Window Design for SISO and MIMO OFDM

Systems
Tseng-Wen (Vincent) Feng1 2 , Ben Williams1 , Pao-Chu (Billy) Wang1 and Shyh-Kang Jeng2 ,
1: Advanced Micro Devices, Inc.
2: Dept. of EE and Grad. Inst. Communication Engr., National Taiwan Univ.
vincent.feng@amd.com

Abstract—In this paper, we conduct the window design for
single-input single-output (SISO) and multiple-input multiple-
output (MIMO) OFDM systems. The key value of this paper is to
optimize the receiver SINR when carrier frequency offset (CFO)
and phase noise both affecting an OFDM system. To our best
knowledge, this is the first research to design window coefficients
through leveraging the CFO and phase noise statistics for SISO
and MIMO OFDM systems over frequency-selective channels.
CFO and phase noise will destroy the orthogonality of OFDM
system and lead to inter-carrier interference (ICI). Simulation
results show that our proposed method can improve the system
performance.
Index Terms—SISO, MIMO, OFDM, CFO, Window
I. I NTRODUCTION
Orthogonal frequency division multiplexing (OFDM) is
shown to be robust against frequency-selective channels and
has a low complexity equalization. One of the mismatch pa-
rameters is the carrier frequency offset between the transmitter
and receiver. Another parameter is phase noise coming from
any possible local oscillators at receiving and transmitting
ends. In both cases, the system performance will suffer from
an error-flooring due to the intercarrier interference (ICI).
There have been many literatures investigating the estimation
of CFO. A repeated training sequence is proposed in [1] for the
estimation of the CFO. [4] utilizes the structure of the cyclic
prefix in OFDM systems for the CFO estimation. The effect of
under the CFO effect over AWGN channels has been studied
in [14]. In this paper, we design window coefficients to
minimize the error variances due to CFO, phase noise, and
channel noise. Compared with [14], our method is to design
window coefficients exploiting the information of CFO and
the statistics of phase noise over frequency-selective channels.
Furthermore we extend our method to multiple-input multiple-
output (MIMO) OFDM systems. In the simulation results, we
can show that the proposed method can improve the system
performance both for SISO and MIMO OFDM systems.
II. S YSTEM D ESCRIPTION
A. SISO OFDM in the Presence of CFO and Phase Noise
Assume that A(k) are the transmitted symbols containing
modulation symbols. After taking a D-point IDFT of A(k),
we have
1 
D−1
2π
s(n) = √ A(k)ej D kn . (1)
D k=0
A cyclic prefix (CP) of length G is appended to s(n) to avoid
the inter-block interference and the signal is transmitted from
the transmit antenna. At the receiver, after removing CP (which
is larger or equal to the channel order L), we have the received
signals

L

phase noise on OFDM systems was investigated in [5][6]. In r(n) = h(l)s(n − l) + q(n), (2)
[5], the authors proposed a method to estimate the common l=0

phase error due to phase noise. In [7], the authors utilized where h(l) is the channel response and q(n) is the additive
the statistics of phase noise to jointly estimate CFO, phase noise. Define the normalized carrier frequency offset (CFO)
noise, and channel response for OFDM systems. In [8], the as
authors provided an iterative method to estimate phase noise Δfc
= 1 , (3)
and compensate the effect for OFDM systems. All the above
DT
methods focus on SISO OFDM systems. For MIMO OFDM
where Δfc is CFO and T is the sample spacing at the receiver.
systems, one can find the estimation of CFO in [9][10].
Denote the phase noise as φ(nT ). Due to CFO and phase
Windowing technique for OFDM and ASDL systems has
noise, the received signal becomes
been investigated in [11]-[14]. An adaptive windowing tech-
nique has been considered in [12] to improve the performance 
L
j 2π
D n jφ(nT )
of OFDM systems. For ADSL systems, the windowing tech- r(n) = e e h(l)s(n − l) + q(n). (4)
l=0
nique has been used in [13] to overcome the narrow band
interference. The window design of SISO OFDM systems After removing CP and taking a D-point DFT, we have

Tseng-Wen (Vincent) Feng, OEM Strategic Account Director in AMD.


D−1

Ben Williams, Corporate Vice President in AMD.

Y (k) = A(k)H(k)Iφ, (0) + A(t)H(t)Iφ, (k − t)D
Pao-Chu (Billy) Wang, Corporate Vice President in AMD. t=k
Shyh-Kang Jeng, Ph.D, professor of EE Dept. in NTU. + Q(k), (5)

978-1-4244-2309-5/09/$25.00 ©2009 IEEE 1

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where H(k) and Q(k) are the DFT of h(n) and q(n), and Denote the window coefficients as w(n). After the window
Iφ, (k) is defined as operation, we have

1  jφ(nT ) −j 2π n(k−) r(n) = w(n)r(n),

D−1
(12)
Iφ, (k) = e e D . (6)
D n=0
where r(n) is given in (4). Notice that the window operation
(x)D stands for modulo D. From (5), observe that due to CFO contains the removal of CP. After taking a D-point DFT, we
and phase noise, the orthogonality between the subcarriers obtain
is destroyed and there will be ICI. Therefore the system is 
Y (k) = Z(k) + Q(k), (13)
degraded because of CFO and phase noise.
where Z(k) contains both the desired signal and ICI
B. MIMO OFDM in the Presence of CFO and Phase Noise 
D−1

In this subsection, we investigate the effect of CFO and Z(k) = A(k)H(k)Wφ, (0) + A(t)H(t)Wφ, (k − t)D ,
   t=k
phase noise on MIMO OFDM systems. Suppose that there desired   
are nt transmit and nr receive antennas at the transmitter and ICI
receiver respectively. The transmit symbol at the ith transmit (14)
antenna is denoted by Ai (k). After taking a D-point DFT, we

and Q(k) is the DFT of the windowed channel noise
have
∞
1 
D−1
 1  2π
=√ w(n)q(n)e−j D nk .
2π
si (n) = √ Ai (k)ej D kn . (7) Q(k) (15)
D k=0 D n=−∞

Denote the normalized CFO at the jth receive antenna as The function Wφ, (k) is defined as
Δfc,j 1 
∞
j = 1 , (8) Wφ, (k) =
2π 2π
w(n)ejφ(nT ) ej D n e−j D nk . (16)
DT D n=−∞
where Δfc,j is the CFO at the jth receive antenna. Denote
the phase noise at the jth receive antenna as φj (nT ). Due to From (14), we can compute the variances of the desired signal
CFO and phase noise, the received signal at the jth receive and ICI at the kth subcarrier
antenna is 2
 
σde (k) = σs2 E |H(k)|2 E |Wφ, (0)|2 , (17)
t −1 
n L
2π
rj (n) = ej D nj ejφj (nT ) hj,i (l)sj,i (n − l)D and
i=0 l=0

D−1
 
+ qj (n). (9) 2
σici (k) = σs2 E |H(t)|2 E |Wφ, (k − t)|2 , (18)
t=0,t=k
After removing CP and taking a D-point DFT, we have
t −1
n respectively, where we assume E {A(k)A∗ (l)} = σs2 δ(k − l).
Yj (k) = Iφj ,j (0) Ai (k)Hj,i (k) Moreover the variance of the windowed channel noise is
∞
i=0
N0 

D−1 t −1
n σn2 (k) = |w(n)|2 , (19)
+ Iφj ,j (k − t)D Ai (t)Hj,i (t) + Qj (k),(10) D n=−∞
t=k i=0
where we assume that E {q(n)q ∗ (l)} = N0 δ(n − l). In the
where following, we would like to design the window coefficients to
maximize the SINR and thus improve the system performance.
1  jφj (nT ) −j 2π (k−j )
D−1
Iφj ,j (k) = e e D . (11) It has been shown [14] that to ensure ICI free in the absence
D n=0 of CFO and phase noise, the window coefficients must satisfy
From (10), we find that due to CFO and phase noise, the the Nyquist criterion. By doing that, for small values of φ and
orthogonality between the subcarriers is destroyed and there  we can have
will be ICI. Notice that ICI comes not only from subcarries
Wφ, (0) ≈ const. (20)
but also from transmit antennas. Thus the system performance
will be degraded. In this case, we only need to design the window coefficients
to minimize the variance of ICI and channel noise. In what
III. W INDOW D ESIGN IN THE P RESENCE OF CFO AND follows, we will show how to minimize the variances of ICI
P HASE N OISE and channel noise by carefully designing window coefficients.
A. Window Technique for SISO OFDM Systems Define a vector w of (D+2Dθ +1)×1 containing the window
coefficients
In this section, we consider the window design for SISO
T
OFDM systems in the presence of CFO and phase noise. w = w(−Dθ ) · · · w(D + Dθ ) , (21)

2
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where G = L + 2Dθ + 1. Also define a (D + 2Dθ + 1) × 1 Solving the above equation for g, we obtain
vector ⎡ ⎤−1

T 
D−1
N 0
b = ejφ(−Dθ T ) · · · ejφ((D+Dθ )T ) . (22) gopt = − ⎣C† A† (j)ΦA (j)C + 2 I⎦
j=1
γ
and a (D + 2Dθ + 1) × (D + 2Dθ + 1) diagonal matrix ⎡ ⎤

D−1
N 0
A (k) = ⎣C† A† (j)ΦA (j)d + C† d⎦ . (35)

2π  j=1
γ
diag ej D (−Dθ )(−k) j 2π
D (D+Dθ )(−k)
··· e .(23)
After getting the optimal gopt , we can obtain the optimal
Using (21)-(23), we can rewrite Wφ, (k) in (16) as window coefficients wopt using (31).
1 T
Wφ, (k) = b A (k)w. (24)
D B. Window Technique for MIMO OFDM Systems
By doing this, we can write Similar results can be applied to MIMO OFDM systems. We
assume that the CFO between different receive antennas can be
 1
E |Wφ, (k)|2 = 2 w† A† (k)ΦA (k)w, (25) different. The case where the CFO is the same for all receive
D antennas is a special case. Denote the window coefficients at
where Φ is the correlation matrix of ejφ(nT ) the jth receive antenna as wj (n). The signal after the window
 operation is
Φ = E b∗ bT . (26)
rj (n) = wj (n)rj (n). (36)
Substituting (26) into (18), we have
After taking a D-point DFT, we have
2
σici (k) =  j (k),
Yj (k) = Zj (k) + Q
⎛ ⎞ (37)
σs2 † 
D−1

w ⎝ E |H(t)|2 A† (k − t)ΦA (k − t)⎠ w. where
D2 t −1
n
t=0,t=k
(27) Zj (k) = Wφj ,j (0) Aj,i (k)Hj,i (k)
i=0
  
Then collect the ICI variances from all subcarriers desired
⎛ ⎞ t −1 D−1
n

D−1 
2
σici = γw† ⎝ A† (j)ΦA (j)⎠ w, (28) + Aj,i (t)Hj,i (t)Wφj ,j (k − t)D , (38)
i=0 t=k
j=1   
ici
where
and Wφj ,j (k) is defined as
σ2  
D−1
γ = s2 E |H(t)|2 . (29) 1 
∞
2π 2π 2π
D t=0 Wφj ,j (k) = wj (n)ej D n ejφj (nT ) ej D tn e−j D nk . (39)
D n=−∞
Similarly we can collect the variance of channel noise from
all subcarriers Hj,i (k) is the D-point DFT of hj,i (l)

L
σn2 = N0 w† w. (30) Hj,i (k) =
2π
hj,i (l)e−j D lk . (40)
l=0
Assume that we can rewrite the window function in the form
of We can compute the variance of the desired signal and ICI as
t −1
w = d + Cg, (31) 2
 n 
σde,j (k) = σs2 E |Wφj ,j (0)|2 E |Hj,i (k)|2 , (41)
i=0
where d is a (D + 2Dθ + 1) × 1 vector

T and
d = 0 ··· 0 1 ··· 1 0 ··· 0 , (32) 2
σici,j (k) =
C is a (D + 2Dθ + 1) × (2Dθ + 1) matrix t −1 D−1
n   

T σs2 E |Hj,i (t)|2 E |Wφj ,j (k − t)D |2 (42)
C = I2θ+1 0 −I2θ+1 , (33) i=0 t=k

and g is the parameter designed to minimize the variance of respectively. Collect the variance of ICI from all subcarriers
ICI and channel noise. Substituting (31) into (28) and (30), at the jth receive antenna
2 D−1 
we would like to find the optimal g that minimizes σici + σn2 
2 † †
2
σici,j = γj wj Aj (t)Φj Aj (t) wj , (43)
∇g (σici + σn2 ) = 0. (34) t=1

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where γj is defined as 2

D−1 nt −1
σs2   
0

Magnitude (dB)
γj = E |Hj,i (k)|2 , (44) −2

D2 −4
k=0 i=0 −6

jφj (nT ) −8
and Φj is the correlation matrix of e

−10

Φj = E b∗j bTj . (45) −12

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Frequency (×π rad/sample)

The noise variance from all subcarriers at the jth receive 0

antenna is computed as

Phase (degrees)
−100

2
σn,j = N0 wj† wj . (46) −200

−300
Suppose that the window function is given by
−400

wj = d + Cgj , (47) −500

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Frequency (×π rad/sample)
where d and C are given in (32) and (33) respectively.
Substitute (47) into (43) and (46) and solving
Fig. 1. Frequency response of h0 (n)
2 2
∇gj (σici,j + σn,j ) = 0, for j = 0, · · · , nr − 1. (48)
we can obtain the optimal gj for each receive antenna 0

 D−1 −1 10
 N0
AWGN, ideal
AWGN, mmse−win
† †
gj = − C Aj (t)Φj Aj (t)C + 2 I 10
−1 AWGN, rect−win
t=1
γ L=4, ideal
 D−1  L=4, mmse−win
 N0
−2 L=4, rect−win
C† A†j (t)Φj Aj (t)d + C† d .
10
(49)
t=1
γ
BER

−3
10
The optimal window coefficients wj is obtained substituting
(49) into (47). −4
10

IV. S IMULATION R ESULTS −5

10
In this section, we carry out Monte-Carlo experiments to
verify the performance of the proposed window technique. We −6
10
will show the BER performance for SISO and MIMO OFDM 0 5 10 15 20
SNR(dB)
25 30 35

systems. For MIMO OFDM systems, we assume that there

are 2 transmit and 2 receive antennas at the transmitter and
receiver. For both cases, the size of the DFT matrix is 64. The
channel order is L = 4. The amplitude and phase response
for the simulated channel in SISO OFDM systems are shown
in Fig. 1. Other three channels in MIMO OFDM systems are
randomly generated. The model of phase noise is referred to
[7]. For comparison, we also draw the curve for the ideal case
where there are no CFO and phase noise.
The BER performance for SISO OFDM systems is shown in
Fig. 2. For comparison, we also draw the BER performance for
AWGN channels. In this case, we assume that the normalized
CFO is 0.05, bandwidth (BW) of phase noise is 1MHz, and
the standard deviation of the amplitude (rmsa) of phase noise
is 5◦ . The transmission data is QPSK. From Fig. 2, we find
that for both AWGN channels and the channel model in Fig.
1, the proposed window technique can improve the system
performance compared with the conventional rectangular win-
dow. Notice that the BER in Fig. 1 is worse than that in
AWGN because of the fading channel. Next we compare BER
performance v.s. different values of CFO, BW of phase noise,
and rmsa of phase noise in Fig. 3. Two kinds of transmission
data are considered: QPSK and 64QAM. For both cases, we
find that the BER of the proposed method is better than that
Fig. 2. BER performance of SISO OFDM systems
of the conventional rectangular window for different values
of CFO, BW, and rmsa. The BER performance for MIMO
OFDM systems is shown in Fig. 4. In Fig. 4, we assume that
CFO is 0.05, and BW and rmsa of phase noise are 500kHz
and 3◦ respectively. From Fig. 4, we find that the BER can be
improved using the proposed window technique.
V. C ONCLUDING R EMARKS
In this paper, we consider the window design for SISO
and MIMO OFDM systems in the presence of CFO and
phase noise. Exploiting the information of CFO and statistics
of phase noise, we can improve the system performance by
carefully designing window coefficients. Simulation results
verify the performance of the proposed method.
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100 200 300 400 500 600 700 800 900
PN, BW

Fig. 3. (a) BER v.s. CFO (b) BER v.s. rmsa (c) BER v.s. BW in D = 64

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