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for Wireless Communications
Synthesis Lectures on
Algorithms and Software in
Engineering
Editor
Andreas S. Spanias, Arizona State University
OFDMSystems for Wireless Communications
Adarsh B. Narasimhamurthy, Mahesh K. Banavar, and CihanTepedelenlio˘ glu
2010
Algorithms and Software for Predictive Coding of Speech
Atti Venkatraman
2010
MATLABSoftware for the Code Excited Linear Prediction Algorithm: The Federal
Standard–1016
Karthikeyan N. Ramamurthy and Andreas S. Spanias
2010
Advances in WaveformAgile Sensing for Tracking
Sandeep Prasad Sira, Antonia PapandreouSuppappola, and Darryl Morrell
2008
Despeckle Filtering Algorithms and Software for Ultrasound Imaging
Christos P. Loizou and Constantinos S. Pattichis
2008
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OFDM Systems for Wireless Communications
Adarsh B. Narasimhamurthy, Mahesh K. Banavar, and Cihan Tepedelenlio˘ glu
www.morganclaypool.com
ISBN: 9781598297010 paperback
ISBN: 9781598297027 ebook
DOI 10.2200/S00255ED1V01Y201002ASE005
A Publication in the Morgan & Claypool Publishers series
SYNTHESIS LECTURES ON ALGORITHMS AND SOFTWARE IN ENGINEERING
Lecture #5
Series Editor: Andreas S. Spanias, Arizona State University
Series ISSN
Synthesis Lectures on Algorithms and Software in Engineering
Print 19381727 Electronic 19381735
OFDMSystems
for Wireless Communications
Adarsh B. Narasimhamurthy, Mahesh K. Banavar, and Cihan Tepedelenlio˘ glu
Arizona State University
SYNTHESIS LECTURES ON ALGORITHMS AND SOFTWARE IN
ENGINEERING #5
C
M
&
cLaypool Morgan publishers
&
ABSTRACT
Orthogonal Frequency Division Multiplexing (OFDM) systems are widely used in the standards
for digital audio/video broadcasting, WiFi and WiMax. Being a frequencydomain approach to
communications, OFDM has important advantages in dealing with the frequencyselective nature
of high data rate wireless communication channels. As the needs for operating with higher data rates
become more pressing, OFDM systems have emerged as an effective physicallayer solution.
This short monograph is intended as a tutorial which highlights the deleterious aspects of the
wireless channel and presents why OFDMis a good choice as a modulation that can transmit at high
data rates. The systemlevel approach we shall pursue will also point out the disadvantages of OFDM
systems especially in the context of peak to average ratio, and carrier frequency synchronization.
Finally, simulation of OFDM systems will be given due prominence. Simple MATLAB programs
are provided for bit error rate simulation using a discretetime OFDM representation. Software is
also provided to simulate the effects of interblockinterference, intercarrierinterference and signal
clipping on the error rate performance. Different components of the OFDM system are described,
and detailed implementation notes are provided for the programs. The program can be downloaded
from http://www.morganclaypool.com/page/ofdm
KEYWORDS
multicarrier, orthogonal frequency division multiplexing (OFDM), frequency domain,
carrier frequency offset, peaktoaverage power ratio, simulations
vii
Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
2
Modeling Wireless Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.1 Basic Characteristics of Mobile Radio Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2 Microscopic or Small Scale Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2.1 Doppler Spread: Time Selective Fading 6
2.2.2 Delay spread: Frequency Selective Fading 8
2.3 Tapped Delay Line Model for Frequency Selective Fading Channels . . . . . . . . . . . . 10
3
Baseband OFDMSystem. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.1 Introduction to OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.2 Discrete Baseband Block Transmissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.3 DiscreteTime OFDM Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4
Carrier Frequency Offset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.1 Carrier Synchronization Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2 Frequency Offset Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.1 Frequency Domain Autocorrelation 26
4.2.2 Maximum Likelihood Estimation 26
4.3 ICI Cancelation Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
4.3.1 SelfICI Cancelation Scheme 28
4.3.2 Windowing 28
5
Peak to Average Power Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5.1 Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5.2 PAPR Mitigation Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
viii CONTENTS
5.2.1 Signal Distortion Techniques 32
5.2.2 Coding and Scrambling 34
6
Simulation of the Performance of OFDMSystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
6.1 Performance of an OFDM System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
6.2 Simulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.2.1 The Basic OFDM System 39
6.2.2 Carrier Frequency Offset 44
6.2.3 PAPR Simulations 48
7
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
A
Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
B
Notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Authors’ Biographies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Preface
Orthogonal Frequency Division Multiplexing (OFDM) is a multicarrier communication
scheme widely adopted in the wireless communications industry. In this book, we provide a brief
and comprehensive coverage of the OFDM system model, an overview of its advantages and dis
advantages, along with MATLAB codes for simulation. This book is intended for practitioners or
students with some elementary knowledge of digital communications. The main focus of this book
is to aid readers in understanding the workings of a point to point baseband OFDM system and
understanding how to simulate performance under certain impairments. A unique feature of the
book is its emphasis on discretetime representations which are used to simulate OFDM systems. In
order to make the book accessible to a wider audience, we present several simulations, which provide
a deeper insight into the subject. An extensive list of references is also included to support further
reading.
We begin by highlighting the beneﬁts that OFDM offers over the conventional frequency
division multiplexing scheme in terms of bandwidth efﬁciency and implementation complexity.
Following this, we motivate the need for OFDM systems by providing a brief introduction to
wireless fading channels, with special emphasis on the time varying and frequency selective nature of
such channels. We demonstrate that complex equalization at the receiver, which would be required
for communication over frequency selective channels, are not needed in the case of OFDM systems,
further motivating its use. Different variations on the basic OFDM system are also presented to
illustrate its versatility. Drawbacks of OFDM such as high peaktoaverage power ratio (PAPR)
at the transmitter, and carrier frequency offset (CFO) at the receiver are described, along with
their adverse effects on system performance. Techniques to mitigate their effects are also presented.
All these concepts are supported with simulations. The programs used for these simulations, with
detailed comments, are also provided.
We would like to thank Professor Andreas Spanias, for providing us with the opportunity
to author this book, and Morgan & Claypool publishers for working with us in producing this
manuscript.
Adarsh B. Narasimhamurthy, Mahesh K. Banavar, and Cihan Tepedelenlio˘ glu
February 2010
1
C H A P T E R 1
Introduction
Nextgeneration wireless communication systems mandate data rate intensive applications like mul
timedia services, data transfer, audio, streaming video, leading to future wireless terminals being
capable of connecting to various networks to support services like switched trafﬁc, IP data pack
ets and broadband streaming services. Additionally, with the growth of Internet applications and
wireless users, many wireless local area network (WLAN) standards, including IEEE802.11, per
mit mobile connectivity to the Internet. With a surging demand for wireless Internet connectivity,
new WLAN standards have been developed including IEEE802.11b, popularly known as WiFi,
that provides up to 11 Mb/s raw data rate, and more recently IEEE802.11g that provides wireless
connectivity with speeds up to 54 Mb/s. High data rates are a requirement for not only wireless
networks but also in broadcasting standards like Digital Audio Broadcast (DAB) [1], Digital Video
BroadcastingTerrestrial (DVBT) [2] and the HiperLAN2 standards in Europe, the Integrated
Services Digital Broadcasting (ISDB) in Japan and the Korean Digital Multimedia Broadcasting
Terrestrial (DMBT) standard [3]. As a solution to their requirements for high data rates, all these
standards use multicarrier communications, and in most cases, Orthogonal Frequency Division
Multiplexing (OFDM).
Multicarrier communication was ﬁrst implemented in Frequency Division Multiplexing
(FDM) in the early 1900’s. In FDM, multiple low rate signals were transmitted using separate
carrier frequencies for each signal. The various carrier frequencies had to be spaced sufﬁciently apart
to avoid overlap of spectra and to be able to be efﬁciently separated at the receiver by using low cost
ﬁlters. The empty spectral regions between the carrier frequencies led to very low spectral efﬁciency,
but by breaking up the wideband channel into several parallel narrower subchannels, the effect of
intersymbolinterference (ISI) caused due to the frequency selective nature of the channel is greatly
mitigated compared to the single channel wideband communication scheme. In time domain, the
same can be explained as a method of achieving high immunity against multipath dispersion since
the symbol duration on each subchannel will be much larger than the channel time dispersion.
Hence, the effects of ISI will be minimized. This gets rid of the need for expensive and complex
equalization techniques. Also, due to the much narrower bandwidth of each subchannel, effects
of impulsive noise are also reduced. But to implement FDM, which yields the above mentioned
beneﬁts, a dedicated set of ﬁlters and oscillators are needed for each subchannel, which makes the
system expensive and complex to implement.
The Kineplex system developed by Collins Radio Co. [4] was one of the ﬁrst algorithms to
address the bandwidth efﬁciency problem of multicarrier transmission for data transmission over a
high frequency radio channel subject to severe multipath fading. Twenty tones spaced at frequency
2 1. INTRODUCTION
intervals almost equal to the signalling rate were used. The tones are selected in such a way that they
can be separated at the receiver. A subsequent multitone system [5] was proposed using 9point
QAM constellations on each carrier, with correlation detection employed at the receiver.
The above techniques provide the orthogonality needed to separate multitone signals, but due
to the inﬁnite range of the spectrum of each component, the aggregate overlap of a large number
of subchannel spectra is pronounced. Also, spectrum spillage outside the allotted bandwidth is
signiﬁcant. With this in mind, it is desirable for each of the signal components to be bandlimited.
There will still be overlap but with only the immediately adjacent subcarriers, while still remaining
orthogonal to them.
The ﬁrst OFDM scheme was proposed by Chang in 1966 [6] for dispersive fading channels.
Since then OFDM systems have been extensively employed [7, 8, 9, 10]. Saltzberg [11] studied a
multicarrier system employing orthogonal timestaggered QAM for the carriers. Use of DFT to
replace the banks of sinusoidal generators and demodulators was suggested by Weinstein and Ebert
[12] in 1971, which signiﬁcantly reduced the implementation complexity of OFDM systems. In
1980, Hirosaki [13] introduced the DFTbased implementation of Saltzberg’s OQAM OFDM
system.
The simplicity of OFDMhas beenrecognizedas anadvantage to aidinits implementation[14,
15, 16]. The incoming data streamis converted fromserial to N parallel data streams and each parallel
data stream is then modulated onto separate carriers using fast Fourier transforms (FFT), ensuring
orthogonality. Due to the advancement in digital circuitry, the hardware to implement FFT is
fast and inexpensive, making this scheme very attractive. Further, by using N parallel data streams
modulated by separate carriers instead of a single high rate stream modulated by a single carrier,
the wide bandwidth of the channel is now broken down into N narrow bandwidth channels which
only experience ﬂat fading. This avoids the need for equalizers at the receiver even over dispersive
channels. To summarize, OFDMprovides the following advantages over traditional FDMmethods:
• High spectral efﬁciency due to the absence of guard bands
• Simple and efﬁcient hardware realization by implementing the FFT operation
• Avoids intersymbolinterference and thereby leads to low complexity receivers due to the
avoidance of equalizers
• Each subcarrier can have a different modulation/coding scheme leading to the design of
highly robust adaptive transmission schemes
• Enables frequency diversity by spreading the subcarriers across the usable spectrum
• Provides good resistance against cochannel interference and impulsive noise
Though OFDM offers the above advantages, it has some disadvantages:
• High sensitivity to Doppler shifts, requiring accurate frequency and time synchronization
3
• High PeaktoAverage Power Ratio due to the overlap of a large number of modulated sub
carrier signals which requires the transmit power ampliﬁer to be linear across the whole signal
range, or otherwise leads to clipping of peaks causing distortions. If the transmit power am
pliﬁer is not linear across the whole range, the out of band power leakage is signiﬁcant which
causes intercarrier interference
• Loss in spectral efﬁciency due to the use of guard interval/cyclic preﬁx
With the substantial advancements in digital signal processing technology and drop in hard
ware costs, the presence of OFDM in telecommunication standards is rapidly growing. OFDM is
used in broadcast standards such as Digital Video Broadcasting — Terrestrial (DVBT) for inter
national television with 1705 or 6817 subcarrier OFDM, Digital Multimedia Broadcasting (DMB)
for use in multimedia data transfer for mobile devices in Korea, and Integrated Services Digital
Broadcasting (ISDB) for digital television in Japan with Band Segmented Transmission (BST)
OFDM. Wireless network standards such as IEEE 802.11a, wireless local area networks (WLAN),
metropolitan area networks (MAN), wireless personal area networks (WPAN) and HiperLAN/2
are based on OFDM transmissions. The IEEE P1901 draft standard for broadband over power line
networks includes OFDM in its speciﬁcations.
The rest of the book is organized as follows. In Chapter 2, wireless communication channels
are ﬁrst introduced. Following this a baseband OFDM system is deﬁned in Chapter 3. In Chapter 4
and Chapter 5, the two main pathologies of OFDMcommunication, namely carrier frequency offset
(CFO) and high peak to average power ratio (PAPR) are presented along with techniques to mitigate
their effects on the performance of OFDM systems. In Chapter 6, we provide code to simulate the
error rate performance of a simple OFDM system. Following this, we also illustrate the effects of
CFO and PAPR on the error rate performance of an OFDM system. All programs are written in
MATLAB
®
.
5
C H A P T E R 2
Modeling Wireless Channels
In this chapter, some of the basic characteristics of the wireless channel are reviewed. In the ﬁrst part
of the chapter, characteristics of frequencyﬂat fading channels are introduced. In the second part of
the chapter, frequency selective channels are introduced. Amajor reason to use OFDMis to mitigate
frequency selective channels effectively. As will be shown in subsequent channels, OFDM converts
one frequency selective channel into several frequencyﬂat fading channels, motivating the need
for understanding the nature of frequencyﬂat fading channels, which is addressed in Section 2.1
and Section 2.2. The effect of frequency selectivity is addressed in Section 2.3, since OFDM is a
frequency domain modulation scheme.
2.1 BASICCHARACTERISTICS OF MOBILERADIO
CHANNELS
In mobile radio communication, the emitted electromagnetic waves may not reach the receiving
antenna directly due to the obstacles blocking the lineofsight path. The received waves are a
superposition of waves coming from different directions due to reﬂection, diffraction, and scattering
caused by buildings, trees, and other obstacles. This effect is known as multipath propagation.
In mobile communication the signal power drops off at the receiver due to (i) mean path
loss, (ii) macroscopic fading, also called shadowing, and (iii) microscopic fading, also referred to as
small scale fading. Mean path loss arises from inverse square law of power loss and depends on the
distance of the traveling wave. Macroscopic fading or shadowing results from a blocking effect by
obstacles such as buildings, large trees and mountains. Microscopic or small scale fading arises due to
the multipath propagation where the received signal consists of an inﬁnite sum of attenuated, delayed
and phaseshifted replicas, caused due to the scattering of the transmitted signal by obstructions.
Multipathpropagationandthe mobility of the receiver result inthe spreading of the signal indifferent
dimensions. These are mainly delay spread due to the presence of resolvable multipath components
in time and Doppler spread in frequency due to the mobility of the terminal. We now describe the
statistics of small scale fading along with the time and frequency spread that the channel introduces.
2.2 MICROSCOPICORSMALL SCALEFADING
Small scale fading refers to the rapid ﬂuctuations of the received signal in space, time and fre
quency [17]. Since fading is caused by the superposition of a large number of independent scattered
components, the inphase and quadrature components of the received signal can be assumed to be
6 2. MODELINGWIRELESS CHANNELS
independent zero mean Gaussian processes. Therefore, if no lineofsight (LOS) path exists, the
received signal consists only of sum the independent scattered components. The envelope, h, of
the received signal has a Rayleigh density function given by
f
h
(u) =
2u
σ
2
h
exp
_
u
2
σ
2
h
_
, u ≥ 0, (2.1)
where σ
2
h
:= E[h
2
]. If there exists a lineofsight (LOS) path between the transmitter and the
receiver, the signal envelope is no longer Rayleigh distributed, but has a Ricean distribution. The
Ricean distribution is deﬁned in terms of the Ricean factor, K, which is the ratio of the power in the
mean component of the channel to the power in the scattered (diffused) component. The Ricean
probability distribution function (PDF) of the envelope of the received signal is given by
f
h
(u) =
2u
σ
2
h
exp
_
−(u
2
+σ
2
0
)
σ
2
h
_
I
0
_
2uσ
0
σ
2
_
, u ≥ 0, (2.2)
where σ
2
h
= E[h −σ
0

2
] is the average power of nonlineofsight component and σ
2
0
is the average
power of the LOS component, the Ricean factor K = σ
2
0
/σ
2
h
, and I
0
is the modiﬁed Bessel function
of the ﬁrst kind deﬁned as
I
0
(x) =
1
π
_
π
0
exp (−x cos θ) dθ. (2.3)
In the absence of a direct path, i.e., with K = 0, the Ricean PDF in (2.2) reduces to the Rayleigh
PDF in (2.1) with I
0
(0) = 1. There are other fading models, such as Nakagami fading or Weibull
fading [18], which will not be considered.
An example of a multipath channel is shown in Figure 2.1. Out of several possible paths
emanating fromthe transmitter, four are shown. There is one LOS path directly fromthe transmitter
to the receiver. Three other paths shown from the transmitter, ﬁrst encounter obstacles. Two of them
reﬂect and reach the receiver, while the third reﬂects off an obstacle, but away from the receiver.
These four paths are examples of actual paths. The received signal will consist of many such paths
combining noncoherently at the receiver.
2.2.1 DOPPLERSPREAD: TIMESELECTIVEFADING
Due to relative motion between the transmitter and the receiver, the Doppler effect causes an
apparent frequency shift of the received electromagnetic waves. If the angle of arrival of the nth
incident wave is θ
n
, the Doppler frequency shift of this component is given by f
n
:= f
max
cos θ
n
,
where f
max
= (v/c)f
0
is the maximum Doppler frequency, speed of the mobile unit is v, c is the
speed of light and the carrier frequency is f
0
. Due to the Doppler effect, the spectrum of the
transmitted signal undergoes a frequency expansion known as frequency dispersion. In time domain,
the Doppler effect implies that the impulse response of the channel becomes timevariant. The
scattering function, S(τ, f ), can be used to capture the timevariant nature of the channel caused
2.2. MICROSCOPICORSMALL SCALEFADING 7
Figure 2.1: Illustration of a multipath channel. Timedelayed reﬂections of the same signal combine at
the receiver.
by the Doppler effect [19]. The scattering function shows the Doppler power spectrum for paths
with different delays τ and Doppler frequency f , and it is a complete characterization of the second
order statistics of wireless channels [20]. Figure 2.2 illustrates a scattering function with respect to
Doppler frequency f and delay τ. When averaged over the delay, τ, the scattering function yields
the Doppler spectrum, S(f ), which is the average power of the channel output as a function of the
Doppler frequency:
S(f ) =
_
∞
−∞
S(τ, f )dτ. (2.4)
The root mean square (RMS) bandwidth of S(f ) is called the Doppler spread, f
rms
, and is given by
f
rms
=
¸
¸
¸
_
_
R
f
(f −f
avg
)
2
S(f )df
_
R
f
S(f )df
, (2.5)
where R
f
is the region where f
0
−f
max
≤ f ≤ f
0
+f
max
and f
avg
is the average frequency of the
Doppler spectrum given by
f
avg
=
_
R
f
f S(f )df
_
R
f
S(f )df
. (2.6)
In the presence of direct path, the Doppler spectrum, S(f ), is modiﬁed by an additional
discrete frequency component corresponding to the relative velocity between the basestation and
the terminal. Fading introduced by the Doppler effect can be characterized by the coherence time, T
c
,
of the channel and is typically deﬁned as the time lag at which the signal autocorrelation coefﬁcient
8 2. MODELINGWIRELESS CHANNELS
Figure 2.2: Plot of the scattering function, S(τ, f ).
reduces to 0.7. The coherence time can also be approximated as the reciprocal of the Doppler spread,
i.e., T
c
≈ 1/f
rms
. Thus, the coherence time serves as a measure of how fast the channel changes in
time, i.e., the larger the coherence time, the slower the channel ﬂuctuation.
The coherence time and the Doppler effect play an important role in the functioning of
multicarrier systems. In a multicarrier system, a frequency selective channel with large bandwidth
is divided into several narrowband subcarriers. If the number of subcarriers increases for a given
bandwidth, the bandwidth assigned to each channel reduces. This implies that the pulse width of
the symbols in time increases. Therefore, the system has to designed carefully for the symbol pulse
width to not exceed the coherence time of the channel. Doppler also causes loss of orthogonality
of the subcarriers in frequency which leads to intercarrier interference, and this will be covered in
Chapter 4.
2.2.2 DELAY SPREAD: FREQUENCY SELECTIVEFADING
In multipath propagation, depending on the incident phase of the waves from each of the multiple
paths, their superposition can be constructive or destructive. Moreover, there may exist multiple
resolvable components depending on the transmission rate. Thus, the presence of more than one
resolvable multipath component causes time dispersion of the transmitted pulse and often several
2.2. MICROSCOPICORSMALL SCALEFADING 9
individually distinguishable pulses occur at the receiver. This time, dispersion of the pulses manifests
as frequency distortion in the frequency domain due to the nonﬂat frequency response of the
channel. The distortion caused by multipath propagation is usually modeled as linear and often
compensated by an equalizer in single carrier communication. In multicarrier communications,
however, several narrow band parallel subcarriers are transmitted where each subcarrier is designed
to observe frequencyﬂat fading.
The delay separation between paths increases with path delay [21]. The span of path delays
between the ﬁrst and the last replicas of the received signal is called the delay spread. The RMS delay
spread of the channel, τ
rms
, is deﬁned as
τ
rms
=
_
_
τ
max
0
(τ −τ
avg
)
2
A(τ)dτ
_
τ
max
0
A(τ)dτ
, (2.7)
where the multipath intensity proﬁle or power delay proﬁle, A(τ), is the average power of the channel
output as a function of delay τ, τ
max
is the maximum path delay and τ
avg
is the average delay spread
given by
τ
avg
=
_
τ
max
0
τA(τ)dτ
_
τ
max
0
A(τ)dτ
. (2.8)
The multipath intensity proﬁle is related to the spectrum S(f ) as
A(τ) =
_
∞
−∞
S(τ, f )df. (2.9)
Therefore, to avoid intersymbol interference (ISI) in linearly modulated systems, the symbol du
ration, T τ
rms
should be satisﬁed. In the OFDM scenario, the symbols being transmitted are
separated by a specialized guard band called the cyclic preﬁx. The length of the cyclic preﬁx should
be at least as long as the maximum delay spread. The cyclic preﬁx, and its role in OFDM systems, is
explained in more detail in Chapter 3. In the presence of delay spread, the channel can be modeled
as a tapped delay line ﬁlter and, consequently, frequencyselective fading is experienced. Frequency
selective fading can be characterized in terms of its coherence bandwidth, B
c
, which is the frequency
difference for which the channel’s autocorrelation coefﬁcient reduces to a prescribed value (example,
0.7 in [22]). The coherence bandwidth is a measure of the channel’s frequency selectivity and is the
reciprocal of the RMS delay spread, i.e., B
c
≈ 1/τ
rms
. The power delay proﬁle is often modeled as
oneside exponential distribution:
A(τ) =
1
τ
avg
exp
_
−τ/τ
avg
_
, τ ≥ 0. (2.10)
Using (2.7), it can be shown that for the exponential delay proﬁle given in (2.10), τ
rms
= τ
avg
.
Typically, delay spread, τ
rms
, increases with distance from the terminal. This is due to the fact
that at larger distances, multipaths with large delays have strengths comparable to the direct path
10 2. MODELINGWIRELESS CHANNELS
−1 0 1 2 3 4 5
−2
−1
0
1
2
3
4
5
l
h
[
l
]
Impulse Response
Figure 2.3: Impulse response of channel in (2.12).
which ultimately increases τ
rms
. In ﬂat rural areas, τ
rms
is less than 0.05 μs, in urban areas τ
rms
is approximately 0.2μs and in hilly terrains τ
rms
is around 23 μs [23]. In a multicarrier system,
a frequency selective channel is divided into several narrowband subcarriers. The subcarriers are
chosen such that each of themis a frequencyﬂat fading channel. The values of the RMS delay spread
and the coherence bandwidth play an important role in determining the number of subcarriers to
be used. For instance, consider a system with a total bandwidth of BW = 2MHz. The system is
deployed in an environment that has an RMS delay spread of 25μs or a coherence bandwidth of
B
c
= 40kHz. For channels to be frequencyﬂat fading, the required coherence bandwidth on each
of N subcarriers is given by B
N
:=BW/N B
c
. If B
N
= 0.1B
c
, at least N = 500 subcarriers have
to be used. In OFDM, as will be shown later, it is preferred that the number of subcarriers be a
power of 2, in which case, N = 512 can be used.
2.3 TAPPEDDELAY LINEMODEL FORFREQUENCY
SELECTIVEFADINGCHANNELS
In this section, we consider frequency selective channels and brieﬂy discuss some methods to mitigate
the effects of frequency selective channels. The drawbacks of these schemes are presented in order
to motivate the need for multicarrier systems such as OFDM.
Frequency selective channels are commonly represented using the tapped delay line model.
In a tapped delay line model, a data line is tapped at different time delays, weighted with different
values, and then summed together to provide an output. Such a model efﬁciently represents data
received via multiple paths for a signal from the same source, making it a good ﬁt for frequency
selective channels. For a frequency selective channel represented using L taps, if the transmitted
2.3. TAPPEDDELAY LINEMODEL FORFREQUENCY SELECTIVEFADINGCHANNELS 11
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
−800
−600
−400
−200
0
Normalized Frequency (×π rad/sample)
P
h
a
s
e
(
d
e
g
r
e
e
s
)
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
−20
−10
0
10
20
Normalized Frequency (×π rad/sample)
M
a
g
n
i
t
u
d
e
(
d
B
)
Frequency Response
Figure 2.4: Frequency response of channel in (2.12).
data is u[n], the output at the receiver, r[n], is represented as [20]
r[n] =
L−1
l=0
h[n; l]u[n −l], (2.11)
where h[n; l], l = 0, . . . , L −1 represent the L taps of the frequency selective channel at time n.
This convolutional channel can also be interpreted as an FIR ﬁlter of order L −1. For a frequency
selective fading channel, the channel coefﬁcients are modeled as random
1
.
As an example, consider a channel h[n; l] at a ﬁxed instant of time. Assuming that the
channel is time invariant, we drop the time index. Consider, as an example, the channel whose
impulse response can be represented as
h[l] = 3δ[l] −δ[l −1] +δ[l −2] +4δ[l −4]. (2.12)
For this channel, the impulse response and frequency response are shown in Figure 2.3 and Figure
2.4, respectively. We can see from Figure 2.3 that the channel represents a multipath channel, and
from Figure 2.4, we can see that the response of the channel is not the same at each frequency,
making it a frequency selective channel. In multicarrier systems such as FDM and OFDM, the
frequency spectrum is divided into several narrowband channels called subcarriers. If the channel
bandwidths are small, each can be considered to be a frequencyﬂat fading channel. While this is a
1
It should be noted that in some cases, especially in wired ISI channels, such as telephone lines, the channel taps are modeled as
deterministic [24].
12 2. MODELINGWIRELESS CHANNELS
good approach to mitigate the effects of a frequency selective channel, a subcarrier that occurs at a
trough on the frequency response of the channel will result in a channel with very poor performance.
Strategies such as errorcontrol coding across subcarriers [25] are used to improve performance in
such situations.
As shown in (2.11), transmission over a frequency selective channel can be considered as a
convolution in time between the data and the tapped delay line representation of the channel. The
Viterbi algorithm considers the channel as a statemachine and can be used to decode the data, and
it is shown to provide the maximumlikelihood solution [24]. However, the Viterbi algorithm grows
exponentially in the number of channel taps.
Alternatively at the receiver, the convolution in (2.11) can be inverted in order to estimate
the transmitted data, in a process called equalization. Several suboptimal techniques can be used for
equalization. Linear equalization uses an FIR ﬁlter, g[l], to estimate the value of the transmitted
symbol, u[n], to yield the estimate:
¨u[n] = y[n] ∗ g[n]. (2.13)
The ﬁlter, g[l], has to be selected so that the estimate, ¨u[n], is close to the transmitted signal, u[n].
In the absence of channel noise, g[l] is selected such that
h[l] ∗ g[l] = δ[l], (2.14)
so that ¨u[n] = u[n]. Since the convolution of two FIR ﬁlters will never yield δ[l], selecting g[l] to
satisfy (2.14) is not possible with an FIR equalizer. Instead, the optimum coefﬁcients of g[l] are
chosen in a way to minimize a performance index, such as the mean square error (MSE) between
the transmitted symbol, u[n], and the estimate of the symbol, ¨u[n], at the receiver as follows:
g
opt
[l] = argmin
{g[l]}
E
_
u[n] −¨u[n]
2
_
. (2.15)
More information about these and other more complex equalizers such as the decisionfeedback
equalizer (DFE) and iterative solutions to (2.15) can be found in [24].
Mitigation of the effects of the frequency selective channel requires estimation of the taps for
bothequalizationandthe Viterbi algorithms. Due to the convolutional nature of the channel, channel
estimation cannot be performed by transmitting a pilot tone. A white noise sequence is transmitted
and crosscorrelated with the received signal in order to estimate the channel [26]. In contrast,
with frequencydomain schemes such as FDM or OFDM, the frequencyﬂat fading channel on
each subcarrier can be estimated individually by transmitting a pilot tone at each subcarrier. If the
entire channel estimate is required with a few pilots, interpolation of the channel estimates in the
frequency domain will yield the required result. The structure of an OFDM system, which allows
such estimation, is discussed in Chapter 3.
13
C H A P T E R 3
Baseband OFDMSystem
In this chapter, the basic model of the OFDMsystemis introduced. First, an analog interpretation of
the OFDMsystemis presented. Following this, the discrete symbolrate sampled OFDMtransmis
sion scheme is developed. Block transmissions built on a matrixvector framework are introduced,
which subsume transmission schemes that use zero padding (ZP), OFDM using cyclic preﬁx, and
precoded transmissions. We will also discuss OFDM as a block transmission scheme effective in
mitigating ISI in large delay spread environments.
3.1 INTRODUCTIONTOOFDM
As discussed in Chapter 2, a frequency selective channel has a convolutional effect on transmitted
data, and methods such as the Viterbi algorithmor equalization are used to mitigate the effects of the
frequency selective channel. Orthogonal Frequency Division Multiplexing (OFDM) is a technique
that can also be used to mitigate frequency selective channels.
Figure 3.1: An example of FDM transmissions.
14 3. BASEBANDOFDMSYSTEM
In a simple frequency division multiplexing (FDM) system, the entire channel bandwidth is
divided into several narrow bandwidth channels, referred to as subcarriers. If the bandwidth of the
subcarrier is suitably small, it can be considered to be a ﬂat fading channel. In an FDM system,
the subcarriers need to be assigned in such a way that they do not interfere with each other. Such
a system is shown in the top half of Figure 3.1 where the allotted bandwidth is partitioned into
subcarriers. To make allowances for bandwidths that are not restricted in frequency, and for ﬁlters,
the subcarriers are spaced sufﬁciently apart from each other. The restriction stops us from utilizing
a partitioning system as shown in the bottom half of Figure 3.1.
Figure 3.2: OFDM symbols represented using sinc functions.
In contrast, in an OFDMsystem, in addition to dividing the frequency spectruminto separate
parts, they are shaped as well, as shown in Figure 3.2. Due to this shaping, when a subcarrier is
sampled at its peak, all other subcarriers have zerocrossings at that point, and they do not interfere
with the subcarrier being sampled. In case this sampling is offpeak, there could be interference
from adjacent subcarriers. Furthermore, not truncating the spectrum of each subcarrier reduces the
demands on ﬁlters, and it allows the symbols to be restricted in time. In a typical OFDM system,
data symbols are transmitted over each subcarrier and received without interference.
To implement such a system, the symbols are ﬁrst considered in frequency. By taking the
IFFT of the data symbols, timedomain representations are obtained. A cyclic preﬁx is added to this
representation in time. An interval of the timerepresentation of the symbols is copied and added to
the front, comprising the cyclic preﬁx. This data, after the addition of the cyclic preﬁx, is transmitted
3.1. INTRODUCTIONTOOFDM 15
over the frequency selective channel. At the receiver, the cyclic preﬁx is dropped, and the FFT of
the rest provides the symbols at the receiver [27].
In this process, the length of the cyclic process plays an important role. The length of the
cyclic preﬁx is chosen such that it is larger than the maximum delay spread of the wireless channel.
Figure 3.3 helps understand the signiﬁcance of the cyclic preﬁx. It shows three subcarriers in the
Figure 3.3: Importance of Cyclic Preﬁx.
time domain after passing through a tworay channel environment (L = 2 in (2.11)). The solid
curves represent the subcarriers that have reached the receiver without any delay, and the dotted
ones represent those that have reached after a certain delay. Of course, what we see at the receiver
is a sum of the signals. Figure 3.3 also shows the phase transitions that might occur at symbol
interval boundaries. Since the choice of the cyclic preﬁx interval is larger than the delay spread, the
delayed replicas of the subcarriers show phase transitions within the guard interval. At the receiver,
16 3. BASEBANDOFDMSYSTEM
since FFT is taken after discarding the guard interval part of the received signal, the orthogonality
between any subcarrier and delayed version of any other subcarrier is still preserved [28].
The analog method described provides good intuition into the working of an OFDM system.
However, in the case of digital systems, the continuoustime methods described cannot be used.
Digitization and the use of block transmissions are required. These digitization techniques are used
to formally introduce the concepts of OFDMlater on in the chapter. Additionally, the discrete model
is more suited for simulation using computer programs.
3.2 DISCRETEBASEBANDBLOCKTRANSMISSIONS
The purpose of this section is to establish a convenient discretetime framework encompassing well
known block transmission techniques like OFDM with a Cyclic Preﬁx (CPOFDM), zeropadded
(ZP) transmissions, and block precoded transmissions that process information symbols in blocks.
We will also showthat blocktransmissions are an effective way to mitigate channel induced ISI [29].
This unifying model is useful in holding a signalsandsystems viewof the entire transmission process
and is also used in describing the OFDM transmission technique later in this chapter.
Figure 3.4: Serial Transmissions (above) and Block Transmissions (below).
We ﬁrst begin with a linearly modulated transmission system over a frequency selective chan
nel. In Figure 3.4, u[n], n ∈ Z are pulsed shaped by a ﬁlter with response p(t ) and then sent over a
wireless channel with an impulse response h(t ), and additive noise, v(t ). The received signal is then
passed through a ﬁlter with response p(−t ), matched to the transmit pulseshaping ﬁlter p(t ). The
equivalent received discretetime sequence is given by
r[n] =
L−1
l=0
u[n −l]h[l] +v[n], (3.1)
where h[n] := h(nT
s
), r[n] := r(nT
s
), v[n] := v(nT
s
), T
s
is the sampling period, and h(t ), r(t )
and v(t ) are the analogtime representations of the channel, received symbols, and additive channel
3.2. DISCRETEBASEBANDBLOCKTRANSMISSIONS 17
noise, respectively. Let us now link this serial transmission setup with a block transmission setup. In
block transmissions, blocks of length P are obtained from the symbols u[n] such that P L. Let
u[i] denote the i
t h
transmitted block
1
which is equal to [u[(i −1)P], u[(i −1)P +1], . . . , u[(i −
1)P +P −1]]
T
. Using (3.1), it can be shown that
r[i] = H
0
u[i] +H
1
u[i −1] +v[i], (3.2)
where r[i] = [r[(i −1)P], . . . , r[(i −1)P +P −1]]
T
and v[i] = [v[(i −1)P], . . . , v[(i −
1)P +P −1]]
T
are the received and noise vectors, respectively, in the i
t h
block interval and because
P L, the P ×P channel matrices H
0
and H
1
are given by
H
0
=
⎛
⎜
⎜
⎜
⎜
⎜
⎜
⎜
⎜
⎝
h[0] 0 0 . . . 0
.
.
. h[0] 0 . . . 0
h[L −1] . . .
.
.
. . . . 0
.
.
.
.
.
. . . .
.
.
. 0
0 . . . h[L −1]
.
.
. h[0]
⎞
⎟
⎟
⎟
⎟
⎟
⎟
⎟
⎟
⎠
P×P
, (3.3)
and
H
1
=
⎛
⎜
⎜
⎜
⎜
⎜
⎜
⎜
⎜
⎝
0 . . . h[L −1] . . . h[1]
.
.
.
.
.
. 0
.
.
.
.
.
.
0 . . .
.
.
. . . . h[L −1]
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
0 . . . 0
.
.
. 0
⎞
⎟
⎟
⎟
⎟
⎟
⎟
⎟
⎟
⎠
P×P
, (3.4)
and shown in the lower block diagram in Figure 3.4. It may be noted that similar to ISI in the
serialized transmission shown in (3.1), there is interblock interference (IBI) for the block u[i], but
only from the immediately preceding block u[i −1], due to causality. It is easy to see that this
is a consequence of choosing P L. The matrixvector framework given in (3.2) uniﬁes many
wellknown transmission schemes in the following way:
• BlockPrecoded Transmissions – Linear precoded transmissions, such as those that have
been proposed for OFDM in [30] are instances of block transmission. They involve linearly
coding the information block s[i] by multiplying with a precoding matrix Th. With linear
precoding, u[i] is derived from Th · s[i] after either zeropadding or after taking FFT and
appending a cyclic preﬁx and is transmitted over the channel, which will be discussed next.
• ZeroPadded Transmissions (ZP) – Let us recollect from (3.2) that there is IBI in the
received block at the i
t h
time instant because of the last L −1 symbols in u[i −1]. It is easy
1
The term “symbol” is used interchangeably with “block” in block transmissions.
18 3. BASEBANDOFDMSYSTEM
to see that this IBI can be made equal to 0 by making the last L −1 or more of the symbols in
u[i −1] equal to 0. This ZP transmission scheme [31] can be mathematically represented as
y[i] = H
0
T
zp
u[i] +v[i], (3.5)
where u[i] = T
zp
s[i] is obtained from an N ×1 block of symbols by appending
¯
L > L zeros
through a matrix operator T
zp
:= [I
T
N
0
T
¯
L×N
]
T
which appends
¯
L zeros to s[i]. This period of
“silence” at the end of the i
t h
block prevents IBI in the (i +1)
t h
block, since H
1
T
zp
= 0.
• CyclicPreﬁxed OFDM (CPOFDM) – Cyclicpreﬁxed OFDM [29, 32, 33, 34], which is
a very popular Multicarrier (MC) modulation scheme, is also a block transmission scheme
and ﬁts very well into the data model developed in (3.2). In OFDM, blocks of data, s[i], of
length N, are obtained from a serial stream of input symbols, s[n]. In each block interval i,
the N elements in s[i] are modulated onto N subcarriers. This is achieved through discrete
IFFT at the transmitter. In order to prevent IBI, guard intervals between blocks of symbols
are introduced. But instead of not transmitting anything in the guard interval duration like the
zeropadded transmission scheme described in (3.5), the last
¯
L datapoints in the tail portion
of the OFDM symbol are transmitted and termed “cyclicpreﬁx.” At the receiver, the cyclic
preﬁx portion of the received signal is discarded, and FFT is taken on the remainder. At this
stage, the relation between the input block s[i] and the output of the FFT appears as follows:
y[i] = Hs[i] +v[i], (3.6)
where v[i] is the noise vector. Addition of the cyclic preﬁx makes R
cp
H
0
T
cp
into a circulant
matrix, which results in the channel matrix, H = F
N
R
cp
H
0
T
cp
F
H
N
being diagonal. Therefore,
there is no ISI between the elements of y[i] in (3.6). Later in the chapter, we shall see in detail
all the transmitter and receiver operations that result in the data model in (3.6) for OFDM.
We will also address the explicit derivation of (3.6) and the relationship between h[l] and H.
3.3 DISCRETETIMEOFDMMODEL
Figure 3.5 shows a blockdiagram representation of the discretetime implementation of OFDM.
The transmissions occur on a wireless ISI channel, h(t ), which is modeled as a tapdelayline ﬁlter
with L taps, a maximum delay spread of τ
max
, average delay spread of τ
avg
, and RMS delay spread of
τ
rms
. All the transmitter operations like serialtoparallel conversion of the input data, taking IFFT
on it, cyclicpreﬁx insertion, pulseshaping and transmitting on the channel shown in Figure 3.5 are
for the i
t h
block interval and are explained in detail below:
• Blocking – It has been shown in Section 3.2 that OFDM ﬁts into the general class of block
transmissions. The OFDM modulator parses a continuous stream of input data into blocks
of length N, as shown in Figure 3.5. Later, as we shall see, this blocking of input data and
further processing helps in countering the channel induced ISI. Figure 3.5 shows the signal
3.3. DISCRETETIMEOFDMMODEL 19
Figure 3.5: DiscreteTime Implementation of OFDM.
processing that takes place in the i
t h
OFDM symbol interval during which the N uncoded
data elements, s[k], k = (i −1)N, (i −1)N +1, . . . , (i −1)N +N −1, are grouped into
an OFDM symbol, s[i], of length N. The OFDM symbol s[i] is then subjected to further
processing.
• Subcarrier Modulation – In its discretetime implementation, the modulation of subcarriers
by the data is achieved through an IFFT operation. In Figure 3.5, we see that the N data
elements, s[i] are subjected to an IFFT operation.
• Cyclicpreﬁx insertion – An important operation that helps in preserving the orthogonality
of the subcarriers is the insertion of cyclicpreﬁx between OFDM symbols. The number
of symbols in the cyclic preﬁx is at least as many as the number of taps in the FIR ﬁlter
representation of the frequency selective channel.
Figure 3.6: Cyclic preﬁx added to a block of data.
The output, after taking IFFT and inserting cyclicpreﬁx, is u[i] = [u[(i −1)P], u[(i −
1)P +1], . . . , u[(i −1)P +P −1]]
T
, where
u[n] =
1
√
N
(i−1)N+N−1
k=(i−1)N
s[k] exp (j2πnk/N) , (3.7)
20 3. BASEBANDOFDMSYSTEM
for n = (i −1)P, (i −1)P +1, . . . , (i −1)P +P −1 and P = N +
¯
L. Alternatively, the
generation of u[i] from s[i] can also be described as
u[i] = T
cp
F
H
N
s[i], (3.8)
where T
cp
:=
_
I
T
cp
I
T
N
_
T
is a cyclic preﬁx inserting matrix with I
cp
being the last
¯
L rows of
the N ×N identity matrix I
N
, F
N
is an N ×N DFT matrix, and F
H
N
is an N ×N IDFT
matrix obtained by taking the Hermitian of F
N
. An OFDM symbol with the CP added to it
is shown in Figure 3.6.
• PulseShaping – Samples u[n], n = (i −1)P, (i −1)P +1, . . . , (i −1)P +P −1 of the
P ×1 OFDMsymbol u[i] (also containing the cyclicpreﬁx) that we see inFigure 3.5 are pulse
shaped with a transmit ﬁlter, p(t ), and transmitted over the channel, h(t ). Practical issues like
outofband energy emissions, interchannel interference and peaktoaverage power dictate
the choice of the exact pulseshaping scheme to be used. OFDM systems can be categorized
into two classes depending on the pulse shaping ﬁlter used: (i) the class of OFDM systems
that use timelimited pulses [33, 35], typically rectangular pulses that overlap in the spectral
domain, but are orthogonal and (ii) the class of OFDM systems designed with inﬁnitely long
pulses, but they are realized with their truncated versions. Orthogonality conditions for the
second category were presented in [6] and an application with offset QAM was presented in
[11].
Even though the data samples, u[n], are those of an OFDM system, the channel, h[n], affects
them the same way it does other singlecarrier transmission schemes. Therefore, the continuous
time signal that is received is the same as in (3.1). At this stage, the data model for the i
t h
block at
the receiver, r[i], is exactly the same as shown in (3.2). After this, the receiver simply eliminates the
IBI due to H
1
by discarding the ﬁrst
¯
L samples received during the guard interval and performs an
FFT on the remainder. All the aforementioned operations on r[i], can be mathematically described
as below:
y[i] = F
N
R
cp
r[i] = F
N
R
cp
H
0
T
cp
F
H
N
s[i] +F
N
R
cp
v[i], (3.9)
where R
cp
:= [0
N×
¯
L
I
N
] removes the initial cyclic preﬁx part of the received symbol. Note that the
IBI termbecause of H
1
is also made zero since R
cp
removes its ﬁrst
¯
Lrows. The advantage of employ
ing IFFT and FFT at the transmitter and receiver, respectively, is that the factor F
N
R
cp
H
0
T
cp
F
H
N
simpliﬁes to a diagonal matrix H which can easily be inverted (provided the inverse exists) [29].
Since H is a diagonal matrix, the inputoutput relation at any subcarrier k is a simple one without
any ISI and is as follows:
y[k] = H[k]s[k] +v[k], (3.10)
for k = (i −1)N, (i −1)N +1, . . . , (i −1)N +N −1, where
v[k] := N
−1/2
(i−1)N+N−1
(i−1)N
v[n] exp (−j2πkn/N) , (3.11)
3.3. DISCRETETIMEOFDMMODEL 21
and H[k] representing the channel gain of the k
t h
subcarrier is the k
t h
element on the principal
diagonal of H is given by
H[k] =
L−1
n=0
h[n] exp
_
−j
2πkn
N
_
. (3.12)
Looking at the inputoutput relation in (3.10), it is clear that through IFFT and cyclicpreﬁx in
sertion at the transmitter and with matching operations at the receiver, OFDM has turned an ISI
channel requiring potentially complex equalization at the receiver into a set of ﬂatfading channels.
This is the singlemost important advantage of OFDM: robustness to large delay spread environ
ments obviating the need for complex equalization at the receiver. One drawback of this method is
that when the gain of a subcarrier is low, equalization ampliﬁes the additive noise. This problem is
exacerbated when a subcarrier lies on a channel null, and the data transmitted over that subcarrier
is completely lost. To mitigate this problem, errorcontrol coding is used to code symbols across
subcarriers [25].
Figure 3.7: A frequency selective fading channel divided into orthogonal subcarriers. Alternate subcar
riers are shaded for clarity.
This representation of OFDM as shown in (3.10) can be also interpreted as shown in Fig
ure 3.7. It shows a frequency selective channel divided into subcarriers, with no overlap. Each
subcarrier then behaves like a ﬂat fading channel with no interference from other subcarriers. Data
can be transmitted over each of these subcarriers independently. In this scenario, for channel equal
ization, it is only necessary to compensate for the effect of each subcarrier indivdually. In order to
do this, the subcarriers gains have to be estimated. For OFDM, each subcarrier gain can be simply
estimated with individual pilots since each subcarrier is now equivalent to a ﬂat fading channel with
no interference from other subcarriers [36]. In case the entire channel needs to be estimated, and
not just the subcarriers, a simple interpolation will yield the required information.
OFDM is used in the DAB [1], the DVBT [2], the DMB [3] and the IEEE 802.11a [37]
standards. Typical values of parameters such as bandwidth, number of subcarriers, spacing of sub
carriers, modulation schemes and bit rates used in these standards are shown in Table 3.1. Some of
these standards work in multiple modes and bands. For instance, although the DAB standard can
22 3. BASEBANDOFDMSYSTEM
Table 3.1: Typical Values of OFDM parameters as used in Common Standards
Standards
Name DAB DVBT DMB IEEE802.11a
Bandwidth (MHz)
174240 174240 470862 49125825
1,4521,492 470862
Number of Subcarriers
Mode I: 1,536
Mode II: 384 2K mode: 1705 3,7802 52
Mode III: 192 8K mode: 6,817
Mode IV: 768
Subcarrier Spacing (Hz)
Mode I: 1000
Mode II: 4000 2K mode: 4,464 2,000 312.5K
Mode III: 8000 8K mode: 1,116
Mode IV: 2000
Modulation Scheme π/4 DQPSK QPSK QAM BPSK
Bit Rate (Mbits/s) 0.5761.152 24 4.8132.49 654
operate above 30 MHz, it has spectra allocated for it in Band III (highband VHF; 174–240 MHz)
and Lband (1452–1492 MHz). DAB has a number of country speciﬁc transmission modes (I, II,
III and IV). For worldwide operation, a receiver must support all 4 modes: (i) Mode I for Band III,
Earth; (ii) Mode II for LBand, Earth and satellite; (iii) Mode III for frequencies below 3 GHz,
Earth and satellite; and (iv) Mode IV for LBand, Earth and satellite. In the case of DVBT, there
are two choices for the number of carriers known as 2Kmode or 8Kmode. In the 2K mode, 1,705
(approximately 2000) subcarriers are used that are spaced approximately 4kHz apart. In the 8Kmode,
6,817 carriers, approximately 1 kHz apart, are used. The DVBT has been allocated frequencies in
Band III and Band IV. For these standards that work in multiple modes and bands, receivers are
generally marketed so that they can be set up to work with all the different systems.
23
C H A P T E R 4
Carrier Frequency Offset
Before an OFDM symbol can be successfully demodulated, the receiver has to synchronize to both
the transmitted frame timing and carrier frequency. First, the receiver has to know where exactly it
has to sample the incoming OFDM symbol prior to the FFT process. Secondly, the receiver has
to estimate and correct for any carrier frequency offset because offset can result in intercarrier
interference (ICI). In fact, the sensitivity to timing and carrier offset errors is higher in OFDM
systems than in single carrier systems [34]. Transmitted signals are provided with timing, frequency,
and phase reference parameters to assist with synchronization at the receiver. Proper detection at the
receiver requires knowledge of these parameters. The ﬁrst task of the receiver is to estimate symbol
boundaries. If the receiver cannot clearly identify the symbol lengths, then ISI occurs. A preamble
consisting of a sequence of known symbols is used for the receiver. Once the presence of symbol is
detected, the next task is to estimate the frequency offset. Frequency offset occurs due to unmatched
frequencies on the received signal and the local oscillator at the receiver. Therefore, subcarriers could
be shifted from their original positions resulting in a nonorthogonal signal at the receiver resulting
in ICI after the FFTdue to the FFToutput containing interfering energy fromall other subcarriers.
Other problems such as outofband radiation [38, 39] can also occur with OFDM transmissions.
4.1 CARRIERSYNCHRONIZATIONERROR
Frequency offsets are typically introduced by a (small) frequency mismatch in the local oscillators
of the transmitter and the receiver. Doppler shifts can also induce a slight frequency change of the
carrier frequency [40] and hence, lead to frequency mismatch.
The impact of a frequency error can be seen as an error where the received signal is sampled
during demodulation. Figure 4.1 depicts this twofold effect.
Since the subcarriers (SC) are orthogonal, when viewed in time domain, the peak of any sinc
is aligned with the zeros of all other sincs. Ideally, each SC is sampled at its peak, and there is no
contribution fromthe other SCs. However, when there is a frequency offset, sampling may not occur
at the peaks but at an offset point. The amplitude of the desired SC is reduced, and ICI arises from
the adjacent SCs.
Here, we would like to recall that after parallel to serial conversion the output of the IFFT
can be represented as
x[n] =
1
N
N−1
k=0
s[k] exp
_
j2πkn
N
_
. (4.1)
24 4. CARRIERFREQUENCY OFFSET
Figure 4.1: Sampling mismatch due to CFO.
We now consider the case where there exists a mismatch in the frequencies of the received signal
and the local oscillator at the receiver. Ignoring the effects of the additive noise, the received signal
after removal of CP can be written as
z[n] =
1
N
N−1
k=0
s[k]H[k] exp
_
j2πn(k +f )
N
_
, (4.2)
where f represents the relative frequency offset deﬁned as the ratio of the actual frequency offset
to the intercarrier spacing, and H[k] is the transfer function of the channel at the frequency of the
k
t h
subcarrier. z[n] here also represents the input to the FFT at the receiver. Therefore, the output
of the FFT can be expressed as
y[k] =
1
N
N−1
n=0
z[n] exp
_
j2πkn
N
_
. (4.3)
4.2. FREQUENCY OFFSETESTIMATION 25
Substituting for z[n] from (4.2) into (4.3) and after some algebraic manipulations, the output of the
FFT is given by [41]
y[k] =
1
N
N−1
m=0
s[m]H[m]
sin (π (m−k +f ))
sin
_
π(m−k+f )
N
_ exp
_
j
_
N −1
N
_
(m−k +f )
_
, (4.4)
=
1
N
s[k]H[k]
_
sin (πf )
sin (πf/N)
_
exp
_
j (N −1)f
N
_
+
1
N
N−1
m=0
m=k
s[m]H[m]β
m−k
, (4.5)
where the complex coefﬁcient
β
m−k
=
sin (π (m−k +f ))
sin
_
π(m−k+f )
N
_ exp
_
j
_
N −1
N
_
(m−k +f )
_
. (4.6)
Here, it can be seen that when m = k we have
β
0
=
_
sin (πf )
sin (πf/N)
_
exp
_
j (N −1)f
N
_
, (4.7)
which is identical to the scaling factor on the k
t h
subcarrier in (4.5). This implies that in case of
frequency offset, each output symbol estimate now depends on all the input values, i.e., ICI occurs
due to the inﬂuence of data on the other subcarriers. Further, it can be seen from(4.5) that if f = 0
then the received signal is s[k]H[k]/N. Since the scaling of k
t h
component is independent of k, it is
evident that all subcarriers experience the same degree of attenuation along with ICI. It is important
to note here that carrier frequency offset does not affect the amplitudes of any of the signals, and,
consequently, it does not change the total power in the received signal. Therefore, the total ICI power
changes little with N. Some techniques for offset estimation and offset cancelation are provided in
the following section. More details can be found in [41, 42, 43].
4.2 FREQUENCY OFFSETESTIMATION
By estimating the frequency offset at the receiver, the loss inperformance due toa frequency mismatch
of the received signal and the receive oscillator can be signiﬁcantly reduced. The frequency offset
estimation techniques can be broadly classiﬁed into pilotaided schemes and nonpilot aided or blind
estimation schemes. Pilot assisted methods use well deﬁned pilot symbols to aid in the estimation
of CFO. Since this method is capable of achieving very quick and reliable estimates, it is a popular
technique though there is a loss in data rate and spectrumefﬁciency of the system. Blind or non pilot
assisted methods exploit the structural and statistical properties of the transmitted OFDM signals.
Though these techniques preserve the data rate, they lead to processing the received data multiple
times, which causes delay in decoding. After normalizing the CFO by the subcarrier spacing, the
integer part and the fractional part of the CFOcan be estimated separately. Estimation of the integer
26 4. CARRIERFREQUENCY OFFSET
part of the CFO can be termed as coarse CFO estimation while the estimation of the fractional part
of the CFO can be termed as ﬁne estimation of the CFO. Next, we describe brieﬂy simple methods
to estimate the integer part and the fractional part of the CFO.
4.2.1 FREQUENCY DOMAINAUTOCORRELATION
For this method, pilot symbols are transmitted on a selected set of subcarriers. Out of N subcarriers
in an OFDM symbol, J are selected to be pilots. These J subcarriers are not necessarily contiguous.
Since the integer part of the CFO causes frequency shift of the received signals in the frequency
domain, this method yields good estimates of the CFO. Recall fromChapter 3 that an OFDMblock
consists of several OFDM symbols, and each OFDM symbol contains N subcarriers, so that the
data point y[i, j] represents the symbol transmitted on the j
t h
subcarrier of the i
t h
OFDM symbol.
For the frequency domain autocorrelation scheme, two consecutively received OFDM symbols on
a set of subcarriers are correlated [44], as shown in Figure 4.2, to yield
¨
f [g] =
J−1
j=0
y[i, α
j
+g]y
∗
[i −1, α
j
+g], (4.8)
where g = 0, ±1, ±2, ±3, . . . are the possible integervalued subcarrier shifts, and α
1
, α
2
, . . . , α
J
are the J pilot subcarriers. Since the pilot symbols are not random but known at the receiver, (4.8)
will contain the average magnitude of the squared pilot symbols. The integer portion of the CFO
can be estimated by ﬁnding the value of g which results in the largest 
¨
f [g], i.e.,
¨g = argmax
g

¨
f [g]. (4.9)
Pilot symbols have to be transmitted over several consecutive OFDM symbols to obtain a good
estimate and minimize the error in estimation that maybe caused by channel ﬂuctuations. Following
this, to obtain an accurate estimate of the CFO, we describe the maximum likelihood method of
estimating the fractional portion of CFO.
4.2.2 MAXIMUMLIKELIHOODESTIMATION
Though the cyclicpreﬁx can be used for timing and frequency synchronization, generally, in OFDM
transmissions, there will be an additional preamble transmitted after the CP, and before the data is
transmitted [37]. The preamble is designed to contain multiple repetitive symbols with a symbol
time much less than that of the transmitted data symbol. Such a preamble can be used to estimate
the fractional part of the CFO. Deﬁning Q as the repetition interval length in time samples and B
as the time samples separation between two adjacent repetitions, the maximum likelihood estimator
can be expressed as
¨
f
f rac
=
1
2πBT
s
arg
⎛
⎝
Q−1
q=0
z[n −q]z
∗
[n −q −B]
⎞
⎠
, (4.10)
4.2. FREQUENCY OFFSETESTIMATION 27
Figure 4.2: Block Diagram of Carrier Frequency Offset Estimation Process by using the Frequency
Domain Approach.
where arg(·) represents the argument of a complex number. Given that the phase can be
uniquely resolved in the interval [−π, π], the CFO can be estimated only within the interval
[−1/(2LT
s
), 1/(2LT
s
)]. Adding this to the result obtained by the estimation of the integer part of
CFO, a more accurate estimate is obtained.
Several other algorithms can be used for CFO estimation. In [41], the authors propose a
correlation based technique for estimation. In this method, two consecutive identical pilot symbols
are required to estimate CFO. The restricting assumption made is that the maximum CFO has to be
less than half the subcarrier spacing. In [42], the authors used two identical halfperiod symbols to
estimate the fractional part of the CFO and a second full period symbol that has a special correlation
relation with the ﬁrst pilot symbol to estimate the integer part of CFO. The important assumption
the authors made in this work is that the constellation of symbols transmitted on each subcarrier has
points that are equally spaced in phase. A similar method exploiting only two identical half period
symbols to estimate both the integer and the fractional part of the CFOwas proposed by [45]. While
the above citedworks dependonthe correlationof the two halfperiodidentical blocks for estimation,
in [46, 47], the pilot symbol consists of multiple repetitive fractional parts. The differential phase of
the correlation between different pairs of adjacent fractional blocks in a symbol are used to form an
improved estimates.
In the blind estimation methods [37, 48, 49], elements of the transmitted OFDM symbol
such as the cyclic preﬁx, virtual subcarriers or constant modulus transmission are used. Practical
OFDM systems in general do not have data transmitted on all available subcarriers to help avoid
aliasing errors. Some of the subcarriers at the edges of the OFDM symbol are left empty; these
subcarriers are called virtual subcarriers. The number of subcarriers in a symbol is a system design
parameter (generally about 10% of the total number of subcarriers N). The authors in [50] propose
a blind estimation method that is only suitable to recover CFO values that are multiples of the
subcarrier spacing. In [51, 48], the presence of virtual subcarriers is exploited and techniques such
as MUSIC and ESPIRIT [26] are used to estimate the CFO. This scheme requires usually multiple
OFDM symbols to achieve desirable performance thereby leading to additional delay at the receiver
to estimate the CFO and decode the received symbols.
In a typical communication system, offset estimation is done in the presence of channel noise
corrupting the received signals. Therefore, the estimates obtained are always noisy. When these
28 4. CARRIERFREQUENCY OFFSET
estimates are used to reverse the effects of the frequency offset, there is a residual offset that is small,
but random. This results in deterioration of performance, in spite of compensating for carrier offset
using the estimation process. Therefore, it is preferable that carrier offset be canceled automatically,
rather than be estimated and then removed. In Section 4.3, some algorithms for ICI cancelation are
presented.
4.3 ICI CANCELATIONSCHEMES
4.3.1 SELFICI CANCELATIONSCHEME
There have been several schemes proposed to avoid ICI in the OFDM communication scheme. The
ﬁrst scheme we consider is called Self ICI Cancelation, proposed by Zhao and Haggman [52, 53]. In
this scheme, instead of independent data being mapped on to the subcarriers, data is mapped onto ad
jacent pairs of subcarriers. For example, s[0] = −s[1], s[2] = −s[3], . . ., s
[
N −2] = s
[
N −1]. This
mapping has been shown to result in cancelation of most of the ICI in the values y[0], . . . , y[N −1].
So, it is evident that the ICI for this scheme depends onthe difference betweenthe adjacent weighting
coefﬁcients rather than on the coefﬁcients themselves. As the difference between adjacent subcarri
ers is small this results in substantial reduction in ICI. If adjacent coefﬁcients are identical, then ICI
is completely canceled. The ICI cancelation in this scheme depends only on the coefﬁcients being
slowly varying functions of offset, and it does not depend on the absolute value of the coefﬁcients
themselves. However, due to the redundancy introduced by mapping the same symbol onto two
subcarriers, the data rate is halved.
4.3.2 WINDOWING
Windowing is another technique proposed to help reduce sensitivity to frequency offsets in an
OFDM system [54, 55, 56, 57]. This process involves cyclically extending the time domain signal
associatedwitheachsymbol by v samples.The resulting signal is thenshapedwitha windowfunction.
The transmitter uses an N/2 point IDFT process while the receiver uses an N point DFT
process. If the time domain signal is extended by v = N/2 samples, then N point received signal can
be used as inputs to the DFT process at the receiver. If v < N/2 then zero padding can be employed
to obtain a sequence of length N. At the output of the DFT process, the even numbered outputs are
used to estimate the transmitted symbols while the odd numbered outputs are discarded. Here it is
important to note that since all the received power is not being used in generating data estimates, this
method has a reduced overall SNR compared with OFDM without windowing. Different windows
can be used in this scheme. The authors in [54] consider a Hanning window, while in [55] the
general class of windows satisfying the Nyquist criteria are studied, and the Kaiser windowis studied
in [55]. Details about these and other windowing techniques can be seen in [58].
Though the self ICI cancelation method is simple to implement, each data symbol is carried
on two subcarriers. Therefore, the data rate of the system and the frequency efﬁciency of the system
is reduced by half. In the windowing method, the functions used to cancel ICI have nonzero side
4.3. ICI CANCELATIONSCHEMES 29
bands, leading to the addition of spurious bits and causing a loss in SNR. Thus, the choice of
canceling scheme leads to a tradeoff between data rate and SNR, which is dictated by the system
design [43].
31
C H A P T E R 5
Peak to Average Power Ratio
While the carrier frequency offset is a phenomenon that occurs due to frequency mismatch at the
receiver, high peaktoaverage power ratio occurs at the transmitter due to summation of multiple
sinusoids. Occasionally, these sinusoids canaddcoherently to yielda very highamplitude comparedto
the average amplitude, resulting in a large peaktoaverage power ratio (PAPR). To ensure that these
peaks are transmitted without distortion, the power ampliﬁer at the transmitter should be capable
of remaining linear over a wide range of input amplitudes. This presents a signiﬁcant challenge in
terms of design, cost and power consumption. In this chapter, we describe this occurrence in further
detail and present schemes to minimize the effects of a high PAPR.
5.1 PROBLEMFORMULATION
An OFDM signal consists of a number of independently modulated SCs, which can result in a large
PAPR when added up coherently. The different carriers may align in phase at some instant in time,
and, therefore, they produce an amplitude peak equal to the sum of the amplitudes of the individual
carriers. This occurs with extremely low probability for large N.
The peak power is deﬁned as the power of a sine wave with an amplitude equal to the maximum
envelope value. Hence, an unmodulated carrier has a PAPR of 0 dB. An alternative measure of the
envelope variation of a signal is the crest factor, which is deﬁned as the maximumsignal value divided
by the RMS signal value. For an unmodulated sinusoidal carrier, the crest factor is 3 dB. This 3 dB
difference between the PAPR and crest factor also holds for other nonsinusoidal carriers, provided
that the center frequency is large in comparison with the signal bandwidth. A large PAPR has
disadvantages like a requirement of increased complexity of analogtodigital (A/D) and digitalto
analog (D/A) converters, and reduced efﬁciency of the RF power ampliﬁer.
The output of the IFFT at the transmitter can be represented as
x[n] =
1
N
N−1
k=0
s[k] exp
_
j2πkn
N
_
. (5.1)
Using this, the peak power of transmission can be expressed as
max
n
_
x[n]
2
_
=
1
N
2
max
n
⎧
⎨
⎩
N−1
k
1
=0
N−1
k
2
=0
s[k
1
]s
∗
[k
2
] exp
_
j2π(k
1
−k
2
)n
N
_
⎫
⎬
⎭
, (5.2)
32 5. PEAKTOAVERAGEPOWERRATIO
where x[n]
2
= x[n]x
∗
[n]. Similarly, the average power can be expressed as
E
_
x[n]
2
_
=
1
N
2
E
⎡
⎣
N−1
k
1
=0
N−1
k
2
=0
s[k
1
]s
∗
[k
2
] exp
_
j2π(k
1
−k
2
)n
N
_
⎤
⎦
. (5.3)
The PAPR, using (5.2), and (5.3), can be expressed as
PAPR =
max
n
_
x[n]
2
_
E
_
x[n]
2
_ . (5.4)
As an example, consider the case when BPSK modulation is used, i.e., s[k] ∈ {−1, 1}. For this case,
from (5.2), the peak transmit power is one, and E
_
x[n]
2
_
= 1/N, thereby leading to a PAPR of
N. For example, for an OFDM system employing 1024 subcarriers per transmitted symbol, the
PAPR= 1024 ≈ 30dB, which is an extremely large range for the transmit power ampliﬁer to vary
over.
The techniques proposed for PAPR reduction can be divided into three categories: signal
distortion techniques, coding techniques, and scrambling techniques. In signal distortion techniques,
nonlinear distortionis introduced inthe OFDMsignal at or around the peaks. Examples of distortion
techniques include clipping, peak windowing, and peak cancelation. Coding techniques use forward
error correcting codes that exclude OFDM symbols with a large PAPR. In scrambling techniques,
each OFDM symbol is scrambled with a different scrambling sequence, which is selected to yield
the smallest PAPR.
An example is shown in Figure 5.1 where several OFDM subcarriers are added together, as
transmitted. This leads to some peaks forming that are high, and consequently, a high PAPR. In the
example shown, it is assumed that an amplitude greater than a predeﬁned threshold causes a PAPR
that is unacceptable. In the time section shown, there is one such peak.
5.2 PAPRMITIGATIONMETHODS
5.2.1 SIGNAL DISTORTIONTECHNIQUES
Since large PAPR occurs rarely, the peaks can be removed at the cost of a slight amount of self
interference. The simplest way to remove the peaks is by clipping the signal such that the peak
amplitude becomes limitedto some predeﬁnedmaximumlevel. By deﬁning the highest acceptedpeak
value as the clipping threshold, any peak above this value will be clipped appropriately. Since clipping
can be viewed as a rectangular windowing operation in time, nonlinear distortion introduced by
clipping, called selfinterference, causes deterioration of the error rate performance of the system
and also signiﬁcantly increases the outofband radiation levels. Due to the slow rolloff of the
spectrum of the rectangular window and the large sidelobes, the outofband radiation levels are
high. Different window shapes, other than rectangular, have been considered to minimize the out
ofband radiation level, including the Gaussian, raised cosine, Kaiser and Hamming windows. To
5.2. PAPRMITIGATIONMETHODS 33
0 50 100 150 200 250
Time Index 0
2
4
6
8
Amplitude  Sum of subcarriers
Figure 5.1: Amplitude of transmitted OFDM symbol.
Figure 5.2: PAPR reduction by Peak Cancelation.
minimize the outofband interference, ideally, the window should be narrow in frequency and have
a fast rolloff with small sidelobes.
Peak cancelation can also be performed digitally. A comparator is used to check if the peak
amplitude of the digital OFDM symbol is above a predeﬁned threshold, and if it is above the
threshold, the peak and the side lobes are scaled appropriately to maintain the PAPR to a predeﬁned
value. Figure 5.2 shows the block diagramof an OFDMtransmitter implementing peak cancelation.
As shown in Figure 5.2, the peak cancelation procedure is performed after the addition of the CP.
34 5. PEAKTOAVERAGEPOWERRATIO
Peak cancelation can also be performed on a symbolbysymbol basis immediately after the IDFT,
before adding the cyclic preﬁx and windowing. There is no change needed in the receiver architecture
for the digital peak cancelation technique.
5.2.2 CODINGANDSCRAMBLING
Though peak cancelation offers a simple yet powerful technique to control the PAPR of an OFDM
system, an important drawback of this technique is that symbols with a large PAPR suffer more
degradation, so they are more vulnerable to errors. Given that the PAPR is high only once in
several OFDM symbols, another technique to minimize the effects of PAPR is error control coding.
By using codes with low rates, i.e., with high redundancy, errors caused by symbols with a large
degradation can be corrected by the surrounding symbols. The authors in [59], by exhaustively
searching all possible QPSK code words, have shown that for eight channels, a rate 3/4 convolution
code exists that provides a maximum PAPR of 3 dB. Also, in [59], it is illustrated that many of the
codes developed for PAPR reduction are Golay complementary sequences. Golay complementary
sequences are sequence pairs for which the sumof autocorrelation functions is zero for all delay shifts
not equal to zero [60, 61, 62]. In [63], the author presents a speciﬁc subset of Golay codes, together
with decoding techniques that combine PAPRreduction with good error correcting capabilities. But,
if the receivedsignal is suffering fromburst errors, thenthe initial transmissionandthe retransmission
might both have a large number of errors even with coding. To deal with this, scrambling techniques
are used to ensure that the transmitted data between initial transmission and retransmissions are
uncorrelated.
Symbol scrambling techniques to reduce the PAPR of a transmitted OFDM signal can be
seen as a special type of a PAPR reduction code. Symbol scrambling does not, however, try to
combine error correcting coding and PAPR reduction such as is done by complementary codes. The
basic idea of symbol scrambling is that for each OFDM symbol, the input sequence is permuted
by a set of scrambling sequences and the output signal with the smallest PAPR is transmitted. For
uncorrelated scrambling sequences, the resulting OFDM signals and corresponding PAPRs will be
uncorrelated, so if the PAPR for one OFDM symbol has a probability p of exceeding a certain level
without scrambling, the probability is decreased to p
K
by using K scrambling codes. Hence, symbol
scrambling does not guarantee a PAPR below some low level; rather, it decreases the probability
that high PAPRs will occur. Scrambling techniques were ﬁrst proposed in [64] under the names
selected mapping and partial transmit sequences. The difference between the two is that the ﬁrst
applies independent scrambling permutations to all SCs, while the latter only scrambles groups of
SCs.
Though all three of the above mentioned methods help reduce the PAPR of an OFDM
system[28], they eachhave drawbacks. While the coding method introduces redundancy and thereby
a loss in transmission data rate, clipping of the peak amplitude introduces nonlinear distortion
into the system, and the scrambling method increases the complexity of the system and also the
transmission overhead due to the need to transmit the scrambling sequence resulting in the lower
5.2. PAPRMITIGATIONMETHODS 35
PAPR. Therefore, system design requirements are used to decide which of these schemes is used to
overcome the effects of high PAPR on the system.
37
C H A P T E R 6
Simulation of the Performance
of OFDMSystems
6.1 PERFORMANCEOF ANOFDMSYSTEM
In the performance analysis of an OFDM system, we assume that the channel remains constant
for a certain length of time and then randomly changes to an independent value. This behavior
is termed as quasistatic fading. Assuming quasistatic channel and perfect synchronization at the
receiver leads to the received signals on the various subcarriers (SC) to be independent of each other.
Therefore, the channel on each SC can be equivalently represented as a ﬂat fading channel with
additive white Gaussian noise (AWGN). The instantaneous signal to noise ratio (SNR) on each
subcarrier, within a block of quasistatic fading, can now be represented as
γ
k
= ¯ γ H[k]
2
, (6.1)
where ¯ γ represents the average SNR on the subcarrier and H[k] represents the channel on the k
t h
subcarrier as given in (3.12). Note here that we have assumed that all SC’s have the same average
SNR ¯ γ = E
b
/N
o
, where E
b
represents the average energy per bit and N
o
represents the height of
the noise spectral density expressed in the units of Watts per Hertz.
Further, given that the subcarriers are i.i.d., and assuming perfect channel knowledge at the
receiver, the probability of error, P
e
, of the OFDM system can be expressed as the mean of the
probability of error of individual subcarriers, i.e.,
P
e
=
1
N
N
k=1
P
e
[k], (6.2)
where P
e
[k] is the channel dependent instantaneous probability of error on the k
t h
subcarrier. P
e
[k]
depends on the modulation scheme chosen. For binary phase shift keying (BPSK) modulation [65,
Chap. 3], we have
P
e
[k] = Q
_
_
2γ
k
_
. (6.3)
If instead, quadrature phase shift keying (QPSK) modulation is used, we have
P
e
[k] = 2Q
_
√
γ
k
_
−Q
2
_
√
γ
k
_
. (6.4)
For other modulation schemes, instantaneous probability of error expressions can be found in [19].
38 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
To average the probability of error over time, the instantaneous value has to be averaged across
all possible values of the random variable H[k], i.e.,
P
e
[k] = E
H
_
P
e
[k]
_
, (6.5)
where E
H
[·] denotes the expectation operator with respect to H[k]. Therefore, using (6.5), the
average probability of error of a OFDM system can be expressed as
P
e
=
1
N
N
k=1
E
H
_
P
e
[k]
_
. (6.6)
At the receiver, a maximum likelihood (ML) decoder is implemented. An ML decoder, as
the name implies, maximizes the likelihood of receiving a signal, y, conditioned on the transmitted
signal, s, and channel, H, i.e.,
ˆ s = argmin
s
p(ys, H) = argmax
{s
k
}
N
k=1
p(y
k
s
k
, h
k
). (6.7)
For all simulations considered, we assume Rayleigh fading channels and additive white Gaus
sian noise (AWGN), thereby leading to an ML decoder of the form [19],
ˆ s = argmax
s
y −Hs
2
. (6.8)
For the case when frequency and timing synchronization is perfect at the receiver, ML decoder can
be expressed as
ˆ s[k] = argmin
s[k]
y[k] −H[k]s[k]
2
. (6.9)
Note here that the ML decoder can be represented as in (6.9) because there is no channel cod
ing. Instead, if channel coding was employed then sequence detection algorithms like the Viterbi
algorithm [17] needs be used.
In the following section, we implement the MonteCarlo method to calculate the average
probability of error of an OFDM system. The MonteCarlo method is a numerical method to
estimate the ensemble average with respect to a random variable. Further information on how this
technique can be used to approximate the expected value can be found in [66, 67, 68, 69, 70].
6.2 SIMULATIONS
In what follows, MATLAB simulations are used to demonstrate the working of OFDM, based on
the theoretical development of OFDM has been presented previously.
6.2. SIMULATIONS 39
Figure 6.1: Basic OFDM model.
6.2.1 THEBASICOFDMSYSTEM
In this section, the basic OFDM system is simulated. As discussed in the preceding chapters, a
basic OFDM system is constructed as shown in Figure 6.1. In this section, MATLAB code will be
provided for each of the blocks, with an explanation. The full program for the basic OFDM system
is then provided, including ﬂexibility to vary several parameters and visualization options.
Data Generation and Modulation
Data is ﬁrst generated to be transmitted over the OFDM system. Data of length N is randomly
generated and modulated as shown:
am = [1,1];
M = 2;
dat_ind = ceil(M*rand(1,N));
data = am(dat_ind);
These lines of code generate a baseband representation of BPSK signals (±1). The data is generated
from a source that generates the symbols with equal probability. It should be noted here that BPSK
is not the only mode of modulation, and any other modulation scheme can be used at this stage. For
example, if QPSK is used, the code can be modiﬁed as follows:
am = [1,1i,1,1i];
M = 4;
dat_ind = ceil(M*rand(1,N));
data = am(dat_ind);
IFFT
The ﬁrst operation performed on the data is a Npoint IFFT. In MATLAB, the IFFT function can
be used for this operation as follows:
data_t = ifft(data);
Add Cyclic Preﬁx
After the IFFT, the last few datapoints are repeated at the beginning. The repeated data is called
the cyclic preﬁx.
data_cp = [data_t(endCP_length+1:end), data_t];
Cyclic preﬁx of length CP_length is added to the beginning of the data block.
40 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
Channel
Transmissionoccurs over frequency selective fading channels.The channels are modeledas FIRﬁlters
of order L. The channel, h, is assumed to have channel taps drawn from a Rayleigh distribution.
The power per tap is normalized, and the channel can be simulated as
h = complex(randn(L+1,1), randn(L+1,1))*sqrt(0.5/(L+1));
Noise is generated to be added to the transmission over the channel. The noise is zeromean complex
Gaussian. The code below shows how to generate the noise:
noise = complex(randn(1,Total_length), randn(1,Total_length))*sqrt(0.5/N);
Since the channel is modeled as an FIR ﬁlter, the output of the channel is computed by ﬁltering the
input signal with the channel, and noise is then added on to it. To adjust the SNR, the transmission
is scaled by a power value as shown:
rho = SNR;
rec = sqrt(rho)*(filter(h,1,data_cp))+noise
Remove Cyclic Preﬁx
The cyclic preﬁx is removed from the received data. The ﬁrst CP_length symbols are discarded
from the received data:
rec_sans_cp = rec(CP_length+1:end)
FFTand Demodulation
The data extracted by discarding the cyclic preﬁx is transformed into the frequency domain. The data
in the frequency domain is then equalized to account for the channel, and to yield the ﬁnal received
signal. It should be noted here that the FFT used here to convert the channel into the frequency
domain is normalized by the number of channel taps. The received signal is then demodulated
to obtain an estimate of the transmitted signals. In the following code, it is assumed that BPSK
modulation has been used at the transmitter:
rec_f = fft(rec_sans_cp); % FFT
h_f = sqrt(rho)*fft(h,N); % Equivalent channel on each subcarrier
det1 = abs(rec_f+h_f).ˆ2; % Calc the Euclidean dist
% assuming 1 was transmitted
det2 = abs(rec_fh_f).ˆ2; % Calc the Euclidean dist
% assuming +1 was transmitted
det = [det1, det2]; % Concatenating the two vectors
% Find the symbol the received signal is closest to
[min_val, ind] = min(det, [], 2);
6.2. SIMULATIONS 41
dec = 2*((ind1)>0.5)1; % BPSK decoding
For QPSK decoding:
rec_f = fft(rec_sans_cp); % FFT
% Equivalent channel on each subcarrier
h_f = sqrt(rho)*fft(h,N);
% Calc the Euclidean dist assuming 1 was transmitted
det1 = abs(rec_fam(1)*h_f).ˆ2;
% Calc the Euclidean dist assuming +1i was transmitted
det2 = abs(rec_fam(2)*h_f).ˆ2;
% Calc the Euclidean dist assuming 1 was transmitted
det3 = abs(rec_fam(3)*h_f).ˆ2;
% Calc the Euclidean dist assuming 1i was transmitted
det4 = abs(rec_fam(4)*h_f).ˆ2;
% Concatenating the vectors
det = [det1, det2, det3, det4];
% Find the symbol the received signal is closest to
[min_val, ind] = min(det, [], 2);
% Generating the decoded symbols
dec = am(ind);
The received symbols are decoded using maximum likelihood (ML) estimation.
6.2.1.1 OFDMSimulation
A MonteCarlo simulation is performed to estimate the probability of error of the received signals
when transmission occurs using OFDM. The SNR of the channels is varied and the probability
of error is estimated for each case of SNR. The program for the full simulation model is provided.
In the code provided, it is assumed that data is transmitted in frames, and each frame consists of B
OFDM symbols. This allows us to evaluate the effects of interblockinterference when the length
of the cyclic preﬁx is less than the number of channel taps. The simulation results are presented for
different parameters, which can be changed within the code.
42 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
clear all
clc
N = 16; % Number of subcarriers in each OFDM symbol
L = 3; % Channel order
CP_length = 4; % Cyclic prefix length
B = 10; % Number of OFDM symbols per transmitted frame
mc_N = 5000; % Number of iterations to achieve sufficient errors
SNR_db = 0:2:20; %SNR in dB
SNR = 10.ˆ(SNR_db/10); % SNR values
Pe = zeros(size(SNR_db)); % Initializing the error vector
Total_length = (CP_length+N)*B; % Total length of each frame
am = [1,1]; % For BPSK
M = 2; % For BPSK
for SNR_loop = 1:length(SNR_db)
rho = SNR(SNR_loop);
err = 0;
for mc_loop = 1:mc_N
dat_ind = ceil(M*rand(B,N));
data = am(dat_ind);
% Reshaping the data into a BxN matrix,...
%...used later for error detection
data_reshape = reshape(data, 1, B*N);
tx_data = data;
for b = 1:B
% Taking the IFFT
data_t(b,:) = ifft(tx_data(b,:));
end
% Adding Cyclic prefix
data_cp = [data_t(:,endCP_length+1:end), data_t];
% Reshape the BxN matrix to obtain the frame (1xTotal_length)
data_tx =reshape(data_cp.’,1,Total_length);
6.2. SIMULATIONS 43
h = complex(randn(L+1,1), randn(L+1,1))*sqrt(0.5/(L+1));
%Noise
noise = complex(randn(1,Total_length), ...
randn(1,Total_length)) * sqrt(0.5/N);
% Received signal
rec = sqrt(rho)*(filter(h,1,data_tx))+noise;
% Reshape the recd signal into CP_length+N x B array
rec_reshaped = (reshape(rec, CP_length+N, B)).’;
% Remove CP
rec_sans_cp = rec_reshaped(:,CP_length+1:end);
for bb = 1:B
% Taking the FFT
rec_f(bb,:) = fft(rec_sans_cp(bb,:));
end
% Calculating the equivalent channel on each subcarrier
h_f = sqrt(rho)*fft(h,N);
for b2 = 1:B
% Extracting the OFDM symbol from the "rec_f" matrix
rec_symbol = transpose(rec_f(b2,:));
% Calc Euclidean dist assuming 1
det1 = abs(rec_symbol+h_f).ˆ2;
% Calc Euclidean dist assuming +1
det2 = abs(rec_symbolh_f).ˆ2;
% Concatenate the two vectors
det = [det1, det2];
% Find symbol the recd signal is closest to
[min_val, ind] = min(det, [], 2);
44 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
% Generate the decoded symbols
dec(b2,:) = 2*((ind1)>0.5)1;
end
% Reshape the decoded symbols to calc error
dec_reshape = reshape(dec, 1, B*N);
% Comparing dec_reshape against...
%...data_reshape to calculate errors
err = err + sum(dec_reshape˜=data_reshape);
end
% Calculate the probability of error
Pe(SNR_loop) = err/(mc_N*B*N);
end
% Semilog plot of Pe vs. SNR_db
semilogy(SNR_db,Pe)
Figure 6.2 shows the output of the code for two modulation schemes, BPSK and QPSK. It is
shown that the performance of the systemremains the same irrespective of the number of subcarriers,
as long as the number of symbols in the cyclic preﬁx is at least as many as the number of channel
taps. Furthermore, as expected from digital communications, the symbol error rate of the QPSK
system is worse than the BPSK case. In Figure 6.3, the system is simulated for QPSK modulation.
Three curves are plotted, each for a different length of cyclic preﬁx. It can be seen that as the length
of the cyclic preﬁx reduces, interblockinterference (IBI) causes deterioration in performance.
6.2.2 CARRIERFREQUENCY OFFSET
Carrier frequency offset and its drawbacks were discussed in Chapter 4. In this Section, we will
provide simple code to simulate the effect of frequency offset and demonstrate its effect on the BER
performance of the OFDM system. More detailed treatment can be found in [71, 72].
6.2.2.1 Simulation
The frequency offset is provided as a complex exponential multiplier for each subcarrier. This sim
ulates the effect of having the frequency of each subcarrier being offset at the receiver by a small
amount. In the code that follows, the frequency offset is varied, and the BER is calculated for each
of those values, to demonstrate the effect of CFO on performance of OFDM systems. Similar to
the previous cade, the code is ﬂexible and different parameters such as modulating techniques, levels
of offset and number of MonteCarlo iterations can be changed.
6.2. SIMULATIONS 45
−10 −5 0 5 10 15 20
10
−2
10
−1
SNR in dB
S
y
m
b
o
l
E
r
r
o
r
R
a
t
e
L = 3, CP_length = 4, D = 256
L = 16, CP_length = 17, D = 256
L = 16, CP_length = 17, D = 1024
QPSK
BPSK
Figure 6.2: Simulation of the basic OFDM model. Plot shows effect of SNR on the probability of error.
5 10 15 20
10
−2
10
−1
SNR in dB
S
y
m
b
o
l
E
r
r
o
r
R
a
t
e
QPSK
L = 16, CP_length = 16, N = 256
L = 16, CP_length = 9, N = 256
L = 16, CP_length = 4, N = 256
L = 16, CP_length = 9, N = 1024
L = 16, CP_length = 4, N = 1024
Figure 6.3: Simulation of the basic OFDM model, showing the need for cyclic preﬁx.
46 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
clear all
clc
N = 16; % Number of subcarriers in each OFDM symbol
L = 3; % Channel order
CP_length = 4; % Cyclic prefix length
B = 1; % Number of OFDM symbols per transmitted frame
mc_N = 5000; % Number of iterations to achieve sufficient errors
SNR_db = 5; % SNR in dB
SNR = 10.ˆ(SNR_db/10); % SNR
Pe = zeros(size(SNR_db));
Total_length = (CP_length+N)*B; % Total length of each frame
am = [1,1]; % For BPSK
M = 2; % For BPSK
freq_offset = [0.5:0.01:0.5];
for off_loop = 1:length(freq_offset)
rho = SNR;
err = 0;
for mc_loop = 1:mc_N
dat_ind = ceil(M*rand(B,N));
data = am(dat_ind);
% Reshaping the data into a BxN matrix,...
%...used later for error detection
data_reshape = reshape(data, 1, B*N);
tx_data = data;
for b = 1:B
% Taking the IFFT
data_t(b,:) = ifft(tx_data(b,:));
end
6.2. SIMULATIONS 47
% Adding Cyclic prefix
data_cp = [data_t(:,endCP_length+1:end), data_t];
% Reshape the BxN matrix to...
%...obtain the frame (1xTotal_length)
data_tx =reshape(data_cp.’,1,Total_length);
h = complex(randn(L+1,1), randn(L+1,1))*sqrt(0.5/(L+1));
noise = complex(randn(1,Total_length), ...
randn(1,Total_length)) *sqrt(0.5/N); %Noise
rec = sqrt(rho)*(filter(h,1,data_tx))...
* exp(1i*2*pi*freq_offset(off_loop))+noise;
% Reshape the recd signal...
%...into CP_length+N x B array
rec_reshaped = (reshape(rec, CP_length+N, B)).’;
% Remove CP
rec_sans_cp = rec_reshaped(:,CP_length+1:end);
for bb = 1:B
% Taking the FFT
rec_f(bb,:) = fft(rec_sans_cp(bb,:));
end
% Calculating the equivalent channel on each subcarrier
h_f = sqrt(rho)*fft(h,N);
for b2 = 1:B
% Extracting the OFDM symbol from...
%...the "rec_f" matrix
rec_symbol = transpose(rec_f(b2,:));
% Calc Euclidean dist assuming 1
det1 = abs(rec_symbol+h_f).ˆ2;
% Calc Euclidean dist assuming +1
det2 = abs(rec_symbolh_f).ˆ2;
48 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
% Concatenate the two vectors
det = [det1, det2];
% Find symbol the recd signal is closest to
[min_val, ind] = min(det, [], 2);
% Generate the decoded symbols
dec(b2,:) = 2*((ind1)>0.5)1;
end
% Reshape the decoded symbols to calc error
dec_reshape = reshape(dec, 1, B*N);
% Compare dec_reshape against...
%...data_reshape to calc errors
err = err + sum(dec_reshape˜=data_reshape);
end
% Calculating the probability of error
Pe(off_loop) = err/(mc_N*B*N)
end
%Semilog plot of Pe vs. offset
semilogy(freq_offset,Pe)
The code provided yields a value for the probability of error at each value of frequency offset.
The value of probability of error is plotted for each value of offset. As expected, the best performance
is obtained for a zero offset. As the offset increases in either direction, the performance deteriorates,
and the performance is symmetric in the offset about the zero offset point. This plot for a channel
SNR of 5dB is shown in Figure 6.4.
6.2.3 PAPRSIMULATIONS
The effect of high peaktoaveragepower ratio (PAPR) on the performance of OFDM systems was
seen in Chapter 4. In this simulation, the transmitted signal is simulated to provide an example of
the transmit power over a few time samples and to demonstrate the occurrence of high PAPR. In
this simulation, the baseband equivalent model of an OFDM system is considered. At each time
instant, data is BPSK modulated and transmitted using OFDM. The instantaneous peak transmit
power and the average transmit power are calculated and plotted in Figure 6.5. The number of
subcarriers used is 16. It can be veriﬁed from (5.3) that the average power of the system must be
6.2. SIMULATIONS 49
−0.5 −0.4 −0.3 −0.2 −0.1 0 0.1 0.2 0.3 0.4 0.5
10
−0.7
10
−0.6
10
−0.5
10
−0.4
10
−0.3
10
−0.2
10
−0.1
Frequency Oﬀset  Δf (rads)
S
y
m
b
o
l
E
r
r
o
r
R
a
t
e
QPSK, N = 256
Figure 6.4: Bit error rate vs. phase offset
0 20 40 60 80 100
−14
−12
−10
−8
−6
−4
−2
Time index
P
o
w
e
r
(
d
B
)
Average Power
Peak Power
Figure 6.5: Peak power due to addition of inphase sinusoids, compared with the average power of the
transmissions.
50 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
0 20 40 60 80 100
2
3
4
5
6
7
8
9
10
Time index
P
A
P
R
(
d
B
)
Figure 6.6: Peak to average power ratio compared against a threshold.
12dB as can be seen from the ﬁgure. The PAPR is also calculated and plotted in Figure 6.6. As can
be seen from (5.4), the maximum possible value of PAPR is 12dB, and in the case of this simulation,
the system does not exceed this value. In fact, the largest PAPR in this case approaches 10dB. A
predetermined threshold is also shown, and the PAPR exceeds this threshold at one point.
clear all
N = 16; % Length of data
SNR_db = 5;
SNR = 10.ˆ(SNR_db/10);
Pe = zeros(size(SNR_db));
noise_var = 1/SNR;
time_samples = 100;
avg_pow = zeros(1,time_samples);
mx_pow = zeros(1,time_samples);
papr = zeros(1,time_samples);
for time_loop = 1:time_samples
data = 2*(randn(N,1)>0)1;
data_t = ifft(fftshift(data));
6.2. SIMULATIONS 51
avg_pow(time_loop) = (norm(data_t))ˆ2/N;
mx_pow(time_loop) = max(data_t.*conj(data_t));
papr(time_loop) = mx_pow(time_loop)/avg_pow(time_loop);
end
figure(1)
plot(10*log10(avg_pow))
hold all
plot(10*log10(mx_pow))
figure(2)
plot(10*log10(papr))
One of the ways of limiting PAPR at the transmitter is by clipping signals that exceed a
certain level. In the code provided, an OFDM system is considered with such a clipping systems.
Different clipping thresholds are considered to show the effect of clipping level on performance. In
this example, the system considered has no additive noise, and the channel is frequency ﬂat with
gain one.
clear all
clc
N = 16; % Number of subcarriers in each OFDM symbol
L = 3; % Channel order
CP_length = 4; % Cyclic prefix length
B = 10; % Number of OFDM symbols per transmitted frame
mc_N = 50; % Number of iterations to achieve sufficient errors
th_var = 0:.1:1; % Clipping thresholds
Pe = zeros(size(th_var)); % Initializing the error vector
Total_length = (CP_length+N)*B; % Total length of each frame
am = [1,1i,1,1i]; % For QPSK
M = 4; % For QPSK
for th_loop = 1:length(th_var)
th = th_var(th_loop);
err = 0;
for mc_loop = 1:mc_N
dat_ind = ceil(M*rand(B,N));
data = am(dat_ind);
% Reshape the data into a BxN matrix,...
52 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
%...used later for error detection
data_reshape = reshape(data, 1, B*N);
tx_data = data;
for b = 1:B
% Taking the IFFT
data_t(b,:) = ifft(tx_data(b,:));
end
% Adding Cyclic prefix
data_cp = [data_t(:,endCP_length+1:end), data_t];
% Reshaping the BxN matrix to...
%...obtain the frame (1xTotal_length)
data_tx =reshape(data_cp.’,1,Total_length);
thu = abs(th);
thl = abs(th);
data_clip = data_tx;
pt_high = find(data_clip>thu);
data_clip(pt_high) = thu;
pt_low = find(data_clip<thl);
data_clip(pt_low) = thl;
rec = data_clip;
% Reshape the recd signal...
%...into CP_length+N x B array
rec_reshaped = (reshape(rec, CP_length+N, B)).’;
% Remove CP
rec_sans_cp = rec_reshaped(:,CP_length+1:end);
for bb = 1:B
%Taking the FFT
rec_f(bb,:) = fft(rec_sans_cp(bb,:));
end
6.2. SIMULATIONS 53
for b2 = 1:B
% Extracting the OFDM symbol...
%...from the "rec_f" matrix
rec_symbol = transpose(rec_f(b2,:));
% Calc the Euclidean dist assuming 1
det1 = abs(rec_symbolam(1)).ˆ2;
% Calc the Euclidean dist assuming +1i
det2 = abs(rec_symbolam(2)).ˆ2;
% Calc the Euclidean dist assuming 1
det3 = abs(rec_symbolam(3)).ˆ2;
% Calc the Euclidean dist assuming 1i
det4 = abs(rec_symbolam(4)).ˆ2;
% Concatenating the vectors
det = [det1, det2, det3, det4];
% Find symbol the recd signal is closest to
[min_val, ind] = min(det, [], 2);
% Generating the decoded symbols
dec(b2,:) = am(ind);
end
% Reshape decoded symbols to calc error
dec_reshape = reshape(dec, 1, B*N);
% Compare dec_reshape against data_reshape to calculate errors
err = err + sum(dec_reshape˜=data_reshape);
end
% Calculate the probability of error
Pe(th_loop) = err/(mc_N*B*N);
end
% Semilog plot of Pe vs. clipping threshold
semilogy(th_var,Pe)
54 6. SIMULATIONOFTHEPERFORMANCEOF OFDMSYSTEMS
Figure 6.7 shows the effect of clipping on the performance of an OFDMsystem. As expected,
as the clipping threshold becomes smaller, the performance of the system deteriorates even though
it is a noiseless, unitgain frequencyﬂat channel. This is the tradeoff between performance and
power consumption. In order to keep the power consumption of the ampliﬁer at the transmitter
low, the clipping threshold is lowered, and this leads to poor performance. On the other hand, if the
clipping threshold increases, the BER is lowered, but the power consumption increases.
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
10
−5
10
−4
10
−3
10
−2
10
−1
10
0
Clipping threshold
B
E
R
BPSK Modul ati on  N = 16, CP l ength = 4
Figure 6.7: Effect of clipping on the BER of an OFDM system.
55
C H A P T E R 7
Conclusions
This book examined and analyzed various aspects of Orthogonal Frequency Division Multiplexing
(OFDM), including the use of OFDM in various current standards that demand high data rates
and very low error rates when transmitting over wireless multipath channels. Challenges to high
data rate and low error rate transmissions are analyzed by examining the characteristics of wireless
communication channels. It is known that a frequency selective fading model best ﬁts a wireless
multipath channel. Equalization of the multipath channel in the frequency domain instead of the
time domain is presented, and it is exploited in the design of multicarrier systems. A simple fre
quency domain multiplexing scheme is ﬁrst described as a possible solution for communication over
frequency selective channels. The drawbacks of this method are used to motivate the development
of OFDM, which is then described in detail.
Using the FFTas a means for transformation fromthe time domain to the frequency domain,
a discrete time OFDM baseband system can be easily developed. Since implementation of FFT is
inexpensive in terms of simplicity and cost, and efﬁcient in terms of computation speed, OFDM has
become a popular choice for communication over frequency selective fading channels. An OFDM
system is designed to have orthogonal subcarriers, and each subcarrier sees a ﬂat fading channel.
While this simplicity is an obvious advantage, OFDM does have weaknesses. Two main pathologies
of the OFDM communication scheme, carrier frequency offset (CFO) and high peak to average
power ratio (PAPR), are presented. When there is an offset in frequency between the carrier and
the local oscillator at the receiver, the subcarriers do not remain orthogonal, leading to ICI. A high
PAPRof the signal at the transmitter makes the design of efﬁcient RFampliﬁers difﬁcult. Both these
pathologies cause deterioration of the system performance. Techniques to alleviate their effect on
performance are described. Several standards that employ OFDM are provided, along with typical
operational values that these systems use.
Finally, a system employing OFDM to transmit data modulated using binary phase shift
keying (BPSK) and quadrature phase shift keying (QPSK) modulation is simulated. MonteCarlo
type simulations are employedto evaluate the performance of these systems interms of the probability
of error. Additionally, the effect of CFOon the error rate performance is illustrated. Lastly, the PAPR
of an OFDM system is computed and shown to illustrate the ﬂuctuations in transmit power. All of
these simulations are performed in MATLAB. Programs used for these simulations are also provided.
57
A P P E N D I X A
Abbreviations
A/D Analog to Digital
AWGN Additive White Gaussian Noise
BER Bit Error Rate
BPSK Binary Phase Shift Keying
CFO Carrier Frequency Offset
CP Cyclic Preﬁx
D/A Digital to Analog
DAB Digital Audio Broadcast
DFT Discrete Fourier Transform
DMBT Digital Multimedia BroadcastingTerrestrial
DVBT Digital Video BroadcastingTerrestrial
FDM Frequency Division Multiplexing
FFT Fast Fourier Transform
FIR Finite Impulse Response
HiperLAN High Performance LAN
IBI InterBlockInterference
IEEE Institute of Electrical and Electronics Engineers
IFFT Inverse Fast Fourier Transform
ISDB Integrated Services Digital Broadcasting
ISI InterSymbolInterference
LAN Local Area Network
LOS Line of Sight
MAN Metropolitan Area Network
MC MultiCarrier
OFDM Orthogonal Frequency Division Multiplexing
PAPR Peak to Average Power Ratio
58 A. ABBREVIATIONS
PDF Probability Distribution Function
QAM Quadrature Amplitude Modulation
QPSK Quadrature Phase Shift Keying
RMS Root Mean Square
SC Subcarrier
SNR Signal to Noise Ratio
WLAN Wireless Local Area Network
WiFi Wireless Fidelity Alliance
ZP Zero Padded
59
A P P E N D I X B
Notations
≥ Greater than or equal to
≤ Less than or equal to
Much greater than
Much smaller than
:= Is deﬁned as
E[·] Expectation operator
I
n
(·) n
t h
order Modiﬁed Bessel function
x Absolute value
∗ Linear Convolution
[·]
T
Transpose operator
[·]
H
Hermitian or the conjugate transpose operator
F
N
N ×N DFT matrix
R
cp
Matrix used for removing cyclic preﬁx
T
cp
Matrix used for adding cyclic preﬁx
f Frequency offset
δ[·] Kronecker delta function
T
zp
Matrix to zero pad
I
N
Identity matrix of dimension N ×N
0
M×N
Zero Matrix of dimension M ×N
τ
max
Maximum path delay
τ
avg
Average path delay
τ
rms
RMS path delay
S(τ, f ) Scattering function with delay τ and frequency f as parameters
61
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67
Authors’ Biographies
ADARSHNARASIMHAMURTHY
Adarsh Narasimhamurthy is a Ph.D. candidate at the School of Electrical, Computer and Energy
Engineering in Arizona State University, Tempe. He obtained his B.E. with distinction in 2005
from the Bangalore University, Karnataka, India and the M.S. degree in Electrical Engineering
from Arizona State University, Tempe in 2007. Currently, he is a part of the Signal Processing for
Wireless Communications Lab headed by Dr. Cihan Tepedelenlio˘ glu and also a member of the
SenSIP consortium.
Mr. Narasimhamurthy was awarded a Research Assistantship in the year 2006 and the subse
quent year a Graduate Teaching Associate position from the Department of Electrical Engineering.
His research interests include MIMO systems, OFDM systems, reduced complexity diversity com
bining techniques and multiuser communication. Mr. Narasimhamurthy is also a member of the Eta
Kappa Nu honor society and an IEEE student member.
MAHESHK. BANAVAR
MaheshK. Banavar received the B.E. degree in telecommunications engineering fromVisvesvaraya
Technological University, Karnataka, India, in 2005 and the M.S. degree in electrical engineering
from Arizona State University, Tempe, in 2008. He is pursuing the Ph.D. degree with Arizona State
University, specializing in Signal Processing and Communications, and doing research in wireless
communications and sensor networks.
Mr. Banavar is a member of the Eta Kappa Nu electrical and computer engineering honor
society.
CIHANTEPEDELENLIO
˘
GLU
CihanTepedelenlio˘ glu was borninAnkara,Turkey in1973. He receivedhis B.S. degree withhighest
honors from Florida Institute of Technology in 1995, and his M.S. degree from the University of
Virginia in 1998, both in Electrical Engineering. From January 1999 to May 2001 he was a research
assistant at the University of Minnesota, where he completed his Ph.D. degree in Electrical and
Computer Engineering. He is currently an Associate Professor of Electrical Engineering at Arizona
State University. He was awarded the NSF (early) Career grant in 2001, and has served as an
Associate Editor for several IEEETransactions including IEEETransactions on Communications,
and IEEE Signals Processing Letters.
68 AUTHORS’ BIOGRAPHIES
His research interests include statistical signal processing, systemidentiﬁcation, wireless com
munications, estimation and equalization algorithms for wireless systems, multiantenna commu
nications, ﬁlterbanks and multirate systems, OFDM, ultrawideband systems, distributed detection
and estimation.
Synthesis Lectures on Algorithms and Software in Engineering
Editor
Andreas S. Spanias, Arizona State University
OFDM Systems for Wireless Communications
Adarsh B. Narasimhamurthy, Mahesh K. Banavar, and Cihan Tepedelenlio˘ lu g 2010
Algorithms and Software for Predictive Coding of Speech
Atti Venkatraman 2010
MATLAB Software for the Code Excited Linear Prediction Algorithm: The Federal Standard–1016
Karthikeyan N. Ramamurthy and Andreas S. Spanias 2010
Advances in WaveformAgile Sensing for Tracking
Sandeep Prasad Sira, Antonia PapandreouSuppappola, and Darryl Morrell 2008
Despeckle Filtering Algorithms and Software for Ultrasound Imaging
Christos P. Loizou and Constantinos S. Pattichis 2008
Banavar. Arizona State University Series ISSN Synthesis Lectures on Algorithms and Software in Engineering Print 19381727 Electronic 19381735 . photocopy. or any other except for brief quotations in printed reviews. or transmitted in any form or by any means—electronic.Copyright © 2010 by Morgan & Claypool All rights reserved. stored in a retrieval system. Narasimhamurthy. Mahesh K. mechanical. recording.morganclaypool. without the prior permission of the publisher. No part of this publication may be reproduced.com ISBN: 9781598297010 ISBN: 9781598297027 paperback ebook DOI 10. Spanias. and Cihan Tepedelenlio˘ lu g www. OFDM Systems for Wireless Communications Adarsh B.2200/S00255ED1V01Y201002ASE005 A Publication in the Morgan & Claypool Publishers series SYNTHESIS LECTURES ON ALGORITHMS AND SOFTWARE IN ENGINEERING Lecture #5 Series Editor: Andreas S.
and Cihan Tepedelenlio˘ lu g Arizona State University SYNTHESIS LECTURES ON ALGORITHMS AND SOFTWARE IN ENGINEERING #5 M &C Morgan & cLaypool publishers . Mahesh K. Narasimhamurthy. Banavar.OFDM Systems for Wireless Communications Adarsh B.
intercarrierinterference and signal clipping on the error rate performance.com/page/ofdm KEYWORDS multicarrier. As the needs for operating with higher data rates become more pressing. WiFi and WiMax. peaktoaverage power ratio. Simple MATLAB programs are provided for bit error rate simulation using a discretetime OFDM representation. carrier frequency offset. Being a frequencydomain approach to communications. frequency domain. OFDM systems have emerged as an effective physicallayer solution. OFDM has important advantages in dealing with the frequencyselective nature of high data rate wireless communication channels.morganclaypool. simulation of OFDM systems will be given due prominence. simulations . Software is also provided to simulate the effects of interblockinterference. and carrier frequency synchronization. Finally. The program can be downloaded from http://www.ABSTRACT Orthogonal Frequency Division Multiplexing (OFDM) systems are widely used in the standards for digital audio/video broadcasting. This short monograph is intended as a tutorial which highlights the deleterious aspects of the wireless channel and presents why OFDM is a good choice as a modulation that can transmit at high data rates. orthogonal frequency division multiplexing (OFDM). Different components of the OFDM system are described.The systemlevel approach we shall pursue will also point out the disadvantages of OFDM systems especially in the context of peak to average ratio. and detailed implementation notes are provided for the programs.
. . . . . . . . . . . . . . . . . . . . . . . . . . .1 2. . . .vii Contents Preface . .2 Basic Characteristics of Mobile Radio Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 Carrier Synchronization Error . . . . .5 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 4. . . . . . . . . . . . . 31 5. . . . . . .2. . . . . . . . . . . . . . . . . . . . . . . .1 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix 1 2 Introduction . . . . . . .1 Doppler Spread: Time Selective Fading 2. . . . . . . . . . . . . . . . . . . . . .2. . . . . . . . . . . . . . . . . . . . . . . . . .16 DiscreteTime OFDM Model . . . . . 13 Discrete Baseband Block Transmissions . . . . . . . . . . . . . . . . . . . . . . . . . .1 Frequency Domain Autocorrelation 4. . 5 Microscopic or Small Scale Fading . . . . . . . . . . . . . . . . . . . . 28 5 Peak to Average Power Ratio . . . . . . . . . . . . . . . . . . 13 3.2 Delay spread: Frequency Selective Fading 2. . . . . . . . . . . . . . . . . .2 Windowing 28 28 26 26 ICI Cancelation Schemes . . . . . . . . . . . . . . . . . . . . . . .3. . . . . . . . . . . . . . . . . . . . . . . . 31 PAPR Mitigation Methods . . . . .3 6 8 Tapped Delay Line Model for Frequency Selective Fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3. . 1 Modeling Wireless Channels . . . . . . . . . . . . . . . . . . . 5 2.3 4. .1 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 Maximum Likelihood Estimation 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 4 Carrier Frequency Offset . . . . . . . . . . . . . . . . . .2 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 3 Baseband OFDM System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2. . 23 Frequency Offset Estimation . . . . . . . . . . .2. . . . . . . . . .1 SelfICI Cancelation Scheme 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 Introduction to OFDM . . . . .1 5.2 Problem Formulation . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 PAPR Simulations 48 39 44 7 A B Conclusions . . . 61 Authors’ Biographies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2. . . . . . . . . . . . . . 59 Bibliography . . . 55 Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 Coding and Scrambling 34 32 6 Simulation of the Performance of OFDM Systems . . . . . . . . . . .2. . . . . . . 37 Simulations . . . . . . . .1 6. . . . . . . . .2. . . . . . .viii CONTENTS 5. . . . . . 38 6. . . . . . . . . . . . . . .2 Carrier Frequency Offset 6. . . . . 57 Notations . . . . . . . . . . . . . . . . . . . . .2. . . . . . . 37 6.1 Signal Distortion Techniques 5. . . . . . . . . . . . . . . . .2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 Performance of an OFDM System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 The Basic OFDM System 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
We would like to thank Professor Andreas Spanias. along with their adverse effects on system performance. We begin by highlighting the beneﬁts that OFDM offers over the conventional frequency division multiplexing scheme in terms of bandwidth efﬁciency and implementation complexity. A unique feature of the book is its emphasis on discretetime representations which are used to simulate OFDM systems. Drawbacks of OFDM such as high peaktoaverage power ratio (PAPR) at the transmitter. An extensive list of references is also included to support further reading. with special emphasis on the time varying and frequency selective nature of such channels. Different variations on the basic OFDM system are also presented to illustrate its versatility. for providing us with the opportunity to author this book. which provide a deeper insight into the subject.Preface Orthogonal Frequency Division Multiplexing (OFDM) is a multicarrier communication scheme widely adopted in the wireless communications industry. we present several simulations. We demonstrate that complex equalization at the receiver. Following this. In order to make the book accessible to a wider audience. Banavar. and Morgan & Claypool publishers for working with us in producing this manuscript. with detailed comments. and Cihan Tepedelenlio˘ lu g February 2010 . and carrier frequency offset (CFO) at the receiver are described. Narasimhamurthy. are not needed in the case of OFDM systems. In this book. Mahesh K. along with MATLAB codes for simulation. Techniques to mitigate their effects are also presented. an overview of its advantages and disadvantages. are also provided. This book is intended for practitioners or students with some elementary knowledge of digital communications. All these concepts are supported with simulations. The main focus of this book is to aid readers in understanding the workings of a point to point baseband OFDM system and understanding how to simulate performance under certain impairments. further motivating its use. Adarsh B. we motivate the need for OFDM systems by providing a brief introduction to wireless fading channels. which would be required for communication over frequency selective channels. we provide a brief and comprehensive coverage of the OFDM system model. The programs used for these simulations.
.
the Integrated Services Digital Broadcasting (ISDB) in Japan and the Korean Digital Multimedia BroadcastingTerrestrial (DMBT) standard [3]. popularly known as WiFi. the effects of ISI will be minimized. The empty spectral regions between the carrier frequencies led to very low spectral efﬁciency. that provides up to 11 Mb/s raw data rate. new WLAN standards have been developed including IEEE802.1 CHAPTER 1 Introduction Nextgeneration wireless communication systems mandate data rate intensive applications like multimedia services. High data rates are a requirement for not only wireless networks but also in broadcasting standards like Digital Audio Broadcast (DAB) [1]. multiple low rate signals were transmitted using separate carrier frequencies for each signal. As a solution to their requirements for high data rates. all these standards use multicarrier communications. [4] was one of the ﬁrst algorithms to address the bandwidth efﬁciency problem of multicarrier transmission for data transmission over a high frequency radio channel subject to severe multipath fading. Additionally. Multicarrier communication was ﬁrst implemented in Frequency Division Multiplexing (FDM) in the early 1900’s. with the growth of Internet applications and wireless users. IP data packets and broadband streaming services. including IEEE802. which makes the system expensive and complex to implement. and in most cases. Twenty tones spaced at frequency . Digital Video BroadcastingTerrestrial (DVBT) [2] and the HiperLAN2 standards in Europe. The Kineplex system developed by Collins Radio Co. Also. leading to future wireless terminals being capable of connecting to various networks to support services like switched trafﬁc. but by breaking up the wideband channel into several parallel narrower subchannels. In time domain. Hence. permit mobile connectivity to the Internet. data transfer. due to the much narrower bandwidth of each subchannel. audio. and more recently IEEE802.11b. a dedicated set of ﬁlters and oscillators are needed for each subchannel. Orthogonal Frequency Division Multiplexing (OFDM). The various carrier frequencies had to be spaced sufﬁciently apart to avoid overlap of spectra and to be able to be efﬁciently separated at the receiver by using low cost ﬁlters. effects of impulsive noise are also reduced.11g that provides wireless connectivity with speeds up to 54 Mb/s. streaming video. which yields the above mentioned beneﬁts. This gets rid of the need for expensive and complex equalization techniques. With a surging demand for wireless Internet connectivity. the effect of intersymbolinterference (ISI) caused due to the frequency selective nature of the channel is greatly mitigated compared to the single channel wideband communication scheme. In FDM. many wireless local area network (WLAN) standards. the same can be explained as a method of achieving high immunity against multipath dispersion since the symbol duration on each subchannel will be much larger than the channel time dispersion.11. But to implement FDM.
it is desirable for each of the signal components to be bandlimited. INTRODUCTION intervals almost equal to the signalling rate were used. the wide bandwidth of the channel is now broken down into N narrow bandwidth channels which only experience ﬂat fading. by using N parallel data streams modulated by separate carriers instead of a single high rate stream modulated by a single carrier. This avoids the need for equalizers at the receiver even over dispersive channels. OFDM provides the following advantages over traditional FDM methods: • High spectral efﬁciency due to the absence of guard bands • Simple and efﬁcient hardware realization by implementing the FFT operation • Avoids intersymbolinterference and thereby leads to low complexity receivers due to the avoidance of equalizers • Each subcarrier can have a different modulation/coding scheme leading to the design of highly robust adaptive transmission schemes • Enables frequency diversity by spreading the subcarriers across the usable spectrum • Provides good resistance against cochannel interference and impulsive noise Though OFDM offers the above advantages. the hardware to implement FFT is fast and inexpensive. making this scheme very attractive. but due to the inﬁnite range of the spectrum of each component.2 1. requiring accurate frequency and time synchronization . 8. Further.The incoming data stream is converted from serial to N parallel data streams and each parallel data stream is then modulated onto separate carriers using fast Fourier transforms (FFT). Hirosaki [13] introduced the DFTbased implementation of Saltzberg’s OQAM OFDM system. A subsequent multitone system [5] was proposed using 9point QAM constellations on each carrier. 16]. which signiﬁcantly reduced the implementation complexity of OFDM systems. 9. 10]. There will still be overlap but with only the immediately adjacent subcarriers. The above techniques provide the orthogonality needed to separate multitone signals. Also. The ﬁrst OFDM scheme was proposed by Chang in 1966 [6] for dispersive fading channels. Saltzberg [11] studied a multicarrier system employing orthogonal timestaggered QAM for the carriers. With this in mind. while still remaining orthogonal to them. To summarize. spectrum spillage outside the allotted bandwidth is signiﬁcant. it has some disadvantages: • High sensitivity to Doppler shifts. Since then OFDM systems have been extensively employed [7. Due to the advancement in digital circuitry. ensuring orthogonality. with correlation detection employed at the receiver. The simplicity of OFDM has been recognized as an advantage to aid in its implementation [14. 15. Use of DFT to replace the banks of sinusoidal generators and demodulators was suggested by Weinstein and Ebert [12] in 1971. In 1980. the aggregate overlap of a large number of subchannel spectra is pronounced. The tones are selected in such a way that they can be separated at the receiver.
metropolitan area networks (MAN).11a. the two main pathologies of OFDM communication. Wireless network standards such as IEEE 802. we also illustrate the effects of CFO and PAPR on the error rate performance of an OFDM system. OFDM is used in broadcast standards such as Digital Video Broadcasting — Terrestrial (DVBT) for international television with 1705 or 6817 subcarrier OFDM. the presence of OFDM in telecommunication standards is rapidly growing. The IEEE P1901 draft standard for broadband over power line networks includes OFDM in its speciﬁcations. Digital Multimedia Broadcasting (DMB) for use in multimedia data transfer for mobile devices in Korea. Following this a baseband OFDM system is deﬁned in Chapter 3. All programs are written in MATLAB® . namely carrier frequency offset (CFO) and high peak to average power ratio (PAPR) are presented along with techniques to mitigate their effects on the performance of OFDM systems. If the transmit power ampliﬁer is not linear across the whole range. wireless local area networks (WLAN). wireless personal area networks (WPAN) and HiperLAN/2 are based on OFDM transmissions. the out of band power leakage is signiﬁcant which causes intercarrier interference • Loss in spectral efﬁciency due to the use of guard interval/cyclic preﬁx With the substantial advancements in digital signal processing technology and drop in hardware costs. wireless communication channels are ﬁrst introduced. and Integrated Services Digital Broadcasting (ISDB) for digital television in Japan with Band Segmented Transmission (BST)OFDM.3 • High PeaktoAverage Power Ratio due to the overlap of a large number of modulated subcarrier signals which requires the transmit power ampliﬁer to be linear across the whole signal range. In Chapter 4 and Chapter 5. The rest of the book is organized as follows. we provide code to simulate the error rate performance of a simple OFDM system. or otherwise leads to clipping of peaks causing distortions. In Chapter 6. In Chapter 2. Following this. .
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In the second part of the chapter. Microscopic or small scale fading arises due to the multipath propagation where the received signal consists of an inﬁnite sum of attenuated.2. Since fading is caused by the superposition of a large number of independent scattered components. A major reason to use OFDM is to mitigate frequency selective channels effectively. caused due to the scattering of the transmitted signal by obstructions. The received waves are a superposition of waves coming from different directions due to reﬂection. These are mainly delay spread due to the presence of resolvable multipath components in time and Doppler spread in frequency due to the mobility of the terminal. some of the basic characteristics of the wireless channel are reviewed. motivating the need for understanding the nature of frequencyﬂat fading channels. diffraction. which is addressed in Section 2. This effect is known as multipath propagation. frequency selective channels are introduced. As will be shown in subsequent channels. and other obstacles. large trees and mountains. trees. 2. and (iii) microscopic fading. (ii) macroscopic fading. also called shadowing. In mobile communication the signal power drops off at the receiver due to (i) mean path loss.2 MICROSCOPIC OR SMALL SCALE FADING Small scale fading refers to the rapid ﬂuctuations of the received signal in space. since OFDM is a frequency domain modulation scheme. Macroscopic fading or shadowing results from a blocking effect by obstacles such as buildings. and scattering caused by buildings. The effect of frequency selectivity is addressed in Section 2. also referred to as small scale fading.5 CHAPTER 2 Modeling Wireless Channels In this chapter. In the ﬁrst part of the chapter. time and frequency [17]. delayed and phaseshifted replicas. OFDM converts one frequency selective channel into several frequencyﬂat fading channels.3. Multipath propagation and the mobility of the receiver result in the spreading of the signal in different dimensions.1 and Section 2. the emitted electromagnetic waves may not reach the receiving antenna directly due to the obstacles blocking the lineofsight path. characteristics of frequencyﬂat fading channels are introduced. Mean path loss arises from inverse square law of power loss and depends on the distance of the traveling wave.1 BASIC CHARACTERISTICS OF MOBILE RADIO CHANNELS In mobile radio communication. We now describe the statistics of small scale fading along with the time and frequency spread that the channel introduces. 2. the inphase and quadrature components of the received signal can be assumed to be .
2. speed of the mobile unit is v. ﬁrst encounter obstacles. which will not be considered. i. where fmax = (v/c)f0 is the maximum Doppler frequency. An example of a multipath channel is shown in Figure 2.1 DOPPLER SPREAD: TIME SELECTIVE FADING Due to relative motion between the transmitter and the receiver. the Doppler effect causes an apparent frequency shift of the received electromagnetic waves. (2. of the received signal has a Rayleigh density function given by fh (u) = 2u u2 exp 2 2 σh σh . the Doppler effect implies that the impulse response of the channel becomes timevariant. while the third reﬂects off an obstacle. There are other fading models. (2.2) reduces to the Rayleigh PDF in (2. S(τ. the spectrum of the transmitted signal undergoes a frequency expansion known as frequency dispersion. (2.e.2. u ≥ 0. K. The Ricean probability distribution function (PDF) of the envelope of the received signal is given by fh (u) = 2 −(u2 + σ0 ) 2u exp I0 2 2 σh σh 2uσ0 σ2 . the signal envelope is no longer Rayleigh distributed.1) with I0 (0) = 1. the Ricean PDF in (2. If there exists a lineofsight (LOS) path between the transmitter and the receiver.6 2. can be used to capture the timevariant nature of the channel caused . These four paths are examples of actual paths. with K = 0.3) I0 (x) = π 0 In the absence of a direct path. MODELING WIRELESS CHANNELS independent zero mean Gaussian processes. which is the ratio of the power in the mean component of the channel to the power in the scattered (diffused) component.1. u ≥ 0. the Doppler frequency shift of this component is given by fn := fmax cos θn . and I is the modiﬁed Bessel function power of the LOS component. four are shown. c is the speed of light and the carrier frequency is f0 . The envelope. such as Nakagami fading or Weibull fading [18]. the received signal consists only of sum the independent scattered components. In time domain. There is one LOS path directly from the transmitter to the receiver. h. Out of several possible paths emanating from the transmitter. but has a Ricean distribution. The received signal will consist of many such paths combining noncoherently at the receiver. Two of them reﬂect and reach the receiver. if no lineofsight (LOS) path exists.2) 2 2 where σh = E[h − σ0 2 ] is the average power of nonlineofsight component and σ0 is the average 2 /σ 2 . Due to the Doppler effect. f ). the Ricean factor K = σ0 h 0 of the ﬁrst kind deﬁned as 1 π exp (−x cos θ ) dθ. The scattering function. If the angle of arrival of the nth incident wave is θn . Three other paths shown from the transmitter.. but away from the receiver.1) 2 where σh := E[h2 ]. The Ricean distribution is deﬁned in terms of the Ricean factor. Therefore.
Tc .2. and it is a complete characterization of the second order statistics of wireless channels [20]. Timedelayed reﬂections of the same signal combine at the receiver. Figure 2. Fading introduced by the Doppler effect can be characterized by the coherence time. S(f ). which is the average power of the channel output as a function of the Doppler frequency: S(f ) = ∞ −∞ S(τ. The scattering function shows the Doppler power spectrum for paths with different delays τ and Doppler frequency f .6) Rf S(f )df In the presence of direct path. When averaged over the delay. is modiﬁed by an additional discrete frequency component corresponding to the relative velocity between the basestation and the terminal.1: Illustration of a multipath channel. by the Doppler effect [19]. τ . the Doppler spectrum.2. MICROSCOPIC OR SMALL SCALE FADING 7 Figure 2. (2. (2.2 illustrates a scattering function with respect to Doppler frequency f and delay τ .4) The root mean square (RMS) bandwidth of S(f ) is called the Doppler spread. f )dτ. frms .5) where Rf is the region where f0 − fmax ≤ f ≤ f0 + fmax and favg is the average frequency of the Doppler spectrum given by Rf f S(f )df favg = . the scattering function yields the Doppler spectrum. of the channel and is typically deﬁned as the time lag at which the signal autocorrelation coefﬁcient . and is given by frms = Rf (f − favg )2 S(f )df Rf S(f )df . S(f ). (2.
2 DELAY SPREAD: FREQUENCY SELECTIVE FADING In multipath propagation. f ).8 2. depending on the incident phase of the waves from each of the multiple paths. a frequency selective channel with large bandwidth is divided into several narrowband subcarriers. the slower the channel ﬂuctuation. the larger the coherence time. Thus.2. i. the coherence time serves as a measure of how fast the channel changes in time. In a multicarrier system. their superposition can be constructive or destructive. the bandwidth assigned to each channel reduces. The coherence time and the Doppler effect play an important role in the functioning of multicarrier systems. MODELING WIRELESS CHANNELS Figure 2. Therefore. Moreover.. i. S(τ.7. Thus.2: Plot of the scattering function. If the number of subcarriers increases for a given bandwidth. 2. and this will be covered in Chapter 4. This implies that the pulse width of the symbols in time increases. Tc ≈ 1/frms . The coherence time can also be approximated as the reciprocal of the Doppler spread.e. reduces to 0. the presence of more than one resolvable multipath component causes time dispersion of the transmitted pulse and often several . Doppler also causes loss of orthogonality of the subcarriers in frequency which leads to intercarrier interference. the system has to designed carefully for the symbol pulse width to not exceed the coherence time of the channel.. there may exist multiple resolvable components depending on the transmission rate.e.
the symbols being transmitted are separated by a specialized guard band called the cyclic preﬁx. Bc ≈ 1/τrms . (2. The distortion caused by multipath propagation is usually modeled as linear and often compensated by an equalizer in single carrier communication. Bc . the symbol duration. τ ≥ 0. The delay separation between paths increases with path delay [21].8) A(τ )dτ 0 The multipath intensity proﬁle is related to the spectrum S(f ) as A(τ ) = ∞ −∞ S(τ. delay spread. (2. 0. The RMS delay spread of the channel.10) Using (2. increases with distance from the terminal. In multicarrier communications.10). This is due to the fact that at larger distances. to avoid intersymbol interference (ISI) in linearly modulated systems. (2. however. τrms . A(τ ).9) Therefore. Typically. MICROSCOPIC OR SMALL SCALE FADING 9 individually distinguishable pulses occur at the receiver. several narrow band parallel subcarriers are transmitted where each subcarrier is designed to observe frequencyﬂat fading. is deﬁned as τrms = τmax (τ − τavg )2 A(τ )dτ 0 τmax A(τ )dτ 0 . Frequencyselective fading can be characterized in terms of its coherence bandwidth.7) where the multipath intensity proﬁle or power delay proﬁle. In the OFDM scenario. In the presence of delay spread. τrms .2. (2.. multipaths with large delays have strengths comparable to the direct path . The span of path delays between the ﬁrst and the last replicas of the received signal is called the delay spread.2. and its role in OFDM systems. This time. The coherence bandwidth is a measure of the channel’s frequency selectivity and is the reciprocal of the RMS delay spread. i.e. The length of the cyclic preﬁx should be at least as long as the maximum delay spread. is the average power of the channel output as a function of delay τ . consequently. dispersion of the pulses manifests as frequency distortion in the frequency domain due to the nonﬂat frequency response of the channel. f )df. The power delay proﬁle is often modeled as oneside exponential distribution: A(τ ) = 1 τavg exp −τ/τavg . frequencyselective fading is experienced.7). is explained in more detail in Chapter 3. the channel can be modeled as a tapped delay line ﬁlter and.7 in [22]). T τrms should be satisﬁed. τmax is the maximum path delay and τavg is the average delay spread given by τmax τ A(τ )dτ τavg = 0 τmax . which is the frequency difference for which the channel’s autocorrelation coefﬁcient reduces to a prescribed value (example. The cyclic preﬁx. it can be shown that for the exponential delay proﬁle given in (2. τrms = τavg .
If BN = 0.05 μs. which ultimately increases τrms . In OFDM.1Bc . as will be shown later. we consider frequency selective channels and brieﬂy discuss some methods to mitigate the effects of frequency selective channels. in urban areas τrms is approximately 0.10 2.2μs and in hilly terrains τrms is around 23 μs [23]. In a multicarrier system. In ﬂat rural areas. In a tapped delay line model.12). consider a system with a total bandwidth of BW = 2MHz. the required coherence bandwidth on each of N subcarriers is given by BN := BW/N Bc . a frequency selective channel is divided into several narrowband subcarriers. a data line is tapped at different time delays. For instance. For a frequency selective channel represented using L taps. 2.3: Impulse response of channel in (2. if the transmitted . at least N = 500 subcarriers have to be used. N = 512 can be used. For channels to be frequencyﬂat fading. in which case. and then summed together to provide an output.3 TAPPED DELAY LINE MODEL FOR FREQUENCY SELECTIVE FADING CHANNELS In this section.The values of the RMS delay spread and the coherence bandwidth play an important role in determining the number of subcarriers to be used. The subcarriers are chosen such that each of them is a frequencyﬂat fading channel. Frequency selective channels are commonly represented using the tapped delay line model. making it a good ﬁt for frequency selective channels. MODELING WIRELESS CHANNELS Impulse Response 5 4 3 2 h[l] 1 0 −1 −2 −1 0 1 2 l 3 4 5 Figure 2. τrms is less than 0. The drawbacks of these schemes are presented in order to motivate the need for multicarrier systems such as OFDM. weighted with different values. it is preferred that the number of subcarriers be a power of 2. The system is deployed in an environment that has an RMS delay spread of 25μs or a coherence bandwidth of Bc = 40kHz. Such a model efﬁciently represents data received via multiple paths for a signal from the same source.
1 0.11) where h[n. and from Figure 2. l].7 Normalized Frequency (×π rad/sample) 0. . the channel whose impulse response can be represented as h[l] = 3δ[l] − δ[l − 1] + δ[l − 2] + 4δ[l − 4].6 0. l]u[n − l].9 1 Figure 2.7 Normalized Frequency (×π rad/sample) 0. such as telephone lines. In multicarrier systems such as FDM and OFDM. we drop the time index. (2. l = 0. we can see that the response of the channel is not the same at each frequency.8 0. We can see from Figure 2. .3 and Figure 2. r[n].3.2 0. As an example. making it a frequency selective channel. .3 0. This convolutional channel can also be interpreted as an FIR ﬁlter of order L − 1. TAPPED DELAY LINE MODEL FOR FREQUENCY SELECTIVE FADING CHANNELS Frequency Response 20 11 Magnitude (dB) 10 0 −10 −20 0 0.1 0. While this is a 1 It should be noted that in some cases.5 0. L − 1 represent the L taps of the frequency selective channel at time n. .3 that the channel represents a multipath channel. l] at a ﬁxed instant of time. the channel coefﬁcients are modeled as random 1 . (2. . the frequency spectrum is divided into several narrowband channels called subcarriers. If the channel bandwidths are small.2.4. is represented as [20] L−1 r[n] = l=0 h[n.9 1 0 Phase (degrees) −200 −400 −600 −800 0 0. respectively. consider a channel h[n. Assuming that the channel is time invariant. as an example.4 0.4: Frequency response of channel in (2. the output at the receiver.6 0.8 0.4 0.4.2 0. the channel taps are modeled as deterministic [24]. the impulse response and frequency response are shown in Figure 2.12). Consider. For a frequency selective fading channel. data is u[n]. each can be considered to be a frequencyﬂat fading channel. especially in wired ISI channels.3 0.12) For this channel.5 0.
In contrast. u[n]. the Viterbi algorithm grows exponentially in the number of channel taps.15) More information about these and other more complex equalizers such as the decisionfeedback equalizer (DFE) and iterative solutions to (2. and the estimate of the symbol. the convolution in (2. (2.14) so that u[n] = u[n]. the optimum coefﬁcients of g[l] are chosen in a way to minimize a performance index.13) The ﬁlter. Alternatively at the receiver. to yield the estimate: u[n] = y[n] ∗ g[n]. However. such as the mean square error (MSE) between the transmitted symbol. A white noise sequence is transmitted and crosscorrelated with the received signal in order to estimate the channel [26]. Mitigation of the effects of the frequency selective channel requires estimation of the taps for both equalization and the Viterbi algorithms. . transmission over a frequency selective channel can be considered as a convolution in time between the data and the tapped delay line representation of the channel. Strategies such as errorcontrol coding across subcarriers [25] are used to improve performance in such situations. g[l] is selected such that h[l] ∗ g[l] = δ[l]. Linear equalization uses an FIR ﬁlter. u[n]. the frequencyﬂat fading channel on each subcarrier can be estimated individually by transmitting a pilot tone at each subcarrier. Several suboptimal techniques can be used for equalization. which allows such estimation. Due to the convolutional nature of the channel. g[l]. Instead.11). a subcarrier that occurs at a trough on the frequency response of the channel will result in a channel with very poor performance. MODELING WIRELESS CHANNELS good approach to mitigate the effects of a frequency selective channel. In the absence of channel noise. The structure of an OFDM system. u[n].15) can be found in [24]. interpolation of the channel estimates in the frequency domain will yield the required result.12 2. If the entire channel estimate is required with a few pilots. and it is shown to provide the maximumlikelihood solution [24]. Since the convolution of two FIR ﬁlters will never yield δ[l]. has to be selected so that the estimate. in a process called equalization.11) can be inverted in order to estimate the transmitted data. channel estimation cannot be performed by transmitting a pilot tone. is discussed in Chapter 3. The Viterbi algorithm considers the channel as a statemachine and can be used to decode the data. to estimate the value of the transmitted symbol. u[n]. is close to the transmitted signal. with frequencydomain schemes such as FDM or OFDM. As shown in (2. (2. u[n]. g[l]. at the receiver as follows: g opt [l] = argmin E u[n] − u[n]2 .14) is not possible with an FIR equalizer. {g[l]} (2. selecting g[l] to satisfy (2.
Block transmissions built on a matrixvector framework are introduced. . Orthogonal Frequency Division Multiplexing (OFDM) is a technique that can also be used to mitigate frequency selective channels. 3.1 INTRODUCTION TO OFDM As discussed in Chapter 2. which subsume transmission schemes that use zero padding (ZP). the discrete symbolrate sampled OFDM transmission scheme is developed.1: An example of FDM transmissions. a frequency selective channel has a convolutional effect on transmitted data. the basic model of the OFDM system is introduced. an analog interpretation of the OFDM system is presented. OFDM using cyclic preﬁx. and precoded transmissions. Following this. First. Figure 3. and methods such as the Viterbi algorithm or equalization are used to mitigate the effects of the frequency selective channel. We will also discuss OFDM as a block transmission scheme effective in mitigating ISI in large delay spread environments.13 CHAPTER 3 Baseband OFDM System In this chapter.
all other subcarriers have zerocrossings at that point. In contrast. This data. timedomain representations are obtained. and for ﬁlters. BASEBAND OFDM SYSTEM In a simple frequency division multiplexing (FDM) system. the symbols are ﬁrst considered in frequency. not truncating the spectrum of each subcarrier reduces the demands on ﬁlters. and it allows the symbols to be restricted in time. data symbols are transmitted over each subcarrier and received without interference. it can be considered to be a ﬂat fading channel.1 where the allotted bandwidth is partitioned into subcarriers. Such a system is shown in the top half of Figure 3.14 3. the entire channel bandwidth is divided into several narrow bandwidth channels. there could be interference from adjacent subcarriers. comprising the cyclic preﬁx. To make allowances for bandwidths that are not restricted in frequency. and they do not interfere with the subcarrier being sampled. they are shaped as well. in an OFDM system. A cyclic preﬁx is added to this representation in time. the subcarriers need to be assigned in such a way that they do not interfere with each other. in addition to dividing the frequency spectrum into separate parts. Figure 3. To implement such a system. In an FDM system. In a typical OFDM system. the subcarriers are spaced sufﬁciently apart from each other.1. is transmitted . The restriction stops us from utilizing a partitioning system as shown in the bottom half of Figure 3. By taking the IFFT of the data symbols. In case this sampling is offpeak. after the addition of the cyclic preﬁx. when a subcarrier is sampled at its peak. Furthermore. An interval of the timerepresentation of the symbols is copied and added to the front. referred to as subcarriers. If the bandwidth of the subcarrier is suitably small.2: OFDM symbols represented using sinc functions.2. as shown in Figure 3. Due to this shaping.
At the receiver. and the FFT of the rest provides the symbols at the receiver [27]. time domain after passing through a tworay channel environment (L = 2 in (2. the cyclic preﬁx is dropped. Figure 3. the length of the cyclic process plays an important role. Since the choice of the cyclic preﬁx interval is larger than the delay spread. .3.3 helps understand the signiﬁcance of the cyclic preﬁx. Of course. In this process. INTRODUCTION TO OFDM 15 over the frequency selective channel. and the dotted ones represent those that have reached after a certain delay.3: Importance of Cyclic Preﬁx.3 also shows the phase transitions that might occur at symbol interval boundaries. The length of the cyclic preﬁx is chosen such that it is larger than the maximum delay spread of the wireless channel. the delayed replicas of the subcarriers show phase transitions within the guard interval. Figure 3. what we see at the receiver is a sum of the signals. At the receiver. It shows three subcarriers in the Figure 3. The solid curves represent the subcarriers that have reached the receiver without any delay.11)).1.
and block precoded transmissions that process information symbols in blocks. The equivalent received discretetime sequence is given by L−1 r[n] = l=0 u[n − l]h[l] + v[n]. the continuoustime methods described cannot be used. and h(t). 3. zeropadded (ZP) transmissions. u[n]. In Figure 3. The received signal is then passed through a ﬁlter with response p(−t). v(t). BASEBAND OFDM SYSTEM since FFT is taken after discarding the guard interval part of the received signal. We ﬁrst begin with a linearly modulated transmission system over a frequency selective channel. We will also show that blocktransmissions are an effective way to mitigate channel induced ISI [29]. Figure 3. and additive channel . v[n] := v(nTs ). r[n] := r(nTs ).4. and additive noise.1) where h[n] := h(nTs ). matched to the transmit pulseshaping ﬁlter p(t). n ∈ Z are pulsed shaped by a ﬁlter with response p(t) and then sent over a wireless channel with an impulse response h(t). (3.2 DISCRETE BASEBAND BLOCK TRANSMISSIONS The purpose of this section is to establish a convenient discretetime framework encompassing wellknown block transmission techniques like OFDM with a Cyclic Preﬁx (CPOFDM).16 3. r(t) and v(t) are the analogtime representations of the channel. the discrete model is more suited for simulation using computer programs. The analog method described provides good intuition into the working of an OFDM system. received symbols. However. in the case of digital systems. Additionally. Digitization and the use of block transmissions are required. These digitization techniques are used to formally introduce the concepts of OFDM later on in the chapter. Ts is the sampling period. This unifying model is useful in holding a signalsandsystems view of the entire transmission process and is also used in describing the OFDM transmission technique later in this chapter.4: Serial Transmissions (above) and Block Transmissions (below). the orthogonality between any subcarrier and delayed version of any other subcarrier is still preserved [28].
⎝ . . It is easy to see that this is a consequence of choosing P L. . . . . .2) where r[i] = [r[(i − 1)P ]. . . Using (3. respectively. . . . .. . such as those that have been proposed for OFDM in [30] are instances of block transmission.. ⎜ . . ⎜ h[L − 1] . u[i] is derived from Th · s[i] after either zeropadding or after taking FFT and appending a cyclic preﬁx and is transmitted over the channel. ⎜ ⎜ . (3. The matrixvector framework given in (3.3. H1 = ⎜ 0 .. It is easy 1The term “symbol” is used interchangeably with “block” in block transmissions. .2) uniﬁes many wellknown transmission schemes in the following way: • BlockPrecoded Transmissions – Linear precoded transmissions. ⎠ ⎝ .. .. . Let u[i] denote the i th transmitted block1 which is equal to [u[(i − 1)P ]. 0 . . . . . . . 0 . h[L − 1] ⎜ ⎜ . h[1] ⎜ .. h[0] 0 .. . 0 ⎟ . . ⎜ . blocks of length P are obtained from the symbols u[n] such that P L. u[(i − 1)P + 1]. 0 ⎟ ⎟ ⎜ ⎟ ⎜ .. . Let us now link this serial transmission setup with a block transmission setup.. It may be noted that similar to ISI in the serialized transmission shown in (3. With linear precoding. . . .2) that there is IBI in the received block at the i th time instant because of the last L − 1 symbols in u[i − 1]. but only from the immediately preceding block u[i − 1]. .3) H0 = ⎜ . . respectively. . . . . the P × P channel matrices H0 and H1 are given by ⎞ ⎛ h[0] 0 0 . u[(i − 1)P + P − 1]]T . due to causality. it can be shown that r[i] = H0 u[i] + H1 u[i − 1] + v[i]. . . . v[(i − 1)P + P − 1]]T are the received and noise vectors. . They involve linearly coding the information block s[i] by multiplying with a precoding matrix Th. . h[0] 0 . . r[(i − 1)P + P − 1]]T and v[i] = [v[(i − 1)P ].. ⎜ . ..1). .4) and shown in the lower block diagram in Figure 3. . .. (3. 0 .2. ⎜ . . In block transmissions. in the i th block interval and because P L.. . .. .1).. . . there is interblock interference (IBI) for the block u[i]. .. 0 ⎛ ⎞ ⎟ ⎟ ⎟ ⎟ ⎟ ⎟ ⎟ ⎟ ⎠ P ×P . which will be discussed next. .4. h[L − 1] . • ZeroPadded Transmissions (ZP) – Let us recollect from (3.. h[L − 1] P ×P and 0 . 0 ⎟ ⎜ . . . . DISCRETE BASEBAND BLOCK TRANSMISSIONS 17 noise. (3. 0 ⎟ ⎟ ⎟ ⎜ ..
average delay spread of τavg . which is modeled as a tapdelayline ﬁlter with L taps. s[i]. 33.” At the receiver.6) for OFDM.2). pulseshaping and transmitting on the channel shown in Figure 3. the N elements in s[i] are modulated onto N subcarriers. But instead of not transmitting anything in the guard interval duration like the ¯ zeropadded transmission scheme described in (3.5. 3. Addition of the cyclic preﬁx makes Rcp H0 Tcp into a circulant H matrix.5 shows the signal . BASEBAND OFDM SYSTEM to see that this IBI can be made equal to 0 by making the last L − 1 or more of the symbols in u[i − 1] equal to 0. Figure 3. In each block interval i.3 DISCRETETIME OFDM MODEL Figure 3. as shown in Figure 3. this blocking of input data and further processing helps in countering the channel induced ISI.5). Therefore. This ZP transmission scheme [31] can be mathematically represented as y[i] = H0 Tzp u[i] + v[i]. Later in the chapter.18 3. since H1 Tzp = 0. We will also address the explicit derivation of (3. cyclicpreﬁx insertion. 34]. is also a block transmission scheme and ﬁts very well into the data model developed in (3. and FFT is taken on the remainder. of length N . (3.5 shows a blockdiagram representation of the discretetime implementation of OFDM.6) where v[i] is the noise vector. we shall see in detail all the transmitter and receiver operations that result in the data model in (3. All the transmitter operations like serialtoparallel conversion of the input data. and RMS delay spread of τrms .2 that OFDM ﬁts into the general class of block transmissions. taking IFFT on it. 32. guard intervals between blocks of symbols are introduced. The transmissions occur on a wireless ISI channel. In OFDM. In order to prevent IBI. the relation between the input block s[i] and the output of the FFT appears as follows: y[i] = Hs[i] + v[i]. Later. h(t). the cyclic preﬁx portion of the received signal is discarded. H = FN Rcp H0 Tcp FN being diagonal. which results in the channel matrix. a maximum delay spread of τmax . ¯ where u[i] = Tzp s[i] is obtained from an N × 1 block of symbols by appending L > L zeros T ¯ through a matrix operator Tzp := [IT 0L×N ]T which appends L zeros to s[i]. (3.5 are for the i th block interval and are explained in detail below: • Blocking – It has been shown in Section 3. the last L datapoints in the tail portion of the OFDM symbol are transmitted and termed “cyclicpreﬁx. The OFDM modulator parses a continuous stream of input data into blocks of length N . This is achieved through discrete IFFT at the transmitter. blocks of data. are obtained from a serial stream of input symbols. At this stage. s[n].6).5) “silence” at the end of the i th block prevents IBI in the (i + 1)th block. there is no ISI between the elements of y[i] in (3. as we shall see. This period of N ¯ • CyclicPreﬁxed OFDM (CPOFDM) – Cyclicpreﬁxed OFDM [29.6) and the relationship between h[l] and H. which is a very popular Multicarrier (MC) modulation scheme.
processing that takes place in the i th OFDM symbol interval during which the N uncoded data elements.3. s[i]. (i − 1)N + N − 1. .5: DiscreteTime Implementation of OFDM. s[i] are subjected to an IFFT operation. . DISCRETETIME OFDM MODEL 19 Figure 3. after taking IFFT and inserting cyclicpreﬁx. s[k]. the modulation of subcarriers by the data is achieved through an IFFT operation. The output. • Subcarrier Modulation – In its discretetime implementation. where 1 u[n] = √ N (i−1)N +N −1 s[k] exp (j 2π nk/N ) . u[(i − 1)P + 1]. Figure 3. is u[i] = [u[(i − 1)P ].3.6: Cyclic preﬁx added to a block of data. In Figure 3. . we see that the N data elements. (i − 1)N + 1.5.7) . u[(i − 1)P + P − 1]]T . k=(i−1)N (3. . . . k = (i − 1)N. The number of symbols in the cyclic preﬁx is at least as many as the number of taps in the FIR ﬁlter representation of the frequency selective channel. The OFDM symbol s[i] is then subjected to further processing. are grouped into an OFDM symbol. of length N . . . • Cyclicpreﬁx insertion – An important operation that helps in preserving the orthogonality of the subcarriers is the insertion of cyclicpreﬁx between OFDM symbols.
. . are those of an OFDM system. (3. . where v[k] := N −1/2 (i−1)N +N−1 v[n] exp (−j 2π kn/N) .1). . (i−1)N (3. the receiver simply eliminates the ¯ IBI due to H1 by discarding the ﬁrst L samples received during the guard interval and performs an FFT on the remainder. typically rectangular pulses that overlap in the spectral domain. the continuoustime signal that is received is the same as in (3. Note that the ¯ ¯ IBI term because of H1 is also made zero since Rcp removes its ﬁrst L rows. is exactly the same as shown in (3. affects them the same way it does other singlecarrier transmission schemes. (i − 1)P + 1. Orthogonality conditions for the second category were presented in [6] and an application with offset QAM was presented in [11]. Practical issues like outofband energy emissions. . FN is an N × N DFT matrix.20 3. interchannel interference and peaktoaverage power dictate the choice of the exact pulseshaping scheme to be used. n = (i − 1)P . . . • PulseShaping – Samples u[n]. the generation of u[i] from s[i] can also be described as H u[i] = Tcp FN s[i].10) for k = (i − 1)N. h[n].9) where Rcp := [0N×L IN ] removes the initial cyclic preﬁx part of the received symbol. . (i − 1)P + P − 1 and P = N + L. r[i]. After this. (i − 1)P + P − 1 of the P × 1 OFDM symbol u[i] (also containing the cyclicpreﬁx) that we see in Figure 3. (i − 1)N + N − 1. OFDM systems can be categorized into two classes depending on the pulse shaping ﬁlter used: (i) the class of OFDM systems that use timelimited pulses [33. . Therefore. . u[n]. h(t). the inputoutput relation at any subcarrier k is a simple one without any ISI and is as follows: y[k] = H [k]s[k] + v[k]. BASEBAND OFDM SYSTEM ¯ for n = (i − 1)P . (3. At this stage. and transmitted over the channel. Since H is a diagonal matrix. p(t). All the aforementioned operations on r[i]. the data model for the i th block at the receiver. (i − 1)P + 1.The advantage of employH ing IFFT and FFT at the transmitter and receiver.8) where Tcp := IT IT cp N T ¯ is a cyclic preﬁx inserting matrix with Icp being the last L rows of H the N × N identity matrix IN . 35]. . the channel. can be mathematically described as below: H y[i] = FN Rcp r[i] = FN Rcp H0 Tcp FN s[i] + FN Rcp v[i]. and FN is an N × N IDFT matrix obtained by taking the Hermitian of FN .2). Alternatively. Even though the data samples. (3. respectively.6. but are orthogonal and (ii) the class of OFDM systems designed with inﬁnitely long pulses.11) . is that the factor FN Rcp H0 Tcp FN simpliﬁes to a diagonal matrix H which can easily be inverted (provided the inverse exists) [29]. but they are realized with their truncated versions.5 are pulse shaped with a transmit ﬁlter. (i − 1)N + 1. An OFDM symbol with the CP added to it is shown in Figure 3. .
the DMB [3] and the IEEE 802. it is only necessary to compensate for the effect of each subcarrier indivdually. spacing of subcarriers. In case the entire channel needs to be estimated. To mitigate this problem. equalization ampliﬁes the additive noise. One drawback of this method is that when the gain of a subcarrier is low. it is clear that through IFFT and cyclicpreﬁx insertion at the transmitter and with matching operations at the receiver. OFDM has turned an ISI channel requiring potentially complex equalization at the receiver into a set of ﬂatfading channels. Each subcarrier then behaves like a ﬂat fading channel with no interference from other subcarriers. In order to do this. errorcontrol coding is used to code symbols across subcarriers [25]. Some of these standards work in multiple modes and bands. and not just the subcarriers. Figure 3. This problem is exacerbated when a subcarrier lies on a channel null. In this scenario. although the DAB standard can . number of subcarriers.3. modulation schemes and bit rates used in these standards are shown in Table 3. For OFDM.10). each subcarrier gain can be simply estimated with individual pilots since each subcarrier is now equivalent to a ﬂat fading channel with no interference from other subcarriers [36]. This representation of OFDM as shown in (3. For instance. and the data transmitted over that subcarrier is completely lost. This is the singlemost important advantage of OFDM: robustness to large delay spread environments obviating the need for complex equalization at the receiver.11a [37] standards. Alternate subcarriers are shaded for clarity.3. DISCRETETIME OFDM MODEL 21 and H [k] representing the channel gain of the diagonal of H is given by L−1 k th subcarrier is the 2π kn .7. for channel equalization. with no overlap. Data can be transmitted over each of these subcarriers independently. OFDM is used in the DAB [1]. a simple interpolation will yield the required information.7: A frequency selective fading channel divided into orthogonal subcarriers.1. Typical values of parameters such as bandwidth.12) Looking at the inputoutput relation in (3. It shows a frequency selective channel divided into subcarriers.10) can be also interpreted as shown in Figure 3. the subcarriers gains have to be estimated. the DVBT [2]. N k th element on the principal H [k] = n=0 h[n] exp −j (3.
7802 52 Number of Subcarriers Mode III: 192 8K mode: 6. 174–240 MHz) and Lband (1452–1492 MHz).1: Typical Values of OFDM parameters as used in Common Standards Standards Name DAB DVBT DMB IEEE 802.116 Mode IV: 2000 Modulation Scheme π/4 DQPSK QPSK QAM BPSK Bit Rate (Mbits/s) 0. receivers are generally marketed so that they can be set up to work with all the different systems. In the case of DVBT. Earth.000 312.49 654 operate above 30 MHz.152 24 4. The DVBT has been allocated frequencies in Band III and Band IV.492 470862 Mode I: 1. there are two choices for the number of carriers known as 2Kmode or 8Kmode. Earth and satellite. 1. In the 2K mode.5761. it has spectra allocated for it in Band III (highband VHF. BASEBAND OFDM SYSTEM Table 3. Earth and satellite.22 3. Earth and satellite. III and IV).705 (approximately 2000) subcarriers are used that are spaced approximately 4kHz apart. 6. a receiver must support all 4 modes: (i) Mode I for Band III.464 2. are used.11a 174240 174240 470862 49125825 Bandwidth (MHz) 1. For worldwide operation. II. (iii) Mode III for frequencies below 3 GHz. (ii) Mode II for LBand. .5K Subcarrier Spacing (Hz) Mode III: 8000 8K mode: 1. approximately 1 kHz apart.817 Mode IV: 768 Mode I: 1000 Mode II: 4000 2K mode: 4.4521.8132. In the 8K mode. For these standards that work in multiple modes and bands.817 carriers. and (iv) Mode IV for LBand.536 Mode II: 384 2K mode: 1705 3. DAB has a number of country speciﬁc transmission modes (I.
frequency. Once the presence of symbol is detected. lead to frequency mismatch. Ideally. N (4. Frequency offset occurs due to unmatched frequencies on the received signal and the local oscillator at the receiver. the receiver has to know where exactly it has to sample the incoming OFDM symbol prior to the FFT process. Doppler shifts can also induce a slight frequency change of the carrier frequency [40] and hence. The amplitude of the desired SC is reduced. Secondly.1) . when there is a frequency offset. The ﬁrst task of the receiver is to estimate symbol boundaries. First. Figure 4.23 CHAPTER 4 Carrier Frequency Offset Before an OFDM symbol can be successfully demodulated. when viewed in time domain. subcarriers could be shifted from their original positions resulting in a nonorthogonal signal at the receiver resulting in ICI after the FFT due to the FFT output containing interfering energy from all other subcarriers. 4. A preamble consisting of a sequence of known symbols is used for the receiver. In fact. and phase reference parameters to assist with synchronization at the receiver. the sensitivity to timing and carrier offset errors is higher in OFDM systems than in single carrier systems [34]. sampling may not occur at the peaks but at an offset point. The impact of a frequency error can be seen as an error where the received signal is sampled during demodulation. the next task is to estimate the frequency offset. the peak of any sinc is aligned with the zeros of all other sincs. the receiver has to estimate and correct for any carrier frequency offset because offset can result in intercarrierinterference (ICI). If the receiver cannot clearly identify the symbol lengths. then ISI occurs. However. the receiver has to synchronize to both the transmitted frame timing and carrier frequency. Proper detection at the receiver requires knowledge of these parameters. Therefore. and ICI arises from the adjacent SCs. 39] can also occur with OFDM transmissions. we would like to recall that after parallel to serial conversion the output of the IFFT can be represented as x[n] = 1 N N −1 s[k] exp k=0 j 2π kn . and there is no contribution from the other SCs.1 depicts this twofold effect. Other problems such as outofband radiation [38. Here. each SC is sampled at its peak.1 CARRIER SYNCHRONIZATION ERROR Frequency offsets are typically introduced by a (small) frequency mismatch in the local oscillators of the transmitter and the receiver. Since the subcarriers (SC) are orthogonal. Transmitted signals are provided with timing.
1: Sampling mismatch due to CFO. z[n] here also represents the input to the FFT at the receiver. the received signal after removal of CP can be written as N −1 z[n] = 1 N s[k]H [k] exp k=0 j 2π n(k + f ) . the output of the FFT can be expressed as y[k] = 1 N N −1 z[n] exp n=0 j 2π kn . Ignoring the effects of the additive noise.24 4. N (4. and H [k] is the transfer function of the channel at the frequency of the k th subcarrier. Therefore.3) . N (4.2) where f represents the relative frequency offset deﬁned as the ratio of the actual frequency offset to the intercarrier spacing. CARRIER FREQUENCY OFFSET Figure 4. We now consider the case where there exists a mismatch in the frequencies of the received signal and the local oscillator at the receiver.
it can be seen from (4. it is a popular technique though there is a loss in data rate and spectrum efﬁciency of the system. 4.4) 1 sin (π f ) j (N − 1) f s[k]H [k] exp N sin (π f/N ) N s[m]H [m]βm−k . The frequency offset estimation techniques can be broadly classiﬁed into pilotaided schemes and nonpilot aided or blind estimation schemes. FREQUENCY OFFSET ESTIMATION 25 Substituting for z[n] from (4. ICI occurs due to the inﬂuence of data on the other subcarriers.5). they lead to processing the received data multiple times. (4. m=0 m=k (4. consequently.6) Here.4. i.. After normalizing the CFO by the subcarrier spacing. it can be seen that when m = k we have β0 = j (N − 1) f sin (π f ) exp sin (π f/N) N . 42. the loss in performance due to a frequency mismatch of the received signal and the receive oscillator can be signiﬁcantly reduced. This implies that in case of frequency offset. each output symbol estimate now depends on all the input values. 43].Therefore.e. N (4. Since the scaling of k th component is independent of k. and.3) and after some algebraic manipulations. Further. which causes delay in decoding. the total ICI power changes little with N. Some techniques for offset estimation and offset cancelation are provided in the following section. it does not change the total power in the received signal. the output of the FFT is given by [41] 1 y[k] = N = N−1 s[m]H [m] m=0 sin (π (m − k + f )) sin π(m−k+ f ) N exp j N −1 (m − k + f ) . Blind or non pilot assisted methods exploit the structural and statistical properties of the transmitted OFDM signals.5) that if f = 0 then the received signal is s[k]H [k]/N.7) which is identical to the scaling factor on the k th subcarrier in (4. More details can be found in [41.2 FREQUENCY OFFSET ESTIMATION By estimating the frequency offset at the receiver. Pilot assisted methods use well deﬁned pilot symbols to aid in the estimation of CFO.2) into (4. the integer part and the fractional part of the CFO can be estimated separately.5) where the complex coefﬁcient βm−k = sin (π (m − k + f )) sin π(m−k+ f ) N exp j N −1 (m − k + f ) . Estimation of the integer .2. Though these techniques preserve the data rate. Since this method is capable of achieving very quick and reliable estimates. N + 1 N N −1 (4. it is evident that all subcarriers experience the same degree of attenuation along with ICI. It is important to note here that carrier frequency offset does not affect the amplitudes of any of the signals.
The preamble is designed to contain multiple repetitive symbols with a symbol time much less than that of the transmitted data symbol. . Next. so that the data point y[i.9) Pilot symbols have to be transmitted over several consecutive OFDM symbols to obtain a good estimate and minimize the error in estimation that maybe caused by channel ﬂuctuations. we describe the maximum likelihood method of estimating the fractional portion of CFO. . and α1 .8) will contain the average magnitude of the squared pilot symbols. this method yields good estimates of the CFO. The integer portion of the CFO can be estimated by ﬁnding the value of g which results in the largest  f [g].1 FREQUENCY DOMAIN AUTOCORRELATION For this method. αj + g]y ∗ [i − 1. are the possible integervalued subcarrier shifts. and before the data is transmitted [37]. . (4. as shown in Figure 4. ±1. Since the integer part of the CFO causes frequency shift of the received signals in the frequency domain. Following this. . . αJ are the J pilot subcarriers. 4. Recall from Chapter 3 that an OFDM block consists of several OFDM symbols. Since the pilot symbols are not random but known at the receiver. two consecutively received OFDM symbols on a set of subcarriers are correlated [44]. . For the frequency domain autocorrelation scheme. Such a preamble can be used to estimate the fractional part of the CFO.e. pilot symbols are transmitted on a selected set of subcarriers. α2 . i. These J subcarriers are not necessarily contiguous. Out of N subcarriers in an OFDM symbol. and each OFDM symbol contains N subcarriers. there will be an additional preamble transmitted after the CP. J are selected to be pilots.26 4. the maximum likelihood estimator can be expressed as ⎛ ⎞ Q−1 1 ff rac = arg ⎝ z[n − q]z∗ [n − q − B]⎠ .2. ±2. g (4. Deﬁning Q as the repetition interval length in time samples and B as the time samples separation between two adjacent repetitions. (4. in OFDM transmissions.2.2. ±3. to obtain an accurate estimate of the CFO. (4. j ] represents the symbol transmitted on the j th subcarrier of the i th OFDM symbol. g = argmax  f [g]. αj + g]..10) 2π BTs q=0 . 4. . CARRIER FREQUENCY OFFSET part of the CFO can be termed as coarse CFO estimation while the estimation of the fractional part of the CFO can be termed as ﬁne estimation of the CFO.2 MAXIMUM LIKELIHOOD ESTIMATION Though the cyclicpreﬁx can be used for timing and frequency synchronization. we describe brieﬂy simple methods to estimate the integer part and the fractional part of the CFO. to yield J −1 f [g] = j =0 y[i.8) where g = 0. generally.
the estimates obtained are always noisy. The restricting assumption made is that the maximum CFO has to be less than half the subcarrier spacing.2: Block Diagram of Carrier Frequency Offset Estimation Process by using the Frequency Domain Approach. Some of the subcarriers at the edges of the OFDM symbol are left empty. While the above cited works depend on the correlation of the two halfperiod identical blocks for estimation. In [42]. these subcarriers are called virtual subcarriers. This scheme requires usually multiple OFDM symbols to achieve desirable performance thereby leading to additional delay at the receiver to estimate the CFO and decode the received symbols. in [46. 47]. The important assumption the authors made in this work is that the constellation of symbols transmitted on each subcarrier has points that are equally spaced in phase. FREQUENCY OFFSET ESTIMATION 27 Figure 4. In this method. offset estimation is done in the presence of channel noise corrupting the received signals. A similar method exploiting only two identical half period symbols to estimate both the integer and the fractional part of the CFO was proposed by [45]. When these . a more accurate estimate is obtained. Adding this to the result obtained by the estimation of the integer part of CFO. The differential phase of the correlation between different pairs of adjacent fractional blocks in a symbol are used to form an improved estimates. In [51. the authors used two identical halfperiod symbols to estimate the fractional part of the CFO and a second full period symbol that has a special correlation relation with the ﬁrst pilot symbol to estimate the integer part of CFO. The number of subcarriers in a symbol is a system design parameter (generally about 10% of the total number of subcarriers N ). the presence of virtual subcarriers is exploited and techniques such as MUSIC and ESPIRIT [26] are used to estimate the CFO. where arg(·) represents the argument of a complex number. the CFO can be estimated only within the interval [−1/(2LTs ). Practical OFDM systems in general do not have data transmitted on all available subcarriers to help avoid aliasing errors.4. 48. Given that the phase can be uniquely resolved in the interval [−π. In a typical communication system. the authors propose a correlation based technique for estimation. π]. In the blind estimation methods [37. elements of the transmitted OFDM symbol such as the cyclic preﬁx.2. 49]. Therefore. Several other algorithms can be used for CFO estimation. The authors in [50] propose a blind estimation method that is only suitable to recover CFO values that are multiples of the subcarrier spacing. 48]. the pilot symbol consists of multiple repetitive fractional parts. two consecutive identical pilot symbols are required to estimate CFO. In [41]. virtual subcarriers or constant modulus transmission are used. 1/(2LTs )].
CARRIER FREQUENCY OFFSET estimates are used to reverse the effects of the frequency offset. If v < N/2 then zero padding can be employed to obtain a sequence of length N.3. but random.3. . s[ N − 2] = s[ N − 1]. As the difference between adjacent subcarriers is small this results in substantial reduction in ICI. The transmitter uses an N/2 point IDFT process while the receiver uses an N point DFT process. The ﬁrst scheme we consider is called Self ICI Cancelation. . 4. in spite of compensating for carrier offset using the estimation process. . this method has a reduced overall SNR compared with OFDM without windowing. and it does not depend on the absolute value of the coefﬁcients themselves. At the output of the DFT process. 55. y[N − 1]. each data symbol is carried on two subcarriers. However. rather than be estimated and then removed. s[0] = −s[1].2 WINDOWING Windowing is another technique proposed to help reduce sensitivity to frequency offsets in an OFDM system [54. due to the redundancy introduced by mapping the same symbol onto two subcarriers. the functions used to cancel ICI have nonzero side . the data rate of the system and the frequency efﬁciency of the system is reduced by half. This results in deterioration of performance. Therefore.3. . The ICI cancelation in this scheme depends only on the coefﬁcients being slowly varying functions of offset. 53]. proposed by Zhao and Haggman [52. The authors in [54] consider a Hanning window. there is a residual offset that is small. If adjacent coefﬁcients are identical. the data rate is halved. This process involves cyclically extending the time domain signal associated with each symbol by v samples.28 4. while in [55] the general class of windows satisfying the Nyquist criteria are studied. the even numbered outputs are used to estimate the transmitted symbols while the odd numbered outputs are discarded. data is mapped onto adjacent pairs of subcarriers. Different windows can be used in this scheme. Therefore. 56. Details about these and other windowing techniques can be seen in [58]. then N point received signal can be used as inputs to the DFT process at the receiver. and the Kaiser window is studied in [55]. For example. it is evident that the ICI for this scheme depends on the difference between the adjacent weighting coefﬁcients rather than on the coefﬁcients themselves. In Section 4. Here it is important to note that since all the received power is not being used in generating data estimates. . In the windowing method.. . instead of independent data being mapped on to the subcarriers. s[2] = −s[3]. This mapping has been shown to result in cancelation of most of the ICI in the values y[0]. If the time domain signal is extended by v = N/2 samples. 4. So. some algorithms for ICI cancelation are presented. In this scheme. .1 ICI CANCELATION SCHEMES SELFICI CANCELATION SCHEME There have been several schemes proposed to avoid ICI in the OFDM communication scheme.The resulting signal is then shaped with a window function. then ICI is completely canceled. Though the self ICI cancelation method is simple to implement. it is preferable that carrier offset be canceled automatically. 57].3 4.
4. leading to the addition of spurious bits and causing a loss in SNR. the choice of canceling scheme leads to a tradeoff between data rate and SNR. . ICI CANCELATION SCHEMES 29 bands. Thus.3. which is dictated by the system design [43].
.
To ensure that these peaks are transmitted without distortion. This presents a signiﬁcant challenge in terms of design. and. Occasionally. resulting in a large peaktoaverage power ratio (PAPR). This 3 dB difference between the PAPR and crest factor also holds for other nonsinusoidal carriers. these sinusoids can add coherently to yield a very high amplitude compared to the average amplitude. This occurs with extremely low probability for large N. we describe this occurrence in further detail and present schemes to minimize the effects of a high PAPR. The peak power is deﬁned as the power of a sine wave with an amplitude equal to the maximum envelope value. Hence. the power ampliﬁer at the transmitter should be capable of remaining linear over a wide range of input amplitudes. A large PAPR has disadvantages like a requirement of increased complexity of analogtodigital (A/D) and digitaltoanalog (D/A) converters. The different carriers may align in phase at some instant in time.1 PROBLEM FORMULATION An OFDM signal consists of a number of independently modulated SCs. the crest factor is 3 dB.1) Using this.2) . and reduced efﬁciency of the RF power ampliﬁer. which is deﬁned as the maximum signal value divided by the RMS signal value. An alternative measure of the envelope variation of a signal is the crest factor. the peak power of transmission can be expressed as max x[n]2 n ⎫ ⎧ ⎨N −1 N −1 j 2π(k1 − k2 )n ⎬ 1 . For an unmodulated sinusoidal carrier. N (5. The output of the IFFT at the transmitter can be represented as 1 x[n] = N N −1 s[k] exp k=0 j 2π kn . cost and power consumption. In this chapter. 5.31 CHAPTER 5 Peak to Average Power Ratio While the carrier frequency offset is a phenomenon that occurs due to frequency mismatch at the receiver. high peaktoaverage power ratio occurs at the transmitter due to summation of multiple sinusoids. they produce an amplitude peak equal to the sum of the amplitudes of the individual carriers. s[k1 ]s ∗ [k2 ] exp = 2 max ⎭ N N n ⎩ k1 =0 k2 =0 (5. which can result in a large PAPR when added up coherently. provided that the center frequency is large in comparison with the signal bandwidth. therefore. an unmodulated carrier has a PAPR of 0 dB.
and consequently..4) As an example. have been considered to minimize the outofband radiation level. the outofband radiation levels are high. Similarly. In signal distortion techniques.3) The PAPR. An example is shown in Figure 5. consider the case when BPSK modulation is used. s[k] ∈ {−1. 1}.3). any peak above this value will be clipped appropriately. For example. the PAPR= 1024 ≈ 30dB.2). For this case. a high PAPR.32 5. (5. Since clipping can be viewed as a rectangular windowing operation in time. Coding techniques use forward error correcting codes that exclude OFDM symbols with a large PAPR. which is an extremely large range for the transmit power ampliﬁer to vary over. as transmitted. The techniques proposed for PAPR reduction can be divided into three categories: signal distortion techniques.1 where several OFDM subcarriers are added together.2. the peaks can be removed at the cost of a slight amount of selfinterference. To . can be expressed as PAPR = max x[n]2 n E x[n]2 . it is assumed that an amplitude greater than a predeﬁned threshold causes a PAPR that is unacceptable. s[k1 ]s ∗ [k2 ] exp E x[n]2 = 2 E ⎣ N N k1 =0 k2 =0 (5. Due to the slow rolloff of the spectrum of the rectangular window and the large sidelobes. the peak transmit power is one. called selfinterference. the average power can be expressed as ⎤ ⎡ N −1 N −1 j 2π(k1 − k2 )n ⎦ 1 . for an OFDM system employing 1024 subcarriers per transmitted symbol.e.2). i. raised cosine. Kaiser and Hamming windows. other than rectangular. including the Gaussian. which is selected to yield the smallest PAPR. In the time section shown. and peak cancelation. The simplest way to remove the peaks is by clipping the signal such that the peak amplitude becomes limited to some predeﬁned maximum level. peak windowing. causes deterioration of the error rate performance of the system and also signiﬁcantly increases the outofband radiation levels. 5. thereby leading to a PAPR of N. By deﬁning the highest accepted peak value as the clipping threshold. from (5. In scrambling techniques. nonlinear distortion introduced by clipping. and scrambling techniques. and (5. using (5. each OFDM symbol is scrambled with a different scrambling sequence. Different window shapes.1 PAPR MITIGATION METHODS SIGNAL DISTORTION TECHNIQUES Since large PAPR occurs rarely. there is one such peak. In the example shown. coding techniques. PEAK TO AVERAGE POWER RATIO where x[n]2 = x[n]x ∗ [n]. nonlinear distortion is introduced in the OFDM signal at or around the peaks. and E x[n]2 = 1/N.2 5. Examples of distortion techniques include clipping. This leads to some peaks forming that are high.
Figure 5. the peak cancelation procedure is performed after the addition of the CP.5. A comparator is used to check if the peak amplitude of the digital OFDM symbol is above a predeﬁned threshold. As shown in Figure 5. the window should be narrow in frequency and have a fast rolloff with small sidelobes.2 shows the block diagram of an OFDM transmitter implementing peak cancelation.2: PAPR reduction by Peak Cancelation. . Peak cancelation can also be performed digitally. and if it is above the threshold.2.2. ideally. minimize the outofband interference. the peak and the side lobes are scaled appropriately to maintain the PAPR to a predeﬁned value. PAPR MITIGATION METHODS Amplitude .1: Amplitude of transmitted OFDM symbol.Sum of subcarriers 8 33 6 4 2 0 0 50 100 150 200 Time Index 250 Figure 5. Figure 5.
it is illustrated that many of the codes developed for PAPR reduction are Golay complementary sequences. while the latter only scrambles groups of SCs. have shown that for eight channels. errors caused by symbols with a large degradation can be corrected by the surrounding symbols. 62]. it decreases the probability that high PAPRs will occur. an important drawback of this technique is that symbols with a large PAPR suffer more degradation. a rate 3/4 convolution code exists that provides a maximum PAPR of 3 dB. Though all three of the above mentioned methods help reduce the PAPR of an OFDM system [28]. clipping of the peak amplitude introduces nonlinear distortion into the system. But. then the initial transmission and the retransmission might both have a large number of errors even with coding. the author presents a speciﬁc subset of Golay codes. scrambling techniques are used to ensure that the transmitted data between initial transmission and retransmissions are uncorrelated. PEAK TO AVERAGE POWER RATIO Peak cancelation can also be performed on a symbolbysymbol basis immediately after the IDFT. in [59]. with high redundancy. Symbol scrambling does not.2 CODING AND SCRAMBLING Though peak cancelation offers a simple yet powerful technique to control the PAPR of an OFDM system. i. The basic idea of symbol scrambling is that for each OFDM symbol. Hence. if the received signal is suffering from burst errors. they each have drawbacks. Golay complementary sequences are sequence pairs for which the sum of autocorrelation functions is zero for all delay shifts not equal to zero [60. so they are more vulnerable to errors. In [63]. rather. While the coding method introduces redundancy and thereby a loss in transmission data rate. For uncorrelated scrambling sequences. 5. To deal with this. the input sequence is permuted by a set of scrambling sequences and the output signal with the smallest PAPR is transmitted. the resulting OFDM signals and corresponding PAPRs will be uncorrelated. so if the PAPR for one OFDM symbol has a probability p of exceeding a certain level without scrambling. Scrambling techniques were ﬁrst proposed in [64] under the names selected mapping and partial transmit sequences. 61. The authors in [59]. before adding the cyclic preﬁx and windowing. By using codes with low rates. The difference between the two is that the ﬁrst applies independent scrambling permutations to all SCs. however.34 5. Symbol scrambling techniques to reduce the PAPR of a transmitted OFDM signal can be seen as a special type of a PAPR reduction code. symbol scrambling does not guarantee a PAPR below some low level. together with decoding techniques that combine PAPR reduction with good error correcting capabilities. try to combine error correcting coding and PAPR reduction such as is done by complementary codes. and the scrambling method increases the complexity of the system and also the transmission overhead due to the need to transmit the scrambling sequence resulting in the lower .. by exhaustively searching all possible QPSK code words.e. Also. Given that the PAPR is high only once in several OFDM symbols.There is no change needed in the receiver architecture for the digital peak cancelation technique. another technique to minimize the effects of PAPR is error control coding.2. the probability is decreased to p K by using K scrambling codes.
PAPR MITIGATION METHODS 35 PAPR. Therefore.2.5. system design requirements are used to decide which of these schemes is used to overcome the effects of high PAPR on the system. .
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4) For other modulation schemes. within a block of quasistatic fading. For binary phase shift keying (BPSK) modulation [65. of the OFDM system can be expressed as the mean of the probability of error of individual subcarriers. Pe [k] = 2Q (6. 3].d.1) where γ represents the average SNR on the subcarrier and H [k] represents the channel on the k th ¯ subcarrier as given in (3. quadrature phase shift keying (QPSK) modulation is used.. Chap. k=1 (6.i. given that the subcarriers are i. the probability of error. Therefore. Pe [k] depends on the modulation scheme chosen. and assuming perfect channel knowledge at the receiver.1 PERFORMANCE OF AN OFDM SYSTEM In the performance analysis of an OFDM system. The instantaneous signal to noise ratio (SNR) on each subcarrier. i. where Eb represents the average energy per bit and No represents the height of ¯ the noise spectral density expressed in the units of Watts per Hertz. can now be represented as γk = γ H [k]2 . .37 CHAPTER 6 Simulation of the Performance of OFDM Systems 6. the channel on each SC can be equivalently represented as a ﬂat fading channel with additive white Gaussian noise (AWGN).. we assume that the channel remains constant for a certain length of time and then randomly changes to an independent value. (6. we have Pe [k] = Q 2γk . we have √ √ γk − Q 2 γk . Pe . This behavior is termed as quasistatic fading.2) where Pe [k] is the channel dependent instantaneous probability of error on the k th subcarrier. instantaneous probability of error expressions can be found in [19]. Note here that we have assumed that all SC’s have the same average SNR γ = Eb /No . ¯ (6. Further. 1 Pe = N N Pe [k].3) If instead.e.12). Assuming quasistatic channel and perfect synchronization at the receiver leads to the received signals on the various subcarriers (SC) to be independent of each other.
.38 6.7) For all simulations considered. s. ML decoder can be expressed as s [k] = argmin y[k] − H [k]s[k]2 . ˆ s (6. H) = argmax ˆ s {sk } k=1 p(yk sk .8) For the case when frequency and timing synchronization is perfect at the receiver. Further information on how this technique can be used to approximate the expected value can be found in [66. N s = argmin p(ys..9) Note here that the ML decoder can be represented as in (6. using (6. 69. we assume Rayleigh fading channels and additive white Gaussian noise (AWGN). 67. 70].e.5). the average probability of error of a OFDM system can be expressed as 1 Pe = N N EH Pe [k] .6) At the receiver. The MonteCarlo method is a numerical method to estimate the ensemble average with respect to a random variable. (6. Pe [k] = EH Pe [k] . MATLAB simulations are used to demonstrate the working of OFDM. In the following section.e.5) where EH [·] denotes the expectation operator with respect to H [k]. a maximum likelihood (ML) decoder is implemented. i. thereby leading to an ML decoder of the form [19]. ˆ s[k] (6. An ML decoder. i. y.2 SIMULATIONS In what follows. H. conditioned on the transmitted signal. 68. we implement the MonteCarlo method to calculate the average probability of error of an OFDM system. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS To average the probability of error over time. maximizes the likelihood of receiving a signal. the instantaneous value has to be averaged across all possible values of the random variable H [k]. based on the theoretical development of OFDM has been presented previously. hk ). (6. as the name implies. s = argmax y − Hs 2 . 6. . and channel. if channel coding was employed then sequence detection algorithms like the Viterbi algorithm [17] needs be used. Therefore. k=1 (6. Instead.9) because there is no channel coding.
Cyclic preﬁx of length CP_length is added to the beginning of the data block. the IFFT function can be used for this operation as follows: data_t = ifft(data). a basic OFDM system is constructed as shown in Figure 6.1].1i]. In MATLAB. . IFFT The ﬁrst operation performed on the data is a Npoint IFFT. As discussed in the preceding chapters. The full program for the basic OFDM system is then provided. Data Generation and Modulation Data is ﬁrst generated to be transmitted over the OFDM system. data = am(dat_ind). the basic OFDM system is simulated. In this section.2. The repeated data is called the cyclic preﬁx. 6. The data is generated from a source that generates the symbols with equal probability.N)). data_cp = [data_t(endCP_length+1:end). dat_ind = ceil(M*rand(1.N)). including ﬂexibility to vary several parameters and visualization options. These lines of code generate a baseband representation of BPSK signals (±1). dat_ind = ceil(M*rand(1. M = 2. the code can be modiﬁed as follows: am = [1. data_t].2.1: Basic OFDM model.1 THE BASIC OFDM SYSTEM In this section.1. Data of length N is randomly generated and modulated as shown: am = [1. and any other modulation scheme can be used at this stage. MATLAB code will be provided for each of the blocks.1i.6. It should be noted here that BPSK is not the only mode of modulation. Add Cyclic Preﬁx After the IFFT. data = am(dat_ind). if QPSK is used.1. the last few datapoints are repeated at the beginning. SIMULATIONS 39 Figure 6. with an explanation. For example. M = 4.
% Calc the Euclidean dist % assuming 1 was transmitted det2 = abs(rec_fh_f).Total_length))*sqrt(0. det2]. It should be noted here that the FFT used here to convert the channel into the frequency domain is normalized by the number of channel taps.1).Total_length). ind] = min(det.The data in the frequency domain is then equalized to account for the channel. % FFT h_f = sqrt(rho)*fft(h. % Concatenating the two vectors % Find the symbol the received signal is closest to [min_val. The received signal is then demodulated to obtain an estimate of the transmitted signals. The channel. % Calc the Euclidean dist % assuming +1 was transmitted det = [det1. Since the channel is modeled as an FIR ﬁlter.N). The power per tap is normalized.1))*sqrt(0. rec = sqrt(rho)*(filter(h. In the following code. The ﬁrst CP_length symbols are discarded from the received data: rec_sans_cp = rec(CP_length+1:end) FFT and Demodulation The data extracted by discarding the cyclic preﬁx is transformed into the frequency domain. To adjust the SNR. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS Channel Transmission occurs over frequency selective fading channels.data_cp))+noise Remove Cyclic Preﬁx The cyclic preﬁx is removed from the received data. [].5/N).1. is assumed to have channel taps drawn from a Rayleigh distribution. randn(L+1. . the output of the channel is computed by ﬁltering the input signal with the channel. and the channel can be simulated as h = complex(randn(L+1. 2).ˆ2. it is assumed that BPSK modulation has been used at the transmitter: rec_f = fft(rec_sans_cp). h. the transmission is scaled by a power value as shown: rho = SNR. and noise is then added on to it. Noise is generated to be added to the transmission over the channel.The channels are modeled as FIR ﬁlters of order L.ˆ2. and to yield the ﬁnal received signal.5/(L+1)). randn(1. % Equivalent channel on each subcarrier det1 = abs(rec_f+h_f).40 6. The code below shows how to generate the noise: noise = complex(randn(1.The noise is zeromean complex Gaussian.
% Calc the Euclidean dist assuming 1 was transmitted det3 = abs(rec_fam(3)*h_f). % Calc the Euclidean dist assuming 1 was transmitted det1 = abs(rec_fam(1)*h_f). which can be changed within the code.5)1. In the code provided. SIMULATIONS 41 dec = 2*((ind1)>0. The program for the full simulation model is provided. This allows us to evaluate the effects of interblockinterference when the length of the cyclic preﬁx is less than the number of channel taps. and each frame consists of B OFDM symbols. The received symbols are decoded using maximum likelihood (ML) estimation. The SNR of the channels is varied and the probability of error is estimated for each case of SNR.N). 6.1. For QPSK decoding: % BPSK decoding rec_f = fft(rec_sans_cp). % FFT % Equivalent channel on each subcarrier h_f = sqrt(rho)*fft(h. it is assumed that data is transmitted in frames. % Generating the decoded symbols dec = am(ind).2. % Find the symbol the received signal is closest to [min_val. det3. % Calc the Euclidean dist assuming 1i was transmitted det4 = abs(rec_fam(4)*h_f).ˆ2.6.2. [].ˆ2. 2). det4]. The simulation results are presented for different parameters. ind] = min(det.ˆ2. det2.1 OFDM Simulation A MonteCarlo simulation is performed to estimate the probability of error of the received signals when transmission occurs using OFDM.ˆ2. . % Concatenating the vectors det = [det1. % Calc the Euclidean dist assuming +1i was transmitted det2 = abs(rec_fam(2)*h_f).
% For BPSK M = 2.Total_length)..1. data_t]. % SNR values Pe = zeros(size(SNR_db)). %. % Channel order CP_length = 4. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS clear all clc N = 16.ˆ(SNR_db/10).42 6. %SNR in dB SNR = 10... % Total length of each frame am = [1.:) = ifft(tx_data(b. for b = 1:B % Taking the IFFT data_t(b. % For BPSK for SNR_loop = 1:length(SNR_db) rho = SNR(SNR_loop). for mc_loop = 1:mc_N dat_ind = ceil(M*rand(B.. % Number of iterations to achieve sufficient errors SNR_db = 0:2:20. end % Adding Cyclic prefix data_cp = [data_t(:. B*N).’. % Cyclic prefix length B = 10..:)). % Number of subcarriers in each OFDM symbol L = 3. % Reshape the BxN matrix to obtain the frame (1xTotal_length) data_tx =reshape(data_cp. . % Reshaping the data into a BxN matrix. % Number of OFDM symbols per transmitted frame mc_N = 5000. err = 0. % Initializing the error vector Total_length = (CP_length+N)*B.1].used later for error detection data_reshape = reshape(data.N)). tx_data = data. 1. data = am(dat_ind).endCP_length+1:end).
:) = fft(rec_sans_cp(bb. [].CP_length+1:end). randn(1.6. % Received signal rec = sqrt(rho)*(filter(h. % Find symbol the recd signal is closest to [min_val. for b2 = 1:B % Extracting the OFDM symbol from the "rec_f" matrix rec_symbol = transpose(rec_f(b2. ind] = min(det. for bb = 1:B % Taking the FFT rec_f(bb.5/(L+1)). SIMULATIONS 43 h = complex(randn(L+1. det2].5/N).data_tx))+noise. % Reshape the recd signal into CP_length+N x B array rec_reshaped = (reshape(rec.:)). %Noise noise = complex(randn(1. % Concatenate the two vectors det = [det1.:)). .Total_length).Total_length)) * sqrt(0. B)). % Remove CP rec_sans_cp = rec_reshaped(:.2. randn(L+1. CP_length+N.1))*sqrt(0.’.ˆ2. % Calc Euclidean dist assuming +1 det2 = abs(rec_symbolh_f).1). end % Calculating the equivalent channel on each subcarrier h_f = sqrt(rho)*fft(h. % Calc Euclidean dist assuming 1 det1 = abs(rec_symbol+h_f).. . 2).N).ˆ2..1.
SNR_db semilogy(SNR_db. % Comparing dec_reshape against.5)1. It can be seen that as the length of the cyclic preﬁx reduces. and the BER is calculated for each of those values. 6.1 Simulation The frequency offset is provided as a complex exponential multiplier for each subcarrier. interblockinterference (IBI) causes deterioration in performance. end % Semilog plot of Pe vs. 6.. %. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS % Generate the decoded symbols dec(b2.3.. 1. we will provide simple code to simulate the effect of frequency offset and demonstrate its effect on the BER performance of the OFDM system.2. as long as the number of symbols in the cyclic preﬁx is at least as many as the number of channel taps. levels of offset and number of MonteCarlo iterations can be changed. This simulates the effect of having the frequency of each subcarrier being offset at the receiver by a small amount. .. It is shown that the performance of the system remains the same irrespective of the number of subcarriers. as expected from digital communications. In this Section. Furthermore.2 CARRIER FREQUENCY OFFSET Carrier frequency offset and its drawbacks were discussed in Chapter 4. the symbol error rate of the QPSK system is worse than the BPSK case. BPSK and QPSK. each for a different length of cyclic preﬁx. In Figure 6. Similar to the previous cade.Pe) Figure 6. end % Calculate the probability of error Pe(SNR_loop) = err/(mc_N*B*N).2 shows the output of the code for two modulation schemes. 72].2. the frequency offset is varied. In the code that follows.2. More detailed treatment can be found in [71. end % Reshape the decoded symbols to calc error dec_reshape = reshape(dec.. Three curves are plotted.:) = 2*((ind1)>0. the system is simulated for QPSK modulation. B*N). the code is ﬂexible and different parameters such as modulating techniques. to demonstrate the effect of CFO on performance of OFDM systems.44 6.data_reshape to calculate errors err = err + sum(dec_reshape˜=data_reshape).
N = 1024 L = 16. N = 256 L = 16.6. CP_length = 4. CP_length = 4. SIMULATIONS 45 L = 3. N = 1024 10 Symbol Error Rate 10 −2 −1 5 10 SNR in dB 15 20 Figure 6. N = 256 L = 16.2. D = 1024 QPSK Symbol Error Rate 10 −1 BPSK 10 −2 −10 −5 0 5 SNR in dB 10 15 20 Figure 6. showing the need for cyclic preﬁx. Plot shows effect of SNR on the probability of error. . CP_length = 9. CP_length = 17. D = 256 L = 16. N = 256 L = 16.2: Simulation of the basic OFDM model. QPSK L = 16. CP_length = 4.3: Simulation of the basic OFDM model. CP_length = 16. CP_length = 9. D = 256 L = 16. CP_length = 17.
used later for error detection data_reshape = reshape(data.1]. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS clear all clc N = 16. for b = 1:B % Taking the IFFT data_t(b..:)). % Total length of each frame am = [1. for off_loop = 1:length(freq_offset) rho = SNR. tx_data = data. end . mc_N = 5000.5]. 1.. B*N).46 6. % For BPSK M = 2.N)). %. % Reshaping the data into a BxN matrix... SNR_db = 5. CP_length = 4. err = 0.01:0. L = 3. % For BPSK freq_offset = [0.:) = ifft(tx_data(b. for mc_loop = 1:mc_N dat_ind = ceil(M*rand(B. Total_length = (CP_length+N)*B. data = am(dat_ind).ˆ(SNR_db/10). B = 1..5:0. % % % % % % Number of subcarriers in each OFDM symbol Channel order Cyclic prefix length Number of OFDM symbols per transmitted frame Number of iterations to achieve sufficient errors SNR in dB SNR = 10. % SNR Pe = zeros(size(SNR_db)).
% Calc Euclidean dist assuming 1 det1 = abs(rec_symbol+h_f). noise = complex(randn(1.. . h = complex(randn(L+1.CP_length+1:end)..:) = fft(rec_sans_cp(bb..obtain the frame (1xTotal_length) data_tx =reshape(data_cp.6.:)). randn(L+1. for b2 = 1:B % Extracting the OFDM symbol from. end % Calculating the equivalent channel on each subcarrier h_f = sqrt(rho)*fft(h.ˆ2.. %. SIMULATIONS 47 % Adding Cyclic prefix data_cp = [data_t(:.N).:))..1..the "rec_f" matrix rec_symbol = transpose(rec_f(b2.1... % Remove CP rec_sans_cp = rec_reshaped(:.’. B))....1))*sqrt(0.’. randn(1. ... % Reshape the recd signal.data_tx)). % Reshape the BxN matrix to. %Noise rec = sqrt(rho)*(filter(h. * exp(1i*2*pi*freq_offset(off_loop))+noise.2.Total_length)) *sqrt(0..1).ˆ2.5/(L+1)). for bb = 1:B % Taking the FFT rec_f(bb. % Calc Euclidean dist assuming +1 det2 = abs(rec_symbolh_f).into CP_length+N x B array rec_reshaped = (reshape(rec.5/N).Total_length)..endCP_length+1:end).. CP_length+N. %. %.Total_length). data_t].
As expected.:) = 2*((ind1)>0..5. As the offset increases in either direction. B*N).2. It can be veriﬁed from (5..Pe) The code provided yields a value for the probability of error at each value of frequency offset. [].. det2].48 6. 1. At each time instant. % Find symbol the recd signal is closest to [min_val. The number of subcarriers used is 16. 6.data_reshape to calc errors err = err + sum(dec_reshape˜=data_reshape). % Generate the decoded symbols dec(b2. The value of probability of error is plotted for each value of offset. data is BPSK modulated and transmitted using OFDM.4.5)1. In this simulation. and the performance is symmetric in the offset about the zero offset point. the baseband equivalent model of an OFDM system is considered. offset semilogy(freq_offset.. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS % Concatenate the two vectors det = [det1. In this simulation. end % Reshape the decoded symbols to calc error dec_reshape = reshape(dec. %. the performance deteriorates. the transmitted signal is simulated to provide an example of the transmit power over a few time samples and to demonstrate the occurrence of high PAPR. end % Calculating the probability of error Pe(off_loop) = err/(mc_N*B*N) end %Semilog plot of Pe vs.3) that the average power of the system must be .3 PAPR SIMULATIONS The effect of high peaktoaveragepower ratio (PAPR) on the performance of OFDM systems was seen in Chapter 4. This plot for a channel SNR of 5dB is shown in Figure 6. the best performance is obtained for a zero offset. % Compare dec_reshape against. The instantaneous peak transmit power and the average transmit power are calculated and plotted in Figure 6. ind] = min(det. 2).
4 0. phase offset −2 Average Power Peak Power −4 −6 Power (dB) −8 −10 −12 −14 0 20 40 Time index 60 80 100 Figure 6.2 Frequency Oﬀset .Δf (rads) 0.3 0. . SIMULATIONS QPSK.1 10 Symbol Error Rate −0.3 −0.2. compared with the average power of the transmissions.2 10 −0.5 Figure 6.1 0.4 10 −0.7 −0.4: Bit error rate vs.6.5 −0.5 10 −0.2 −0.1 0 0.3 10 −0.6 10 −0.5: Peak power due to addition of inphase sinusoids. N = 256 49 10 −0.4 −0.
The PAPR is also calculated and plotted in Figure 6. mx_pow = zeros(1.6: Peak to average power ratio compared against a threshold. clear all N = 16. A predetermined threshold is also shown. avg_pow = zeros(1.1)>0)1.time_samples). the system does not exceed this value. the largest PAPR in this case approaches 10dB.time_samples).50 6. noise_var = 1/SNR. % Length of data SNR_db = 5. data_t = ifft(fftshift(data)). 12dB as can be seen from the ﬁgure. papr = zeros(1. and in the case of this simulation. for time_loop = 1:time_samples data = 2*(randn(N. the maximum possible value of PAPR is 12dB. time_samples = 100. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS 10 9 8 7 PAPR (dB) 6 5 4 3 2 0 20 40 Time index 60 80 100 Figure 6.6. As can be seen from (5. and the PAPR exceeds this threshold at one point.time_samples). . Pe = zeros(size(SNR_db)).4). In fact. SNR = 10.ˆ(SNR_db/10).
. % Clipping thresholds Pe = zeros(size(th_var)). . err = 0. SIMULATIONS 51 avg_pow(time_loop) = (norm(data_t))ˆ2/N. % Number of iterations to achieve sufficient errors th_var = 0:. % For QPSK M = 4.*conj(data_t)). % For QPSK for th_loop = 1:length(th_var) th = th_var(th_loop). % Total length of each frame am = [1. the system considered has no additive noise. mx_pow(time_loop) = max(data_t.. papr(time_loop) = mx_pow(time_loop)/avg_pow(time_loop). % Reshape the data into a BxN matrix.. data = am(dat_ind). Different clipping thresholds are considered to show the effect of clipping level on performance.2. % Number of OFDM symbols per transmitted frame mc_N = 50. clear all clc N = 16. % Number of subcarriers in each OFDM symbol L = 3. end figure(1) plot(10*log10(avg_pow)) hold all plot(10*log10(mx_pow)) figure(2) plot(10*log10(papr)) One of the ways of limiting PAPR at the transmitter is by clipping signals that exceed a certain level. In this example.1. for mc_loop = 1:mc_N dat_ind = ceil(M*rand(B. % Cyclic prefix length B = 10.1:1.6.1i. an OFDM system is considered with such a clipping systems.1i]. % Initializing the error vector Total_length = (CP_length+N)*B. and the channel is frequency ﬂat with gain one. % Channel order CP_length = 4. In the code provided.N)).
data_clip(pt_high) = thu. pt_high = find(data_clip>thu). B)). data_clip(pt_low) = thl.’.Total_length). 1. thl = abs(th). CP_length+N.:) = ifft(tx_data(b. for b = 1:B % Taking the IFFT data_t(b.:) = fft(rec_sans_cp(bb.used later for error detection data_reshape = reshape(data... % Reshape the recd signal.’.:)).into CP_length+N x B array rec_reshaped = (reshape(rec..52 6.. rec = data_clip. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS %.. end % Adding Cyclic prefix data_cp = [data_t(:. tx_data = data. %.... B*N). % Reshaping the BxN matrix to.endCP_length+1:end). thu = abs(th). data_clip = data_tx.1. %. for bb = 1:B %Taking the FFT rec_f(bb. end .:)). pt_low = find(data_clip<thl).obtain the frame (1xTotal_length) data_tx =reshape(data_cp..CP_length+1:end). % Remove CP rec_sans_cp = rec_reshaped(:. data_t]..
%. det4].ˆ2.. []..:)). % Calc the Euclidean dist assuming 1 det3 = abs(rec_symbolam(3)). end % Calculate the probability of error Pe(th_loop) = err/(mc_N*B*N). % Generating the decoded symbols dec(b2. 1.ˆ2. SIMULATIONS 53 for b2 = 1:B % Extracting the OFDM symbol. det2.ˆ2. end % Reshape decoded symbols to calc error dec_reshape = reshape(dec. % Concatenating the vectors det = [det1.from the "rec_f" matrix rec_symbol = transpose(rec_f(b2. % Calc the Euclidean dist assuming 1 det1 = abs(rec_symbolam(1)). clipping threshold semilogy(th_var.ˆ2. ind] = min(det. % Find symbol the recd signal is closest to [min_val. end % Semilog plot of Pe vs. B*N). det3..Pe) . 2). % Calc the Euclidean dist assuming 1i det4 = abs(rec_symbolam(4)).2.6. % Compare dec_reshape against data_reshape to calculate errors err = err + sum(dec_reshape˜=data_reshape).. % Calc the Euclidean dist assuming +1i det2 = abs(rec_symbolam(2)).:) = am(ind).
7 shows the effect of clipping on the performance of an OFDM system.35 0.54 6. As expected.2 0. if the clipping threshold increases. . as the clipping threshold becomes smaller.4 Figure 6.N = 16. the BER is lowered.3 0. the clipping threshold is lowered. SIMULATION OF THE PERFORMANCE OF OFDM SYSTEMS Figure 6.25 Clipping threshold 0. but the power consumption increases. the performance of the system deteriorates even though it is a noiseless. In order to keep the power consumption of the ampliﬁer at the transmitter low.15 0.05 0. unitgain frequencyﬂat channel. This is the tradeoff between performance and power consumption. 0 BP SK Modul ati on .7: Effect of clipping on the BER of an OFDM system. CP l e ngth = 4 10 10 −1 10 BER 10 −2 −3 10 −4 10 −5 0 0. On the other hand.1 0. and this leads to poor performance.
and it is exploited in the design of multicarrier systems. A high PAPR of the signal at the transmitter makes the design of efﬁcient RF ampliﬁers difﬁcult. the PAPR of an OFDM system is computed and shown to illustrate the ﬂuctuations in transmit power. Several standards that employ OFDM are provided. a system employing OFDM to transmit data modulated using binary phase shift keying (BPSK) and quadrature phase shift keying (QPSK) modulation is simulated. the effect of CFO on the error rate performance is illustrated. A simple frequency domain multiplexing scheme is ﬁrst described as a possible solution for communication over frequency selective channels. a discrete time OFDM baseband system can be easily developed. The drawbacks of this method are used to motivate the development of OFDM. MonteCarlo type simulations are employed to evaluate the performance of these systems in terms of the probability of error. Techniques to alleviate their effect on performance are described. along with typical operational values that these systems use. and efﬁcient in terms of computation speed. It is known that a frequency selective fading model best ﬁts a wireless multipath channel. Both these pathologies cause deterioration of the system performance. leading to ICI. Programs used for these simulations are also provided. An OFDM system is designed to have orthogonal subcarriers. Challenges to high data rate and low error rate transmissions are analyzed by examining the characteristics of wireless communication channels. OFDM has become a popular choice for communication over frequency selective fading channels. Additionally. the subcarriers do not remain orthogonal. including the use of OFDM in various current standards that demand high data rates and very low error rates when transmitting over wireless multipath channels. Lastly. Equalization of the multipath channel in the frequency domain instead of the time domain is presented. Since implementation of FFT is inexpensive in terms of simplicity and cost. All of these simulations are performed in MATLAB. which is then described in detail. OFDM does have weaknesses. Using the FFT as a means for transformation from the time domain to the frequency domain.55 CHAPTER 7 Conclusions This book examined and analyzed various aspects of Orthogonal Frequency Division Multiplexing (OFDM). When there is an offset in frequency between the carrier and the local oscillator at the receiver. While this simplicity is an obvious advantage. . are presented. carrier frequency offset (CFO) and high peak to average power ratio (PAPR). Finally. Two main pathologies of the OFDM communication scheme. and each subcarrier sees a ﬂat fading channel.
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57 APPENDIX A Abbreviations A/D AWGN BER BPSK CFO CP D/A DAB DFT DMBT DVBT FDM FFT FIR HiperLAN IBI IEEE IFFT ISDB ISI LAN LOS MAN MC OFDM PAPR Analog to Digital Additive White Gaussian Noise Bit Error Rate Binary Phase Shift Keying Carrier Frequency Offset Cyclic Preﬁx Digital to Analog Digital Audio Broadcast Discrete Fourier Transform Digital Multimedia BroadcastingTerrestrial Digital Video BroadcastingTerrestrial Frequency Division Multiplexing Fast Fourier Transform Finite Impulse Response High Performance LAN InterBlockInterference Institute of Electrical and Electronics Engineers Inverse Fast Fourier Transform Integrated Services Digital Broadcasting InterSymbolInterference Local Area Network Line of Sight Metropolitan Area Network MultiCarrier Orthogonal Frequency Division Multiplexing Peak to Average Power Ratio .
58 A. ABBREVIATIONS PDF QAM QPSK RMS SC SNR WLAN WiFi ZP Probability Distribution Function Quadrature Amplitude Modulation Quadrature Phase Shift Keying Root Mean Square Subcarrier Signal to Noise Ratio Wireless Local Area Network Wireless Fidelity Alliance Zero Padded .
f ) .59 APPENDIX B Notations ≥ ≤ Greater than or equal to Less than or equal to Much greater than Much smaller than Is deﬁned as Expectation operator nth order Modiﬁed Bessel function Absolute value Linear Convolution Transpose operator Hermitian or the conjugate transpose operator N × N DFT matrix Matrix used for removing cyclic preﬁx Matrix used for adding cyclic preﬁx Frequency offset Kronecker delta function Matrix to zero pad Identity matrix of dimension N × N Zero Matrix of dimension M × N Maximum path delay Average path delay RMS path delay Scattering function with delay τ and frequency f as parameters := E[·] In (·) x ∗ [·]T [·]H FN Rcp Tcp f δ[·] Tzp IN 0M×N τmax τavg τrms S(τ.
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in 2008. He was awarded the NSF (early) Career grant in 2001. and IEEE Signals Processing Letters. reduced complexity diversity combining techniques and multiuser communication. specializing in Signal Processing and Communications. Cihan Tepedelenlio˘ lu and also a member of the g SenSIP consortium. ˘ CIHAN TEPEDELENLIOGLU CihanTepedelenlio˘ lu was born in Ankara. Narasimhamurthy was awarded a Research Assistantship in the year 2006 and the subsequent year a Graduate Teaching Associate position from the Department of Electrical Engineering. with distinction in 2005 from the Bangalore University. degree in electrical engineering from Arizona State University. Tempe in 2007. degree from the University of Virginia in 1998. He is pursuing the Ph. BANAVAR Mahesh K. and his M. degree with highest g honors from Florida Institute of Technology in 1995.E.E. and has served as an Associate Editor for several IEEE Transactions including IEEE Transactions on Communications. Karnataka. he is a part of the Signal Processing for Wireless Communications Lab headed by Dr. Narasimhamurthy is also a member of the Eta Kappa Nu honor society and an IEEE student member. both in Electrical Engineering. degree in Electrical and Computer Engineering. Computer and Energy Engineering in Arizona State University.S. Mr.S. Tempe. Currently. and doing research in wireless communications and sensor networks. He received his B. Banavar received the B. in 2005 and the M. MAHESH K. degree in telecommunications engineering from Visvesvaraya Technological University. . Karnataka. Mr. From January 1999 to May 2001 he was a research assistant at the University of Minnesota. India. where he completed his Ph.D. India and the M.S. His research interests include MIMO systems.S. degree with Arizona State University.67 Authors’ Biographies ADARSH NARASIMHAMURTHY Adarsh Narasimhamurthy is a Ph.D. OFDM systems. Tempe. degree in Electrical Engineering from Arizona State University.D. He obtained his B. Mr. Banavar is a member of the Eta Kappa Nu electrical and computer engineering honor society.Turkey in 1973. candidate at the School of Electrical. He is currently an Associate Professor of Electrical Engineering at Arizona State University.
wireless communications. ultrawideband systems.68 AUTHORS’ BIOGRAPHIES His research interests include statistical signal processing. system identiﬁcation. . estimation and equalization algorithms for wireless systems. ﬁlterbanks and multirate systems. OFDM. multiantenna communications. distributed detection and estimation.
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