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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999 217 Adaptive Antenna Arrays for OFDM Systems With Cochannel Interference Ye (Geoffrey) Li, Senior Member, IEEE, and Nelson R. Sollenberger, Fellow, IEEE Abstract— Orthogonal frequency-division multiplexing (OFDM) is one of the promising techniques for future mobile wireless data systems. For OFDM systems with cochannel interference, adaptive antenna arrays can be used for interference suppression. This paper focuses on a key issue for adaptive antenna arrays, that is, parameter estimation for the minimum mean square error (MMSE) diversity combiner (DC). Using the instantaneous corre- lation estimation approach developed in the paper, an original parameter estimator for the MMSE-DC is derived. Based on the original estimator, we propose an enhanced parameter estimator. Extensive computer simulation demonstrates that the MMSE- DC using the proposed parameter estimators can effectively suppress both synchronous and asynchronous interference in OFDM systems for packet and continuous data transmission. Index Terms—Interference suppression, MMSE diversity com- biner, mobile wireless channel, parameter estimation. I. INTRODUCTION O RTHOGONAL frequency division multiplexing (OFDM) [1]–[5] is one of the promising techniques for achieving the high-speed data rate required in future wireless data systems. OFDM increases the symbol duration by dividing the entire channel into many narrow subchannels and transmitting data in parallel. Therefore, it is one of the most effective techniques for combatting multipath delay spread over mobile wireless channels. For OFDM systems with cochannel interference, adaptive antenna arrays are desirable. These require that the parameters for the minimum mean square error (MMSE) diversity combiner (DC) be estimated. For OFDM systems without cochannel interference, channel parameter estimation [3], [6]–[9] has been investigated to improve system performance by allowing for coherent de- modulation. Moreover, for systems with receiver diversity, the maximum-ratio (MR) DC, which is equivalent to the MMSE- DC in this case, can be obtained using estimated channel parameters. In [7] and [8], a channel estimator for OFDM systems has been developed based on the singular-value- decomposition or frequency-domain filtering. Time-domain filtering has been proposed in [3] and [6] to further improve the performance of channel estimators. In [9], we have studied a robust channel estimator for OFDM systems based on both the time- and frequency-domain filtering. This estimator is not as Paper approved by K.-C. Chen, the Editor for Wireless Data Communication of the IEEE Communications Society. Manuscript received December 19, 1997; revised June 10, 1998; and July 7, 1998. This paper was presented in part at the IEEE GLOBECOM’98, Sydney, Australia, November 1998. The authors are with the Wireless Systems Research Department, AT&T Labs-Research, Red Bank, NJ 07701-7033 USA (e-mail: [email protected]; [email protected]). Publisher Item Identifier S 0090-6778(99)01915-7. sensitive to the channel statistics compared Wiener or MMSE estimator. Adaptive antenna arrays [10]–[14] have been successfully used in TDMA mobile wireless systems to mitigate rapid dispersive fading, suppress cochannel interference, and, there- fore, improve communication capacity. For systems with flat fading, the direct matrix inversion (DMI) [10], [11] or the diagonal loading DMI (DMI/DL) [12] algorithm for antenna diversity can be used to enhance desired signal reception and suppress interference effectively. The DMI/DL algorithm [13], [14] can be also used for spatial-temporal equalization in TDMA systems to suppress both intersymbol and cochannel interference. In this paper, we study the use of adaptive antenna arrays in the OFDM systems to suppress cochannel interference. The difficulty of adaptive antenna arrays for OFDM systems stems from the fast change of parameters for the MMSE-DC because OFDM systems have much longer symbol duration than that of single carrier or TDMA systems. Hence, the parameter estimation approaches for TDMA systems [12]–[14] are not applicable to OFDM systems. Our investigation here, therefore, emphasizes the parameter estimation for the MMSE- DC for both packet and continuous data transmission. The rest of the paper is organized as follows. Section II describes adaptive antenna arrays for OFDM systems with cochannel interference. Section III introduces a basic approach to estimate the instantaneous correlation required to calculate the parameters of the MMSE-DC. Next, Section IV develops improved approaches for channel parameter and instantaneous correlation estimations, which, therefore, enhance the param- eter estimator for the MMSE-DC. Finally, Section V presents extensive computer simulation results to demonstrate the ef- fectiveness of adaptive antenna arrays for OFDM systems. II. OFDM SYSTEMS WITH ADAPTIVE ANTENNA ARRAYS In this section, we first introduce the mathematical model of OFDM systems with receiver diversity and then describe adap- tive antenna arrays for systems with cochannel interference. A. OFDM Systems with Receiver Diversity The OFDM system with receiver diversity considered in this paper is shown in Fig. 1. ’s, binary data to be transmit- ted, are coded into ’s across tones of each OFDM block using the Reed–Solomon (R–S) code to correct the burst errors resulting from frequency-selective fading. ’s are then modulated into ’s using PSK modulation. 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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999 217

Adaptive Antenna Arrays for OFDM SystemsWith Cochannel Interference

Ye (Geoffrey) Li, Senior Member, IEEE, and Nelson R. Sollenberger,Fellow, IEEE

Abstract—Orthogonal frequency-division multiplexing (OFDM)is one of the promising techniques for future mobile wirelessdata systems. For OFDM systems with cochannel interference,adaptive antenna arrays can be used for interference suppression.This paper focuses on a key issue for adaptive antenna arrays,that is, parameter estimation for the minimum mean square error(MMSE) diversity combiner(DC). Using the instantaneous corre-lation estimation approach developed in the paper, anoriginalparameter estimatorfor the MMSE-DC is derived. Based on theoriginal estimator, we propose anenhanced parameter estimator.Extensive computer simulation demonstrates that the MMSE-DC using the proposed parameter estimators can effectivelysuppress both synchronous and asynchronous interference inOFDM systems for packet and continuous data transmission.

Index Terms—Interference suppression, MMSE diversity com-biner, mobile wireless channel, parameter estimation.

I. INTRODUCTION

ORTHOGONAL frequency division multiplexing(OFDM) [1]–[5] is one of the promising techniques for

achieving the high-speed data rate required in future wirelessdata systems. OFDM increases the symbol duration bydividing the entire channel into many narrow subchannels andtransmitting data in parallel. Therefore, it is one of the mosteffective techniques for combatting multipath delay spreadover mobile wireless channels. For OFDM systems withcochannel interference, adaptive antenna arrays are desirable.These require that the parameters for theminimum meansquare error(MMSE) diversity combiner (DC) be estimated.

For OFDM systems without cochannel interference, channelparameter estimation [3], [6]–[9] has been investigated toimprove system performance by allowing for coherent de-modulation. Moreover, for systems with receiver diversity, themaximum-ratio (MR) DC, which is equivalent to the MMSE-DC in this case, can be obtained using estimated channelparameters. In [7] and [8], a channel estimator for OFDMsystems has been developed based on the singular-value-decomposition or frequency-domain filtering. Time-domainfiltering has been proposed in [3] and [6] to further improve theperformance of channel estimators. In [9], we have studied arobust channel estimator for OFDM systems based on both thetime- and frequency-domain filtering. This estimator is not as

Paper approved by K.-C. Chen, the Editor for Wireless Data Communicationof the IEEE Communications Society. Manuscript received December 19,1997; revised June 10, 1998; and July 7, 1998. This paper was presented inpart at the IEEE GLOBECOM’98, Sydney, Australia, November 1998.

The authors are with the Wireless Systems Research Department,AT&T Labs-Research, Red Bank, NJ 07701-7033 USA (e-mail:[email protected]; [email protected]).

Publisher Item Identifier S 0090-6778(99)01915-7.

sensitive to the channel statistics compared Wiener or MMSEestimator.

Adaptive antenna arrays [10]–[14] have been successfullyused in TDMA mobile wireless systems to mitigate rapiddispersive fading, suppress cochannel interference, and, there-fore, improve communication capacity. For systems with flatfading, the direct matrix inversion (DMI) [10], [11] or thediagonal loading DMI (DMI/DL) [12] algorithm for antennadiversity can be used to enhance desired signal reception andsuppress interference effectively. The DMI/DL algorithm [13],[14] can be also used for spatial-temporal equalization inTDMA systems to suppress both intersymbol and cochannelinterference.

In this paper, we study the use of adaptive antenna arraysin the OFDM systems to suppress cochannel interference.The difficulty of adaptive antenna arrays for OFDM systemsstems from the fast change of parameters for the MMSE-DCbecause OFDM systems have much longer symbol durationthan that of single carrier or TDMA systems. Hence, theparameter estimation approaches for TDMA systems [12]–[14]are not applicable to OFDM systems. Our investigation here,therefore, emphasizes the parameter estimation for the MMSE-DC for both packet and continuous data transmission.

The rest of the paper is organized as follows. Section IIdescribes adaptive antenna arrays for OFDM systems withcochannel interference. Section III introduces a basic approachto estimate the instantaneous correlation required to calculatethe parameters of the MMSE-DC. Next, Section IV developsimproved approaches for channel parameter and instantaneouscorrelation estimations, which, therefore, enhance the param-eter estimator for the MMSE-DC. Finally, Section V presentsextensive computer simulation results to demonstrate the ef-fectiveness of adaptive antenna arrays for OFDM systems.

II. OFDM SYSTEMS WITH ADAPTIVE ANTENNA ARRAYS

In this section, we first introduce the mathematical model ofOFDM systems with receiver diversity and then describe adap-tive antenna arrays for systems with cochannel interference.

A. OFDM Systems with Receiver Diversity

The OFDM system with receiver diversity considered in thispaper is shown in Fig. 1. ’s, binary data to be transmit-ted, are coded into ’s across tones of each OFDM blockusing the Reed–Solomon (R–S) code to correct the burst errorsresulting from frequency-selective fading. ’s are thenmodulated into ’s using PSK modulation. Since the

0090–6778/99$10.00 1999 IEEE

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218 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999

(a)

Fig. 1. OFDM system with the MMSE diversity combiner.

phase shift of each subchannel can be recovered by means ofthe MMSE-DC, coherent phase-shift keying (PSK) modulationis used in the system to exploit an about 3-dB SNR advantageover differential PSK (DPSK).

Let the entire channel bandwidth be divided intosubchan-nels and the OFDM block length be . For -branch receiverdiversity systems with cochannel interference, the receivedsignal from the th antenna at theth tone of the th blockcan be expressed as

(1)

for all and , where is thedesired data from the transmitter at the corresponding blockand tone, is the frequency response for the desiredsignal from the th antenna at the corresponding block andtone, and includes additive complex white Gaussiannoise and cochannel interference.

If an OFDM system has cochannel interferers, thencan be expressed as

(2)

where ’s for are the frequencyresponses corresponding to theth cochannel interferer at the

th antenna at the corresponding block and tone, ’sfor are the complex data from thethcochannel interferer, and is the additive complexwhite Gaussian noise, with zero-mean and variance, fromthe th antenna.

Note that, in the above discussions, we have assumed thatcochannel interferers and the desired signal are synchronizedto simplify the analysis, even though it is not necessarily truefor wireless networks. However, the effects of synchronousand asynchronous interference on the system are similar, asshown by the simulation result in Section V-E. We have alsoignored the effects of timing and frequency offsets on thesystem by assuming that they have been well taken care ofby using timing and frequency estimation.

In this paper, we assume that both the desired and interferingdata areindependent, identically distributed(i.i.d.) complexrandom variables with zero-mean and unit variance. We also

assume that ’s for different ’s or ’s are inde-pendent, stationary, and complex Gaussian with zero-mean,but different variance . Hence, for and

if ; ,

otherwise.(3)

It has been demonstrated in [9] that for time-varying dis-persive, Rayleigh fading channels

(4)

that is, the correlation function of the channel frequencyresponses can be separated into the multiplication of atime-domain correlation and afrequency-domain correlation

. is dependent on the vehicle speed or, equivalently,the Doppler frequency [15], while depends on the delayprofile of the wireless channel. With thisseparation property,we are able to simplify our instantaneous correlation estimatordescribed in the next section.

B. Adaptive Antenna Arrays for OFDM Systems

For OFDM systems without cochannel interference [9],the MR-DC can be obtained with knowledge of the channelparameters only, which is equivalent to the MMSE-DC. How-ever, for OFDM systems with cochannel interference, boththe instantaneouscorrelation of the received signals and thechannel parameters for the desired signal have to be knownto obtain the MMSE-DC.

Let be the instantaneous correlation of the receivedsignals from theth and the th antennas corresponding to thesame block and tone, defined as

(5)

where is the conditional expectationgiven the channelparameters corresponding to both the desired signal and inter-ference. With ’s and ’s, the parameters ofthe MMSE-DC can be calculated by the DMI/DL algorithm[12] as

(6)

where is a identity matrix, is a matrixdefined as

......

...(7)

is a vector defined as

(8)

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LI AND SOLLENBERGER: ADAPTIVE ANTENNA ARRAYS FOR OFDM SYSTEMS WITH COCHANNEL INTERFERENCE 219

and in (5) is a diagonal loading factor that can be determinedby the strategies discussed in [12]–[14]. As indicated in [12],diagonal loading here will prevent the singularity due to thematrix inversion and improve the performance of adaptiveantenna arrays.

With the parameter vector , the desired signal canbe estimated as

(9)

where is the received signal vector defined as

(10)

III. I NSTANTANEOUS CORRELATION ESTIMATION

As indicated in Section II-B, to obtain the parameters for theMMSE-DC in OFDM systems, both the channel parametersand instantaneous correlations of the received signals have tobe estimated. We have already developed a robust channelparameter estimator in [9]. The robust channel parameterestimator makes full use of the time- and frequency-domaincorrelations of channel parameters, and therefore, it is able toestimate channel parameters under low signal-to-noise ratio.Hence, we focus on the instantaneous correlation estimationhere.

A. Configuration of Estimator

Since ’s are correlated for different blocks andtones, the MMSE estimator for can be constructedby

(11)where ’s are selected to minimize

(12)

and is the temporal estimation of the instantaneous corre-lation between the signals from theth and the th antennasdefined as

(13)

Using theorthogonality principle[16], the ’s aredetermined by

(14)

for and , , , , orequivalently

(15)

where

(16)

and

(17)

From the Appendix, (16) and (17) can be written as

(18)

and

(19)

where

(20)

and (21)

Equation (15) can be written in matrix form as

(22)

where , , and are as shown in (23)–(25)at the bottom of the next page, whereis a identitymatrix, is a matrix with all elements being one, and

is a matrix defined as shown in (26) at the bottomof the next page.

Using the discussions in [7]–[9] and the property of thediscrete Fourier transform (DFT) [17]

(27)

where is a DFT matrix defined as

......

(28)

and is a diagonal matrix with elements

(29)

with denoting the circular convolution with modulo ,’s being the eigenvalues of the nonnegative definite matrix

. Note that

Tr (30)

where is the trace of the square matrix , definedas the summation of its diagonal elements. According to [9],for a channel with a maximum delay spread, for

, where denotes the smallestinteger larger than . Hence, for .

Thus, ’s and ’s for , , , canbe simultaneously diagonalized by into

(31)

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220 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999

and

(32)

where and are diagonal matrices with

(33)

(34)

respectively.Equation (22) can be also expressed in the frequency domain

as

(35)

where

(36)

(37)

(38)

and are diagonal matrices with diagonal ele-ments

(39)

and

(40)

respectively.Therefore, the parameters ’s for the MMSE

estimation of are determined by

(41)

where is a diagonal matrix with

(42)

From (33) and (34), there are dc components contained inboth and when , which causes in(42) to be discontinuous at . If the discontinuity ofat is ignored by letting , then thedc component in is affected. However, the diagonalloading algorithm for diversity combining can compensate forthe lost dc component. Hence, in the following discussion, welet

(43)

for and .The above discussion suggests the configuration of the

instantaneous correlation estimator, shown in Fig. 2.

......

......

(23)

......

.. .. . .

.... . .

(24)

and

......

..... .

..... .

(25)

...

......

. . .. . .

.... . .

(26)

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LI AND SOLLENBERGER: ADAPTIVE ANTENNA ARRAYS FOR OFDM SYSTEMS WITH COCHANNEL INTERFERENCE 221

Fig. 2. Instantaneous correlation estimator for the MMSE-DC.

B. Robust Estimation

From (12), the average MSE of the parameter estimationcan be expressed in the frequency domain as

(44)

where Tr denotes the trace of a matrix defined as thesummation of its diagonal elements. For any estimator (notnecessarily the MMSE estimator) with parameters

and

the average MSE of the estimator can be further simplified into

(45)

For an ideal MMSE estimator, the estimator parameters areselected to match the channel statistics, i.e.,

(46)

then

(47)

where

and

(48)

TABLE INMSE’S FOR DIFFERENT ESTIMATORS

Usually, is unknown since the Doppler frequencyof mobile systems is not available, therefore, the estimator isdesigned to match defined as

if

otherwise(49)

then

(50)

and

(51)

Similar to [9], it can be proven that, for any channel withDoppler frequency less than , the average MSE of theestimator matching is .

Since depends on the channel delay profile, whichis usually unknown, the robust correlation estimator shouldmatch

if or

otherwise.

(52)

In this case,

(53)

which is also the average MSE of the instantaneous correlationestimator for those OFDM systems with time-varying disper-sive, Rayleigh fading channels with Doppler frequency lessthan and delay spread less than .

Table I illustrates the normalized average MSE’s (definedas ) of the above three estimators for a two-raychannel with one cochannel interferer. From the table, thereis only a slight degradation if substitutes for .However, robust design in the frequency-domain results in asignificant degradation.

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222 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999

Fig. 3. Enhanced channel parameter estimation.

With the instantaneous correlation estimation approach de-veloped in this section, together with the channel estimationapproach in [9], we are able to estimate the parameters of theMMSE-DC by (6). That is called theoriginal estimator forthe parameters of the MMSE-DC to distinguish it from theenhanced estimatordeveloped in the next section.

IV. ENHANCED APPROACH FORADAPTIVE ANTENNA ARRAY

In this section, we investigate an enhanced approach foradaptive antenna arrays in OFDM systems by improvingboth the channel parameter and the instantaneous correlationestimations.

A. Enhanced Channel Estimation

We have introduced several reference generation approachesin [9]; however, there is no approach to generate the futurereference at the present time. Therefore, at the present time,channel estimation can be only based on the temporal channelestimation up to time for the first-pass channel estimationin Fig. 3.

However, after the first-pass channel estimation, we canobtain the temporal channel estimation at all times. As shownin Fig. 3, if the second-pass channel estimation is applied,then improved channel estimation at timecan be obtainedby exploiting the past, current, and future temporal channelestimations. Assume that the ideal reference, that is, the truetransmitted signal , is used in the first-pass channelestimation. Then, the average MSE for the second-pass robustchannel estimation is

(54)

where

(55)

Recall from [9] that the average MSE for the first-pass robustchannel estimation is

(56)

which is larger than .

B. Enhanced Parameter Estimation

From the definition of the correlation matrix in (7), we have

(57)

where . Using thema-trix inversion lemma[18], we obtain the equation shown atthe bottom of the page. Hence,

(58)

where is defined as

(59)

Hence, there is only an amplitude difference betweenand .

Recall that the OFDM system here uses PSK, which carriesinformation through the phases of tones. Therefore,may substitute for and can be used insteadof .

When the channel parameters and the (desired) transmitteddata are known, then can be obtained by subtract-ing the desired signal components from the received signals

. Let be the estimated channel parametersusing the enhanced approach in Section IV-A, then,can be estimated as

(60)From , can be estimated using the approachdeveloped in Section III. The average MSE forestimation is

(61)

where and are defined as

(62)

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LI AND SOLLENBERGER: ADAPTIVE ANTENNA ARRAYS FOR OFDM SYSTEMS WITH COCHANNEL INTERFERENCE 223

(a)

(b)

Fig. 4. Comparison of the enhanced correlation estimator with the originalone: (a) NMSE versus SNR when SIR= 5 dB, fd = 40 Hz, andtd = 20 �sand (b) NMSE versus SIR when SNR= 10 dB, fd = 40 Hz, andtd = 20

�s.

and

(63)

respectively, with

(64)

Fig. 4 compares the of the original instantaneouscorrelation estimation and the enhanced instantaneous corre-lation estimation. From the figure, the enhanced instantaneouscorrelation estimation has much better performance than theoriginal one.

It should be noted that we have used the ideal data in (60).In practical systems, only the data from the reference generator

are available; that causes a slight performance degradation forthe enhanced correlation approach.

V. COMPUTER SIMULATION

In this section, we demonstrate, through extensive computersimulation, the performance of adaptive antenna arrays forOFDM systems with cochannel interference.

The OFDM system used in our simulation is similar to theone in [2] and [9], except that it has a cochannel interferer withthe same statistics as the desired signal. The entire channelbandwidth (800 kHz) is divided into 128 subchannels. Thefour subchannels on each end are used as guard tones, and therest (120 tones) are used to transmit data. To make the tonesorthogonal to each other, the symbol period is

s. An additional 40-s guard interval is used to protectthe OFDM block from intersymbol interference due to delayspread, which results in the total block length

s and symbol rate kb. QPSK modulation is usedwith coherent modulation. A (40, 20) R–S code, with eachcode symbol consisting of three QPSK symbols grouped infrequency, is used in the system. Hence, each OFDM blockforms an R–S codeword. The R–S decoder erases ten symbolsbased on signal strength and corrects five additional randomerrors. Hence, the simulated system can transmit data at 600kb/s over an 800-kHz channel. To suppress error propagation,10% of the OFDM blocks are periodically inserted as trainingblocks in the data stream. For the enhanced estimation withtwo passes, the second pass uses information contained withinten OFDM blocks using only one synchronization block whichis appropriate for packet transmission.

The undecoded/decoded dual-mode reference[9] is usedfor the channel estimation, which generates references fromthe decoded data if the R–S decoder can successfully correctall errors in an OFDM block; otherwise, it uses the decided(sliced) undecoded symbols.

To gain insights into the average behavior of adaptiveantenna arrays for OFDM systems, we have averaged theperformance over 10 000 blocks. First, we introduce the sim-ulation results for OFDM systems with two antenna diversityand a two-ray channel model.

A. Two-Branch Diversity with a Two-Ray Channel Model

A two-path Rayleigh fading channel model [13], [14] withdifferent delay spreads and Doppler frequencies is used inthe simulations in this section. The channels correspondingto different receivers have the same statistics. Two receiverantennas are used for diversity. The cochannel interferer isassumed to be synchronous with and have the same statisticsas the desired signals.

Figs. 5–7 show the word error rate (WER) of the originaland the enhanced estimators for adaptive antenna arrays inOFDM systems under different channel conditions.

Fig. 5 compares the WER’s of the MMSE-DC and the MR-DC for channels with SIR dB and different SNR’s, ’s,and ’s. Note that without cochannel interference, the MR-DC is equivalent to the MMSE-DC. However, when cochannelinterference exists, the OFDM system with the MMSE-DChas much better performance than the one with the MR-DC.

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224 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999

(a) (b)

(c) (d)

Fig. 5. WER versus SNR for the MMSE-DC’s and the MR-DC’s with different parameter estimators and channels with SIR= 5 dB and (a)fd = 10 Hz,td = 20 �s; (b) fd = 40 Hz, td = 20 �s; (c) fd = 40 Hz, td = 5 �s; and (d)fd = 200 Hz, td = 5 �s.

In particular, the MMSE-DC with the enhanced parameterestimator has better performance than the one with the originalestimator. When Hz and s, the requiredSNR for 10% WER is 13 dB for the enhanced estimator and20 dB for the original one. When Hz and s,the required SNR for the enhanced estimator is about 1.5 dBless than for the original one.

Fig. 6 shows the WER versus SIR for the channels withdifferent ’s, ’s, and SNR’s. When Hz,

s, and SNR dB, the required SIR for 10% WER is aslow as 3.5 dB and the required SIR for 1% WER is about9 dB. With an increase of or , the system performancebecomes worse. For channels with s and SNRdB, the required SIR for 10% WER increases from 3.5 to 4dB when increases from 10 to 40 Hz; for channels with

s and SNR dB, the required SIR for 10% WERincreases from about 1.8 to 5.5 dB whenincreases from 40to 200 Hz. Similarly, for channels with Hz and SNR

dB, the required SIR for 10% WER increases from 1.8to 4 dB when increases from 5 to 20s.

We have also tested the robustness of the estimators byfixing the matching and while changing the delay spreadand Doppler frequency of the channels.

Fig. 7(a) shows the WER versus the channel’s. Fromthe figure, if the channel’s is less than 50 Hz, the estima-tor matching a 40-Hz Doppler frequency has slightly betterperformance than the one matching 200 Hz. However, whenthe channel’s is larger than 50 Hz, the estimator matching200-Hz Doppler frequency is much better than the other one.Hence, when designing a instantaneous correlation estimatorfor adaptive antenna arrays, we should let the estimator matchthe largest possible Doppler frequency of the system to obtainthe best performance. A similar phenomenon is observed inFig. 7(b) when the channel’s delay spread varies and theestimator matches 20 or 40s, respectively. From the figure, ifthe channel’s is less than 20 s, then the estimator matching20 s has much better performance than the one matching40 s. However, when the channel’s is larger than 20 s,the estimator matching 20s does not work at all. Since theperformance of the estimator is very sensitive to its matchingdelay spread, the performance can be significantly improvedif the channel delay spread is adaptively estimated.

B. Four-Branch Diversity with a Two-Ray Channel Model

The channel model used here is the same as the onein the previous section, except that four-branch diversity is

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LI AND SOLLENBERGER: ADAPTIVE ANTENNA ARRAYS FOR OFDM SYSTEMS WITH COCHANNEL INTERFERENCE 225

(a) (b)

(c) (d)

Fig. 6. WER of the MMSE-DC versus SIR for channels with different SNR’s and (a)fd = 10 Hz, td = 20 �s; (b) fd = 40 Hz, td = 20 �s;(c) fd = 40 Hz, td = 5 �s; and (d)fd = 200 Hz, td = 5 �s.

employed. Fig. 8 shows the WER of the OFDM system withan adaptive antenna array for channels with different SNR’s,SIR’s, ’s, and ’s. Fig. 8(a) compares the performance ofthe MMSE-DC with that of the MR-DC when SIR dB,

Hz, and s. Similar to the two-branchcase, the MR-DC does not work well when the system hascochannel interference. On the other hand, for the MMSE-DC, the required SNR for 1% WER is only 10 dB whencochannel interference is as large as SIR dB. WhenSNR dB, the required SIR for the MMSE-DC is as lowas 1.6 dB.

C. Two-Branch Diversity with Different Channel Models

Here, we compare the performance of the MMSE-DCparameter estimator for channels with the two-ray, typical-urban (TU), and hilly-terrain (HT) [19] models, respectively.Note that for the TU or HT model, the delay of each ray is notsample-spaced, hence, there will bedelay leakage. However,from the simulation result in Fig. 9, the system performancefor different channel models is very close, which implies thatdelay leakageof TU and HT models has only negligible effecton the performance of the adaptive antenna arrays for OFDMsystems.

D. Adaptive Delay Spread Estimation

As indicated in Section V-A, the performance of the pa-rameter estimator for the MMSE-DC is very sensitive to theestimator’s matching delay spread. Hence, we need to studyadaptive delay spread estimation for the parameter estimator.

From the discussion in Section III-A, the eigenvalues (’s)of related to by for all .Using this principle, the channel delay spread can be estimatedby observing the average energy of the IFFT output of theinstantaneous correlation estimator in Fig. 2.

Fig. 10 compares the performance of the estimators thatmatch estimated delay spread, true delay spread, 20- and 40-sdelay spreads, respectively. From the figure, the performanceof the estimator with estimated matching delay spread is closeto the one with matching true delay spread and much betterthan the one matching 40-s delay spread when the channel’s

is larger than 10 s. Hence, adaptive delay spread estimationcan be used effectively in adaptive antenna arrays in OFDMsystems to improve the performance.

E. Effect of Asynchronous Cochannel Interference

In the simulations of Sections V-A to V-D, the interferer anddesired signal are assumed to be synchronized (time aligned).

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226 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999

(a)

(b)

Fig. 7. (a) WER versus channel’sfd for channel with SNR= 20 dB, SIR= 5 dB, and td = 5 �s and parameter estimators matchingtd = 5 �sand differentfd’s and (b) WER versus channel’std for channel with SNR= 20 dB, SIR= 5 dB, andfd = 40 Hz and parameter estimators matchingfd = 40 Hz and differenttd ’s.

In practical systems, however, they are not necessarily syn-chronized. Here, we investigate the effect of an asynchronouscochannel interferer on adaptive antenna arrays in OFDMsystems. Fig. 11 illustrates the WER versus the normalizedtime shift ( ) between the desired signal and cochannelinterferer for channels with SNR dB, SIR dB,

Hz, and s. From the figure, the time shiftbetween the desired signal and interferer does not significantlyaffect the performance of adaptive antenna arrays in OFDMsystems. Hence, the results of Sections V-A to V-D are alsoapplicable to systems with asynchronous interference.

VI. CONCLUSIONS

In this paper, we have investigated adaptive antenna arraysfor OFDM systems with cochannel interference. We haveproposed both an original and an enhanced parameter estimatorfor the MMSE-DC in OFDM systems with cochannel inter-

(a)

(b)

Fig. 8. Performance of parameter estimator for system with four antennas.(a) WER versus SNR for channel with SIR= 0 dB, fd = 40 Hz, andtd = 5

�s. (b) WER versus SIR for channel with SNR= 10=20 dB, fd = 40 Hz,and td = 5 �s.

ference. Computer simulation demonstrates that an adaptiveantenna array in OFDM systems can suppress as much as5-dB SIR cochannel synchronous/asynchronous interferencefor two-branch diversity. Hence, this represents a promisingtechnique for future mobile data systems using OFDM.

APPENDIX

STATISTICS OF INSTANTANEOUS CORRELATION

In this Appendix, we derive and in (18)and (19), respectively. Recall that they are respectively definedas

(A.1)

and

(A.2)

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LI AND SOLLENBERGER: ADAPTIVE ANTENNA ARRAYS FOR OFDM SYSTEMS WITH COCHANNEL INTERFERENCE 227

Fig. 9. Comparison of the MMSE-DC for two-ray, TU, and HT channelmodels withfd = 40 Hz and SNR= 20 dB.

From the definition of , we have

(A.3)

Since ’s are stationary Gaussian processes, then

(A.4)

Thus, the first term in (A.3) isand the second term in (A.3) is

Fig. 10. WER versustd for the enhanced parameter estimator using differentdelay spread matching schemes when SNR= 20 dB, SIR = 5 dB, andfd = 40 Hz.

Fig. 11. The effect of asynchronous cochannel interferer to the MMSE-DCwhen SNR= 20 dB, SIR= 5 dB, fd = 40 Hz, andtd = 20 �s.

. Therefore,

(A.5)Using the moment and cumulant relation [20], we have

(A.6)

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228 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 47, NO. 2, FEBRUARY 1999

By means of the linearity of the cumulant,

(A.7)

Since ’s are constant modulus and independent fordifferent , , or , then

Therefore,

(A.8)

It can be shown

(A.9)

Using the above identity, we have

(A.10)

and

(A.11)

Notice that , thus

(A.12)

Substituting (A.8) and (A.10)–(A.12) into (A.6), we have

(A.13)

Using the separation property [9] of the channel correlationfunction, and can be further simplified as

(A.14)

and

(A.15)

where we have used the definitions

(A.16)

and

and (A.17)

ACKNOWLEDGMENT

The authors would like to thank L. S. Ariyavisitakul, L. J.Cimini, and J. H. Winters of AT&T Labs-Research for theirinsightful comments.

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[3] V. Mignone and A. Morello, “CD3-OFDM: A novel demodulationscheme for fixed and mobile receivers,”IEEE Trans. Commun.,vol.44, pp. 1144–1151, Sept. 1996.

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[4] I. Kalet, “The multitone channel,”IEEE Trans. Commun.,vol. 37, pp.119–124, Feb. 1989.

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[7] J.-J. van de Beek, O. Edfors, M. Sandell, S. K. Wilson, and P. O.Borjesson, “On channel estimation in OFDM systems,” inProc. 45thIEEE Vehicular Technology Conf.,Chicago, IL, July 1995, pp. 815–819.

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[10] J. H. Winters, “Signal acquisition and tracking with adaptive arrays inthe digital mobile radio system IS-136 with flat fading,”IEEE Trans.Veh. Technol.,vol. 42, pp. 377–384, Nov. 1993.

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[12] R. L. Cupo, G. D. Golden, C. C. Martin, K. L. Sherman, N. Sollenberger,J. H. Winters, and P. W. Wolniansky, “A four-element adaptive antennaarray for IS-136 PCS base station,” inProc. 47th IEEE VehicularTechnology Conf.,Phoenix, AZ, May 1997, pp. 1577–1581.

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[20] C. L. Nikias and A. P. Petropulu,Higher-Order Spectra Analysis.Englewood Cliffs, NJ: Prentice Hall, 1993.

Ye (Geoffrey) Li (S’93–M’95–SM’97) was born inJiangsu, China, in 1963. He received the B.S.E. andM.S.E. degrees in 1983 and 1986, respectively, fromthe Department of Wireless Engineering, NanjingInstitute of Technology, Nanjing, China, and thePh.D. degree in 1994 from the Department of Elec-trical Engineering, Auburn University, Auburn, AL.

From 1986 to 1991 he was a Teaching Assistantand then a Lecturer with Southeast University, Nan-jing, China. From 1991 to 1994, he was a Researchand Teaching Assistant with Auburn University,

Auburn, AL. From 1994 to 1996, he was a postdoctoral Research Associatewith the University of Maryland, College Park. Since 1996, he has been withAT&T Labs-Research, Red Bank, NJ. His general research interests includestatistical signal processing and wireless mobile systems with emphasis onsignal processing in communications.

Dr. Li is currently serving as a Guest Editor for a special issue on SignalProcessing for Wireless Communications for the IEEE JOURNAL OF SELECTED

AREAS IN COMMUNICATIONS and as an Editor for Wireless CommunicationTheory for the IEEE TRANSACTIONS ON COMMUNICATIONS.

Nelson R. Sollenberger(S’78–M’81–SM’90–F’96)received the B.S.E. degree from Messiah College,Grantham, PA, in 1979 and the M.S.E. degree fromCornell University, Ithaca, NY, in 1981, both inelectrical engineering.

He heads the Wireless Systems Research De-partment at AT&T, Red Bank, NJ. His depart-ment performs research on next generation wirelesssystems concepts and technologies including high-speed transmission methods, smart antennas andadaptive signal processing, system architectures, and

radio link techniques to support wireless multimedia and advanced voiceservices. From 1979 through 1986, he was a member of the Cellular RadioDevelopment Organization at Bell Laboratories. At Bell Laboratories, heinvestigated spectrally efficient analog and digital technologies for second-generation cellular radio systems. In 1987, he joined the Radio ResearchDepartment at Bellcore, and he was the head of that department from 1993to 1995. At Bellcore, he investigated concepts for PACS, the personal accesscommunications system.

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