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2, JUNE 2008

257

**An Overview: Peak-to-Average Power Ratio Reduction Techniques for OFDM Signals
**

Tao Jiang, Member, IEEE, and Yiyan Wu, Fellow, IEEE

Abstract—One of the challenging issues for Orthogonal Frequency Division Multiplexing (OFDM) system is its high Peak-to-Average Power Ratio (PAPR). In this paper, we review and analysis different OFDM PAPR reduction techniques, based on computational complexity, bandwidth expansion, spectral spillage and performance. We also discuss some methods of PAPR reduction for multiuser OFDM broadband communication systems. Index Terms—Complementary cumulative distribution function (CCDF), high power ampliﬁer (HPA), multiuser OFDM, OFDM, peak-to-average power ratio (PAPR).

I. INTRODUCTION

A

S AN attractive technology for wireless communications, Orthogonal Frequency Division Multiplexing (OFDM), which is one of multi-carrier modulation (MCM) techniques, offers a considerable high spectral efﬁciency, multipath delay spread tolerance, immunity to the frequency selective fading channels and power efﬁciency [1], [2]. As a result, OFDM has been chosen for high data rate communications and has been widely deployed in many wireless communication standards such as Digital Video Broadcasting (DVB) and based mobile worldwide interoperability for microwave access (mobile WiMAX) based on OFDM access technology [3]. However, still some challenging issues remain unresolved in the design of the OFDM systems. One of the major problems is high Peak-to-Average Power Ratio (PAPR) of transmitted OFDM signals. Therefore, the OFDM receiver’s detection efﬁciency is very sensitive to the nonlinear devices used in its signal processing loop, such as Digital-to-Analog Converter (DAC) and High Power Ampliﬁer (HPA), which may severely impair system performance due to induced spectral regrowth and detection efﬁciency degradation. For example, most radio systems employ the HPA in the transmitter to obtain sufﬁcient transmits power and the HPA is usually operated at or near the saturation region to achieve the maximum output power efﬁciency, and thus the memory-less nonlinear distortion due to high PAPR of the input signals will be introduced into the communication channels. If the HPA is not operated in linear region with large power back-off, it is impossible to keep the out-of-band power

below the speciﬁed limits. This situation leads to very inefﬁcient ampliﬁcation and expensive transmitters. Therefore, it is important and necessary to research on the characteristics of the PAPR including its distribution and reduction in OFDM systems, in order to utilize the technical features of the OFDM. As one of characteristics of the PAPR, the distribution of PAPR, which bears stochastic characteristics in OFDM systems, often can be expressed in terms of Complementary Cumulative Distribution Function (CCDF). Recently, some researchers have reported on determination of the PAPR distribution based on different theoretics and hypotheses [4]–[10]. Moreover, various approaches also have been proposed to reduce the PAPR including clipping [11]–[14], coding schemes [15]–[21], phase optimization [22], [23], nonlinear companding transforms [24]–[29], Tone Reservation (TR) and Tone Injection (TI) [30], [31], constellation shaping [32]–[34], Partial Transmission Sequence (PTS) and Selective Mapping (SLM) [35]–[51] and other techniques such as pre-scrambles proposed in [52]. These schemes can mainly be categorized into signal scrambling techniques, such as block codes and PTS etc., and signal distortion techniques such as clipping. Although some techniques of PAPR reduction have been summarized in [53], it is still indeed needed to give a comprehensive review including some motivations of PAPR reductions, such as power saving, and to compare some typical methods of PAPR reduction through theoretical analysis and simulation results directly. An effective PAPR reduction technique should be given the best tradeoff between the capacity of PAPR reduction and transmission power, data rate loss, implementation complexity and Bit-Error-Ratio (BER) performance etc. In this paper, ﬁrstly we investigate the distribution of PAPR based on the characteristics of the OFDM signals. Then, we analyze ﬁve typical techniques of PAPR reduction and propose the criteria of PAPR reduction in OFDM systems in details. Finally, we brieﬂy discuss the issue of PAPR in some broadband communication systems correlative with OFDM technology, such as multiuser OFDM systems. II. CHARACTERISTICS OF OFDM SIGNALS Let a block of symbols is formed with each symbol modulating one of a set of subcarriers , where is the number of subcarriers. The subcarriers are chosen to be orthogonal, that is, , where and is the original symbol period. Therefore, the complex envelope of the transmitted OFDM signals can be written as (1)

Manuscript received August 13, 2007; revised December 3, 2007. T. Jiang is with the Department of Electronic and Information Engineering, Huazhong University of Science and Technology, Wuhan 430074, P. R. China (e-mail: Tao.Jiang@ieee.org). Y. Wu is with the Communications Research Center, Ottawa, ON K2H 8S2, Canada (e-mail: yiyan.wu@crc.ca). Color versions of one or more of the ﬁgures in this paper are available online at http://ieeexplore.ieee.org. Digital Object Identiﬁer 10.1109/TBC.2008.915770

0018-9316/$25.00 © 2008 IEEE

the PAPR does not increase signiﬁcantly after . OFDM signals with large become Gaussian distributed with Probability Density Function (PDF) as [25] (2) . As shown. 54. However. III.d. the PAPR of OFDM signals is deﬁned as the ratio between the maximum instantaneous power and its average power is the average power of and it can be comwhere puted in the frequency domain because Inverse Fast Fourier Transform (IFFT) is a (scaled) unitary transformation. since the cost and power dissipation of the analog components often dominate. The PAPR computed from the -times oversampled time domain OFDM signal samples can be deﬁned as (6) (4) where denotes the expectation operator. the distribution of both and approaches Gaussian distribution with zero mean and variance . It has shown that is sufﬁcient to get accurate PAPR results [30]. 1. where is the variance of Moreover. the signals with largest PAPR increase happens from to . -times oversampled time-domain samples are -point IFFT of the data block with zero-padding. 2. the oversampled IFFT output can be expressed as (5) Fig.258 IEEE TRANSACTIONS ON BROADCASTING. JUNE 2008 Fig. where is the expected value of [27]. NO. Distribution of PAPR of OFDM signal samples oversampled by different L. based on the central limit theorem. the real part and imaginary part are uncorrelated and orthogonal. we are often more concerned with reducing the PAPR of the continuous-time signals in practice. . Suppose that the input data streams is statistically independent and identically distributed (i. Baseband PAPR 1) Continuous-time PAPR In general. i. To better approximate the PAPR of continuous-time OFDM signals. when is considerably large.e. DEFINITION OF PAPR A. 1 shows the distribution of the PAPR of the OFDM and . the OFDM signals samples are obtained by times oversampling.). However. 2) Discrete-time PAPR The PAPR of the discrete time sequences typically determines the complexity of the digital circuitry in terms of the number of bits necessary to achieve a desired signal to quantization noise for both the digital operation and the DAC. VOL. In other words. where . Therefore. the Rayleigh nature of original OFDM signals’ amplitude can be gotten and its PDF can be expressed as [30] (3) where is the amplitude of OFDM signals. Therefore.i.

However. if we can use an analytical expression to accurately calculate the PAPR distribution for OFDM systems.01%.235). If clipped. the where is the carrier frequency and peak of RF signals is equivalent to that of the complex baseband signals. it can greatly simplify the system design process. In practice. i. Furthermore. we only consider the PAPR of the baseband OFDM signals. a high precision DAC supports high PAPR with a reasonable amount of quantization noise. HPA will introduce inter-modulation between the different subcarriers and introduce additional interference into the systems due to high PAPR of OFDM signals. we need to apply an input backoff (IBO) equivalent to probability level. which means the peak signal quite rarely occur and uniform quantization by the ADCs is not desirable. Passband PAPR is large. Large PAPR also demands the DAC with enough dynamic range to accommodate the large peaks of the OFDM signals. the passband PAPR is approximately twice the baseband PAPR. Power efﬁciency is very necessary in wireless communication as it provides adequate area coverage. Therefore. the nonlinear characteristic of the HPA is very sensitive to the variation in signal amplitudes. where is the average of the output is the constant amount of power regardless of power and the input power. the HPA is usually operated at or near the saturation region. which is based on the Rayleigh distribution and Nyquist sampling rate. However. Therefore. an OFDM system usually does not Note that. We can also determine a proper output back-off of HPA to minimize the total degradation according to CCDF. we can directly apply distribution of PAPR to calculate the BER and estimate achievable information rates. DISTRIBUTION OF THE PAPR IN OFDM SYSTEMS It is known that the CCDF of PAPR can be used to estimate the bounds for the minimum number of redundancy bits required to identify the PAPR sequences and evaluate the performance of any PAPR reduction schemes. have been derived. To illustrate the power inefﬁciency of a HPA in terms of the PAPR. Power Saving When a HPA have a high dynamic range. Suppose that an ideal linear model for HPA. For the proposed of achieving the maximum output power efﬁciency. the average power of the passband signal is Although. It is therefore important to aim at a power efﬁcient operation of the non-linear HPA with low back-off values and try to provide possible solutions to the interference problem brought about. Therefore. saves power consumption and allows small size terminals etc. in which the net power saving is directly proportional to the desired average output power and it is highly dependent upon the clipping probability level [54]. the amplitude of OFDM RF signals can be expressed as (7) . where linear ampliﬁcation is achieved up to the saturation point. (9) In this paper. This additional interference leads to an increase in BER. 1. we usually adjust these design parameters jointly according to simulation results. a better solution is to try to prevent the occurrence of such interference by reducing the PAPR of the transmitted signal with some manipulations of the OFDM signal itself. Therefore. since the power spectral density of the band-limited OFDM signal is approximately rectangular. IV. 1. we give an example of OFDM signals with 256 subcarriers and its CCDF has been shown in Fig. and thus we obtain (10) is the HPA efﬁciency and it is deﬁned as . In order to guarantee that probability of the clipped OFDM frames is less than 0. this linear ampliﬁer has poor efﬁciency and is so expensive. and as a result it reduces the signal Signal-to-Noise Ratio (SNR) when the dynamic range of DAC is increased to support high PAPR. it will introduce in band distortion and out-of-band radiation (adjacent channel interference) into the communication systems. a low-precision DAC would be cheaper. Moreover. B. Thus. some upper and lower bounds of the PAPR. In the OFDM system with M-Phase-ShiftKeying (MPSK) modulation. it is of great importance to accurately identify PAPR distribution in OFDM systems. In order to lessen the signal distortion and keep a low BER. it exhibits poor power efﬁciency. V. Recently. It has been shown that PAPR reduction can signiﬁcantly save the power. Hence. it requires a linear work in its linear ampliﬁer region with a large dynamic range. and thus the efﬁciency of HPA be. signal constellation has the same where (8) Therefore. Nonlinear Characteristics of HPA and ADC Most radio systems employ the HPA in the transmitter to obtain sufﬁcient transmission power. if employ pulse shaping. the variation of OFDM signal amplitudes is very wide with high PAPR. the PAPR at the ( 25. but it might be very expensive for a given sampling rate of the system. i. . so low efﬁciency comes is a strong motivation to reduce the PAPR in OFDM systems. referring to Fig.e. MOTIVATION OF PAPR REDUCTION A. Moreover. Whereas. Therefore. Moreover. OFDM signals show Gaussian distribution for large number of subcarriers.JIANG AND WU: OVERVIEW OF PEAK-TO-AVERAGE POWER RATIO REDUCTION TECHNIQUES FOR OFDM SIGNALS 259 B.e. Therefore. the best solution is to reduce the PAPR before OFDM signals are transmitted into nonlinear HPA and DAC. but its quantization noise will be signiﬁcant.

(13) does not ﬁt well in OFDM systems with a very large [4]. otherwise it is inactive subcarrier. denotes the transmission power allocated to the -th subcarrier. it also has been shown that the statistical distribution of the PAPR of the OFDM signals is not so sensitive to the increase of the number of subcarriers. erwise in which denotes the number of active subcarriers (cardenotes the number of inactive rying information) and subcarriers (idle). the effect on the accuracy of the PAPR distribution can be numerically evaluated. For amplitude clipping. the lower and upper bounds can offer little help in characterizing the distribution of the PAPR in practical OFDM systems. When all the subcarriers have the same phase. Therefore. In fact. . an empirical approximation expression of the CCDF of the PAPR in OFDM systems has been given as (14) It should be noted that (14) lacks theoretical justiﬁcation and also yields some discrepancies with the simulation results for large . the CCDF expression of the PAPR of OFDM signals can be written as [4] (13) However. since the envelope of an OFDM signal can always be considered as an asymptotically Gaussian process in a band-limited OFDM system. and thus the power of each subcarrier is constant. When the constraint provides a lower bound of . a more accurate analytical expression of the CCDF of PAPR for adaptive OFDM systems with unequal power allocation to subcarriers has been derived in [10] (17) where if the subcarrier at DC is inactive. In [6]. In coded OFDM systems. the upper bound of PAPR in MQAM-OFDM systems can be derived out (12) For a relatively large .260 IEEE TRANSACTIONS ON BROADCASTING. some bounds analysis has also been developed for both independent and dependent subcarriers in OFDM systems. When the number of the subcarriers is relatively small. In [6]. using HPA with saturation level below the signal span will automatically cause the signal to be clipped. for high . Indeed. a generic path for bounding practical constellations was used and discussed. If the subcarrier at DC is nonzero. according to the conclusion of [55]. However. for the OFDM system with square M-Quadrature Amplitude Modulation (MQAM). can be simpliﬁed as (15) The approximation of (15) can be made relatively accurate for a relatively large number of subcarriers by appropriately adjusting the reference level of the PAPR. othif the subcarrier at DC is active. and the expression can be written as (16) However. with the help of the extreme value theory for Chi-squared-2 process. the PAPR of an MPSK-OFDM signal can be expressed as [30] (11) However. all the above mentioned the expressions of the CCDF have not been considered power distribution strategy in OFDM systems. In [5]. which is based on the level-crossing rate approximation of the peak distribution along with the exact distribution. Similarly. 2. PAPR REDUCTION TECHNIQUES IN OFDM SYSTEMS In this section. VI. the conditional probability that the peak of the OFDM signals exceeds may be very small. the distribution can be further simpliﬁed without loss of the accuracy. which were developed based on the previous works in conjunction with some approximations and parameters obtained through simulations. which has been proven in [6]. the theoretical results obtained in [6] were based on the conditional probability of the peak distribution of the OFDM signals when the reference level is given. the lower and upper bounds of the distribution of the PAPR have been proposed in [7]. NO. such as Bose-Chaudhuri-Hocquenghem (BCH) codes. some theoretical bounds of distributions of the PAPR have been obtained in terms of the Euclidian distance distributions. In [8]. In fact. If the range of the PAPR of interest is great. VOL. it is active subcarrier. For example. In [9]. the maximum of PAPR occurs. that is (18) where is preset clipping level and it is a positive real number. in which the focus was mainly on binary codes. signal constellation has varying signal power levels over different constellation points. JUNE 2008 amplitude level. we mainly discuss ﬁve typical techniques for PAPR reduction in OFDM systems. the expression of the PAPR CCDF. 54. the number and of the subcarriers should be equal to the sum of . Thus. as shown in [6]. a simple approximation of the CCDF of PAPR has been developed by employing the extreme value theory. A. it has been proven that the complex envelope of the coded OFDM signals can converge weakly to a Gaussian random process if the number of subcarriers goes to inﬁnity [9]. For dependent subcarriers. Clipping and Filtering The simplest and most widely used technique of PAPR reduction is to basically clip the parts of the signals that are outside the allowed region [11]. Therefore. an analytical PAPR CCDF expression has been developed. In this case. the accurate statistical distribution of the PAPR for generic OFDM system is what we want. For independent subcarriers.

The main disadvantage of SOBC method is that it can reduce PAPR for a 4-bit codeword. we also consider the coding scheme of PAPR reduction as a special phase optimization. Typically. [62]. they produce a peak power. It is also shown that the PAPR reductions obtained with CBC when coding rate are almost the same as that when . C. the receiver need to estimate the clipping that has occurred and to compensate the received OFDM symbol accordingly. which are represented by the vectors [35] as shown in Fig. Of course. In 1998. interleaved partition and pseudowhere . TABLE I PAPR REDUCTION COMPARISON WITH DIFFERENT CODING SCHEMES B. Filtering can reduce out of band radiation after clipping although it can not reduce in-band distortion. in which more than 3-dB PAPR reduction had been obtained. respectively.JIANG AND WU: OVERVIEW OF PEAK-TO-AVERAGE POWER RATIO REDUCTION TECHNIQUES FOR OFDM SIGNALS 261 Generally. About 3-dB PAPR reduction can be rate obtained when coding rate by using CBC with long frame size. Coding Schemes When signals are added with the same phase. it is difﬁcult to get these information. which degrades the system performance including BER and spectral efﬁciency. the input data block in is partitioned into disjoint subblocks. [60]. CBC and MCBC utilize the complementary bits that are added to the original information bits to reduce the probability of the peak signals occurrence. the known subblock partitioning methods can be classiﬁed into three categories [35]: adjacent partition. authors of [22] proposed a novel method of computation and reduction of the PAPR and it mainly introduced a speciﬁc phase shift to each coordinate of all possible codewords where phase shifts are independent of the codewords and known both to transceiver. and thus the receiver has to estimate two parameters: location and size of the clip. authors used the Golay complementary sequences to achieve the PAPR reduction. clipping may cause some peak regrowth so that the signal after clipping and ﬁltering will exceed the clipping level at some points. In summarization.5-dB PAPR reduction by using the optimized phase shifts. not all code words result in a bad PAPR. which is times the average power. Therefore. Therefore. and its basic idea is that mapping 3 bits data into 4 bits codeword by adding a Simple Odd Parity Code (SOBC) at the last bit across the channels. the inherent error control capability and simplicity of implementation make coding method more promising for practical OFDM systems design. As improved clipping methods. we can get (19) with or 0 . In general. Codes with error correcting capabilities has been proposed in [61] to achieve more lower PAPR for OFDM signals by determining the relationship of the cosets of Reed-Muller codes to Golay complementary sequences. However. clipping method introduces both in band distortion and out of band radiation into OFDM signals. From this viewpoint. the good PAPR reduction can be obtain when some measures are taken to reduce the occurrence probability of the same phase of the signals. they also reduce the transmission rate. However. Wulich applied the Cyclic Coding (CC) to reduce the PAPR [56]. While these block codes reduce PAPR. Later. Based on this motivates. CBC and MCBC are more attractive due to their ﬂexibility on choosing the coding rate. Subsequently. In [59]. Even if it is possible. To reduce peak regrowth. the main disadvantage of this method is the good performance of the PAPR reduction at the cost of coding rate loss. In addition. for PTS scheme. signiﬁcantly for OFDM systems with large number of subcarriers. it is little hope for computing the PAPR of an arbitrary code when is large. more than 3-dB more PAPR reduction can be obtained using MCBC than the other schemes with any frame size. in which the number of subblock is 2 and the coding for MCBC. when coding rate is 3/4. it is concluded that SBC is not effective when the frame size is large. To make comparisons. then it can be freely obtained more 4. However. peak windowing schemes attempt to minimize the out of band radiation by using narrowband windows such as Gaussian window to attenuate peak signals. let stellation. [58]. Therefore. clipping is performed at the transmitter. a repeated clipping-and-ﬁltering operation can be used to obtain a desirable PAPR at a cost of computational complexity increase. some results of the PAPR reduction obtained with different coding schemes have been shown in Table I. PTS and SLM In a typical OFDM system with PTS approach to reduce the PAPR. 2. be a code deﬁned over an equal energy conIn fact. The ﬂexibility in coding rate choice and low complexity makes the proposed CBC and MCBC schemes attractive for OFDM systems with large frame sizes and high coding rates. then has possible codewords.[15]. Complement Block Coding (CBC) and Modiﬁed Complement Block Coding (MCBC) schemes were proposed to reduce the PAPR without the restriction of frame size [20]. However. denotes the rate and denotes the length of the . However. at most one clipping occurs per OFDM symbol. Fragiacomo proposed an efﬁcient Simple Block Code (SBC) to reduce the PAPR of OFDM signals [57]. A simple block coding scheme was introduced by Jones et al. Therefore. the complexity is still too high. which is the key idea of the coding schemes. it is possible to compute the codewords with large PAPR by trying all the codewords of and computing the peaks of the corresponding signals at some selected time points. frame size and low implementation complexity. However.

the SLM technique needs IFFT operation and the number of required bits as side information is for each data block. . Thus. the input data sequences are multiplied by each of the phase sequences to generate alternative input symbol sequences. Similarly. Each of these alternative input data sequences is made the IFFT operation. many extensions of PTS have been developed recently [63]–[67]. Therefore. VOL. . only one with the lowest PAPR is selected for transmission and the corresponding selected phase factors also should be transmitted to receiver as side information. is multiplied by . For implementation of SLM OFDM systems. PTS needs IFFT operations for each data block. 54. there are alternative representations for an OFDM symbol. which is based on a nonlinear optimization approach named as simulated annealing. the vth phase sequence after multiplied is . thus can has the possibility of different values. 2. to search the optimal combination of phase factors with low complexity. In [66]. Then. in SLM. A block diagram of the SLM technique is depicted in Fig. the subblocks are transformed into time-domain partial transmit sequences (20) These partial sequences are independently rotated by phase factors . Each data block different phase factors. Some extension of SLM also have been proposed to reduce the computational complexity and number of the bits for side information transmission [36]. Block diagram of PTS technique. random partition. The objective is to optimally combine the subblocks to obtain the timedomain OFDM signals with the lowest PAPR (21) Therefore. Block diagram of SLM technique. the ability of PAPR reduction in SLM depends on the number of phase factors and the design of the phase factors. Among the data blocks . For example. there are two important issues should be solved in PTS: high computational complexity for searching the optimal phase factors and the overhead of the optimal phase factors as side information needed to be transmitted to receiver for the correct decoding of the transmitted bit sequence. OFDM signals becomes as (22) where . In general. 3. where denotes quired side information bits is the smallest integer that does not exceed . NO. Suppose that there are phase angles to be allowed. and the number of the re. 2. Fig. 3. Therefore.262 IEEE TRANSACTIONS ON BROADCASTING. To reduce the searching complexity and avoid/reduce the usage of side information. authors proposed a novel scheme. and then the one with the lowest PAPR is selected for transmission [51]. resulting in different data blocks. Therefore. JUNE 2008 Fig. each of length .

However. the required bits of the side information in PTS is larger than that of SLM. For example. two types of nonlinear companding transform. The ﬁrst nonlinear companding transform is the -law companding. rectangular-like power spectrum as shown in Fig. It is well-known that original OFDM signals have a very sharp. The differences between the clipping and nonlinear companding transform can be summarized as: 1) Clipping method deliberately clips large signals when the amplitude of the original OFDM signals is larger than the given threshold. Since the distribution of the original OFDM signals has been known. e. Although PTS and SLM are important probabilistic schemes for PAPR reduction. slower spectrum roll-off. and thus it increase the average power of the transmitted signals and possibly results in exceeding the saturation region of HPA to make the system performance worse. Based on this design criteria. whereas the alternative OFDM signals generated by PTS are interdependent. -law mainly focuses on enlarging signals with small amplitude and keeping peak signals unchanged. and it has shown better performance than that of clipping method [24].JIANG AND WU: OVERVIEW OF PEAK-TO-AVERAGE POWER RATIO REDUCTION TECHNIQUES FOR OFDM SIGNALS 263 Fig. the system performance degradation due to the clipping may not be optimistic. As a result. low implementation complexity and no bandwidth expansion. out-of-band radiation and peak regrowth after digital analog conversion. However. nonlinear companding transforms can operate well with good BER performance while keeping good PAPR reduction [70]. it was already known that SLM can produce multiple time domain OFDM signals that are asymptotically independent. so that it is more advantageous than SLM if the amount of computational complexity is limited [69]. this nonlinear companding transform of (23) belongs to the exponential companding scheme. However. we can obtain the nonlinear companding transform function through theoretical analysis and derivation according to the desirable distribution of the companded OFDM signals. 2) Nonlinear companding transforms enlarge the small signals while compressing the large signals to increase the immunity of small signals from noise. [27]. the companded signals at the transmitter can be recovered correctly through the corresponding inversion of the nonlinear transform function at the receiver. Therefore. 4. which is based on the speech processing algorithm -law. have been proposed in [25]. the nonlinear transform function can be derived as (23) Obviously. we transform the amplitude of the original OFDM signals into the desirable distribution with its PDF . such as Rayleigh distribution of the OFDM amplitudes written in (3). D. In fact. and higher adjacent channel interference. an SLM scheme without explicit side information was proposed in [68]. Nonlinear Companding Transforms One of the most attractive schemes is nonlinear companding transform due to its good system performance including PAPR reduction and BER. whereas clipping method does not change the small signals. some of the complexity of the serval full IFFT operations can be avoided in PTS. Therefore. . Also it is demonstrated that the PAPR reduction in PTS performs better than that of SLM. Many PAPR reduction . 4. Therefore. The spectrums of original OFDM signals and companded signals. Therefore. more spectrum side-lobes. the nonlinear companding transform is also an especial clipping scheme. which are based on error function and exponential function. clipping method suffers from three major problems: in-band distortion. nonlinear companding transforms compand original OFDM signals using the strict monotone increasing function. and thus the clipped signals can not be recovered at the receiver. This good property will be affected by the PAPR reduction schemes.g. respectively. The design criteria of nonlinear companding transform has also been given in [70]. PTS divides the frequency vector into some subblocks before applying the phase transformation.

Therefore. Fig. E. Note that TI needs not require the extra side information and the receiver only needs to know how to map the redundant constellations on the original one. 5) No BER performance degradation: The aim of PAPR reduction is to obtain better system performance including BER than that of the original OFDM system. The TI technique is more problematic than the TR technique since the injected signal occupies the frequency band as the information bearing signals. Block diagram of TR/TI approaches for PAPR reduction. error and exponential companding transforms have much less impact on the original power spectrum comparing to the -law companding scheme. if the side information is received in error at the receiver. However. The criteria of the PAPR reduction is to ﬁnd the approach that it can reduce PAPR largely and at the same time it can keep the good performance in terms of the following factors as possible. 4) No bandwidth expansion: The bandwidth is a rare resource in systems. it requires a larger linear operation region in HPA and thus resulting in the degradation of BER performance. 2. The basic idea of TI is to extend the constellation and thus the same data point corresponds to multiple possible constellation points. should be paid more attention in practice. and this results in a new modulated OFDM signals as (24) where . when channel coding is used. the objective is to ﬁnd the time domain signal to be added to the original time domain signal to reduce the PAPR. in which the key idea is that both transmitter and receiver reserve a subset of tones for generating PAPR reduction signals . Note that these tones are not used for data transmission. in practice. VOL. which may also result in whole erroneous data frame and thus the BER performance is reduced. complexity techniques exhibit better ability of PAPR reduction. Moreover. by the excessive channel noises magniﬁed after inverse nonlinear companding transform etc. the main aim of the TR is to ﬁnd out the proper to make the vector with low PAPR. Companding noise can be deﬁned that the noises are caused by the peak regrowth after DAC to generate in-band distortion and out-band noise. 3) Low implementation complexity: Generally. and the same operations are repeated till all the constellation points are within speciﬁed boundaries and the PAPR speciﬁcation of the time signal is satisﬁed [71]. Similarly. the data vector changes to after tone reservation processing. NO. it needs to be ﬁltered and oversampled. To ﬁnd the value of .264 IEEE TRANSACTIONS ON BROADCASTING. An alternative strategy is to move the constellation points by applying an FFT on the clipped time signals. Therefore. In [28]. we ﬁnd most of existing solutions still have some drawbacks and the obvious one is the trade-off between PAPR reduction and some factors such as bandwidth. Thus. 54. CRITERIA OF THE PAPR REDUCTION IN OFDM SYSTEMS As above analyzed. 2) Low average power: Although it also can reduce PAPR through average power of the original signals increase. Therefore. the -law companding transform increases the average power level and therefore requires a larger linear operation region in HPA. Moreover. Let denote complex symbols for tone reservation at reserved tones. Therefore. the alternative constellation points in TI technique have an increased energy and the implementation complexity increases for the computation the optimal translation vector. Nonlinear companding transform is a type of nonlinear process that may lead to signiﬁcant distortion and performance loss by companding noise. As seen in Fig. the framework of an iterative receiver has been proposed to eliminate commanding noise for companded and ﬁltered OFDM system. which can increase the immunity of small amplitude signals from noise. For out-of-band noise. which have an increase in BER at the receiver. The bandwidth expansion directly results in the data code rate loss due to side information (such as the phase factors in PTS and complementary bits in CBC). Unlike Additive White Gaussian Noise (AWGN). VII. One option is to replicate the original shaded constellation into serval alternative ones. TR and TI TR and TI are two efﬁcient techniques to reduce the PAPR of OFDM signals [30]. However. the loss in bandwidth due to side information should be avoided or at least be kept minimal. It is the major reason that the error and exponential companding schemes not only enlarge the small amplitude signals but also compress the large amplitude signals. while maintain the average power unchanged by properly choosing parameters. we must solve a convex optimization problem that can easily be cast as a linear programming problem. Therefore. but the nonlinear companding transforms cause less spectrum side-lobes. In TR. 4. all the methods. JUNE 2008 Fig. the loss in data rate is increased further due to side information. For in-band distortion and channel noises magniﬁed. 5. companding noise is generated by a process known and that can be recreated at the receiver. schemes cause spectrum side-lobes generation. Moreover. both time and hardware requirements for the PAPR reduction should be minimal. and subsequently be removed. they need to iterative estimation. is a translation vector such that . 6) Without additional power needed: The design of a wireless system should always take into consideration the efﬁciency . 5 describes the block diagram of TR and TI. when the side information are received in error unless some ways of protection such as channel coding employed. TI also uses an additive correction to optimize in (24). Some modiﬁcations of TI have been proposed to obtain good performance including PAPR reduction and low complexity [72]. 1) High capability of PAPR reduction: It is primary factor to be considered in selecting the PAPR reduction technique with as few harmful side effects such as in-band distortion and out-of-band radiation.

17. However. 16.8 dB (performance bound).9 dB. However. For example. PTS. As shown in Fig. PAPR REDUCTION FOR MULTIUSER OFDM SYSTEMS Recently. 6. 8) Other factors: It also should be paid more attention on the effect of the nonlinear devices used in signal processing loop in the transmitter such as DACs.JIANG AND WU: OVERVIEW OF PEAK-TO-AVERAGE POWER RATIO REDUCTION TECHNIQUES FOR OFDM SIGNALS 265 Fig. the error companding is that proposed in [25]. it is very clear that all schemes can reduce the PAPR largely in OFDM system. The preset clipping level has been selected to 80% of the maximum of the original OFDM symbols in the clipping scheme and the number of the reserved tone is 20 in TR scheme. when 2. clipping scheme and original OFDM signals. the minimum required SNR is cally. 6. the timal PTS. TR. the performances of the BER with different PAPR reduction schemes have some degradation from Fig. the performance of the BER will be degraded largely when its preset clipping level is reduced [73]. mixers and HPAs since the PAPR reduction mainly avoid nonlinear distortion due to these memory-less devices introducing into the communication channels.7 dB for the exponential companding. the and the number of rotation vectors belong to the set searches is for each opthe subblocks is 16. Therefore. the spectral spillage should be avoided in the PAPR reduction. Therefore. different curves of the CCDF have been random original OFDM symbols generated and given for different PAPR reduction schemes. their performances of the PAPR reduction are dif- .7 dB. 7. For PTS scheme. respectively. multiuser OFDM also has received much attention due to its applicability to high speed wireless multiple access . Fig. PTS. it degrades the BER performance when the transmitted signals are normalized back to the original power signal. 6. Note that SSPA produces no phase distortion and only the AM/AM conversion [25]. 6. all the side information have not been submitted to the receiver. From Fig. Obviously. 7 depicts the performance of BER versus SNR of actual OFDM signals with PAPR reduction based on different schemes over the AWGN channel. 6.9 dB and 11. In Table II. Although clipping scheme can improve its performance of the PAPR reduction through reducing its preset clipping level A. VIII. respectively. If an operation of the technique which reduces the PAPR need more additional power. in which the typical HPA of the Solid State Power Ampliﬁer (SSPA) has been considered. The required SNRs under the exponential companding. for PTS and TR schemes. we summarize the ﬁve typical PAPR reduction techniques based on the theoretical analysis and simulation results. 15. Note that. 6. the signals companded by the nonlinear companding transform with exponential function can reduce the PAPR largest and the PAPR reduction of the clipping scheme is the smallest among these typical methods. 7. In Fig.5 dB and 25. For nonlinear companding transform. TR. error companding and clipping schemes are 14. We consider a typical OFDM system with 256 subcarriers ) and 16-QAM constellation in which over(namely sampled OFDM sequences with the oversampling rate of 4 are used to analyze PAPR reduction and BER performance based on different schemes as shown in the following ﬁgures. 4. Comparisons of CCDF based on different PAPR reductions. Speciﬁ. 7) No spectral spillage: Any PAPR reduction techniques can not destroy OFDM attractive technical features such as immunity to the multipath fading. Generally speaking. the performance bounds are obtained by ignoring the effect of SSPA and directly transmitting the original OFDM signals through the AWGN channels. error companding. an efﬁcient PAPR reduction should be the lowest possible value of PAPR while keeping a minimal level BER.8 dB.6 dB.5 dB. the PAPRs are ferent.6 dB. of power. the cost of these nonlinear devices is also the important factor to design the PAPR reduction scheme.6 dB. Therefore.6 dB. At the same time. to achieve a BER of 13. and the exponential companding is based on (23).

54. Thus. the PAPR can be reduced according to these schemes mentioned above in the uplink multiuser OFDM systems. IX. the symbols in peak reduction subcarriers are optimized for the whole data frame in both amplitude and phase. TABLE II COMPARISON OF DIFFERENT PAPR REDUCTION TECHNOLOGIES communication systems. the pre-reserved subcarrier does not undergo the phase rotation in each subblock. and thus the data for each user can be recovered correctly. bit and power allocation. 1) PTS/SLM for PAPR reduction in multiuser OFDM systems: PTS and SLM techniques can easily be modiﬁed for PAPR reduction in downlink of multiuser OFDM systems. subcarriers assigned to one user are grouped into one or more subblocks. each user has to process the whole data frame and then demodulate the assigned subcarriers to extract their own information. . Therefore. a group of carriers is assigned for each user with adaptive modulation. the PAPR reduction is more complicated in an downlink than that in OFDM uplink in multiuser OFDM systems. Comparisons of BER based on different PAPR reductions. As side information. If downlink PAPR reduction is achieved by some approaches which have been designed for OFDM. some of the subcarriers can be used to transmit side information when the modiﬁed SLM is applied to reduce the PAPR for multiuser OFDM systems. it introduces additional processing for each user at the receiver. and then PTS can be applied to subblocks for all users. we mainly describe some modiﬁcations of PAPR reduction techniques for the downlink multiuser OFDM systems. In multiuser OFDM system. Obviously. CONCLUSIONS OFDM is a very attractive technique for wireless communications due to its spectrum efﬁciency and channel robustness. the characteristics of the PAPR in downlink multiuser OFDM is different from that of the PAPR in single user OFDM system since the data composed from different users will be transmitted to channels successively in downlink multiuser OFDM system. VOL. However. the selected phase factor for each subblock can be embedded into the pre-reserved subcarrier in each subblock. Therefore. data streams from multiple users are orthogonally multiplexed onto the downlink and uplink subchannels. the characteristics including distribution of the PAPR for each user in uplink multiuser OFDM is the same as that of the PAPR in single user OFDM system since the data of each user will be transmitted to channels independently in uplink multiuser OFDM system. All users use the information carried by these subcarriers to obtain the phase sequence is used at the transmitter. 2. 7. Note that.266 IEEE TRANSACTIONS ON BROADCASTING. At the same time. 2) TR for PAPR reduction in multiuser OFDM systems: In the TR technique for multiuser OFDM systems. Similarly. JUNE 2008 Fig. In a multiuser OFDM system. Therefore. For PTS. NO. some peak reduction subcarriers are assigned to each user in the TR for PAPR reduction.

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