2016

Transceiver Structure Design and Prototype Filter Selection

for OFDM and FBMC in 5G Mobile Communication Systems
Lin Shi and KyungHi Chang*
Electronic Engineering Department, Inha University
slin0930@gmail.com and khchang@inha.ac.kr*
Abstract
Orthogonal frequency division multiplexing (OFDM) has been an excellent waveform choice for LTEAdvanced system. However, the frequency spectrum behavior of subcarrier signals in OFDM is not good enough,
which is the main source of problems that limits the applicability for the future development. Filter Bank MultiCarrier (FBMC) technique, on the other hand, as a candidate waveform for 5G mobile communications, is an
elegant method that resolves most of these problems by taking a filtering approach to multicarrier
communications. In this paper, we review the waveform design of OFDM and FBMC by comparing the prototype
filter and the subcarrier spectrum behavior of each waveform, and further discuss its suitability in various
applications.

I. Introduction
Orthogonal frequency division multiplexing (OFDM) has

...

Input Serial/Parallel
Conversion

IFFT

Insert CP

been an excellent waveform choice for 4G. OFDM is widely

Channel

adopted because of a number of advantages that it offers,

such as orthogonality of subcarrier signals and trivial

adoption to multiple-input multiple-output (MIMO) channels
[1]. However, there are also some disadvantages that are not
use of a cyclic prefix (CP), and large side-lobes between
subcarriers.

To

meet

the

5G

FFT

AWGN

Remove CP

Figure 1. OFDM transceiver structure.

suitable for 5G communications, such as, OFDM requires the

adjacent

...

Output Parallel/Serial
Conversion

waveform
Input

H(f)

...

spectral efficiency, some candidate new waveforms such as,

H(f)

...

requirements like ultra-high rate, low latency, and high

H(f)

IFFT

Filter Bank Multi-Carrier (FBMC), Universal Filtered Multi-

Channel

Carrier (UFMC) and Generalized Frequency Division

paper, we focus on the prototype filter and the subcarrier

spectrum behavior of OFDM and FBMC, and further studied
its suitability in various applications.

...

Output

...

Multiplexing (GFDM), have been proposed [2, 3]. In this

H(f)

H(f)

H(f)

+
FFT

AWGN

Figure 2. FBMC transceiver structure.

In OFDM system, at the transmitter, the mapped symbols

II. Transceiver Structure of OFDM and FBMC

are converted to parallel signal by serial-to-parallel

The FBMC as a new waveform for 5G mobile

conversion, and then sent to the IFFT module to transform it

communications is an OFDM-like modulation format, while

into time domain signals, after that CP is added. At the

the FBMC subcarriers are different from OFDM because it

receiver side, the received signal go through an inverse

does not contain CP, and signals are passed through filters

process, as shown in Fig. 1. Finally, the transmitted signal

that can suppress the signals side lobes.

can be represented by equation (1):

A. OFDM Transceiver Structure

s(t )

N 1

d k e

k i 0

*Address correspondence to Prof. KyungHi Chang.

422

j 2 fi t kTs

f t kTs ,

(1)

 2016

Table I. Analytical expressions of prototype filters.

Filter

Analytical Model
1

Comments
Its shape is captured through a period of

+ cos(2) , ||
2
p(t) = { 2 2
0,

1+4 , =0

Raised-cosine

p(t) =

Root-raised-cosine

PHYDYAS

RRC is typically utilized to satisfy Nyquist

[(1 + ) ( ) + (1 ) ( )] , =
4

2
((1))+4((1+))

{
p(t) =

cosine function which is smooth in time.

(116 2 2 )
1
2
( + 2 1
=1 ( )) ,
{ 0

0,

criterion after matched filtering. It is derived

from the raised-cosine filter.

It provides rapid-decaying property. The filter

is applied in FBMC with overlapping factor

where N KM , K : Overlapping factor (positive integer),

K 4.

M : Number of subcarriers, H k : Coefficient.

where Ts is the symbol duration, fi is the frequency of the

A. OFDM and FBMC Prototype Filter Comparison

ith subcarrier, and f (t ) is the rectangular pulse waveform.

The main difference between FBMC and OFDM is the

choice of the prototype filter. The FBMC used a prototype

B. FBMC Transceiver Structure

filter which is designed by using the Nyquist pulse shaping

In FBMC transceiver, the signal at the transmitter side is

principle to filter each sub-carrier individually without CP,

can be represented as equation (2):

M 1

s i am, n g i nM / 2 e

whereas OFDM symbol is multiplied by a window before

j

2 D
m i
M 2 jm ,n

transmission in order to reduce the power of out-of-band

(2)

subcarriers quickly. As FBMC has the capability to greatly

m 0 nZ

where M is the number of subcarriers, g[m] is the prototype

reduce the spectral leakage problem which exists in OFDM,

filter, D is the filter delay term, and the transmitted symbols

hence it results in negligible Inter-symbol Interference (ISI)

am, n are real-valued symbols. The FBMC transceiver is shown

and

Inter-carrier

Interference

(ICI).

The

side

lobe

in Fig. 2. The subcarrier filters are very narrow in frequency,

performances of physical layer for dynamic spectrum access

and thus require rather long filter lengths (typically up to 4

(PHYDYAS) prototype filter [6] and root-raised-cosine (RRC)

times the basic multicarrier symbol length, indicated by the

filter are shown in Fig. 3 as an example. We can see that

overlapping factor K , which is a key design parameter of

PHYDYAS filter ( K 4 ) for FBMC performs better than RRC

FBMC, and thus the single symbols are overlapping in time

accordingly.

For

achieving

orthogonality,

filter, and the performance of RRC filter is better than the

offset-QAM

window, i.e., PHYDYAS filter with K 1 , which is used in

(OQAM) is to be applied. So, FBMC is not orthogonal with

OFDM system.

respect to the complex plane [4].

B. OFDM and FBMC Subcarrier Spectrum Comparison

In a multicarrier scheme, a prototype filter determines the

As discussed in last section, because of using improved

correlation between the symbols and the robustness of the

spectrally well shaped prototype filter in FBMC, the side-lobe

scheme against dispersive channels [5]. This issue induces

to

design

prototype

filters

which

are

suitable

levels of the subcarriers spectrum are considerably lower

for

than in the case of OFDM shown in Fig. 4. In this way, a good

communications in time-selective and frequency-selective

spectral containment for all the subcarriers can be obtained

channels. Some filters are provided by Table I.

and this also results in a good resistance against narrowband

interference.

III. Prototype Filter Selection for OFDM and FBMC

C. Pros & Cons of FBMC Technique

Systems
In this section, we analyzed and compared the prototype

FBMC, an alternative MC technique with a better spectral

filter applied to OFDM and FBMC, and compare the

localization overcomes the drawbacks of OFDM and offers

subcarriers spectrum behaviors of them respectively and

several advantages, such as increased spectral efficiency

then discussed the pros and cons of FBMC.

through the removal of cyclic prefix, lower spectral leakage

423

 2016
addition, excellent filtering of subcarriers in FBMC makes it

0
PHYDYAS Filter for FBMC
PHYDYAS Window for OFDM
RRC Filter

-10

an ideal choice for cognitive radios.

-20

20log10|P(f)|

-30
-40

. Conclusions

-50
-60

In this paper, we review the design philosophy of OFDM

-70

and FBMC which is a candidate waveform for 5G mobile

-80
-90
-100

communications, and mainly compare the prototype filter and

0

0.2

0.4

0.6

0.8

the subcarrier spectrum behavior of each waveform. In

w/

Figure 3. Spectra of the prototype filters.

FBMC

summary, FBMC outperforms OFDM in the aspects of lower

OFDM

spectral leakage, reduced sensitivity to Doppler effects, and

-5

also much relaxed synchronization requirements due to the

-10

use of a filter bank. However, there are still some research

-15

issues in FBMC technique: FBMC cannot be directly applied

-20

in MIMO channels because of the inherent interference

-10

Rel. power (dB)

Rel. power (dB)

-20
-30
-40
-50
-60
-70
-0.5

0
0.5
Frequency

-25
-0.5

which complicates its detection at the receiver side and it

0
0.5
Frequency

also have high implementation complexity. The solution to

Figure 4. Subcarriers spectra of FBMC and OFDM.

these problems will be discussed in our forthcoming research

adopted from a pulse shaping filter per subcarrier, reduced

work.

sensitivity to Doppler effects, and also much relaxed

synchronization requirements. Moreover, its benefits like

ACKNOWLEDGMENT

greater robustness to frequency misalignments among users

This research was supported by the MSIP (Ministry of

when compared to OFDM also helps to cope with network

Science, ICT and Future Planning), Korea, under the ITRC

synchronization issues that arises in the uplink or downlink

(Information Technology Research Center) support program

with coordinated transmission.

(IITP-2015-H8501-15-1019) supervised by the IITP (Institute

However, it turns out that, while the application of OFDM

for Information & communications Technology Promotion).

to MIMO channels is a straightforward task, direct application

of FBMC to MIMO channels is a nontrivial task. Furthermore,

References

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Project Document, Jan. 2010.

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