), 0 m
cp
1], (6.39)
which is the subsequence that includes
cp
samples from the +1th to th positions
in the rst OFDM symbol period. And
s
C
1
= [c
2k
1
(m), + 1 m +
cp
]
= [s
k
1
( + 1 + m), 0 m
cp
1], (6.40)
which is the subsequence that includes
cp
samples from the +2th to +
cp
+1th
positions in the rst OFDM symbol period. And
s
I
1
= [c
2k+1
1
(m), 1 m
cp
1]
= [(s
k
2
(N m))

, 1 m
cp
1], (6.41)
which is the subsequence that includes
cp
1 samples from the second to

cp
th positions in the second OFDM symbol period. And
s
E
1
= [c
2k+1
1
(m),
cp
m 1]
= [(s
k
2
(N +
cp
m))

, 0 m
cp
1], (6.42)
which is the subsequence that includes
cp
samples from the
cp
+ 1th to th
positions in the second OFDM symbol period. And
s
F
1
= [c
2k+1
1
(m), N
cp
m N 1]
= [(s
k
2
(
cp
m))

, 0 m
cp
1], (6.43)
which is the subsequence that consists of the last
cp
samples in the second OFDM
symbol period.
Some subsequences in transmit signal sequences from the second relay are
s
A
2
= [c
2k1
2
(m), N m N +
cp
1], (6.44)
82
and
s
H
2
= [c
2k1
2
(m), N +
cp
+ 1 m N 1], (6.45)
which are interference subsequences from the previous Alamouti coded OFDM block.
And
s
C
2
= [c
2k
2
(m), 1 m
cp
] = [s
k
2
(1 + m), 0 m
cp
1], (6.46)
which is the subsequence that includes the
cp
samples from the second to
cp
+1th
positions in the rst OFDM symbol period. And
s
D
2
= [c
2k
2
(m), N m N 1]
= [s
k
2
(N + m), 0 m
cp
1], (6.47)
which is the subsequence that includes the
cp
samples from the N + 1th to
N th positions in the rst OFDM symbol period. And
s
I
2
= [c
2k
2
(m), N + 1 m N
cp
1]
= [s
k
2
(N + m), 1 m
cp
1], (6.48)
which is the subsequence that includes the
cp
1 samples from the N+2th
to the N
cp
th positions in the rst OFDM symbol period. And
s
E
2
= [c
2k
2
(m), N
cp
m N 1]
= [s
k
2
(N
cp
+ m), 0 m
cp
1], (6.49)
which is the subsequence that includes the last
cp
samples in the rst OFDM symbol
period. And
s
F
2
= [c
2k+1
2
(m), N
cp
m N 1]
= [(s
k
1
(
cp
+ m))

, 0 m
cp
1], (6.50)
83
which is the subsequence that includes the
cp
samples from the N
cp
+ 1th
to the N th positions in the second OFDM symbol period. And
s
G
2
= [c
2k+1
2
(m), N + 1 m N ]
= [(s
k
1
( 1 m))

, 0 m
cp
1], (6.51)
which is the subsequence that includes the
cp
samples from the N +2th to the
N + 1th positions in the second OFDM symbol period. And
s
J
2
= [c
2k+1
2
(m), N + 1 m N
cp
1]
= [(s
k
1
(m))

, 1 m
cp
1], (6.52)
which is the subsequence that includes the
cp
1 samples from the N+2th
to the N
cp
th positions in the second OFDM symbol period.
Two CP sequences are
s
D
1
= [(s
k
2
(
cp
m))

, 0 m
cp
1], (6.53)
which is the second CP sequence of an Alamouti coded block from the rst relay
node. And
s
B
2
= [s
k
2
(N
cp
+ m), 0 m
cp
1], (6.54)
which is the rst CP sequence of an Alamouti coded block from the second relay
node.
Except s
2
, the other individual samples are dened exactly the same as those
dened in Chapter 6.1. We only give a denition for s
2
as s
2
= c
2k1
2
(N+
cp
),
which is a time domain sample between s
A
2
and s
H
2
.
Then interference sequences are
d
2k
= [d
2k
(m), 0 m 1] = [s
A
2
, s
2
, s
H
2
] [s
D
2
, s
2
, s
I
2
],
d
2k+1
= [d
2k+1
(m), 0 m 1] = [s
2
, s
I
2
, s
E
2
] [s
2
, s
G
2
, s
J
2
]. (6.55)
84
The main idea in our interference cancellation method is still to estimate the
interference subsequences in (6.55). In next chapter, we show how to estimate all
subsequences in (6.55) in the time domain.
6.2.2 Estimation of Interference Sequences
In this chapter, we estimate time domain interference sequences in (6.55).
From Fig. 6.2 and as what we have dened, [s
A
2
, s
2
, s
H
2
] is the interference from
the last Alamouti coded OFDM block. We assume that its estimation [s
A
2
, s
2
, s
H
2
]
is obtained by decoding the previous Alamouti coded OFDM block. The interference
sequences s
D
2
, s
E
2
, and s
G
2
are estimated the same as Chapter 6.1. We will mainly
describe how we estimate the new interference sequences s
I
2
and s
J
2
in this chapter.
Although s
F
1
does not appear in (6.55) and does not cause interferences,
it helps us to estimate other subsequences that may cause interferences. So we
estimate this subsequence rst. Similar to Chapter 6.1, we dene the following
received signals
y
C
i

= [y
2k
i
(m), + 1 m +
cp
] =
_

2
s
C
1
h
k
i,1
+
_

2
s
C
2
h
k
i,2
+w
C
i
y
F
i

= [y
2k+1
i
(m), N
cp
m N 1]
=
_

2
s
F
1
h
k
i,1
+
_

2
s
F
2
h
k
i,2
+w
F
i
(6.56)
Using (6.43) and (6.50), (6.56) can be expanded to systems of equations (6.18) for
+1 m +
cp
. By solving (6.18), for +1 m +
cp
, we can have estimated
samples s
k
1
(m) and s
k
2
(m) as (6.19), and a sequence s
F
1
as an estimation of s
F
1
is
s
F
1
= [( s
k
2
(
cp
m))

, 0 m
cp
1]. (6.57)
Since CP sequence s
D
1
is exactly the repetition of s
F
1
, s
F
1
is also an estimation for
s
D
1
.
85
We denote the received sequence during the CP period as
y
D
i

=
_

2
s
D
1
h
k
i,1
+
_

2
s
D
2
h
k
i,2
+w
D
i
. (6.58)
From (6.58), if we have s
F
1
as estimation of s
D
1
, the sequence s
D
2
can be estimated
by subtracting s
F
1
from the received signals as
s
D
2
=
_
2

y
D
i
s
F
1
h
k
i,1
h
k
i,2
. (6.59)
Next, we estimate two important subsequences s
I
2
and s
E
2
. At the receiver,
corresponding received sequence is
y
IE
i

= [y
2k+1
i
(m), 1 m 1]
=
_

2
[s
I
1
, s
E
1
]h
k
i,1
+
_

2
[s
I
2
, s
E
2
]h
k
i,2
+w
IE
i
. (6.60)
Using (6.53), (6.49), (6.41), and (6.48), equation (6.60) can be expanded to systems
of equations (6.24) for 1 m

2
|. By solving these equations, we can get
estimations s
k
2
(N m) and s
k
2
(N + m) for s
k
2
(N m) and s
k
2
(N + m),
respectively, as (6.25) for 1 m

2
|. Thus, an estimation of s
I
2
is
s
I
2
= [ s
k
2
(m), N + 1 m N
cp
1]. (6.61)
and an estimation of s
E
2
is
s
E
2
= [ s
k
2
(m), N
cp
m N 1]. (6.62)
Since s
B
2
is the exact repetition of s
E
2
, we can use s
E
2
as an estimation of s
B
2
. Its
corresponding received signal sequence y
B
i
is
y
B
i

= [y
2k
i
(m), m 1] =
_

2
s
B
1
h
k
i,1
+
_

2
s
B
2
h
k
i,2
+w
B
i
. (6.63)
From (6.63), if we have s
E
2
as estimation of s
B
2
, sequence s
B
1
can be estimated by
subtracting s
E
2
from the above received signals as
s
B
1
=
_
2

y
B
i
s
E
2
h
k
i,2
h
k
i,1
. (6.64)
86
Since s
G
2
has the same samples as s
B
1
but in the reversed order and conjugated, we
can obtain an estimation of s
G
2
as
s
G
2
= (flip(s
B
1
))

. (6.65)
We next want to estimate s
J
2
. Since s
J
2
has the same samples as s
H
1
but
in the reversed order and conjugated, instead of estimating s
J
1
directly, we may
estimate s
H
1
rst. The corresponding received signal sequence y
H
i
is
y
H
i

= [y
2k
i
(m),
cp
+ 1 m 1] =
=
_

2
s
H
1
h
k
i,1
+
_

2
s
H
2
h
k
i,2
+w
H
i
. (6.66)
We have already assumed that we have s
H
2
as an estimation of s
H
2
from the previous
decoded Alamouti coded OFDM block in the beginning of this subsection. Thus,
sequence s
H
1
can be estimated by subtracting s
H
2
from the above received signals
as
s
H
1
=
_
2

y
H
i
s
H
2
h
k
i,2
h
k
i,1
. (6.67)
Then, we get an estimation of s
J
2
as
s
J
2
= (flip(s
H
1
))

. (6.68)
Note that individual symbols s
2
, s
2
, and s
2
are also interferences in (6.55).
Note that we already have s
2
, an estimate from the previous decoded Alamouti
coded OFDM block. We next use the received signals dened in (6.29) to estimate
the two individual time domain samples. Sample s
1
can be estimated by subtracting
s
2
from the received signals as
s
1
=
_
2

i
s
2
h
k
i,2
h
k
i,1
. (6.69)
From its denition, s
2
is the conjugate of s
1
and thus s
2
= ( s
1
)

.
87
Sample s
1
can be estimated by subtracting s
2
from the received signals as
s
1
=
_
2

i
s
2
h
k
i,2
h
k
i,1
. (6.70)
Similarly, we have an estimation of s
2
that is equal to the negative conjugate of
s
1
, i.e., s
2
= ( s
1
)

, and can estimate s


1
as
s
1
=
_
2

i
s
2
h
k
i,2
h
k
i,1
. (6.71)
Also, we have an estimation of s
2
that is equal to the negative conjugate of s
1
,
i.e., s
2
= ( s
1
)

, and can estimate s


1
as
s
1
=
_
2

i
s
2
h
k
i,2
h
k
i,1
. (6.72)
Finally, s
2
is equal to the conjugate of s
1
, i.e., s
2
= ( s
1
)

.
6.2.3 Interference Cancellation
For the rst OFDM symbol period, interfered received signals are
y
A
i

= [y
2k
i
(m), 0 m
cp
1] =
_

2
s
A
1
h
k
i,1
+
_

2
s
A
2
h
k
i,2
+w
A
i
=
_

2
s
A
1
h
k
i,1
+
_

2
s
D
2
h
k
i,2
+
_

2
(s
A
2
s
D
2
)h
k
i,2
+w
A
i
. (6.73)
and
y
H
i

= [y
2k
i
(m),
cp
+ 1 m 1] =
_

2
s
H
1
h
k
i,1
+
_

2
s
H
2
h
k
i,2
+w
H
i
=
_

2
s
H
1
h
k
i,1
+
_

2
s
I
2
h
k
i,2
+
_

2
(s
H
2
s
I
2
)h
k
i,2
+w
H
i
. (6.74)
The new received sequences after the interference cancellation are
y
A
i

= [ y
2k
i
(m), 0 m
cp
1] = y
A
i

_

2
(s
A
2
s
D
2
)h
k
i,2
, (6.75)
88
and
y
H
i

= [ y
2k
i
(m),
cp
+ 1 m 1] = y
H
i

_

2
(s
H
2
s
I
2
)h
k
i,2
, (6.76)
and
y

= y
2k
i
(
cp
) = y

i

_

2
( s
2
s
2
)h
k
i,2
. (6.77)
From (6.55), [s
2
, s
I
2
, s
E
2
] [s
2
, s
G
2
, s
J
2
] is the time domain interference for
the second OFDM symbol period in an Alamouti coded OFDM block. Received
sequence [y

i
, y
IE
i
] consists of the rst received samples, which are suered from
the interference [s
2
, s
I
2
, s
E
2
] [s
2
, s
G
2
, s
J
2
], in the second OFDM period. The new
received time domain sequences after the interference cancellation are
y
IE
i

= [ y
2k+1
i
(m), 1 m 1]
= y
IE
i

_

2
([s
I
2
, s
E
2
] [s
G
2
, s
J
2
])h
k
i,2
, (6.78)
and
y

= y
2k+1
i
(0) = y

i

_

2
( s
2
s
2
)h
k
i,2
. (6.79)
Therefore, after the above interference cancellation process we have two new
received sequences y
2k
i
= [ y
2k
i
(m), 0 m N 1] and y
2k+1
i
= [ y
2k+1
i
(m), 0 m
N 1], where
y
2k
i
(m) =
_
_
_
y
2k
i
(m), 0 m 1
y
2k
i
(m), m N 1,
(6.80)
and
y
2k+1
i
(m) =
_
_
_
y
2k+1
i
(m), 0 m 1
y
2k+1
i
(m), m N 1.
(6.81)
After the DFT, the new time domain received sequences are transferred into the
frequency domain sequences and then the common Alamouti coded OFDM signal
detection can be applied as before.
89
T
cp
s1
T
1
A
2
A
1
H
2
H
1
B
2
B
1
C
2
C
1
D
2
D
1
I
2
I
1
E
2
E
1
F
2
F
2
G
2
J
T
cp
s2
T
1
s
E 1
s
D
2
s
D 2
s
E
1
s
J
2
s
J
1
s
T
2
s
T
2
s
P
CP CP
CP CP
2
1
k
c
2 1
1
k
c
2
2
k
c
2 1
2
k
c
W
1
K
2
K
Figure 6.3: Received sequences in time domain N 1 > N
cp
1.
6.3 Interference cancellation when N 1 > N
cp
1
In this chapter, we consider the case when N
cp
1 < N1. The idea
is similar to before. All the subsequences and individual samples dened in Chapter
6.2 are the same in this chapter, except s
C
1
, s
C
2
, s
F
1
, and s
F
2
. Because the delay is
too long, those sequences are cut o. The interference sequences dened in (6.55)
are also the same in this chapter. So we still need to estimate the subsequences in
(6.55) to cancel the interferences. We estimate subsequences s
I
2
, s
E
2
, s
G
2
, and s
J
2
in the exact same way as Chapter 6.2. Also all the individual samples dened in
Chapter 6.1 and Chapter 6.2 are estimated as Chapter 6.2. The only dierence is
to estimate subsequence s
D
2
. We next mainly discuss how to estimate s
D
2
when
N 1 > N
cp
1.
In order to calculate s
D
2
, we need to dene two new sequences. One is
s
K
1
= [c
2k+1
2
(m), + 1 m ] = [(s
k
2
(N m))

, 1 m
cp
], (6.82)
which is the subsequence that includes
cp
samples from the + 2th to + 1th
positions in the second OFDM symbol period. The other is
s
K
2
= [(s
k
1
(
cp
m))

, 1 m
cp
], (6.83)
which is a sequence that includes samples from the second to the last positions in
the second CP period and the rst data sample in the second OFDM symbol period.
Both sequence locations are shown in Fig. 6.3.
90
Firstly, we have an estimate s
A
2
of s
A
2
from the decision of the previous
Alamouti coded OFDM block. From (6.73), one can see that y
A
i
is a superposition
of the time domain signals s
A
1
and s
A
2
. Thus, we have
s
A
1
=
_
2

y
A
i
s
A
2
h
k
i,2
h
k
i,1
. (6.84)
From (6.37) and (6.83), we have
s
K
2
= (flip(s
A
1
))

.
Considering the received the signal sequence
y
K
i

= [y
2k+1
i
(m), + 1 m ] =
_

2
s
K
1
h
k
i,1
+
_

2
s
K
2
h
k
i,2
+w
K
i
, (6.85)
we have
s
K
1
=
_
2

y
K
i
s
K
2
h
k
i,2
h
k
i,1
. (6.86)
From (6.47) and (6.82), we have
s
D
2
= (flip(s
K
1
))

,
and thus, we have an estimate s
D
2
as
s
D
2
= (flip(s
K
1
))

. (6.87)
The remaining parts are the same as previous chapters.
6.4 Simulation
In this chapter, we present some numerical simulations to show the per-
formance of our proposed interference cancellation algorithm for Alamouti coded
cooperative OFDM systems. In the following simulations, two relay at fading
Rayleigh channel is used. An OFDM with N = 64 subcarriers and
cp
= 16 CP are
used. In our simulations, the signal constellation o is 4QAM and the throughput
91
is 2 bits/s/Hz. As we mentioned before, the channel coecient values aect the
performance of our interference cancellation algorithm. Small value of channel co-
ecients causes inaccurate interference estimation and performance loss. In order
to avoid this problem, in our simulations, we set up thresholds as T
h
= 0.1 and
T
h
= 0.1. Only when ([h
k
i,1
[
2
[h
k
i,2
[
2
) > T
h
, we use the interference sequence
estimation (6.25) where dividing ([h
k
i,1
[
2
[h
k
i,2
[
2
) is needed. Otherwise, we do not
implement the interference cancellation. Only when [h
k
i,1
[ > T
h
, we do the interfer-
ence sequence estimation such as (6.28) and (6.64) where dividing h
k
i,1
is needed,
and only when [h
k
i,2
[ > T
h
, we do the interference sequence estimation such as (6.22)
and (6.59) where dividing h
k
i,2
is needed. Otherwise no interference cancellation is
implemented.
In Fig. 6.4-6.6, we compare the decoding performances between the decodings
with interference cancellation and without interference cancellation under dierent
lengths of delays for all three cases we discussed in Chapters 6.1-6.3. The dashed
lines are for the decoding without considering the interference cancellation, and the
solid lines are for the decoding with our newly developed interference cancellation
algorithm, and dotted line is for the decoding without interference when
cp
.
We simulate two dierent length delays for each case. As one can see, at a high
SNR, for all dierent delay cases, our interference cancellation algorithm always
helps the decoding to achieve better performance than the decoding algorithm does
without cancelling the interference. Because the interference increases linearly with
transmit signal power, the decoding without interference cancellation has an error
oor. Increasing SNR does not help the decoding performance. However, our inter-
ference cancellation algorithm can eciently mitigate the interference. Especially
at high SNR and when the timing errors are not too large, the estimation of the
interference in the time domain is more accurate and therefore more interference is
cancelled from the received signals at the receiver. Hence, at a reasonably high SNR,
92
6 8 10 12 14 16 18 20 22 24 26
10
5
10
4
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
Decoding without interference cancellation(=24,l
cp
=16)
Decoding with interference cancellation(=24,l
cp
=16)
Decoding without interference cancellation(=21,l
cp
=16)
Decoding with interference cancellation(=21,l
cp
=16)
No interference ( l
cp
)
Figure 6.4: Performance comparison when
cp
< 2
cp
.
our interference cancellation helps the decoding to avoid the error oor and achieve
a signicantly better improvement. The performance gap between the decodings
without interference cancellation and the decoding with interference cancellation
becomes more signicant. When the timing errors are too large, although our pro-
posed interference cancellation algorithm can still improve the performance, error
oor may exist, which can be seen from Fig. 6.6. At a low SNR, the interference
estimation may not be accurate and the interference cancellation may not work well.
Decoding performance after the interference cancellation may be even slightly worse
than the direct decoding without any interference cancellation.
93
0 5 10 15 20 25 30
10
3
10
2
10
1
10
0
SNR(dB)
B
E
R
Decoding without interference cancellation(=36,l
cp
=16)
Decoding with interference cancellation(=36,l
cp
=16)
Decoding without interference cancellation(=40,l
cp
=16)
Decoding with interference cancellation(=40,l
cp
=16)
Figure 6.5: Performance comparison when N
cp
1 > 2
cp
.
94
0 5 10 15 20 25 30
10
2
10
1
10
0
SNR(dB)
B
E
R
Decoding without interference cancellation(=50,l
cp
=16)
Decoding with interference cancellation(=50,l
cp
=16)
Decoding without interference cancellation(=54,l
cp
=16)
Decoding with interference cancellation(=54,l
cp
=16)
Figure 6.6: Performance comparison when N 1 > N
cp
1.
95
Chapter 7
CONCLUSIONS AND FUTURE WORK
7.1 Conclusions and Contributions
Research has been carried out in two aspects of wireless communications
systems. Space-time/frequency coded MIMO-OFDM systems and space-time coded
cooperative OFDM systems are well studied. The contributions that have been
made in this dissertation and the conclusions drawn from these contributions can
be summarized as follows:
Linearly transformed QOSTFBC to achieve both full spatial and full multipath
diversities
We generalize the STFC proposed in [8] from OSTBC to QOSTBC that
possesses higher rate than the OSTBC for more than two transmit antennas. Similar
to the OSTFBC from the OSTBC code, Alamouti code, QOSTFBC can be obtained
by repeating QOSTBC code [15]-[17] across frequency subcarriers [30, 31]. The
repetition of QOSTFBC in the frequency domain can exploit the multipath diversity
in MIMO-OFDM systems.
Compared to OSTFBC, due to the lack of the orthogonality, there are two
shortcomings of the above QOSTFBC. The rst shortcoming is that the rank/diversity
order of the above QOSTFBC is only
M
t
2
M
r
L. The second shortcoming is that, if
(2.21) is plugged into the ML decoding objective function (2.14), at the receiver,
when the noise is AWGN, the ML decoding becomes symbol-pair-wise decoding due
to the cross terms of S
i
and S
i+2
in (2.23) in the objective functions.
96
In order to achieve full spatial diversity and fast decoding, we show that
linearly transformation method for single subcarrier QOSTBC is also applied to
QOSTFBC with multiple subcarriers. The linearly transformed QOSTFBC devel-
oped in this work achieves both full spatial and full multipath diversities, and also
have the fast ML decodings. Simulations for these schemes for MIMO-OFDM sys-
tems with and without clipping have been presented to illustrate the theory.
PAPR Reduction for Repetition Space-Time-Frequency Coded MIMO-OFDM
Systems Using Chu Sequences
For MIMO-OFDM systems, various space-time/frequency codes have been devel-
oped to achieve both spatial and multipath diversities by coding across subcarriers
and multiple antennas and/or across OFDM symbols over the time, see, for exam-
ple, [1]-[8]. One of the important methods to achieve the full multipath diversity is
repeating across the subcarriers obtained by Su et al in [3]. However, most of the
existing space-time/frequency codes to achieve the spatial and multipath diversities
do not have fast ML decoding. Recently, a family of space-time-frequency codes
have been proposed in [8] to achieve the full spatial and multipath diversities for
MIMO-OFDM systems and in the meantime they have the fast single-symbol ML
decoding by using OSTBC, see for example, [9]-[14], across multiple antennas and
OFDM symbols, and also repeating across subcarriers.
Although the repetition across subcarriers can achieve the multipath diver-
sity, it causes high PAPR. The main goal of our research is to modify the repeating
process and adjust their phases so that the PAPR of the OFDM system is reduced,
and in the meantime the full spatial and multipath diversities and the fast ML de-
coding are still maintained. In particular, we propose to use Chu sequences [38, 39]
for the phase adjustments and show that the discrete PAPR can be reduced by
times for any SFC from the repeating, where is the times of the repeating across
subcarriers. Also, a new repetition method has been introduced so that the PAPR
97
part caused by the repetition is reduced to 0 dB after the phase adjustments using
Chu sequences.
Single-Symbol ML Decoding for Orthogonal and Quasi-Orthogonal STFBC in
Clipped MIMO-OFDM Systems Using A Clipping Noise Model with Gaussian
Approximation
An important issue for OFDM systems is their high PAPR and it is important
to reduce the PAPR in a practical (power ecient) system. One of the most ecient
ways to reduce the PAPR is clipping [34] that, however, induces clipping noise and
the induced clipping noise in an MIMO-OFDM system may not be white and thus
the fast ML decoding for an OSTBC or QOSTBC coded system may not hold.
When the additive noise is not white, ML decoding for spatially colored noised [26]
needs to be considered.
In this work, we consider clipped MIMO-OFDM systems where OSTFBC
or QOSTFBC is used. By extending the clipping noise model from Bussgangs
theorem used in, for example [35]-[37], we derive a spatially colored noise model for
ML decoding. We have presented the fast (single-symbol) ML decoding algorithms
for OSTFBC and QOSTFBC with or without linear transformations in clipped
MIMO-OFDM systems. Interestingly, the fast ML decoding properties for OSTBC
and rotated QOSTBC [9]-[25] in MIMO-OFDM systems without clipping are still
maintained in clipped MIMO-OFDM systems. It should be emphasized that the
newly developed fast ML decoding for rotated QOSTBC proposed in [18]-[25] for
MIMO channels with white noise still has the single-symbol (or complex symbol-
wise) decoding property in clipped MIMO-OFDM systems.
The simulations presented in this dissertation shows the performance im-
provement by using our newly developed fast ML decoding when the clipping noise
is considered over the one when the clipping noise is not considered.
Decision Aided Clipping Ratio Estimation for STBC Coded MIMO-OFDM
98
Clipping is an ecient way to reduce the PAPR in an OFDM system. However
clipping induces clipping noise. Many clipping noise mitigation methods have been
proposed in the literature. Some of them are based on the DAR and clipping noise
cancellation [27]-[29] and some of them apply statistical clipping noise models to the
ML decoding [30]. All of these methods require the knowledge of the clipping ratio
(CR) at the receiver. However, in some applications, for example in interference
channels, it is may be possible that the CR is not known at the receiver. A clip-
ping ratio estimation method has been proposed for single antenna OFDM systems
in [33]. This clipping ratio estimation method can be applied to pilot-tone-based
OFDM systems only. By calculating the statistics of the clipping noise at the pilot
subcarriers, the CR can be estimated from the statistical clipping noise model given
in [36]-[37].
In this research, we consider clipped MIMO-OFDM systems where OSTBC
and QOSTBC are used at the transmitter and the CR is not known at the re-
ceiver. For MIMO-OFDM systems, through a multiple transmit antenna channel,
the distortion from dierent transmit antennas are added to one received signal.
If we subtract pilot symbols from received signals as [33], we can not get an esti-
mation of the distortion as what can be obtained in [33] for single antenna case,
rather we get an estimate of the combination of the distortions from all transmitted
antennas. Thus, the pilot-tone-based clipping ratio estimation method in [33] is
not applicable to MIMO-OFDM systems. Based on this observation, we develop
a decision-aided clipping ratio estimation for an MIMO-OFDM system. By utiliz-
ing the code structure at the data subcarriers, we can separate clipping distortions
from multiple transmit antennas and calculate the statistics of the clipping noise.
Because we use decoded symbols to estimate the clipping distortion at the receiver,
we call our method decision-aided clipping ratio estimation. The dierence between
our method and the pilot-tone-based CR estimation in [33] is the way how receiver
99
calculates the statistic of the clipping noise. CR estimation and statistical clipping
noise model used for both methods are same. Compared to the pilot-tone-based
CR estimation, our method does not have any restriction to pilot patterns and is
able to use more estimation samples from the data subcarriers than only pilot sub-
carriers. Using the estimated CR by the decision-aided clipping ratio estimation,
any clipping noise mitigation method that requires to know CR, such as [27]-[29] or
clipping noise model based ML decoding can be used to improve the performance
of an clipped OFDM system.
Simulation results have shown that the CR estimation method is eective
and can improve the performance for the clipping noise model based ML decoding.
Although we only discussed the performance for the clipping noise model based ML
decoding and the iterative clipping noise mitigation decoding in Chapter 4, many
other clipping noise mitigation methods that require to know CR also can use our
decision aided CR estimation method to improve their decoding performances.
Time Domain Interference Cancellation for Alamouti Coded Cooperative OFDM
Systems with Insucient CP
It is well-known that space-time coding can be applied in both MIMO and co-
operative systems to achieve spatial diversity [40][43], where multiple transmissions
are received at the receiver. A major dierence between MIMO and cooperative sys-
tems is that unlike an MIMO system, multiple transmissions from relay nodes in a
cooperative system may not be well synchronized and a space-time code achieving
spatial diversity for an MIMO system may not do in a cooperative system. This
issue has been studied lately in for example [48][53]. The idea is to treat paths
from relay nodes to destination node as multipaths and use OFDM transmissions at
relay nodes to combat the time delays, and then uses space-time/frequency coding
to achieve the multipath (cooperative spatial in this case) diversity. For the OFDM
approach, when the time delays from relay nodes are not larger than the CP length,
100
the interferences from the relays due to the time delays do not appear. However,
when the time delays are larger than the CP length, the interferences occur. Note
that, dierent from a conventional point-to-point OFDM system where the time
delay spread is mainly determined by the signal bandwidth and thus the CP length
can be pre-determined, the time delays from relay nodes may vary and depend on
a particular scenario in a cooperative system and thus a pre-determined CP length
always larger than the time delays may not be possible.
In this research, we considered Alamouti coded cooperative OFDM system
with insucient CP that may occur due to the variable (possibly unpredictable) de-
lays from relay nodes. Insucient length CP causes intersymbol/block interferences.
We proposed a time domain interference cancellation algorithm for at fading chan-
nels by fully taking the advantage of the Alamouti code structure in the frequency
domain. Simulation results show that our algorithm is ecient at reasonably high
channel SNR and a signicant decoding performance improvement can be achieved.
7.2 Future Work
The work presented here constitutes only a small portion of what can be
done in this fruitful area. Some of the problems that might be of interest for future
research are as follows:
PAPR reduction encoding
High PAPR is an important issue for OFDM systems. There are many PAPR re-
duction algorithms for single antenna OFDM systems or MIMO-OFDM systems.
We have proposed a PAPR reduction encoding method for the MIMO-OFDM sys-
tems coded by a family of STFBC that repeat STBC across frequency subcarriers.
However, for the STFBC that is not constructed by repeating across subcarriers, the
PAPR reduction method by Chu sequence phase shifting may not be applied. It is
101
very interesting to analyze the property of PAPR for dierent STFBC and develop
corresponding PAPR reduction methods for them.
Clipping noise reconstruction and iterative estimation of clipping noise
In this research, we generalized the clipping noise model from SISO-OFDM systems
to MIMO-OFDM systems and proposed the clipping noise model based ML decoding
for STFBC coded MIMO-OFDM systems. A future consideration is on other clip-
ping noise mitigation methods such as the DAR[27], iterative estimation and cancel-
lation of clipping noise[28]. Those clipping noise mitigation methods were proposed
specially for single antenna OFDM systems. The application of those methods to
MIMO-OFDM systems is an interesting subject for further investigations. Combi-
nation of those clipping noise mitigation methods with space-time-frequency coded
MIMO-OFDM systems may induce some interested properties and issues.
Interference cancellation for cooperative OFDM systems with Insucient CP
under frequency-selective channels
In this research, we develop a time domain interference cancellation for Alamouti
coded cooperative OFDM systems with insucient CP. However, we assume that
channels are at fading. Our derivation and design are based on this assumption.
The interference cancellation algorithm is only applied to the at fading channels.
For frequency-selective channels, each relay path has more than one multipath.
Signals from each path arrive at the receiver with dierent time delay. Unlike to
at fading channel, we can not only consider the delay from dierent relay path,
but also the delay from multipath of frequency-selective channels. So the analysis of
interference caused by time error for frequency-selective channels is dierent to the
analysis for at fading channels and more complicated. How to combat against the
interference caused by time error for frequency-selective channels is very interesting
topic in the future.
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