Chapter 3

Channel Estimation, Equalization, Precoding, and Tracking

Jitendra K. Tugnait,    Department of Electrical and Computer Engineering, Auburn University, Auburn, AL, USA

Abstract

We present an overview/review of various approaches to channel estimation and equalization for wireless mobile systems with a brief discussion of channel precoding techniques. Since approaches to channel estimation depend upon the underlying channel model, we also review various approaches to channel modeling. First we present the relevant channel models including time-invariant and time-variant (doubly-selective) models where emphasis is on basis expansion modeling. Channel modeling is followed by a discussion of various approaches to channel estimation including training-based approaches, blind approaches, semi-blind approaches and hidden pilot (superimposed training) based approaches. Channel estimation approaches were followed by a discussion of channel equalization approaches including turbo-equalization for time-varying channels. A brief discussion of precoding was presented where the channel state information is available at the transmitter. We conclude with a discussion of channel tracking and combined data detection and channel tracking for time-varying channels. Channel tracking can be at block level suitable for block transmissions, or symbol-by-symbol level suitable for serial transmissions. Some of the approaches were illustrated via simulations.

Keywords

Channel estimation; Basis expansion channel models; Equalization; Adaptive equalizers; Turbo equalization; Maximum likelihood; Channel tracking; Precoding

2.03.1 Introduction

Multipath propagation results in a received signal that is a superposition of several delayed and scaled copies of the transmitted signal giving rise to frequency-selective fading. It leads to intersymbol interference (ISI) at the receiver which, in turn, may lead to high error rates in symbol detection. Equalizers are designed to compensate for these channel distortions. One may directly design an equalizer given the received signal, or one may first estimate the channel impulse response and then design an equalizer based on the estimated channel. After some processing (matched filtering, for instance), the continuous-time received signals are sampled at the baud (symbol) or higher (fractional) rate before processing them for channel estimation and/or equalization. It is therefore convenient to work with a baseband-equivalent discrete-time channel model. Depending upon the sampling rate, one has either a single-input single-output (SISO) (baud rate sampling), or a single-input multiple-output (SIMO) (fractional sampling), complex discrete-time equivalent baseband channel. Knowledge of the channel response can be advantageously used at the transmitter to precode the information sequence to be transmitted so as to simplify the equalizer complexity at the receiver and to mitigate interference in MIMO systems.

In this chapter, we present an overview/review of various approaches to channel estimation and equalization for wireless mobile systems with a brief discussion of channel precoding techniques. Since approaches to channel estimation depend upon the underlying channel model, we also review various approaches to channel modeling. In Section 2.03.2 we present the relevant channel models including time-variant and time-invariant models. In Section 2.03.3 various channel estimation methods are discussed. In Section 2.03.4 equalization approaches are reviewed and in Section 2.03.5 a brief discussion of precoding approaches is presented. In Section 2.03.6 we discuss tracking to adapt to time-varying channels.

Notation 1

Superscripts image, and image denote the complex conjugate transpose, complex conjugation, transpose, and Moore-Penrose pseudo-inverse operations, respectively. The function image is the Kronecker delta function with image if image otherwise, and image is the image identity matrix. The symbol image denotes the Kronecker product, and image is the trace of a square matrix image. The imageth entry of a matrix image is denoted by image.

2.03.2 Channel models

2.03.2.1 Time-variant (doubly selective) channels

Consider a time-varying (e.g., mobile wireless) channel (linear system) with complex baseband, continuous-time, received signal image and transmitted complex baseband, continuous-time information signal image (with symbol interval image seconds) related by [1]

image (3.1)

where image is the time-varying impulse response of the channel denoting the response of the channel at time t to a unit impulse input at time image and image is the additive noise (typically white Gaussian). A delay-Doppler spread function image is defined as the Fourier transform of image with respect to t [1,2]

image (3.2)

If image for image, then image is called the (multipath) delay-spread of the channel. If image for image, then image is called the Doppler spread of the channel. In order to capture the complexity of the physical interactions characterizing the transmission through a real channel, image is typically modeled as a two-dimensional zero-mean random process. If image is wide-sense stationary in variable t, and image is uncorrelated with image for image and any t, one obtains the well-known wide-sense stationary uncorrelated scattering (WSSUS) channel [1,2, Chapter 14].

2.03.2.1.1 Tapped delay line model

We now consider a discrete-time channel model. If a linear modulation scheme is used, the baseband transmitted signal can be represented as

image (3.3)

where image is the information sequence and image is the transmit (lowpass) filter (typically a root raised cosine filter). Therefore, the baseband signal at the receiver is given by

image (3.4)

After filtering with a receive filter with impulse response image, the received baseband signal is given by

image (3.5)

where image. If the continuous-time signal image is sampled at once every image sec., we obtain the discrete-time sequence

image (3.6)

where image is the (effective) channel response at time n to a unit impulse input at time image and

image (3.7)

Note that the noise sequence image in (3.6) is no longer necessarily white; it can be whitened by further time-invariant linear filtering (see [1]). Henceforth, we assume that a whitening filter has been applied to image, but with an abuse of notation, we will still use (3.6). For a causal system, image for image (image) and for a finite length channel of maximum length image for image (image). In this case we modify (3.6) as (recall the noise whitening filter)

image (3.8)

The model (3.8) represents a time- and frequency-selective linear channel. A tapped delay line structure for this model is shown in Figure 3.1. For a slowly (compared to the baud-rate) time-varying system, one often simplifies (3.8) to a time-invariant system as

image (3.9)

where image is the time-invariant channel response to a unit impulse input at time 0. The model (3.9) represents a frequency-selective linear channel with no time selectivity. It is a widely used model for receiver design.

image

Figure 3.1 Tapped delay line model of frequency- and time-selective channel with finite impulse response. D represents a unit (symbol duration) delay.

Suppose that image. Then we have the time-selective and frequency-nonselective channel whose output is given by

image (3.10)

Finally, a time-nonselective and frequency-nonselective channel is modeled as

image (3.11)

where h is a random variable (or a constant).

2.03.2.1.2 Autoregressive (AR) models

It is possible to accurately represent a wide-sense stationary uncorrelated scattering (WSSUS) channel by a large order AR model; see [35] and references therein. Let

image (3.12)

where image is image vector. Then a pth order AR model, AR(p), for image is given by

image (3.13)

where images are the image AR coefficient matrices, image is also image and independent and identically distributed (i.i.d.), image driving noise image is zero-mean with identity covariance matrix. Suppose that we know the correlation function image for lags image. The following Yule-Walker equation holds for (3.13) [6]:

image (3.14)

Using (3.14) for image, and the fact that image, one can estimate images. Using the estimated images and (3.14) for image, one can find image, from which one can find (non-unique) image by computing its “square root” [7, p. 358]. In [3] high values of p (several tens) have been used for channel simulation, whereas in [4,5] only AR(1) or AR(2) models have been used where the objective is channel estimation and related issues. An AR(1) model is given by

image (3.15)

where image is the AR coefficient, and the driving noise image is zero-mean complex Gaussian with variance image and statistically independent of image. Assume that image is also zero-mean, complex Gaussian with variance image. Then [8]

image (3.16)

2.03.2.1.3 Basis expansion models

Basis expansion models (BEMs) have also been widely investigated to represent doubly selective channels in wireless applications [913], where the time-varying taps are expressed as superpositions of time-varying basis functions in modeling Doppler effects, weighted by time-invariant coefficients. Candidate basis functions include complex exponential (Fourier) functions [10,11], polynomials [9], and discrete prolate spheroidal sequences [13], etc. In contrast to AR models that describe temporal variation on a symbol-by-symbol update basis, a BEM depicts the evolution of the channel over a period (block) of time. Intuitively, the coefficients of the BEM approximation should evolve much more slowly in time than the channel, and hence are more convenient to track in a fast fading environment.

Suppose that we include the effects of transmit and receive filters in the time-variant impulse response image in (3.1). Suppose that this channel has a delay-spread image and a Doppler spread image. Consider the kth block of data consisting of an observation window of image symbols where the baud-rate data samples in the block are indexed as image. If image (underspread channel), the complex exponential basis expansion model (CE-BEM) representation of image in (3.8) is given by

image (3.17)

where one chooses (image, and K is an integer)

image (3.18)

image (3.19)

The BEM coefficients images remain invariant during this block, but are allowed to change at the next block, and the Fourier basis functions image (image) are common for each block. If the delay spread image and the Doppler spread image of the channel (or at least their upper-bounds) are known, one can infer the basis functions of the CE-BEM [11]. Treating the basis functions as known, estimation of a time-varying process is reduced to estimating the invariant coefficients over a block of length image symbols. Note that the BEM period is image whereas the block size is image symbols. If image (e.g., image or image), then the Doppler spectrum is said to be over-sampled [14] compared to the case image where the Doppler spectrum is said to be critically sampled. In [10,11] only image (henceforth called CE-BEM) is considered whereas [14] considers image (henceforth called over-sampled CE-BEM).

Equation (3.17) applies to single-input single-output systems—one user and one receiver with symbol-rate sampling. It is easily modified to handle multiuser, multiple transmit and receive antennas, and higher than symbol rate sampling (multiple samples per symbol)—the basic representation remains essentially unchanged.

The representation image in (3.17) is a special case of a more general representation

image (3.20)

where image are a set of orthogonal basis functions (over the time interval under consideration). Examples include wavelet-based expansions as in [15], polynomial bases as in [9] and other possibilities [16]. In discrete prolate spheroidal BEM (DPS-BEM), the ith DPS vector

image

(called Slepian sequence in [13], which is a time-windowed (infinite) DPS sequence) is the ith eigenvector of a matrix image [17]:

image

is the imageth entry of image and image are the eigenvalues of image. The Slepian sequences image are orthonormal over the finite time interval image. The modeling error of the CE-BEM can result in a noticeable floor in BER curves [18]. The polynomial basis functions are neither time-limited nor band-limited and their square bias varies heavily over the range of Doppler spread considered in [13]. DPS sequences are a good alternative as a basis set to approximate bandlimited channels alleviating the spectral leakage of CE-BEM [13]. The (infinite) DPS sequences have their maximum energy concentration in an interval with length T while being bandlimited to image, where image is the unique sequence that is bandlimited and most time-concentrated, image is the next sequence having maximum energy concentration among the DPS sequences orthogonal to image, and so on [17].

Figure 3.2 shows the channel modeling errors resulting from (critically sampled) CE-BEM, DPS-BEM and oversampled CE-BEM (image or 3) when the underlying channel is a one-tap time-selective channel following Jakes’ spectrum. The results are based on Monte Carlo averaging over 1000 runs with image and varying Doppler spreads. (The results were obtained following the procedure in [13].) For a fixed value of Q, DPS-BEM provides the best fit whereas CE-BEM (no oversampling) yields minor improvements with increasing Q. On the other hand, the basis functions in oversampled CE-BEM are not mutually orthogonal leading to “analytical” difficulties. There exists a vast literature based on CE-BEM (no oversampling) where it is assumed that physical channel is accurately described by CE-BEM both for analysis and simulations; see e.g., [11,1924].

image

Figure 3.2 Channel modeling error for one-tap Jakes’ channel, image, image images.

2.03.2.2 Time-invariant channels

For a baud (symbol)-rate sampled system, the equivalent baseband channel model is given by (3.9) which is a single-input single-output (SISO) complex discrete-time baseband-equivalent channel model. The output sequence image in (3.9) is discrete-time stationary. When there is excess channel bandwidth [bandwidth image (baud rate)], baud rate sampling is below the Nyquist rate leading to aliasing and depending upon the symbol timing phase, in certain cases, causing deep spectral notches in sampled, aliased channel transfer function [25]. Linear equalizers designed on the basis of the baud-rate sampled channel response, are quite sensitive to symbol timing errors. Initially, in the trained case, fractional sampling was investigated to robustify the equalizer performance against timing errors. The model (3.9) does not apply to fractionally-spaced samples, i.e., when the sampling interval is a fraction of the symbol duration. The fractionally sampled digital communication signal is a cyclostationary signal [26] which may be represented as a vector stationary sequence using a time series representation (TSR) ([26] Section 12.6). Suppose that we sample at N-times the baud rate with signal samples spaced image sec. apart where image is the symbol duration. Then a TSR for the sampled signal is given by

image (3.21)

where now we have N samples every symbol period, indexed by i. Notice, however, that the information sequence image is still one “sample” per symbol. It is assumed that the signal incident at the receiver is first passed through a receive filter whose transfer function equals the square root of a raised cosine pulse, and that the receive filter is matched to the transmit filter. The noise sequence in (3.21) is the result of the fractional rate sampling of a filtered continuous-time white Gaussian noise process. Therefore, the sampled noise sequence is white at the symbol rate, but correlated at the fractional rate. Stack N consecutive received samples in the nth symbol duration to form a N-vector image satisfying

image (3.22)

where image is the vector impulse response of the SIMO equivalent channel model given by

image (3.23)

and image and image are defined similarly.

2.03.2.3 MIMO channels

A general MIMO channel model with K inputs (users, antennas, image) and N outputs (receivers, antennas, image) can be formulated as in (3.48) (given later); however, it lacks “physical” parameters (such as antenna spacing and arrangement). Representative works on MIMO channel models that incorporate “propagation” effects include [2731] and references therein. The Kronecker model of [30] is a popular analytical model for spatially-correlated MIMO channels. It models the correlation at the receiver and at the transmitter independently, neglecting the statistical interdependence of both link ends. Improvements upon this model include the virtual channel representation model of [29] and the stochastic model of [31] where joint correlation at both link ends have been considered and experimentally validated. These models are suitable for wireless local area networks (WLANs). For wireless personal area networks (WPANs), a different MIMO channel model has been proposed in [28] to account for irregular (nonuniform) antenna arrangements and other deviations.

2.03.3 Channel estimation

We first consider three types of channel estimators within the framework of maximizing the likelihood function. [Unless otherwise noted the underlying channel model is given by the time-invariant model (3.22).] In general, one of the most effective and popular parameter estimation algorithms is the maximum likelihood (ML) method.

Let us consider the N-vector channel model given in (3.22). Suppose that we have collected M samples of the observation image. We then have the following linear model

image (3.24)

where image is an image identity matrix, image and image are vectors consisting of samples of the input sequence image and noise image, respectively, image is the vector of the channel parameters, and a block Hankel matrix has identical block entries on its block antidiagonals. Let image be the vector of unknown parameters that may include the channel parameters image and possibly the entire or part of the input vector image. Given the probability space that describes jointly the noise vector image and possibly the input data vector image, we can then obtain, in principle, the probability density function (pdf) of the observation image. As a function of the unknown parameter image, the pdf of the observation image is referred to as the likelihood function. The maximum likelihood estimator is defined by the following optimization

image (3.25)

where image defines the domain of the optimization.

While the ML estimator is conceptually simple, and it usually has good performance when the sample size is sufficiently large, the implementation of ML estimator is sometimes computationally intensive. Furthermore, the optimization of the likelihood function in (3.25) is often hampered by the existence of local maxima. Therefore, it is desirable that effective initialization techniques are used in conjunction with the ML estimation.

2.03.3.1 Training-based channel estimation

The training-based channel estimation assumes the availability of the input vector image (as training symbols) and its corresponding observation vector image. When the noise samples are zero mean, white Gaussian, i.e., image is a zero mean, Gaussian random vector with covariance image, the ML estimator defined in (3.25), with image, is given by

image (3.26)

where image is the Moore-Penrose pseudo-inverse of the image defined in (3.24). This is also the classical linear least-squares estimator which can be implemented recursively, and it turns out to be the best (in terms of having minimum mean square error) among all unbiased estimators and it is the most efficient in the sense that it achieves the Cramer-Rao lower bound. Various adaptive implementations can be found in [1].

2.03.3.1.1 Time-variant channels

In case of general time-varying channels represented by (3.6), a simple generalization of [32] (see also [11]) is to use a periodic Kronecker delta function sequence with period image as training:

image (3.27)

With (3.27) as input to model (3.6), one obtains

image (3.28)

so that if image, we have for image,

image (3.29)

Therefore, one may take the estimate of image as

image (3.30)

For time samples between image (k an integer), linear interpolation may be used to obtain channel estimates.

If we use the BEM representation (3.20), then we directly estimate the time-invariant parameters images. From (3.6) and (3.20) we have

image (3.31)

image (3.32)

Collecting image samples of the observations image we have the linear model

image (3.33)

Now we have a model similar to (3.24) with a solution similar to (3.26).

2.03.3.2 Blind channel estimation

Here no training symbols are available (or exploited). Blind techniques can not resolve phase ambiguity in the channel estimate.

2.03.3.2.1 Combined channel and symbol estimation

The simultaneous estimation of the input vector and the channel is general ill-posed; however, utilization of qualitative information about the channel and the input can help alleviate this deficiency. To this end, we consider two different types of maximum likelihood techniques based on different models of the input sequence.

Stochastic Maximum Likelihood Estimation. While the input vector image is unknown, it may be modeled as a random vector with a known distribution. In such a case, the likelihood function of the unknown parameter image (cf. (3.24)) can be obtained by

image (3.34)

where image is the marginal pdf of the input vector and image is the likelihood function when the input is known. Assume, for example, that the input data symbol image takes, with equal probability, a finite number (image) of values. Consequently, the input data vector image also takes values from the signal set image. The likelihood function of the channel parameters is then given by

image (3.35)

where c is a constant, image, and the stochastic maximum likelihood estimator is given by

image (3.36)

The maximization of the likelihood function defined in (3.34) is in general difficult because image is non-convex. The Expectation-Maximization (EM) algorithm can be applied to transform the complicated optimization to a sequence of quadratic optimizations. Kaleh and Vallet [33] first applied the EM algorithm to the equalization of communication channels with input sequence having finite alphabet property. By using a Hidden Markov Model (HMM), they developed a batch (off-line) procedure that includes the so-called forward and backward recursions. The complexity of this algorithm increases exponentially with the channel memory.

To relax the memory requirements and facilitate channel tracking, “on-line” sequential approaches have been proposed in [34] for input with finite alphabet properties under a HMM formulation. Given the appropriate regularity conditions and a good initialization guess, it can be shown that these algorithms converge to the true channel value.

Deterministic Maximum Likelihood Estimation. The deterministic ML approach assumes no statistical model for the input sequence image. In other words, both the channel vector image and the input source vector image are parameters to be estimated. When the noise is zero-mean Gaussian with covariance image, the ML estimates can be obtained by the nonlinear least squares optimization

image (3.37)

The joint minimization of the likelihood function with respect to both the channel and the source parameter spaces is difficult. Fortunately, the observation vector image is linear in both the channel and the input parameters individually. In particular, we have

image (3.38)

where

image (3.39)

is the so-called filtering matrix. We therefore have a separable nonlinear least squares problem that can be solved sequentially

image (3.40)

If we are only interested in estimating the channel, the above minimization can be rewritten as

image (3.41)

where image is a projection transform of image into the orthogonal complement of the range space of image, or the noise subspace of the observation, and image denotes the pseudo-inverse of image. Discussions of algorithms of this type can be found in [35].

Similar to the HMM for statistical maximum likelihood approach, the finite alphabet properties of the input sequence can also be incorporated into the deterministic maximum likelihood methods. These algorithms, first proposed by Seshadri [36] and Ghosh and Weber [37], iterate between estimates of the channel and the input. At iteration k, with an initial guess of the channel image, the algorithm estimates the input sequence image and the channel image for the next iteration by

image (3.42)

image (3.43)

where image is the (discrete) domain of image. The optimization in (3.43) is a linear least squares problem whereas the optimization in (3.42) can be achieved by using the Viterbi algorithm [1]. Seshadri [36] presented blind trellis search techniques. Reduced-state sequence estimation was proposed in [37]. Raheli et al. proposed a per-survivor processing technique in [38]. The convergence of such approaches is not guaranteed in general. Interesting examples have been provided in [39] where two different combinations of image and image lead to the same cost image.

2.03.3.2.2 The methods of moments

Although the ML channel estimator discussed in Section 2.03.3.2.1 usually provides better performance, the computation complexity and the existence of local optima are the two major difficulties. Therefore, “simpler” approaches have also been investigated.

SISO Channel Estimation. For baud-rate data, second-order statistics of the data do not carry enough information to allow estimation of the channel impulse response as a typical channel is nonminimum-phase. On the other hand, higher order statistics (in particular, fourth-order cumulants) of the baud-rate (or fractional rate) data can be exploited to yield the channel estimates to within a scale factor. Given the mathematical model (3.9), there are two broad classes of direct approaches to channel estimation, the distinguishing feature among them being the choice of the optimization criterion. All of the approaches involve (more or less) a least-squares error measure. The error definition differs, however, as follows:

• Fitting error: Match the model-based higher-order (typically fourth-order) statistics to the estimated (data-based) statistics in a least-squares sense to estimate the channel impulse response, as in [40,41], for example. This approach allows consideration of noisy observations. In general, it results in a nonlinear optimization problem. It requires availability of a good initial guess to prevent convergence to a local minimum. It yields estimates of the channel impulse response.

• Equation error: It is based on minimizing an “equation error” in some equation which is satisfied ideally. The approaches of [42,43] (among others) fall in this category. In general, this class of approaches results in a closed-form solution for the channel impulse response so that a global extremum is always guaranteed provided that the channel length (order) is known. These approaches may also provide good initial guesses for the nonlinear fitting error approaches. Quite a few of these approaches fail if the channel length is unknown.

Further details may be found in [44] and references therein.

SIMO Channel Estimation. Here we will concentrate upon second-order statistical methods. For single-input multiple-output vector channels the autocorrelation function of the observation is sufficient for the identification of the channel impulse response up to an unknown constant [45,46], provided that the various subchannels have no common zeros. This observation led to a number of techniques under both statistical and deterministic assumptions of the input sequence [35]. By exploiting the multichannel aspects of the channel (e.g., crosscorrelation among the outputs of various subchannels), many of these techniques lead to a constrained quadratic optimization

image (3.44)

where image is a positive definite matrix constructed from the observation. Asymptotically (either as the sample size increases to infinity or the noise variance approaches to zero), these estimates converge to true channel parameters.

2.03.3.3 Semi-blind approaches

Semi-blind approaches utilize a combination of training-based and blind approaches. Here we present a brief discussion about the idea and refer the reader to the survey [47] for details. The objective of semi-blind channel estimation (and equalization) is to exploit the information used by blind methods as well as the information exploited by the training-based methods. Semi-blind channel estimation assumes additional knowledge of the input sequence. Specifically, part of the input data vector is known. Both the statistical and deterministic maximum likelihood estimators remain the same except that the likelihood function needs to be modified to incorporate the knowledge of the input. However, semi-blind channel estimation may offer significant performance improvement over either the blind or the training based methods as demonstrated in the evaluation of Cramer-Rao lower bound in [47].

There are many generalizations of blind channel estimation techniques to incorporate known symbols. In [48], Tsatsanis and Cirpan extended the approach of Kaleh and Vallet by restricting the transition of hidden Markov model. In [49], the knowledge of the known symbol is used to avoid the local maxima in the maximization of the likelihood function. A popular approach is to combine the objective function used to derive blind channel estimator with the least squares cost in the training-based channel estimation. For example, a weighted linear combination of the cost for blind channel estimator and that for the training based estimator can be used [50,51].

2.03.3.4 Superimposed training-based approaches

In the superimposed training (hidden pilots) based approach, one takes

image (3.45)

where image is the information sequence and image is a non-random periodic training (pilot) sequence. Exploitation of the periodicity of image allows identification of the channel without allocating any explicit time slots for training, unlike traditional training methods. There is no loss in data transmission rate. On the other hand, some useful power is wasted in superimposed training which could have otherwise been allocated to the information sequence. This lowers the effective signal-to-noise ratio (SNR) for the information sequence and affects the bit error rate (BER) at the receiver.

Superimposed training-based approaches have been discussed in [5254] for SISO systems. A block transmission method has been proposed in [55,56] where a data-dependent component is added to the superimposed training such that interference due to data (information sequence) is greatly reduced in channel estimation at the receiver. This method is applicable to time-invariant channels only and it requires “data-blocking” for block transmissions and insertion of a cyclic prefix in each data block. Its extension to a class of time-variant channels is given in [57]; see also [58]. The UTRA specification for 3G systems [59] allows to adopt a spread pilot (superimposed) sequence in the base station’s common pilot channel, which is suitable for downlinks. Periodic superimposed training for channel estimation via first-order statistics for SISO systems have been discussed in [6063]. In [64] performance bounds for training and superimposed training-based semiblind SISO channel estimation for time-varying flat fading channels have been discussed.

2.03.3.5 MIMO channel estimation

All of the channel estimation approaches described earlier apply to MIMO channels; however, efficacy of the approaches depends upon the underlying analytical model used. For MIMO channel estimation in correlated fading enviroments, Chen and su [27] presents two analytical MIMO channel models and low-complexity iterative channel estimation methods based on these models, exploiting the optimal training sequences proposed in [65,66]. Further details may be found in these papers and references therein.

2.03.4 Equalization

A communication channel is typically modeled as a linear system whose output is corrupted by additive noise. Equalizers are designed to compensate for channel distortions as well as noise. One may directly design an equalizer given the received signal, or one may first estimate the channel impulse response and then design an equalizer based on the estimated channel. The structure of the equalizer is dictated by channel models, computational complexity and possible exchange of information with a channel (error correction) decoder.

2.03.4.1 Linear equalization

The most common channel equalizer structure is a linear transversal filter. Given model (3.9) for the baud-rate sampled received signal, the linear transversal equalizer output image is an estimate of image given by

image (3.46)

where image are the image-tap weight (equalizer) coefficients of the image-tap equalizer. Two criteria have found widespread use in optimizing the equalizer coefficients: peak distortion criterion and mean-square error (MSE) criterion. Under the MSE criterion one chooses images to minimize image. Linear equalizers designed on the basis of the baud-rate sampled received signal are quite sensitive to symbol timing errors [25]. Therefore, fractionally-spaced linear equalizers (typically with twice the baud-rate sampling: oversampling by a factor of two) are quite widely used to mitigate sensitivity to symbol timing errors. A fractionally spaced equalizer (FSE) in the linear transversal structure has the output

image (3.47)

where image are the image tap weight coefficients of the ith sub-equalizer. Note that the FSE outputs data at the symbol rate. Various criteria and cost functions exist to design the linear equalizers in both batch and recursive (adaptive) form [1, Chapters 10, 14].

For time-varying channels the equalizer coefficients image or image in (3.46) and (3.47), respectively, are also functions of k. An alternative is to use either a BEM-based equalizer with time-invariant equalizer coefficients coupled with time-varying exponential basis function [67] or a Kalman fixed-lag smoother (Kalman Detector) [68]. To illustrate the Kalman detector, consider a multi-input multi-output (MIMO) channel with K inputs (users, antennas, image) and N outputs (receivers, antennas, image); one can adapt this easily to single-input single-output (SISO) or single-input multi-output (SIMO) systems. Let image denote kth user’s information sequence that is input to the time-varying channel with discrete-time response image (channel response for the kth user at time instance n to a unit input at time instance image). We assume that images are mutually independent and identically distributed (i.i.d.) with zero mean and variance image for image. Then, at symbol-rate sampling, the noisy N-column channel output vector is given by (image)

image (3.48)

where the N-column vector image is zero-mean, white, uncorrelated with image, complex Gaussian noise, with the autocorrelation image. Define

image

Then we may rewrite (3.48) as

image (3.49)

2.03.4.1.1 Kalman detector (KD)

The Kalman filter, together with a quantizer, acts as the symbol detector at the receiver end. The state and the measurement equations are given by

image (3.50)

image (3.51)

with the following definitions

image

where image is K-column vector of symbols (data or training), image is the known or estimated image channel matrix and integer image (it will also be the equalization delay). Assume data symbols are zero-mean and white. If image is a data symbol, we have image and image; if image is a training symbol, image and image.

Kalman filtering for the system described by (3.50) and (3.51) is initialized with

image

where image denotes the estimate of image given the observations image, and image denotes the error covariance matrix of image, defined as

image

Then recursive filtering (for image) is applied via the following steps:

1. Time update:

image

2. Kalman gain:

image

3. Measurement update:

image

The estimated state vector is given by

image

and we extract its last (K-column vector) term image as the desired equalized output for K-users with equalization delay d. Finally, we hard-quantize image to acquire the detected symbols.

When using the estimated channel, one may rewrite the received signal (3.48) as

image (3.52)

where the “effective” noise is image instead of image. In order to compensate for this channel estimation error, as a first-order approximation, one may wish to take the variance of image in (3.52) to be larger than image, the variance of image.

2.03.4.2 Decision feedback equalization

Linear equalizers do not perform well when the underlying channels have deep spectral nulls in the passband. Several nonlinear equalizers have been developed to deal with such channels. One of them Decision Feedback Equalizer (DFE) is a nonlinear equalizer that employs previously detected symbols to eliminate the ISI due to the previously detected symbols on the current symbol to be detected. The use of the previously detected symbols makes the equalizer output a nonlinear function of the data. DFE can be symbol-spaced or fractionally spaced.

In [69,70] MMSE design of finite-length DFEs have been considered for time-invariant channels. Their approach extends trivially to time-varying channels. We now discuss application of their approach to model (3.48).

The DFE structure is shown in Figure 3.3 to equalize the delayed symbols image, with the feed-forward (FF) and feed-back (FB) filters. Since each measurement image contains inter-symbol-interference (ISI) caused by prior symbols, DFE is designed to reduce ISI and to recover image using FIR filters. The FF filter takes current and prior measurements image as its input to get information correlated with ISI and to remove its effect.

image

Figure 3.3 Decision-feedback equalizer (DFE).

Stack the inputs of the FF filter with image taps at time n into a “tall” vector

image

where image is N -column vector and also define image likewise. Then, the received signal is given as

image (3.53)

with

image

where image is image matrix channel response at time n to a unit input at time image and image is K-column vector. As shown in Figure 3.3, the input to the FB filter comes from the decision output, denoted by image. The FB filter uses prior symbol decisions to cancel the trailing ISI by mapping the estimate image to the closest point in the symbol constellation. We define the input vector of FB filter with image taps as

image

The estimate of the information symbol, image is obtained by combining the outputs of FF and FB filters and can be written at time n with delay d as

image (3.54)

where images (that are image matrices) and images (that are image matrices) are the taps of FF and FB time-varying filters at time n, and image is the hard decision of image. The estimate image is also fed into the quantizer to obtain the symbol decision image. Let image and image denote the vectors of time-varying taps of FF and FB filters,

image

then the error signal is given by

image (3.55)

Assuming the decisions image are correct and equal to image, we can solve a nonlinear optimization problem which minimizes the variance of the error signal in (3.55),

image (3.56)

Solve a standard linear least-mean-squares estimation problem over image with image fixed and then we have a constrained optimization problem; note that the leading entry of image is the identity matrix. Therefore, the FF and the FB time-varying filters of the MMSE-DFE are given by [69]

image (3.57)

image (3.58)

where

image

By the assumption that image are independent and identically distributed (i.i.d.) with variance image, and based on (3.53), we have

image

where

image

Using (3.57) and (3.58) in (3.54), we have the symbol estimate image.

2.03.4.3 Maximum likelihood sequence detection

Maximum Likelihood Sequence Detector (MLSD) estimates the information sequence to maximize the joint probability of the received sequence conditioned on the information sequence. It is sequence estimator compared to the linear equalizers and DFE which are symbol-by-symbol detectors. For a scalar system a detailed discussion may be found in [1]; for MIMO channels see [71, Section 7.8]. The optimal equalization methods for minimizing sequence error rate or the bit error rate (BER) are based on MAP (maximum a posteriori) estimation, which turns into maximum likelihood (ML) estimation when the transmitted symbols are equally likely. For instance, see Viterbi algorithm (VA) [1,72,73] for ML sequence estimation and BCJR algorithm [74] for MAP sequence estimation. The MAP/ML-based solutions often suffer from high computational load for channels with long memory or large constellation sizes. For model (3.9), the ML estimate of the channel input sequence image based on a sequence of channel output image and given knowledge of the channel, can be obtained by maximizing the likelihood function, or equivalently, by minimizing

image (3.59)

If the symbol alphabet size is M, then the Viterbi algorithm can be implemented by denoting image states as all possible L-tuples of image. The trellis is determined by the symbol alphabet image while the metrics of the Viterbi algorithm depend upon the channel.

2.03.4.4 Turbo equalization

In turbo equalization one exploits the information obtained from a channel decoder to improve equalization. A practical digital communication system has a forward error correction (FEC) channel encoder at the transmitter which adds redundancies to the information symbols before transmitting the encoded sequence over the channel. At the receiver, compensation for channel distortions is the task of equalizers while subsequent recovery of the data symbols from the equalized (and quantized) symbols making use of the FEC encoding is the task for the channel decoder. Typically these two tasks are considered separately (to reduce computational complexity) with limited interaction between the two [75]. An optimal joint processing of the equalization and decoding steps is usually impossible due to complexity considerations. A number of iterative receiver algorithms repeat the equalization and decoding tasks on the same set of received data, where feedback information from the decoder is incorporated into the equalization process. This method, called turbo equalization, was originally developed for concatenated convolutional codes (turbo code [76]) and is now adapted to various communication problems.

Communicating soft information probability distribution between the equalizer and the decoder, instead of hard information (symbol estimates only), improves the BER performance but usually requires more complex decoding algorithms. State-of-the-art systems for a variety of communication channels employ convolutional codes and ML equalizers together with an interleaver after the encoder and a deinterleaver before the decoder [75]. Interleaving shuffles symbols within a given time frame or block of data and thus decorrelates error events introduced by the equalizer between neighboring symbols. The MAP/ML-based solutions often suffer from high computational load for channels with long memory or large constellation sizes (expensive equalizer) or convolutional codes with long memory (expensive decoder). This situation is exacerbated by the need to perform equalization and decoding several times for each block of data. A major research issue is thus the complexity reduction of such iterative algorithms.

2.03.4.4.1 Principle of turbo equalization

Consider a simple transmitter where a sequence of data image is encoded to the code symbols image with a code rate image, which is interleaved in a block and then mapped into binary phase shift keying (BPSK) symbols. Figure 3.4 depicts the receiver structure for turbo equalization [77], where both the soft-input soft-output (image: we use subscript f to distinguish between single-input single-output abbreviated as SISO and soft-input soft-output abbreviated as image) equalizer and image decoder are of the MAP type. The extrinsic log-likelihood ratios (LLRs), image are transferred iteratively between the equalizer and decoder. [The subscript “e” for representing “extrinsic,” the superscript “E” and “D” for output of “Equalizer” and “Decoder” respectively]. The MAP equalizer computes the a posteriori probabilities (APPs) given image received symbols, image and generates the extrinsic LLR as (a posteriori LLR – a priori LLR)

image (3.60)

The a priori LLR of the MAP equalizer, image is provided by the interleaved output of the MAP decoder at the previous iteration but image for the first iteration. The extrinsic LLRs image produced by the MAP demodulator is sent to the MAP decoder as the a priori LLRs for channel decoding. Based on the a priori LLRs and the channel code constraints, the MAP decoder computes the APPs image and generates the extrinsic LLR as

image (3.61)

The extrinsic output of the MAP decoder is fed back to the MAP equalizer iteratively. Note that (3.60) and (3.61) are valid only if the a posteriori outputs are independent of the a priori inputs for the equalizer and the decoder. Assuming ideal interleaver between the equalizer and the decoder, we can apply the turbo principle and the correct ordering of the LLRs image and image, which are input to the MAP decoder and the MAP equalizer respectively. The MAP decoder also compute the a posteriori probabilities of the input data bit and then the data estimate image as

image (3.62)

image

Figure 3.4 A turbo equalization receiver.

By combining a MAP equalizer and a MAP decoder, and exchanging probabilistic information about data symbols iteratively, turbo equalization usually can achieve close-to-optimal performance but much lower complexity [77,78]. In [79], a turbo-equalization-like system using linear equalizers based on soft interference cancellation and linear minimum mean-square error (MMSE) filtering is proposed as part of a multiuser detector for CDMA. Based on this work, a variety of image equalizers employing linear MMSE and decision feedback equalization (DFE) are proposed in [75,80,81].

2.03.4.4.2 Turbo equalization for doubly-selective channels

For doubly-selective channels, an adaptive image equalizer has been presented in [5], using extended Kalman filter (EKF) to incorporate channel estimation into the equalization process. This adaptive soft nonlinear Kalman equalizer takes the soft decisions of data symbols from the image decoder as its a priori information, and performs equalization process iteratively. With such an approach, the proposed scheme jointly optimizes the estimates of the channel and data symbols in each iteration. This avoids the common drawback in separate channel estimation and equalization/detection approach in that the correlation between channel estimate and data symbol decision is considered. The complexity of the method of [5] is comparable to that of the turbo equalizers using linear filters [8284], and is usually much lower than that of the ML/MAP based joint channel estimation and data detection schemes.

Based on the turbo equalization approach proposed in [5] and CE-BEM, an adaptive turbo equalizer with nonlinear Kalman filtering has been proposed in [85]. It is discussed in more detail in later under adaptive channel estimation and equalization.

2.03.5 Precoding

Thus far we have discussed channel estimation and equalization at the receiver. The basic idea behind channel precoding is that if the channel state information (CSI) is known at the transmit side, one can move the “equalizer” to the transmitter thereby simplifying the equalizer at the receiver and/or minimizing noise enhancement at the receiver [1,8688]. In the SISO case precoding helps in ISI mitigation. In the MIMO case the objective is both ISI cancellation and multiuser/multiantenna interference mitigation. The book [87] provides a recent comprehensive review of recent advances, and [89,90] are good review articles for SISO and MIMO channels, respectively.

2.03.5.1 Precoding for SISO channels

Precoding the information symbols at the transmitter with full knowledge of CSI to mitigate ISI was first proposed in [86,88]. Since then it has been generalized to a wide variety of scenarios [87,89,90]. In the original works of [86,88], real-valued M ary PAM (pulse amplitude modulation) signal set was considered which is what we do here. The information alphabet is taken from the set image. Consider the channel given by (3.9). Unlike (3.9), the information symbol image is precoded to image chosen from image as follows

image (3.63)

The transmitter transmits the precoded sequence image instead of image over the channel represented by (3.9). At the receiver one has image. By (3.63) there exists a unique integer image such that

image (3.64)

Using z-transform of the sequences in (3.64) we have

image (3.65)

Therefore at the receiver we have the image-transform of the received sequence image as

image (3.66)

Thus there is no ISI in (3.66) unlike (3.9).

2.03.5.2 Precoding for MIMO channels

This is a very active area of current research [87,90] and our overview will be quite brief. The basic idea here is to map a block of information symbols image into a larger block of data image via some linear transformation (precoding) image, and the precoded symbol block image is then modulated and transmitted over the channel. At the receiver one designs a decoder image to operate on the noisy received signal block image (image represents the channel effect) to yield the symbol block estimate image. The structure of image, the redundancy added per block and the design criteria for the choice of precoder-decoder pair image and image together with the underlying channel matrix image dictate the resulting performance of the system.

Consider (3.49) with K users (transmit antennas), N receive antennas and input of precoded symbols image instead of information symbols image. Following [91], for some integer image, let image and define the blocks

image (3.67)

image (3.68)

where image is image and image is image. In (3.68) the first L vectors have been deleted to cancel interblock interference (IBI); an alternative is to zero-pad the tail of every block image [91]. From (3.49), (3.67), and (3.68), one can deduce

image (3.69)

where image is an image block-banded matrix and it becomes a block Toeplitz matrix for time-invariant channels. A block of image information symbols image is precoded as

image (3.70)

In [91] under additive white Gaussian noise, various designs of precoder-decoder pairs image are considered. Let

image (3.71)

For given image and image, decoder image is chosen to minimize image. Then under a transmit power or similar constraint, image is chosen to minimize a function of image.

The joint linear precoder/decoder design is in general a complicated non-convex problem [87]. The linear precoder/decoder optimization decouples the MIMO channel into parallel subchannels if the criterion is the minimization of the weighted sum of MSEs of all subchannels. Note also that MSE is not the only criterion for precoder design; other criteria include maximization of SNR, maximization of information rate, and minimization of bit error probability [87].

2.03.5.3 Precoding with partial or no CSI at transmitter

When the channel is time-varying, the assumption of knowledge of CSI at the transmitter is not entirely justified. Then an appropriate approach is to design precoder/decoder on the basis of the statistical knowledge of the CSI or resort to blind methods. For precoder designs using the first- and second-order statistics of the channels at the transmitter, see [92] and references therein. Precoding can also facilitate blind channel estimation and equalization in the absence of any training; see [93,94] and references therein.

A fairly comprehensive review of some of these issues and techniques may be found in [87,90].

2.03.6 Tracking

2.03.6.1 Adaptive channel estimation for slowly varying channels

When the channel characteristics vary slowly with time, recursive implementations of the “traditional” (linear or DFE) equalizers aided with initial transmission of a training sequence work well [1, Chapter 11]. The equalization parameters are often updated through the MMSE criterion. This requires that a known channel input sequence be transmitted initially. Adaptive channel equalizers begin adaptation with the assistance of a known training sequence transmitted during the initial training stage by the transmitter. Since the input signal is available, adaptive algorithms can be used to adjust the equalizer parameters by minimizing the MSE between the equalizer output and the known channel input with an equalization delay image. After training, equalizer parameters should be sufficiently close to the desired settings such that much of the ISI is removed. As the channel input can now be correctly recovered from the equalizer output through a decision device (hard quantizer), the second (operational) stage can begin. In the operational stage, the receivers typically switch to decision-directed mode where the equalized signal is sent to a symbol detector and the detected symbols are used as a (pseudo-)training sequence to update equalizer coefficients. Baud-rate linear transversal equalizers, FSE and DFE all can be updated in this way. During either stage, the equalizer parameters can be determined using the well-known recursive least-squares (RLS) or least mean square (LMS) algorithms [1,70].

In the absence of training, blind equalizers may be employed; they tend to be much slower in convergence and tracking.

2.03.6.2 Block-adaptive channel estimation using CE-BEM

Here we summarize the time-multiplexed training approach of [11]. In [11] each transmitted block of symbols image is segmented into image subblocks of time-multiplexed training and information symbols. Each subblock is of equal length image symbols with image information symbols and image training symbols (image). If image denotes a column-vector composed of image, then image is arranged as

image (3.72)

where image is a column of image information symbols and image is a column of image training symbols. We clearly have image. Given (3.8) and CE-BEM (3.17), Ma et al. [11] has shown that (3.72) is an optimum structure for image with image and

image (3.73)

Thus, given a transmission block of size image symbols have to be devoted to training and the remaining image are available for information symbols.

Let image (image) denote the location of (nonzero) image’s in the optimum image’s in the P subblocks. Then by design, received signal (assuming timing synchronization)

image (3.74)

for image. Using (3.17) in these images, one can uniquely obtain images via a least-squares approach. The channel estimates are given by the CE-BEM (3.17) using the estimated BEM coefficients.

2.03.6.3 Adaptive channel estimation via subblock tracking

Suppose that we collect the received signal over a time interval of image symbols. We wish to estimate the time-variant channel using a channel model and time-multiplexed training (such as that discussed in Section 2.03.6.2 and [11]), and subsequently using the estimated channel, estimate the information symbols. For CE-BEM, if we choose image as the block size, then in general Q value will be very high requiring estimation of a large number of parameters, thereby degrading the channel estimation performance. If we divide image into blocks of size image, and then fit CE-BEM block by block, we need smaller Q; however, estimation of image’s is now based on a shorter observation size of image symbols which might also degrade channel estimation performance. Thus one has to strike a balance between estimation variance and block size. Such considerations do not apply to the AR channel model fitting. [95] proposes a novel subblock tracking approach to CE-BEM channel estimation where one updates estimates of images every subblock based on all of the past training symbols (see Figure 3.5).

image

Figure 3.5 Subblock-wise channel estimation: overlapping blocks and subblocks, where one block comprises several subblocks and each subblock has an information session followed by a training session.

By exploiting the invariance of the coefficients of CE-BEM over each block, hence, each of the image subblocks per block of length image symbols, one seeks subblock-wise tracking of the BEM coefficients of the doubly-selective channel. Consider two overlapping blocks that differ by just one subblock: blocks with image where image for the “past” block and image for the “current” block. If the two blocks overlap so significantly, one would expect the BEM coefficients to vary only a little from the past block to the current overlapping block. Therefore, rather than estimate images anew with every non-overlapping block as in Section 2.03.6.2 and [11], one can track the BEM coefficients subblock by subblock using a first-order AR model for their variations. Stack the channel coefficients in (3.17) into vectors

image (3.75)

image (3.76)

of size Q and image respectively. The coefficient vector in (3.76) for the pth subblock (image) will be denoted by image. We assume that the BEM coefficients over each subblock are Markovian: a simplified model is given by the first-order AR process, i.e.,

image (3.77)

where image is the AR coefficient, and the driving noise vector image is zero-mean complex Gaussian with variance image and statistically independent of image. If the channel is stationary and coefficients images are independent (as assumed in [11]), then it follows from (3.77) that image with image. Since the coefficients evolve slowly, we have image (but image for tracking). Under this formulation we do not have a “strict” definition of the block size image because, although we still use (3.17) for any n, we allow images to change subblock by subblock based on the training symbols.

Define image. If at time n the pth subblock is being received, by (3.6), (3.173.19) and (3.753.76), the received signal can be written as

image (3.78)

where image. Treating (3.77) and (3.78) as the state and the measurement equations respectively, Kalman filtering can be applied to track the coefficient vector imagefor each subblock; further details are in [95]. Alternatively, one can devise RLS-based approaches for subblock-based tracking one does not need any prior models for BEM coefficients; further details are in [95].

2.03.6.4 Symbol-adaptive joint channel estimation and data detection

Representative approaches in this category are [4,5] and references therein. A Gauss-Markov model for channel variations (typically an autoregressive model) is coupled with a state-space model for received data to form an augmented state-space model with nonlinear measurement equation. This results in a nonlinear state estimation problem. In [4] a finite-length minimum mean-square error (MMSE) DFE is used during non-data-aided periods to generate hard decisions. Reference [5] presents a low complexity turbo equalization receiver for coded signals where a nonlinear Kalman filtering based adaptive equalizer (using Extended Kalman Filter (EKF)) is coupled with a soft-in soft-out decoder. These approaches work well so long as the channel does not fade too fast.

2.03.6.4.1 Turbo equalization using EKF and CE-BEM

Now we describe an extension of [5] as reported in [85] where a CE-BEM-based subblock tracking model (with one sample long subblock) is used. Kin and Tuguait [85] considers two overlapping blocks (each of image symbols) that differ by just one symbol: the “past” block beginning at time image and the “present” block beginning at time image. Since the two blocks overlap so significantly, one would expect the BEM coefficients to vary only “a little” from the past block to the present overlapping one. One can track the BEM coefficients (rather than the channel tap gains) symbol-by-symbol using a first-order AR model for their variations. Kin and Tuguait [85] use (3.17) for all times n, not just the particular block of size image symbols, by allowing the coefficients images to change with time. Note that model (3.17) is periodic with period image whereas the channel is by no means periodic. So long as the effective “memory” of the Kalman filter used later is less than the model period image, there are no deleterious effects due to the use of (3.17) for all time.

Bit-Interleaved Coded Modulation (BICM). We consider a BICM transmitter (as in [96]) for a doubly-selective fading channel as shown in Figure 3.6. A sequence of independent data vector image are fed into a convolutional encoder with a code rate image. The coded output image is passed through a bit-wise random interleaver image, generating the interleaved coded bit sequence image. The binary coded bits are then mapped to a signal sequence image over a 2-dimensional signal constellation image of cardinality image by a image-ary modulator with an one-to-one binary map image. In this section, we only consider the case of phase-shift keying (PSK) or quadrature amplitude modulation (QAM) with the average energy of the constellation image to be unity. That is, the signal image drawn from image has mean image and variance image. After modulation, we periodically insert short training sequences into the data symbol sequence. The training symbols image, which are known to the receiver, are randomly drawn from the signal constellation image with equal probabilities. The symbol image will be used to denote the symbol sequence after training image insertion into data symbol sequence image.

image

Figure 3.6 Bit-interleaved coded modulation system model for doubly-selective fading channel.

Receiver structure. A turbo equalization structure, as depicted in Figure 3.7, is employed in the receiver, as in [5] except that [5] uses symbol-wise AR models. The adaptive image equalizer is embedded into the iterative decoding (ID) process of the BICM transmission system (BICM-ID) [96]. In each decoding iteration, the equalizer takes the training symbols and the soft decision information about data symbols supplied by the image decoder from the previous iteration as its a priori information to perform joint adaptive channel estimation and equalization. The equalizer produces the soft-valued extrinsic estimate of the data symbols, which are independent of their a priori information. The output of the equalizer is an updated sequence of soft estimates image and its error variance image. Using the adaptive image equalizer described later, we have extrinsic information for the data symbols image. The training symbols are removed at the image equalizer output and the iterative process that follows is only for data symbols. The image equalizer based on the CE-BEM is described later. The image demodulator follows [96] whereas the image decoder follows the MAP decoding algorithm (“BCJR”) [99] Section 6.2.

image

Figure 3.7 Turbo equalization receiver. Following [5,97,98] and contrary to the original turbo principle, a posteriori LLR image instead of the extrinsic LLR image can be input to the LLR-to-symbol block. Inclusion of image to create a posteriori LLR is shown via dashed line. For our proposed approach we follow [5,97,98].

Adaptiveimagenonlinear Kalman equalizer. Using a symbol-wise AR-model for channel variations, an adaptive image equalizer using fixed-lag EKF was presented in [5] for joint channel estimation and equalization where their correlation was (implicitly) considered. The CE-BEM model-based image nonlinear Kalman equalizer for turbo equalization follows a similar approach. We will perform equalization with a delay image. Define a parameter

image (3.79)

and the data vector

image (3.80)

In order to apply (extended) Kalman filtering to joint channel estimation and equalization, we stack image (which is given by (3.77) after replacing p therein with n to reflect the fact our subblock size now is one sample) and data vector image together into a image state vector imageat time n as

image (3.81)

As in [5] (and others), we consider the symbol sequence image as a stochastic process so as to utilize the soft decisions on the data symbols generated in the iterative decoding process as its a priori information. We can express image as image where image and image is approximated as a zero-mean uncorrelated sequence such that image, assuming an ideal interleaver. Note that image and image are provided via the a priori information. We have image and image for a data symbol image (where image and image are obtained from the extrinsic LLRs of the image decoder), while image and image for a training symbol image. Using image, the state equation turns out to be

image (3.82)

where

image (3.83)

image (3.84)

the vector

image (3.85)

is zero-mean uncorrelated process noise where image is given in (3.77) and

image (3.86)

The channel output image in (3.6) can be rewritten by CE-BEM given in (3.17) as

image (3.87)

where image and image. Using the state vector that comprises the information symbols and channel coefficients, the measurement equation can be given as

image (3.88)

where

image (3.89)

With (3.82) and (3.88) as the state and measurement equations, respectively, nonlinear Kalman filtering via EKF is applied to track image for joint channel estimation and equalization.

Structure of adaptive soft-input soft-output equalizer. The fixed-lag EKF takes soft inputs and generates a delayed a posteriori estimate for image. In order to generate extrinsic estimate independent of the a priori information image, a “comb” structure in conjunction with the EKF in Figure 3.8 is used for the image equalization, just as in [5]. At each time n, the vertical branch composed of image EKFs produce the extrinsic estimate image, while the horizontal branch keeps updating the a posteriori estimate image and its error covariance image; here image denotes the estimate of image given the observations image, and image denotes the error covariance matrix of image. The first vertical EKF has an input image in place of image to exclude the effect of the a priori information. Let image and image denote the state estimate and its error covariance matrix, respectively, generated by the imageth vertical filtering branch. Then the extrinsic estimate image of image and its error variance image are given by

image (3.90)

image (3.91)

Note that the extrinsic outputs image and image are computed for data symbol image, not for training symbol image, and then used in the later parts of the turbo-equalization receiver (see Figure 3.7). Further details regarding generation of extrinsic estimates can be found in [5].

image

Figure 3.8 Structure of the adaptive image equalizer proposed in [5].

Simulation examples. A random time- and frequency-selective Rayleigh fading channel is considered. We assume image is zero-mean, complex Gaussian, and white with autocorrelation image. We take image (3 taps) and image. For different ls, images are mutually independent and satisfy Jakes’ model. To this end, we simulate each single tap following [100] (with a correction in the Appendix of [13]). We consider a normalized Doppler spread image from 0.001 to 0.01. The additive noise is zero-mean complex white Gaussian. The (receiver) SNR refers to the average energy per symbol over one-sided noise spectral density. In the simulations, we use a four-state convolutional code of rate image with octal generators image. The information block size is set to 3000 bits (image) leading to a coded block size of 6000 bits, and the interleaver size is equal to the coded block size. In the modulator, the QPSK constellation with Gray mapping is used, which gives image and a block size of 3000 symbols. After modulation, training symbol sequences of length image are inserted in front of every image data symbols, leading to a sequence of length image when image and image (20% training overhead).

We compared the following schemes:

• The approach of [83] that uses the linear MMSE equalizer (e.g., [80]) coupled with modified RLS channel estimation, where we set the linear filter length image (6 pre-cursor taps and 3 post-cursor taps are used). This scheme is denoted by “TE-LE.”

• The AR(p) model-based scheme in [5]. The AR(p) model is fitted using [3] to Jakes’ spectrum with image (the maximum anticipated normalized Doppler spread), denoted by “TE-AR5” for AR(5) model and “TE-AR9” for AR(9) model.

• The proposed BEM-based turbo equalization schemes, where we consider BEM period image and 400 respectively, so that image and 9 , respectively, by (3.19). For the channel BEM coefficients, we take the AR-coefficient in (3.17) as image for image and image for image. This scheme is denoted by “TE-BEM(200)” for image and “TE-BEM(400)” for image.

• The turbo equalizer based on the fixed-lag Kalman filter with perfect knowledge of the true channel, denoted by “TrueCH.”

• The turbo equalizer based on the optimum trellis-based MAP (BJCR) method [101] with perfect knowledge of the true channel, denoted by “Opt-MAP-TrueCH.”

We evaluate the performances of various schemes by considering their normalized channel mean square error (NCMSE) and their bit error rates (BER). The NCMSE is defined as

image

where image is the true channel and image is the estimated channel at the ith Monte Carlo run, among total image runs. The BERs are evaluated by employing the equalization delay image, using the decoded information symbol sequences at the turbo-equalization receiver. All the simulation results are based on 1000 runs.

In Figures 3.9 and 3.10, the performance of all the above schemes, under normalized Doppler spread image, are compared for different SNRs. In Figures 3.11 and 3.12 those schemes are compared over varying Doppler spread images, under SNR = 10 dB. It is clear from these figures that since the channel variations are well captured by the BEM coefficients, TE-BEM-based approach yields good performance even for “low” SNRs and over a wide range of Doppler spreads. Note that TE-BEM with larger block parameter image has a (slightly) better performance than with the smaller parameter image. The BER of TE-BEM varies only “slightly” with increasing normalized Doppler spread implying that its performance is not sensitive to the actual Doppler spread. Therefore, we do not have to know the exact Doppler spread of the channel—an upper bound on it is sufficient in practice. The performance of TE-AR5 is significantly worse than that of TE-BEM(200) (the two approaches have comparable computational complexity) in Figure 3.10 with increasing SNR for a fixed image, and is slightly worse in Figure 3.12 for a fixed SNR of 10 dB and varying Doppler spreads. On the other hand, while the performance of TE-AR9 is slightly better than that of TE-BEM(400) (the two approaches have comparable computational complexity) in Figure 3.10 with increasing SNR for a fixed image, it is significantly worse in Figure 3.12 for a fixed SNR of 10 dB and varying Doppler spreads. While increasing the BEM period image improves performance, increasing the AR model order does not necessarily do so: we get inconsistent performance. A possible reason is that, as noted in [3], AR model fitting to a given correlation function can be numerically ill-conditioned for “large” model orders.

image

Figure 3.9 Turbo equalization: performance comparison for SNRs under image (20% training overhead).

image

Figure 3.10 Turbo equalization: performance comparison for SNRs under image (20% training overhead).

image

Figure 3.11 Turbo equalization: performance comparison for normalized Doppler spread (image)s under image (20% training overhead).

image

Figure 3.12 Turbo equalization: performance comparison for normalized Doppler spread (image)s under image (20% training overhead).

In Figures 3.10 and 3.12 the scheme TE-LE refers to the approach of [83] that uses the linear MMSE equalizer (e.g., [80]) coupled with modified RLS channel estimation. It is seen that this approach only works for normalized Doppler spread values of image0.002. In Figure 3.10 we also present the performance of the turbo equalizer based on the fixed-lag Kalman filter with knowledge of the true channel (curves with plus sign marker and labeled “TrueCH”) in order to illustrate the effectiveness of the proposed channel estimation approach; as there was little improvement beyond the second iteration, we only show the second iterative result with dotted curve labeled “TrueCH.” It is seen that there is a slightly more than 2 dB SNR penalty due to channel estimation. As has been noted in the literature, the Kalman filter based equalization is a sub-optimum equalizer compared to the trellis-based MAP (BCJR) equalizer [101]. In Figure 3.10 we present the performance of the turbo equalizer based on the optimum BCJR method with knowledge of the true channel (curves with asterisk marker and labeled “Opt-MAP-TrueCH”) in order to illustrate loss in performance due to suboptimality of the Kalman equalizer; as there was little improvement beyond the second iteration, we only show the second iterative result with dotted curve labeled “Opt-MAP-TrueCH”. It is seen that while there is a large difference in performance initially (see 1st iteration results for “TrueCH” and “Opt-MAP-TrueCH” where both are dashed curves with plus sign and asterisk markers, respectively), just one turbo iteration yields very close performance (see the two dotted curves). That is, at least for this example, performance loss in using Kalman equalizer instead of the BCJR equalizer is quite negligible.

2.03.7 Conclusion

A review of various approaches to channel estimation and equalization for communications systems was presented. Emphasis was on linear baseband equivalent models with a tapped delay line structure, and both time-invariant and time-variant (doubly-selective) models were discussed. Also emphasis was on basis expansion modeling for time-variant channels where the basis functions are related to the physical parameters of the channel (such as Doppler and delay spreads). Channel modeling was followed by a discussion of various approaches to channel estimation including training-based approaches, blind approaches, semi-blind approaches and superimposed training based approaches. Channel estimation approaches were followed by a discussion of channel equalization approaches including turbo-equalization for time-varying channels. A brief discussion of precoding was presented when the channel state information is available at the transmitter. We concluded the chapter with a discussion of channel tracking and combined data detection and channel tracking for time-varying channels. Channel tracking can be at block level suitable for block transmissions, or symbol-by-symbol level suitable for serial transmissions. Some of the approaches were illustrated via simulations.

Relevant Theory: Signal Processing Theory

See Vol. 1, Chapter 11 Parametric Estimation

See Vol. 1, Chapter 12 Adaptive Filters

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