Forty-Sixth Annual Allerton Conference
1
Allerton House, UIUC, Illinois, USA
September 23-26, 2008
Turbo MIMO Equalization and Decoding in Fast
Fading Mobile Coded OFDM
Daniel N. Liu
Ming Hsieh Department of Electrical Engineering
University of Southern California
Los Angeles, CA 90089, U.S.A.
Abstract—Data detection of coded multiple-input multiple-
output (MIMO) orthogonal frequency division multiplexing
(OFDM) in fast time-varying channels are considered. Main-
taining high performance with manageable complexity relies
on iterative soft-in soft-out equalization and decoding. This
paper derives the optimum front-end demodulation structure
by extending Ungerboeck equalizer formulation to a MIMO
intercarrier interference (ICI) channel. Utilizing the fact that ICI
energy is clustered in adjacent subcarriers, frequency domain
equalization is made localized. This paper further proposes
a computational efficient linear minimum mean square error
(LMMSE) based equalization method: recursive Sliding-Window
(SW) SIC-LMMSE equalizer. Simulation results are reported for
the iterative receivers with application to the mobile worldwide
interoperability for microwave access (WiMAX).
I. I NTRODUCTION
Deploying multiple-input multiple-output (MIMO) orthogo-
nal frequency division multiplexing (OFDM) in a mobile digi-
tal communication system is a way to achieve reliability, high-
data rate and spectral efficiency. With the goal of designing
practical systems that can provide high-quality of service in
such dynamic environment, several challenges arise. Among
these challenges, rapid channel time-variation mainly due to
users’ mobility is certainly an important one. While cyclic pre-
fixed OFDM systems have strong immunity to time-invariant
frequency-selective channels, they suffer severely from time-
varying channels mainly due to intercarrier interference (ICI)
[1], [2]. This paper examines the design of the optimum
demodulation structure and provides an efficient recursive
Sliding-Window (SW) linear minimum mean square error
(LMMSE) based equalization algorithm in the high mobility
coded MIMO OFDM systems.
ICI suppression has long been studied for both single-input
single-output [1]–[6] and MIMO [7], [8] systems. Depending
on the Doppler spread in the channel and the symbol length
chosen for transmission, ICI can potentially cause severe
degradation of quality of service (QoS) in OFDM systems. The
optimal demodulation structure calls for maximum-likelihood
(ML) joint equalization and decoding using a hypertrellis
which is constructed by taking into account both the outer
channel code and the ICI channel structure. This is clearly
computationally infeasible. Owing to the concept of iterative
processing [9], a practical demodulation strategy consists of
iterative processing between two separate entities: a front-
end soft-in soft-out (SISO) equalizer and an outer channel
978-1-4244-2926-4/08/$25.00 ©2008 IEEE
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ThB3.
Michael P. Fitz
Northrop Grumman Space Technology
Redondo Beach, CA 90278, U.S.A.
decoder. Almost all previous work on the front-end equalizer
assumed either a linear equalization structure [1], [6], [7], [10]
or a heuristic two-stage processing [11], [12]. To take full
advantage of the time diversity, frequency diversity and the ICI
channel structure, an “optimum” symbol by symbol maximum
a posteriori (MAP) equalizer is suggested in single-input
single-output coded OFDM systems [2]. The prior research
has not studied the optimum front-end demodulation structure
in the high mobility coded MIMO OFDM system, which is
the focus of this paper.
This paper develops an optimum yet practical front-end de-
modulation structure and proposes an efficient LMMSE based
equalization algorithm which fully utilize the structure of the
ICI channel. The optimum front-end MIMO MAP equalizer
can be realized efficiently by utilizing the property of the ICI
channel energy distribution. The ICI channel is effectively an
intersymbol interference (ISI) channel which is well studied
by Ungerboeck [13]. The received symbols in the frequency
domain are correlated due to ICI, so symbol decisions ought to
be based on the entire received sequence. Hence, the optimal
front-end equalizer is shown to be a SISO a posteriori proba-
bility (APP) computer, which is an adaptation of Ungerboeck’s
maximum likelihood sequence estimator (MLSE) formulation
to ICI channels. Moreover, this paper also presents a MIMO
Reduced-State MAP (MIMO RS-MAP) equalizer inspired by
[14], [15] which further reduce the computational cost. In
order to perform coherent demodulation, CSI is critical. The
time domain MIMO PSAM channel estimator is shown to be
a weighted correlation filter which is tailored to the second-
order statistic of the channel. The correlation filter can be pre-
computed and stored at the receiver side, thereby yielding a
simple and efficient open loop estimating structure.
II. S YSTEM M ODEL
Fig. 1 illustrates a MIMO coded OFDM system which is
equipped with nt transmit antennas and nr receive antennas.
A set of nt streams
 of K-coded QAM frequency
T domain
symbols xa = xa (1) xa (2) · · · xa (K) forms the
input to IFFT, where a = 1, · · · , nt and K is the total
number of subcarrier. This paper further assumes the average
symbol energy Es ≡ E|xa (k)|2 = 1 and symbols are equally
likely chosen from a complex constellation C with cardinality
|C| = 2Mc with Mc denotes number of bits per constellation
symbol. The time domain waveform at the output of IFFT per
977
 ThB3.1

x1 (t) GI Pilot x1 mapper c1

IFFT π
insertion MUX μ
x2 (t) GI Pilot x2 mapper c2 BCC b
IFFT π
insertion MUX μ encoder

xnt (t) GI Pilot xnt mapper cnt

IFFT π
insertion MUX μ

1P
y Iterative Receiver
τ)
t,
h(

MIMO 2P
y π(LA ) LA
π
Channel
Pilot nPr
y Ch.
DeMUX Estimator H 1
y1 (t) 2
H LE π −1 (LE ) SISO BCC 
b
y1
Equalizer π −1
y2 (t) decoder
H nr y2
GI
FFT
ynr (t) removal ynr

AWGN nnr (t)

Fig. 1. A baseband equivalent model for coded MIMO OFDM system

transmit antenna xa (t) is then given by with the assumption that E[hb,a (t, τ1 )hb,a (t + Δt, τ2 )† ] is
separable in time and delay. In (3), Rh (Δt) is the normalized
1 
K
2π time-correlation function and φτ (·) is the power delay profile
xa (t) = √ xa (k)ej Ts kt , 2
Ts k=1 with σib,a ≡ φτ (τi ). On the other hand, independence of inter
− Tg ≤ t ≤ Ts , a = 1, · · · , nt (1) spatial channels is assumed due to sufficient antenna separation
at both transmit and receive side. The received waveform yb (t)
where Ts , and Tg are the OFDM symbol duration, and guard at the bth receive antenna depends on all transmit waveforms
interval length, respectively. Thus, one OFDM symbol block xa (t) via,
in time is Tb = Tg + Ts . This paper assumes a time-varying p −1
 
nt m
wireless multipath channel from the ath transmit antenna to yb (t) = hb,a
i (t)xa (t − τi ) + wb (t),
the bth receive antenna with an impulse response: a=1 i=0
mp −1 b = 1, · · · , nr (4)

h b,a
(t, τ ) = hb,a
i (t)δ(τ − τi ), where wb (t) is AWGN. To recover the original frequency
i=0 domain message at the bth receive antenna on mth subcarrier,
a = 1, · · · , nt b = 1, · · · , nr (2) FFT is performed
 Ts
where τ0 ≤ τ1 ≤ · · · ≤ τmp −1 with τi being the tap-delay 1 2π
yb (m) = √ yb (t)e−j Ts mt dt. (5)
on the ith tap, and hb,a
i (t) is the randomly time-varying tap
Ts 0
gains from the ath transmit antenna to the bth receive antenna: Clearly, (5) can be rewritten as
jθib,a (t)
hb,a b,a
i (t) = αi (t)e . Moreover, hb,a
i (t) is modeled as nt  nt
wide sense stationary uncorrelated-scattering (WSSUS) chan- yb (m) = hb,a
m,m xa (m)+ hb,a
m,k xa (k) +wb (m) (6)
nel and the tap gains {hb,a i (t)} are complex Gaussian with a=1 k=m a=1
2 mp −1 b,a 2
 
zero mean and variance σib,a , where i=0 σi = 1. The ICI
autocorrelation of the WSSUS channel from the ath transmit where hb,a
m,k is the [nr (m − 1) + b, nt (k − 1) + a]th element
antenna to the bth receive antenna is
of H ∈ Cnr K×nt K and defined as
  mp −1 −j 2π kτi  Ts
E hb,a (t, τ1 )hb,a (t + Δt, τ2 )†  e Ts 2π
−j T (m−k)t
hb,a ≡ hb,a
i (t)e
s dt, (7)
= Rh (Δt)φτ (τ1 )δ(τ1 − τ2 ), (3) m,k
T s 0
i=0

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 ThB3.1

0 ploying (10),
fdTs = 2.27%
 +w
y = Hx (11)
-10 fdTs = 4.55%
fdTs = 6.82%
-20
where
Normalized ICI Power, dB

fdTs = 13.64%
 T
-30
fdTs = 40.92% y = y1 (1) · · · ynr (1) ··· y1 (K) · · · ynr (K) ,
 T
x = x1 (1) · · · xnt (1) · · · x1 (K) · · · xnt (K) ,
-40

and H ∈ Cnr K×nt K is a block banded matrix with upper and

-50
lower block band width equal to q [16].
-60 Approaching ML performance with reasonable complexity
relies on iterative processing between equalization and decod-
-70
ing. Analogous to a turbo decoder, the inner soft-in soft-out
-80 (SISO) equalizer and outer channel decoder can be regarded
-150 -100 -50 0 50 100 150
Frequency Spacing as two elementary “decoders” [17] in a serial concatenation
architecture. As shown in Fig. 1, coded and interleaved bit
Fig. 2. Normalized ICI power distribution with K = 256
sequence c = [ c1 c2 . . . cKnt Mc ]T is mapped into
frequency domain coded symbols x. The SISO equalizer takes
the channel observation y and a priori log-likelihood ratio
and wb (m) is i.i.d. complex Gaussian random variables with
(LLR) LA (cl ) to computes the extrinsic information LE (cl )
zero mean and variance N0 /2 per dimension. Realizing the
for each of Knt Mc bits per received x. With cl = +1
orthogonality among subcarriers
 Ts representing a binary one and cl = −1 representing a binary
2π zero, LA (cl ) from outer channel decoder is defined as
e−j Ts (m−k)t dt = Ts δ(m − k), (8)
0 P [cl = +1]
 nt b,a LA (cl ) ≡ ln (12)
one can easily see that k=m a=1 hm,k xa (k) = 0 if hb,a
i (t) P [cl = −1]
remains constant over Ts . On the other hand, ICI is produced
where l = 1, . . . , Knt Mc . The a posteriori LLR LD (cl |y) for
when hb,ai (t) is varying. In [1], [3]–[5], the explicit mathe- bit cl , conditioned on received vector y is similarly defined as
matical expression for ICI power is derived. As an example
of the significance of ICI consider, RH (Δt) = J0 (2πfd Δt) P [cl = +1|y]
LD (cl |y) ≡ ln (13)
where J0 (·) is the zeroth-order Bessel function of first kind, P [cl = −1|y]
the normalized ICI power of subcarrier m caused by subcarrier
where P [cl = ±1|y] is the a posteriori probability (APP) of
k from ath transmit antenna to bth receive antenna is [1]
 1 bit cl . “New” (extrinsic) information learned at the equal-
1 ization stage can easily be separated from a posteriori LLR
b,a
γm,k ≡ 2 Sn (f )sin2 (πfd Ts f )×
π 0 LD (cl ) by subtracting off the a priori LLR LA (cl ). That is,

1 1
+ df, (9) LE (cl ) = LD (cl |y) − LA (cl ). (14)
(fd Ts f + (m − k))2 (fd Ts f − (m − k))2
where Sn (f ) is the normalized Doppler spectrum. In view of (14), extrinsic information LE (cl ) is then fed into
Examining (9) reveals that most of the symbol energy is the outer channel decoder as a priori information on the coded
concentrated around the neighborhood of the desired subcar- bit cl .
rier. Fig. 2 illustrates the distribution of normalized ICI power
III. T URBO I TERATIVE E QUALIZATION AND D ECODING
as a function of frequency spacing (i.e. Δf = |m − k|/Ts )
for different values of normalized Doppler frequency fd Ts . A. Reduced-State MIMO MAP Equalizer
As a result of increased fd Ts , more and more symbol energy The MIMO MAP equalizer optimally computes the APP for
leak into the neighboring subcarriers and produce increased each coded and interleaved bit. Realizing the fact that there
ICI levels. It is evident from Fig.2 that the symbol en- is a one-to-one mapping between the coded and interleaved
ergy leakage caused by ICI is highly concentrated in the bit sequence c and the sequence of frequency domain coded
neighboring subcarriers. For example, more than 98% of the symbols x, the APP for the coded and interleaved sequence
symbol energy clusters in the neighboring 5 subcarriers for would indeed be the same as the APP for coded symbols:
fd Ts = 13.64%. Due to the fact that normalized ICI power P [c|y] = P [x|y]. Assuming bits are independent because of
decreases exponentially as Δf increases, it is safe to assume interleaving and from Baye’s rule,
that
hb,a P [x|y] =
m,k = 0, iff |m − k| > q (10)
 nt Mc
where q can be used as a parameter to trade-off performance P [y|x] K k=1 a=1 l=1 P [cnt Mc (k−1)+Mc (a−1)+l ]
. (15)
and complexity. Collecting (6) into matrix notation and em- P [y]

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 ThB3.1

n 

K
1  t
†
P [y|x] ∼ exp R xa (k) [γ(k, a)] , (17)
N0 a=1
k=1
 
k+q br 
nt 2q 
 nt
†  
γ(k, a) = 2 hb,a
m,k yb (m) −
a,a
gk,k xa (k) − 2 a,a
gk,k−m xa (k − m). (18)
m=k−q, b=1 a =1 m=1, a =1
1≤k≤K q>0

 
Sk−1 = x1 (k − 2q), . . . , xnt (k − 2q), . . . , x1 (k − 1), . . . , xnt (k − 1) . (22)
 
Ŝk−1 = x̂1 (k − 2q), . . . , x̂nt (k − 2q), . . . , x1 (k − 1), . . . , xnt (k − 1) . (23)

It is helpful to define the state at (k − 1)th subcarrier for some defined as

 n 
finite q as Sk−1 = (x1 (k − 2q), . . . , xnt (k − 2q), . . . , x1 (k − 1  t
†
1), . . . , xnt (k − 1)). λk (Sk−1 , Sk ) = exp R xa (k) [γ(k, a)] ,
N0
Due to the block banded diagonal structure of H,  the a=1
(20)
likelihood function P [y|x] can be computed efficiently. Owing
to the Gaussian-noise assumption and apart from constant and the a priori probability is
proportionality, P [y|x] becomes nt Mc
P (Sk |Sk−1 ) = P [cnt Mc (k−1)+Mc (a−1)+l ]. (21)
 
1  2
a=1 l=1
P [y|x] ∼ exp − y − Hx
N0 It is clear that the trellis constructed via (19) still has 2Mc nt (2q)
⎧ ⎡ ⎤⎫ states, because the state Sk−1 at any “time” is being given by
⎨ 1 ⎬
∼ exp  † y) − x† H
⎣2R(x† H  †H x⎦ (16) the nt (2q) most recent inputs as shown in (22) where each
⎩ N0
  ⎭ input has 2Mc possibilities.
≡G
The number of states in MIMO MAP equalizer is reduced
through decision feedback [14]. By introducing past decisions
where (·)† means complex conjugate-transpose and R(·) de- into the channel metric computation (20), the number of
notes real part. The straightforward approach of computing trellis state is reduced to 2Mc nt . In state transition (Sk−1 , Sk ),
P [y|x] via (16) for all allowed data sequences is clearly reduced state-MAP (RS-MAP) equalizer makes hard decision
impracticable since the computational complexity grows expo- on the last 2q − 1 subcarriers at state Sk−1 as shown in
nentially with nt K. The second term in (16), which is referred (23). Realizing that path histories contain the surviving state
to as the energy correction term, for each postulated data sequences leading to the current state, the hard decisions are
sequences x is essentially a sum of individual entities of the obtained as feed back from path history associated with state
a,a
form xa (k)† gk,m xa (m) where a = 1, . . . , nt , a = 1, . . . , nt Sk−1 .
a,a
and gk,m is the [nt (k − 1) + a, nt (m − 1) + a ]th element To produce APP, MIMO RS-MAP equalizer employs the
of G ∈ Cnt K×nt K . Ungerboeck made a keen observation well-known BCJR forward-backward algorithm [18]. The a
[13], [15]: x† Gx for each postulated data sequence x only posteriori LLR of the coded and interleaved bits LD (cl |y)
a,a can be computed as
has to sum over where gk,m = 0. Following Ungerboeck’s
formulation, (16) can be calculated via (17) and (18) much LD (cl |y) ∼
more efficiently. Examining (17) and (18) closely reveal that 
the likelihood computation can not only be accumulated re- (Ŝk−1 ,Ŝk )∈+1 αk−1 (Ŝk−1 )λk (Ŝk−1 , Ŝk )βk (Ŝk )
ln  , (24)
cursively, but more importantly the correlation length among (Ŝk−1 ,Ŝk )∈−1 αk−1 (Ŝk−1 )λk (Ŝk−1 , Ŝk )βk (Ŝk )
the postulated data sequence x has been shrunk from nt K
to nt (2q). Substituting (17) into (15) and apart from constant where αk (Ŝk ) and βk−1 (Ŝk−1 ) are recursively computed as

multiplicative terms, the APP for coded symbols is αk (Ŝk ) = αk−1 (Ŝk−1 )λk (Ŝk−1 , Ŝk ) (25)
Ŝk−1 ∈Ŝ
K 
P [x|y] ∼ λk (Sk−1 , Sk )P (Sk |Sk−1 ), (19) βk−1 (Ŝk−1 ) = βk (Ŝk )λk (Ŝk−1 , Ŝk ) (26)
k=1 Ŝk ∈Ŝ

with Ŝ denotes all the possible states. The cardinality of such a

where λk (Sk−1 , Sk ) is the channel transition probability and ˆ is 2Mc nt as shown in (23). This paper further assumes
set |S|

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 ThB3.1

K 0
10
SISO, no ICI
MIMO, 2T2R, QPSK, no ICI
MIMO RS-MAP, 2T2R, QPSK, 1 Iter
-1
10 MIMO RS-MAP, 2T2R, QPSK, 4 Iter
MIMO Rec SWSIC-LMMSE, 2T2R, QPSK, 1 Iter
MIMO Rec SWSIC-LMMSE, 2T2R, QPSK, 4 Iter
MIMO Rec SWSIC-LMMSE, 2T2R, 16QAM, 1 Iter
-2 MIMO Rec SWSIC-LMMSE, 2T2R, 16QAM, 4 Iter
10

-3
10

BER
-4
10

-5
10

-6
10

-7
10
-2 0 2 4 6 8 10 12 14
Eb/N0, dB

Fig. 4. BER Performance for MIMO Reduced-State MAP Equalizer with

nr K ×nt K Peferect Channel State Information (PCSI), M = 6, K = 256, fd Ts =
H∈ ^ as in (7) 6.82%, 64-State Rate-1/2 BCC with COST-TU Channel

Fig. 3. An Illustration of Recursive SWSIC-LMMSE Equalizer

and delay are:

α0 (Ŝ0 ) is initialized to some known auxiliary starting state PdB =

and βK (ŜK ) is equal probable among Ŝ.
B. Recursive q-tap Sliding-Window SIC-LMMSE Equalizer
Further utilizing the structure of H in (7), Sliding-Window
SIC-LMMSE equalizer offers a more flexible detecting strat-
egy. It is evident that the data subcarriers x correlates among
each other explicitly through the energy correction term gm,k
as shown in (17). If the ICI channel memory has block
length q, the correlation length among each data subcarriers
is at most 2q. Instead of stretching the decision feedback
observation window to cover the entire H as in conventional
equalizer formulation, SWSIC-LMMSE equalizer employs a
much smaller window of size (2nt q + nt ) × (4nt q + nt ) as
depicted in Fig. 3. The detail implementation of the SWSIC-
LMMSE equalizer and it’s complexity comparison to other
conventional equalizers can be found in [2] and [19].
IV. E XAMPLE OF A PPLICATION T O T HE W I MAX S YSTEM
This section presents computer simulation results of the
proposed front-end MIMO RS-MAP equalizer and Recursive
SWSIC-LMMSE equalizer with application to IEEE 802.16e
mobile WiMAX standard. The number of transmit antenna nt
and the number of receive antenna nr are assumed to be 2
and 2, respectively. The number of subcarriers is assumed to
be K = 256 and the length of guard interval is Tg = Ts /4.
The outer channel code is the de facto standard 64-state rate-
1/2 binary convolutional code (BCC) with polynomials in
octal notation (133, 171)8. With different BCC code rate and
constellation mappings (i.e. QPSK, 16QAM and 64QAM),
variety of spectral efficiencies can be achieved. This paper
considers the COST typical urban (TU) channel model [20]
with independent Rayleigh faded rays. The ray’s relative power
[−4, −3, 0, −2.6, −3, −5, −7, −5, −6.5, −8.6, −11, −10],
τμs = [0, 0.1, 0.3, 0.5, 0.8, 1.1, 1.3, 1.7, 2.3, 3.1, 3.2, 5] .
It is further assumed that perfect timing synchronization is
used for the iterative receiver. At the receiver side, up to 4
iterations between front-end MIMO RS-MAP equalizer and
outer channel decoder are performed.
Fig. 4 illustrates the performance of the proposed MIMO
Reduced-State MAP equalizer with MIMO PSAM channel es-
timation at fd T s = 6.82%. Being able to harvest the temporal,
frequency and spatial diversities available in the system, the
front-end MIMO Reduced-State MAP equalizer with PCSI at
the 4th iteration even outperforms the system with no ICI
by ∼ 2.0 dB at 10−4 . Performance of recursive SWSIC-
LMMSE equalizers is also plotted with difference spectral
efficiencies. Achieving the same spectral efficiency of 2.0
BPCU, the MIMO Reduced-State MAP equalizer outperforms
the SWSIC-LMMSE equalizer by ∼ 2.0 dB at 10−4 . It can be
seen that for system with higher spectral efficiency, recursive
SWSIC-LMMSE equalizer would have a better complexity
and performance trade-off since the complexity of the MIMO
Reduced-State MAP equalizer is still exponential in Mc .
V. C ONCLUSION
This paper considered turbo equalization and decoding in
the high mobility coded MIMO OFDM environment. Adapting
from Ungerboeck’s equalizer formulation, a MIMO MAP
equalizer has been derived for the general time-varying MIMO
ICI channels. The performance of the proposed decoding
approach and LMMSE based equalizer algorithm have been
evaluated over the the COST-TU channel model with applica-
tion to WiMAX. The results suggest that iterative processing at
the receiver end allows full exploitation of both temporal and
frequency diversity available in a spectrally efficient system.

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 ThB3.1

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