322 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 62, NO.
2, JANUARY 15, 2014
Time Domain Channel Estimation for OQAM-OFDM Systems: Algorithms and Performance Bounds Dejin Kong, Daiming Qu, and Tao Jiang, Senior Member, IEEE AbstractIn this paper, we rst present a general time domain model for the channel estimation in the orthogonal frequency division multiplexing system with offset quadrature amplitude modulation (OQAM-OFDM), and utilize the frequency domain pilots to estimate the time domain channel impulse responses. Different form the conventional methods, there is no specic requirement for the length of the symbol interval compared to the the maximum channel delay spread in the proposed scheme. Furthermore, with the proposed time domain model, the channel statistic information could be utilized to improve the performance of the channel estimation. Then, we propose two channel estima- tion schemes, i.e., linear minimum mean square error (LMMSE) and weighted least square (WLS), and we also derive their corre- sponding Bayesian Cramr-Rao Bound (BCRB) and Cramr-Rao Bound (CRB) bounds, respectively. Simulation results demon- strate that the BCRB and CRB bounds could be achieved by the proposed LMMSE and WLS methods, respectively. Moreover, simulation results show that the proposed methods are much robust to the time synchronization error compared to the con- ventional frequency domain methods, and imply that the pulse shaping lter with waveforms concentrated in the time domain could be employed in OQAM-OFDM systems to improve the channel estimation performance and spectral efciency. Index TermsChannel estimation, Cramr-Rao Bound, linear minimun mean square error, OQAM-OFDM, time synchroniza- tion error, weighted least square. I. INTRODUCTION R ECENTLY, orthogonal frequency division multiplexing systems with offset quadrature amplitude modulation (OQAM-OFDM) have been attracting increasing attention [1][5]. Compared to the conventional orthogonal frequency division multiplexing (OFDM) systems, OQAM-OFDM sys- tems have higher spectral efciency because they do not require cyclic prex [6]. Moreover, OQAM-OFDMsystems have lower spectral sidelobes due to the use of the pulse shaping lters [7]. Recently, the OQAM-OFDM system has been considered as a Manuscript received July 05, 2013; revised September 27, 2013; accepted October 21, 2013. Date of publication November 08, 2013; date of current ver- sion December 24, 2013. The associate editor coordinating the review of this manuscript and approving it for publication was Prof. Xiqi Gao. This work was supported in part by the National Science Foundation for Distinguished Young Scholar of China by Grant 61325004, the National Science Foundation of China by Grant 61172052, the National & Major Project by Grants 2012ZX03003004 and 2013ZX03003016. The authors are with the Wuhan National Laboratory for Optoelectronics, Department of Electronics and Information Engineering, Huazhong University of Science and Technology, Wuhan, 430074, China (e-mail: Tao.Jiang@ieee. org). Color versions of one or more of the gures in this paper are available online at http://ieeexplore.ieee.org. Digital Object Identier 10.1109/TSP.2013.2290498 promising technique in future wireless communication systems [7][9]. For wireless communication systems, the received signal is distorted due to the multi-path fading channel. Thus, channel estimation has a signicant inuence on the system per- formance. A major difference between the OQAM-OFDM and OFDM systems is that the orthogonality condition of OQAM-OFDM systems only holds in the real eld [1], which causes the intrinsic imaginary interference to real transmitted symbols at the receiver. Thus, the intrinsic imaginary interfer- ence has to be considered for the channel estimation schemes in OQAM-OFDM systems. Recently, many channel estimation schemes have been proposed for OQAM-OFDM systems. In [10], [11], the channel estimation schemes with scattered pilots were investigated. In [12], the authors proposed two channel estimation methods with preamble pilots, i.e., the interference approximation method (IAM) and pairs of pilots (POP) method. Then, the preamble structures with complex pilots were further investigated for the IAMmethod in [13], [14]. Later, an iterative channel estimation method was proposed to support a shorter preamble with only one-column pilots in [15], which reduces the residual inter-symbol interference caused by neighboring symbols. Optimal preambles were studied in [16][18] by minimizing mean squared error (MSE) with a given transmit energy. In [19], the prototype lter was redesigned to improve the performance of channel estimation, at the cost of relaxing the orthogonality constraint. In [20], a review was given to in- troduce the existing preamble structures and associated channel estimation methods for both single-antenna and multiple-an- tenna systems. However, similar to the IAM method, the above channel estimation schemes assumed that the symbol interval is much longer than the maximum channel delay spread. When this condition is not satised, these channel estimation schemes will suffer from severe performance degradations. As another way of research, channel estimation schemes based on the time domain model also have been studied [21], [22], in which the time domain channel impulse responses are estimated by using the frequency domain pilots. The authors in [21] presented a time domain channel estimator based on the multiple signal classication (MUSIC) and least square (LS) algorithm, however, where all pilot symbols transmitted over the even and odd subcarriers are equal, respectively. In [22], a per-subchannel estimator was proposed for the OQAM-OFDM systems, in which the channel impulse responses on each subcarrier are estimated, respectively. For time domain model, it does not require the assumption that the symbol interval is much longer than the maximum channel delay spread, which is an advantage compared to the IAM method. Furthermore, 1053-587X 2013 IEEE KONG et al.: TIME DOMAIN CHANNEL ESTIMATION 323 Fig. 1. The equivalent baseband diagram of an OQAM-OFDM system. the channel statistic information could be utilized to improve channel estimation. Note that, the channel statistic information is usually presented in time domain model, which has been employed to improve the performance of the channel estima- tion for conventional OFDM systems [25]. To the best of our knowledge, although the above work have addressed the time domain channel estimation in some extent, the general time domain model for channel estimation and its related properties have not been studied for the OQAM-OFDM systems. In this paper, we rst present a general time domain model for the channel estimation in OQAM-OFDM systems, in which there is no restriction on the structure of preamble pilots and the time domain channel impulse responses could be directly estimated with the frequency domain pilots. Since the orthog- onality condition of OQAM-OFDM systems only holds in the real eld, the noises on neighboring subcarriers are correlated in general. Considering such correlation, two channel estima- tion schemes, i.e., linear minimummean square error (LMMSE) and weighted least square (WLS), are presented based on the different levels of a priori knowledge for the channel. To eval- uate the proposed LMMSE and WLS methods, we also de- rive the Bayesian Cramr-Rao Bound (BCRB) and Cramr-Rao Bound (CRB) bounds, respectively. Simulation results demon- strate that the BCRB and CRB bounds can be achieved by the proposed LMMSE and WLS methods, respectively. With the proposed channel estimation model and methods, the symbol interval or the number of subcarriers is shorter or less than that of the frequency domain methods for OQAM-OFDM systems. Furthermore, simulation results also show that the proposed methods are more robust to the time synchronization error com- pared to the IAM method. Of course, simulation results also imply that the pulse shaping lter with waveforms concentrated in the time domain could be employed in the OQAM-OFDM systems to improve the channel estimation performance and spectral efciency. The rest of the paper is organized as follows. Channel esti- mation models are introduced for the OQAM-OFDM systems in Section II. Then, two channel estimation methods, i.e., LMMSE and WLS, are proposed, respectively, in Section III. In Section IV, the CRB and BCRB bounds are derived. In Section V, extensive simulations are conducted and analyzed. The conclusions are drawn in Section VI. The notations in this paper are as follows: Upper (lower) bold face letters denote matrices (column vectors). The superscripts and stand for the transpose and Hermitian operators, respectively. and are the determinant and trace oper- ations, respectively. and are respectively the real part and conjugate of a complex number or matrix. , and denote the expectation, variance and covariance oper- ator, respectively. denotes the convolution operation of and . and represent the rst and second-order partial derivative operators, i.e., and . II. CHANNEL ESTIMATION MODELS FOR OQAM-OFDM SYSTEMS A. OQAM-OFDM System Model As shown in Fig. 1, we consider an equivalent baseband system of OQAM-OFDM, in which the subcarrier number is and subcarrier spacing is , with being the complex symbol interval. The transmitted symbol is real-valued with frequency index and time index , and is the in- terval of real-valued symbols. and are obtained by taking the real and imaginary parts of a complex-valued symbol from -quadrature amplitude modulation (QAM) constellation, respectively. is a symmetrical real-valued pulse shaping lter [5], [24]. Therefore, the equivalent base- band OQAM-OFDM signal is written as (1) Assuming a distortion-free channel, perfect reconstruction of real symbol is obtained owing to the following orthogo- nality condition (2) where if ; and if . Let us denote (3) When , , otherwise, is an imagi- nary value. 324 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 62, NO. 2, JANUARY 15, 2014 The baseband version of the received signal could be written as (4) where is the multi-path fading channel and is the com- plex additive white Gaussian noise (AWGN) with zero mean and variance . The demodulation of the received signal at the -th index provides a complex symbol given as (5) To recover the transmitted real-valued symbols, the equaliza- tion and operation of taking real part have to be performed on [13]. In this paper, since we mainly focus on the channel estimation problem of the OQAM-OFDM systems, the equal- ization and operation of taking real part are not discussed. B. Frequency Domain Model for Channel Estimation In an OQAM-OFDM system, the channel estimation is different from that of the conventional OFDM systems. Most of existing channel estimation schemes are based on the IAM method, and they suppose that the symbol interval is much longer than the maximum channel delay spread [12]. There- fore, the prototype lter function has relatively low variation over any time interval , i.e., (6) For simplicity, in this paper we assume that the preamble pi- lots have time index of 0 and they are not interfered by data symbols due to the insertion of enough zero symbols between the preamble pilots and data symbols. Then, the received pilot on the -th subcarrier is obtained as [12] (7) where , represents the complex channel frequency response at the -th subcarrier, and is the demodulated noise at the -th position given as (8) With the frequency domain model given by (7), channel estima- tion based on the IAM method is given as [12] (9) Obviously, when the channel delay spread is sufciently small compared to the symbol interval, the IAM method has good channel estimation performance. However, when the channel delay spread is not small enough compared to the symbol interval, the IAM method would result in a severe performance degradation of the channel estimation. C. Time Domain Model for Channel Estimation In this subsection, we present a preamble-based time domain model for channel estimation in the OQAM-OFDM systems. The key idea is to utilize frequency domain pilots to estimate the time domain channel impulse responses with no requirement on the length of the symbol interval. Substituting (1), (4) into (5), the demodulated symbol is rewritten as (10) For the proposed model, the preamble pilots are used for the channel estimation in the OQAM-OFDM systems. In practice, the preamble pilots are interfered by the adjacent data symbols due to the overlapping structure of the adjacent symbols. Thus, zero symbols are usually inserted between the preamble pilots and data symbols to reduce the interference to an acceptable level. For simplicity, we ignore the inter-symbol interference to preamble pilots by inserting enough zero sym- bols between the preamble pilots and data symbols. Then, the received pilot is obtained as (11) For convenience, we rewrite (11) in vector notation as (12) where , is the vector of sampled channel response, the noise vector . is an matrix determined by the preamble pilots and pulse shaping lter, and the element on the -th row and -th column is given as (13) The proposed time domain channel estimation model could be described in Fig. 2, where the estimated time domain channel impulse is obtained by the transmitted frequency pilots and re- ceived frequency pilots. Note that, since the orthogonality con- dition (2) only holds in the real eld, the noises on adjacent subcarriers are correlated for the OQAM-OFDM systems [18], [23]. For noise vector , its -th element is (14) KONG et al.: TIME DOMAIN CHANNEL ESTIMATION 325 Fig. 2. The proposed time domain channel estimation model in the OQAM- OFDM systems. Since is the complex AWGN with zero mean and variance , it is clear that follows normal distribution. Therefore, we have the expectation of as (15) The variance of is (16) Then, the covariance of and for is written as (17) Obviously, (17) shows that correlation among noises on dif- ferent subcarriers is due to the fact that the orthogonality condi- tion (2) only holds in the real eld, which is very different from that of OFDM systems. Then, the covariance matrix of the noise vector could be obtained as (18). . . . . . . . . . . . . . . . (18) According to (18), the probability density function (PDF) of is obtained as (19) Thus, the time domain model of (12) is an extended linear model [26], and our aim is to get an estimate of from . Obviously, the conventional LS method employed for OFDM systems [25] could be readily applied (20) However, for the proposed extended linear model, the noise vector in (12) is correlated, thus, the conventional LS method is not optimal for the time domain channel estimation model in OQAM-OFDM systems. In the following section, we will present the optimal channel estimation schemes for the time do- main model with taking into account the noise correlation. III. PROPOSED LMMSE AND WLS METHODS In this section, two channel estimators for the time domain model, i.e., LMMSE and WLS, are obtained according to the different levels of a priori knowledge of the channel, respectively. When the covariance matrix of the channel is available as a priori knowledge, the LMMSE estimator could be obtained by minimizing the Bayesian MSE (BMSE), which provides optimal channel estimation performance for the time domain model. However, in practice, it is difcult to obtain the knowledge about covariance matrix of the channel. When channel length is the only knowledge available, the WLS estimator is presented. A. LMMSE Estimator When the covariance matrix of the channel is available as a priori knowledge, the LMMSE estimator could be obtained. In this paper, we consider a random channel model with sample- spaced independent Rayleigh fading paths, which has an expo- nential power delay prole as: , , where is the average power of the -th path, and is the fading factor. Thus, the covariance matrix of the channel vector could be obtained as . . . . . . . . . . . . (21) Then, the PDF of could be given as (22) For the time domain model (12), is the received pilot vector, is known matrix, is Gaussian noise vector with zero mean and covariance matrix and is the random vector of parameters to be estimated. As a priori knowledge, the mean and covariance of are known. Then, according to the Bayesian Gauss-Markov theorem [26], the LMMSE estimator 326 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 62, NO. 2, JANUARY 15, 2014 of is obtained by minimizing the BMSE, and BMSE could be dened as (23) where is an estimate of . Then, the LMMSE estimator of is obtained as (24) Since both , and are assumed to be known for the receiver and the dimension of is , the complexity of the LMMSE estimator is . B. WLS Estimator In some cases, it is hard to obtain the accurate knowledge about covariance matrix of the channel, whereas, the channel length is relatively easy to obtain. When channel length is the only knowledge available, the WLS estimator to minimize the weighted least square error (WLSE) could be employed [26], and WLSE is dened as (25) where is the weighting matrix. Then, the WLS could be written as (26) Since both and are known for the receiver and the dimen- sion of is , obviously the com- plexity of the WLS estimator is . If the correlation of noises is ignored, is reduced to a diagonal matrix and the WLS estimator is reduced to the conventional LS method. Therefore, it is predicted that the WLS method has a performance gain over the conventional LS method, which will be veried in the simulation section. IV. BCRB AND CRB BOUNDS In this section, we derive the BCRB and CRB bounds for the time domain channel estimation model. Note that, the deriva- tion is under the assumption that the preamble pilots are not interfered by the adjacent data symbols. Obviously, the BCRB and CRB bounds could be achieved by the LMMSE and WLS methods when the channel noise is Gaussian [26], respectively. However, in practice, the preamble pilots are interfered by the adjacent data symbols. Therefore, the BCRB and CRB bounds could be employed to evaluate the inuence of the data interfer- ence on channel estimation. A. BCRB Bound The BCRBbound is particularly suited for the problemwhere the estimated parameter is random with a priori knowledge [27][29]. Suppose that is an estimate of the channel vector with known PDF as a priori knowledge, then, we have (27) where is the Bayesian information matrix (BIM), (28) where is the joint PDF of and , and it could be obtained as (29) where is the conditional PDF of the received pilots given , (30) Therefore, the BIM is obtained as (31) Then, the BCRB bound is (32) Obviously, the BCRB bound provides a lower bound on the achievable MSE by the LMMSE estimator to utilize a priori knowledge about the covariance matrix of the channel. B. CRB Bound Suppose that is an unbiased estimate of the channel vector , then we have (33) where is the Fisher information matrix (FIM) as (34) Then, the FIM is obtained as (35) Therefore, the CRB bound is (36) The CRBbound provides a lower bound on the achievable MSE by the WLS estimator. KONG et al.: TIME DOMAIN CHANNEL ESTIMATION 327 Fig. 3. The frame structure of the OQAM-OFDM system. V. SIMULATION RESULTS In this section, the performance of the proposed LMMSE and WLS methods are presented in terms of the normalized MSE (NMSE). Some simulations have been conducted in the OQAM-OFDM systems, where 128 subcarriers and 4-QAM are employed. The pulse shaping lters are extended Gaussian func- tion (EGF) lters with the duration of : , else, (37) where could be obtained with [30], (38) where , , and is a real-valued coefcient and could be computed via the rules described in [31]. is the Gaussian function as (39) A special case of EGF lter, , is called isotropic or- thogonal transform algorithm (IOTA) function. To evaluate the performance of the proposed LMMSE and WLS methods, three EGF lters are employed in the simulations, i.e., IOTA, EGF1 and EGF2 and their parameters are listed in Table I. As shown in Fig. 3, for the frame structure in the OQAM-OFDM systems, are the preamble pilots, which are random 1 or . The real-valued data symbol is obtained by extracting the real or imaginary part of the corresponding complex-valued symbol of 4-QAM constellation. To reduce the inter-symbol interference to preamble pilots caused by data symbols, columns of zeros are inserted between the preamble pilots and data symbols. The interference to preamble pilots from data symbols is smaller when is larger. The sampling rate of the system is set to . A random channel model with 47 sample-spaced independent Rayleigh TABLE I PARAMETERS OF THE EGF FILTERS. Fig. 4. NMSE performance comparison between the WLS and IAM method, with the IOTA lter. fading paths is adopted in the simulations, which has an expo- nential power delay prole as: , where and . Fig. 4 shows the NMSE performance comparison of the IAM and proposed WLS methods, where the IOTA lter is employed and , 2, 3, respectively. Both the WLS and IAM methods exhibit performance oor at high signal to noise ratio (SNR) when , mainly due to the inter-symbol interference to preamble pilots caused by data symbols. As increases, the performance oor of the WLS method decreases signicantly along with the reduction of the inter-symbol interference. Contrarily, the IAM method still suffers high performance oor when . The reason is that, it indeed needs that the channel delay spread is much less than the symbol interval in the IAM method, Unfortunately, it is not valid in the scenario of our simulations, which results in the NMSE performance loss for the IAM method. In a word, the proposed channel estimation with time domain model could outperform the IAM method, especially when the channel delay spread is relatively large. Fig. 5 depicts the NMSE performance of the proposed LMMSE and WLS methods, where the BCRB and CRB bounds are also presented for comparison. The simulations are conducted with IOTA lter, and , 2, 3, respectively. It is observed that, as increases, the performance of the proposed LMMSE and WLS methods are improved signicantly. When , the NMSE performance of the LMMSE and WLS methods achieve the BCRB and CRB bounds, respectively. Since is required to be as less as possible to ensure a higher spectral efciency, we set and present in Fig. 6 the NMSE performance of the proposed LMMSE and WLS methods with all three lters, along with their corresponding CRB and BCRB 328 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 62, NO. 2, JANUARY 15, 2014 Fig. 5. The NMSE performance of the proposed LMMSE and WLS methods, with the IOTA lter. Fig. 6. The NMSE performance of the proposed LMMSE and WLS methods, with all three lters and , along with their corresponding CRB and BCRB bounds. bounds. Obviously, with the EGF1 lter, the LMMSE and WLS methods achieve the best NMSE performance of channel es- timation. Therefore, we would suggest to use a pulse shaping lter with waveforms concentrated in the time domain, like the EGF1 lter, to improve the channel estimation performance and spectral efciency. As shown in Fig. 7, the performance of the proposed WLS and conventional LS schemes are compared to investigate the inuence of noise correlation upon channel estimation, where the EGF1 lter is employed and . Obviously, the WLS method has a signicant gain over conventional LS method at low to moderate SNR. The simulation result demonstrates that, the noise correlation has to be taken into account when de- signing the channel estimation schemes for the OQAM-OFDM systems. Fig. 7. The NMSE performance of the proposed WLS and conventional LS methods, with the EGF1 lter and . Fig. 8. The NMSE performance of the proposed WLS method considering time synchronization error, with the EGF1 lter and . Time synchronization has a signicant inuence on the system performance. A good channel estimator should be able to tolerate some degree of time synchronization error. To investigate the sensitivity of the proposed methods to time synchronization error, the NMSE performance of the proposed WLS is compared to the IAM method in Fig. 8, where the EGF1 lter is employed and . The time synchronization error is set to , and , respectively. As the time synchronization error becomes larger, the IAM method suffers more performance loss, which is because that the channel spread is signicantly extended with time synchronization error and longer channel spread results in more performance degradation of channel estimation. However, it is interesting to note that, the WLS exhibits a small gain at high SNR when the time synchronization error increases. The reason is that the data symbols have smaller interference to preamble pilots with synchronization errors given in the simulation. In conclusion, KONG et al.: TIME DOMAIN CHANNEL ESTIMATION 329 compared to the IAM method, the WLS is more robust to time synchronization error. VI. CONCLUSIONS In this paper, we have presented a general time domain model for channel estimation in the OQAM-OFDM systems. Then, two channel estimators, i.e., the LMMSE and WLS, were proposed, which could achieve the BCRB and CRB bounds, respectively. The major advantages of the proposed channel es- timation model include: the channel statistic information, which could be obtained in advance, could be employed to improve channel estimation; and the proposed model does not require the symbol interval to be much longer than the maximum channel delay spread, resulting in the OQAM-OFDM systems could use less number of subcarriers or shorter symbol interval than those using frequency domain methods. Therefore, the proposed channel estimation method has less computational complexity and greater capability of adapting to fast channel variations. 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Signell, Time Frequency localization of pulse shaping lter in OFDM/OQAM systems, in Proc. Int. Conf. Inf., Commun. Signal Process., Dec. 2007, pp. 15. [31] P. Siohan and C. Roche, Cosine-modulated lterbanks based on ex- tended Gaussian function, IEEE Trans. Signal Process., vol. 48, no. 11, pp. 30523061, Nov. 2000. Dejin Kong received the B.S. degree fromHuazhong University of Science and Technology, Wuhan, P. R. China, in 2011. He is currently working towards the Ph.D. degree at Huazhong University of Science and Technology, Wuhan. His current research interests include the areas of wireless communications, especially for FBMC systems with emphasis on channel estima- tion. 330 IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 62, NO. 2, JANUARY 15, 2014 Daiming Qu received the Ph.D. degree in in- formation and communication engineering from Huazhong University of Science and Technology, Wuhan, China, in 2003. He is currently a Professor in the Department of Electronics and Information Engineering, Huazhong University of Science and Technology. His current research interests include signal processing, coding, and dynamic spectrum techniques for wireless com- munications. Tao Jiang (M06SM10) received the Ph.D. degree in information and communication engineering from the Huazhong University of Science and Technology, Wuhan, China, in 2004. He is currently a Full Professor with the Wuhan National Laboratory for Optoelectronics, Depart- ment of Electronics and Information Engineering, Huazhong University of Science and Technology. He has authored and coauthored over 100 technical papers in major journals and conferences and ve books/chapters in the areas of communications. His current research interests include the areas of wireless communications and corresponding signal processing, especially cognitive wireless access, OFDM and MIMO, cooperative networks, and smart grids. Dr. Jiang has served or is serving as a Symposium Technical Program Com- mittee Member of many major IEEE conferences, including INFOCOM, ICC, and GLOBECOM, etc. He has been invited to serve as the TPC Symposium Co-Chair for the IEEE GLOBECOM 2013 and IEEEE WCNC 2013, and as a General Co-Chair for the Workshop of M2M Communications and Networking in conjunction with IEEE INFOCOM 2011. He has served or is serving as an Associate Editor of some technical journals in communications, including IEEE Communications Surveys and Tutorials and the IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY. He has served as a Guest Editor of the IEEE Com- munications Surveys and Tutorials for Special Issue on energy and smart grid. He was a recipient of the Best Paper Awards in IEEE CHINACOM09 and WCSP09. He is a member of the IEEE Communication Society, IEEE Vehic- ular Technology Society, IEEE Broadcasting Society, IEEE Signal Processing Society, and IEEE Circuits and Systems Society.