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**Xiaohua Lian, H. Nikookar, L. P. Ligthart
**

IRCTR Delft University of Technology Delft, The Netherlands x.lian@tudelft.nl Abstract—Cognitive Radio (CR) is an intelligent radio system,

which is aware of the communication environment and consequently adapts to it. Orthogonal Frequency Division Multiplexing (OFDM) is a proper and efficient modulation scheme for CR. Adaptive beamforming technique improves CR reliable communication by strengthening the desired signals and rejecting interferences. In this paper, two post IFFT/FFT OFDM adaptive beamformers with iterative weights computing are proposed. The first one directly heritages the spectrum masking concept and deactivates the weights for the OFDM CR subcarriers, which hold the same frequency bands with the Licensed Users (LU). Another beamformer adds extra constraints to those weights instead of masking them, directs the main beam towards the CR users and nulls towards the LU and interferences, and consequently shares the same spectrum bands with LU. Simulation results show that both two OFDM adaptive beamformers guarantee that the CR system not to disturb the LU. Furthermore, it is shown that beamforming with constrained weights provides a lower BER, higher bit rate, more efficient spectrum usage, and suffers no side lobe interference from the LU. Key words-cognitive radio; OFDM; adaptive beamforming; iterative weights; spectrum masking; constrained weights

Jianjiang Zhou

College of Information science and Technology Nanjing University of Aeronautics and Astronautics Najing, China

I.

INTRODUCTION

Cognitive radio is a new concept radio presented in [1] and [2], which is a promising approach to solve the intensive usage of the precious natural source-spectrum [3]. As described in [3], CR is capable of sensing the communication environment and adapting to it by adjusting its parameters. Among several modulation schemes, Orthogonal Frequency Division Multiplexing (OFDM) is a suitable technology for CR [4]-[5]. The spectrum pooling technique in [6] provides public spectrum access to spectrum without sacrificing the transmission quality of the Licensed Users (LU). The spectrum masking technique [5] is a combination of working with adaptive Multi-carrier Modulation (MCM). Adaptive beamformer has been widely used in signal estimation and interference suppression [7]-[8], and recently applied to OFDM systems [9]-[11]. In [9], Minimum Mean Square Error based approach was presented. Generally, there are two types of adaptive beamformers in OFDM system, pre-FFT/IFFT [10] and post FFT/IFFT [11]. This paper mainly discusses the post FFT/IFFT adaptive beamformer, and

presents an iterative weights calculating method, which is less time consuming and has a smaller computational load. This algorithm is based on the methods in [12]-[14], which do the downlink beamforming weights determination with the knowledge of the weights of uplink in different bands. OFDM for CR with adaptive beamformer must introduce spectrum pooling technique to guarantee no spectrum intrusion to LU. One simple way is to employ spectrum masking technique [5] to give up those reusing bands. However, another efficient way is to constrain those weights to direct nulls to LU in space, in order to avoid CR signals in that direction. As a result, in a point to point transmission system, LU will not receive any signal from CR, even though they share the same frequency bands. Meanwhile, at the receiver, CR is capable of separating its own users from LU, via rejecting all the signals from Direction of Arrival (DOA) of LU. Thus, CR is capable of coexisting with the LU in the same area, sharing the whole spectrum bands without disturbing the LU. By adding more constraints to those weights, several adaptive beamforming techniques of narrow band signal sources for CR are presented in [16]. In this paper the wideband OFDM post IFFT/FFT adaptive beamformers are proposed for CR with constrained weights, which are computed iteratively. This paper is organized as follows. Section II gives an introduction on the OFDM post IFFT/FFT adaptive beamformer. In Section III, the system model and two OFDM adaptive beamformers for CR with the iteratively calculated weights are presented. Section IV demonstrates the simulation results. Concluding remarks appear in Section VI. II. OFDM ADAPTIVE BEAMFORMER

Fig. 1 demonstrates the system configuration of OFDM adaptive beamformers for CR. In Fig. 1, the Minimum Mean Square Error (MMSE) beamformer is situated after IFFT for transmitting and after FFT for receiving. This is why it is called the post-IFFT/FFT beamformer, which is mainly discussed in this paper. Its basic idea is to regard OFDM signals as a combination of several narrowband signals, so that the weights of MMSE beamformer are decided after Multicarrier Modulator/Demodulator (IFFT/FFT) for each OFDM subcarrier. The radio channel is Rayleigh channel. In this paper, the weights for OFDM adaptive beamformer are calculated iteratively. As shown in Fig. 1, if one set of

978-1-4244-2517-4/09/$20.00 ©2009 IEEE

and σ 1( i ) is the power of S1( i ) (t ) . which is transmitted by the CR user. need to be zeros. Thus. αi (θ 2 ). M (3) Where Ai (θ ) is the direction matrix of ith subcarrier. i = 0. q = 1. III." . which are also wide signals. possibly coming from another CR system. while others are the interferences. Therefore. we assume that there are M OFDM subcarrieres." .Figure 1. 2. we discuss MMSE beamformer [7] for OFDM system. S 2 (t ). sharing the same spectrum with CR. which minimizes the difference between the array output and the desired signal. When the DOA of the desired signal is known. the OFDM adaptive beamforming with masking weights are: H (i ) ⎧ ⎤ ⎪arg min E ⎡ ⎣ wi xi (t ) − S1 (t ) ⎦ . Sd (t )) modulated on ith subcarrier. several methods [12]-[14] have been presented. f h are the lowest and highest frequencies of OFDM signal respectively. which are forbidden to use. M − 1 (2) M The beamforming technique for OFDM discussed in the paper divides OFDM signal into M different subcarriers by FFT. and θ q is the elevation angle of the qth signal. αi (θ d )). i = 1. M (5) αi (θ q ) = (1. the optimal beamformer is the Wiener filter: ( i ) −1 wi = Rx αi (θ1 )(σ 1( i ) ) 2 (7) (i ) is the covariance matrix of the received signal Where." . 2. In this paper. others will be deduced by mapping them into different frequency bands via transformation matrix T.1. this work only discusses the beamforming technique at the receiver." . i = 1. containing N array elements. (i ) (i ) S (i ) (t ) = ( S1(i ) (t ). with the antenna spacing considered as λ0 / 2 . e jπ f i λ0 sin θ q / c . System configuration of OFDM with adaptive beamforming." . fi ∉ f LU wiH = ⎨ (9) 0. OFDM Adaptive Beamformer with Weights Masking When employing spectrum masking technique. with d < N − 1 . The received signal of the ith subcarrier is: xi (t ) = Ai (θ ) S ( i ) (t ) + ni (t ). where: ( f − fL ) fi = f L + i h . This beamforming technique masks the weights for OFDM subcarriers. (i ) Rx = E[ xi (t ) xiH (t )] (8) B. Ai (θ ) = (αi (θ1 ). Null Constraint. where λ0 = c / fL fh (1) f L . ni (t ) is AWGN. Rx A. f i ∈ f LU ⎪ ⎩ (4) ." . Meanwhile. e j ( N −1)π f i λ0 sin θ q / c T ) . 2. The number of interference is d − 1 . System model The array antenna in Fig." . Meanwhile. beamforming is introduced after FFT at the receiver. the OFDM adaptive beamforming weights of those carriers in OFDM system.1 is assumed to be Uniform Linear Array (ULA). weight wi for the ith OFDM subcarrier is computed. As for the transmitting. which are in the same frequency bands with LU. for example. d (6) αi (θ q ) is the direction vector of the ith subcarrier of the qth signal source. so that beamforming technique for narrowband signal sources can be applied to OFDM signals. TWO OFDM ADAPTIVE BEAMFORMERS FOR CR Assume that S1( i ) (t ) is the desired signal of the ith subcarrier.

. we adopt the iterative method in [12] to calculate the weights. except those occupying the same frequency bands with LU. Assume that the DOA of P LU users are φ p . The weights of those subcarriers for ( p) ( p) ( p) MMSE beamformer are γ k ." ." . 2." . The output of MMSE beamformer with spectrum masking technique for OFDM signal is: H ySM (t ) = diag (WSM x (t )) (20) In [21]. p = 1. P ( p) M CR (1) N ×M − (∑ M LU ) p =1 P Where diag (•) calculates the diagonal elements of the matrix. which are abandoned by CR. WSM = W : M CR (19) Where : is the Hadamard product. x2 (t )." . In this paper. marked ) as f k( p ) ." . jπ f k +i λ0 sin φ p / c jπ ( N −1) f k +i λ0 sin φ p / c T p) Ak( + . 2. P . Ti →i +1 = Ai (θ )( Ai +1 (θ )) + (15) Where ( A) + is the pseudo-inverse of A. we have: ( p) H ( p) H ⎧ (γ k + i ) αk + i (θ1 ) = (γ k ) Qk → k + i αk + i (θ1 ) = max ⎪ ⎪ ( p) H ( p) H (γ k (29) ⎨ + i ) αk + i (θ q ) = (γ k ) αk (θ q ) = c. K − 1 (21) = γ k( + ⎨ i ( p) H ( p) ( ) = μ γ A ⎪ k +i k +i p ⎩ Where." . there are three methods to solve this problem for narrowband signal sources. which require more constrains as follows: 2 ( p) H ( k +i ) ⎧ (γ k + i ) xk + i (t ) − S1 (t ) ⎤ ⎪arg min E ⎡ p) ⎣ ⎦ . and present the iteration of weights for other subcarriers. (1) m×n means m × n matrix with all ones as its elements. K − 1 and i = (1. M It is easy to verify that: H H ⎧ wiH ⎪ +1αi +1 (θ1 ) = wi Ti →i +1αi +1 (θ1 ) = wi αi (θ1 ) = max (18) ⎨ H H ( θ ) ( θ ) . we can calculate others for the left OFDM subcarriers. (13) (14) Where (α )i means the ith element of vector α . consisting the weight for each OFDM subcarrier as its column. we simply show the results of the projection method for single OFDM subcarrier. all the constrained weights of MMSE beamformer for OFDM system are computed iteratively and capable of placing nulls with depth of μ p towards DOA of pth LU. much smaller than wiH αi (θ1 ) . p = 1.1. each column of which contains the input signal of MMSE beamformer. f k( p ) . P ⎩0. Define: ⎧ 1. γ k + K −1 . base on one set of weight. The optimal weight wi of MMSE beamformer also satisfies: ⎧ max wiH αi (θ1 ) ⎪ (16) ⎨ H ⎪ ⎩ wi αi (θ q ) = c. i = 0. i = 0." . i = 1. CR is capable of reusing the frequency bands with LU by introducing weights constrained beamforming technique rather than give up those bands like spectrum masking. the position of ones in m p indicates that those frequency bands are allocated for the pth LU. K − 1 Then the constrained weights for those frequency bands occupied by LU are: ( p) ( p) H ( p) γk (28) + i = (Qk → k + i ) γ k Similarly. w M ) (11) x (t ) is a N × M matrix. and is determined by Interference Noise Ratio (INR). 2 ( p) ( p) H ( p) ( wk ) zk (t ) − r1( k ) (t ) ⎤ wk = arg min E ⎡ ⎢ ⎥ ⎣ ⎦ ( p) ( p) H zk (t ) (C k ) xk (t ) ( p) ( p) γk = C k( p ) wk + μp (23) (24) r1( k ) (t ) = S1( k ) (t ) − μq N ( Ak( q ) ) H xk (t ) (25) (26) (27) Let: U k( p ) ( Ak (θ ) Q k →k + i U ( p) ( p) k Ak( p ) ) ( p) + k +i (U ) . OFDM Adaptive Beamformer with Constrained Weights In order to achieve more efficient spectrum usage and higher data rate. γk +1 . 2. ⊗ is the Kronecker product. xM (t )) (10) W = ( w1 . q ≠ 1 ⎪ ( p) H ( p) ( p) H ( p) ( p) H ( p) (γ ) Ak + i = (γ k + i ) Qk →k + i Ak + i = (γ k ) Ak = μ h ⎪ ⎩ k +i Thus." . indicates the depth of nulls towards the interferences in the beampattern. e μ p is the constrain constant. Ak( p ) (22) N where C k( p ) contains N − 1 eigenvectors corresponding to the non-zero eigenvalues of the orthogonal complement space of Ak( p ) ." . by repeating the above steps. Assume that there are P LU users totally. m p is a masking vector of 1× M for the pth LU. and W is also an N × M matrix. which are forced to be zeros." . f i ∈ f LUp (12) ( m p )i ⎨ . e ) . w2 . In this paper. q ≠ 1 Where c is a constant. The pth LU has the frequency bands f LUp and some of the OFDM subcarriers of CR share those with it.Where f LU are the frequency bands occupied by all of the LUs. 2. 1 w α = w α = ≠ c q ⎪ i i q i i q + 1 + 1 ⎩ Thus. f k(+pK −1 . Let: x (t ) ( x1 (t ). C." . The weight for (i + 1)th subcarrier wi +1 is: H wi +1 = Ti → (17) i +1 wi . elsewhere ( p) M LU (1) N ×1 ⊗ m p . p = 1." . The transformation scheme minimizes the error between the beam patterns in the least square sense by introducing the transformation matrix T. i = 0.

" . 3) meanwhile compute the constrained weights for the subcarriers sharing the frequency bands with all the LU users. The constraints constant in (22) are μ1 = μ2 = 10−4 . . 2. Beampattern of OFDM MMSE beamformer with weights masking for CR Figure 4. the constrained weights beamforming technique consists of the following steps: 1) choose one of the OFDM subcarriers which is not in the same frequency bands occupied by LU. interference from other CR system also exists with θ 2 = 50D . γk +1 .52GHz . Meanwhile. sharing the same spectrum bands with CR. 2-5. γ k + K −1 . Beampattern of OFDM MMSE beamformer with constrained weights for CR Figure 5. The CR signal comes from θ1 = 10D and its SNR = 15dB . (32) The output of MMSE beamformer with constrained weights is: H yCW (t ) = diag (WCW x (t )) (33) IV. P . The first LU occupies the CR subcarriers from f16 to f31 . BER of output of MMSE beamformer with weights masking and constrained weights in different channels Figure 3. f h = 3. elsewhere Where ( A)ic indicates the ith column of matrix A. while the second LU takes over f 32 to f 47 . 2) calculate the MMSE beamformer weights wi for f i using narrowband beamforming techniques. INR = 15dB . and f L = 3. ( p) ( p) ( p) γk . BER of output of MMSE beamformer with weights masking and To sum up. f i ." . where Ts = 10μ s . therefore there is no Doppler effect considered. The delay vector is (0 Ts 2Ts ) . and their DOAs are φ1 = −30D . The length of CP is 1/4 of the OFDM symbol duration. We suppose the CR users are fixed. In Fig. SIMULATION RESULTS We consider a ULA with 10 array elements ( N = 10 ). fi ∈ f LUp ( Γ ( p ) )ic ⎨ i (30) ⎩ 0. SNRLU 2 = 15dB .Figure 2. At the same time. Then: ( p) WCW = W : M CR + ∑ ( Γ ( p ) : M LU ) p =1 P constrained weights in different channels with Δf M = 64 OFDM subcarriers are adopted for the OFDM signal. We notice that the interference is also an OFDM signal. for example. Let: ⎧γ ( p ) . The corresponding multipath gain vector is (0 −10dB −15dB ) . We assume that each of the LU occupies 16 OFDM subcarriers of CR. All the simulations consider 16 Quadrature Amplitude Modulation (QAM) symbols as its modulation.5GHz . Meanwhile we consider 2-path delayed Wide Sense Stationary Uncorrelated-scattering (WSSUS) Rayleigh fading channel. the distance between every two of them is l = λ0 / 2 . SNR for those LU are SNRLU 1 = 20dB. we assume there are two independent LU coexisting with CR. φ2 = 28D respectively. p = 1.

XIX Symposio Brasileiro de Telecomunicacoes. 13-18. Because of the non-orthogonality between LU signal and the CR. higher data rate and lower BER for the CR system. K. Nov. “Mutual interference in OFDM based spectrum pooling systems”. May. indicating that those weights are masked successfully. Fig. the same as Fig. for those OFDM subcarriers. M. their beams place nulls towards the DOA of LU users... REFERENCE [1] [2] [3] [4] [5] [6] [7] J.. 2. “MMSE techniques for space diversity receivers in OFDM-based wireless LANs. 3. 2004. 5. USA. Ma. the adaptive beamforming technique with constrained weights can replace the spectrum pooling by separating CR users and LU in space domain. 44.4. Antenna. Propagation. 293-324. “Cognitive radio dynamic access techniques”. 2. European Wireless Technology (EuWiT) Conf. Lakshmanan. July 2001. Chin and K. CR suffers the frequency band intrusion of LU by Δf . 2004. Ye. S. Apr. 2002. IEEE Int.” Ph. I. 2007. J. Antenna. R. Radio resource discovery for ad-hoc wireless networking. Z. Li. which occupy the same frequency bands with two LU users. “Cognitive radio: An integrated agent architecture for software defined radio.Fig. No. pp. P Cavalcanti.. Perez-Neira. 2003. no. While in Fig. Sweden. 4. However. Sel. T. Chin. Sym. Panazio. P. 11. 5 is the result of BER comparison of these two methods in different channels with a shifted spectrum edge Δf . 47 . Mitola.” in Proc. 2. while N fWM means the number of effective OFDM subcarriers in beamforming with weights masking. Aug. IEEE Trans. 201-210. and EMC Technologies for Wireless Communications. Using the suggested technique. Stockholm.” IEEE Pers. 49. Liang. vol. 6. Fig. “Analysis of the combined effects of finite samples and model errors on array processing performance. “Performance analysis of the minimum variance beamformer. Sym. “Adaptive robust beamformer for cognitive radio”. Signal Process. Amsterdam. 2000. Delft. Nikookar. BER of weights constrained beamforming is lower than that of weights masking. (KTH). Bartolome and A." . The smaller the μ is. Fig. Nov. Y. M. Boston.17. S. Budiarjo. [13] [14] [15] [16] . Netherlands. 1. 2001. Hangzhou. Feb. On Microwave. the deeper the nulls are. C. “Downlink beamforming for DS-CDMA mobile radio with multimedia services”. Both of them demonstrate that the beampattern for each OFDM subcarrier directs its main beam at the CR user. in Fig. Sep. IEEE VTS-Fall. “Cognitive radio: Making software radios more personal. both methods show a higher BER than that in Fig. F.. While with the proposed constrained weights beamforming technique. vol. Royal Inst. S. 2007. vol. in Benelux. 4 shows the comparison of Bit Error Rate (BER) of the decoded output signals of two adaptive beamformers with weights masking and the constrained weights. Vehicular Tech. pp. Liu. 42. Liu. i = 16. Brazil. Assuming Δf / ( f i +1 − f i ) = 30% . Aug.. no. Hangzhou. Both methods are performed after calculating FFT/IFFT. Y. IEEE Sympos. May. Feb. pp. Liang and F. P. Technol. “A beamspace-based pre-FFT beamforming algorithm for OFDM systems with antenna array”.” IEEE Trans. Fortaleza. while nulls towards the direction of interference. 2007. and EMC Technologies for Wireless Communications. I.” IEEE Journal Selected Area. 3 show the beampatterns of weights masking and constrained weights MMSE beamformer respectively for OFDM based CR with L=100 snapshots. pp. University of Twente. vol. [Online]. the bit rate gain is: 64 η = 10 log( (35) ) = 3dB 64 − 16 − 16 V. Nikookar.Sc Thesis. Wireless Personals Communication. there are no beampattern for (W )ic = 0. vol.” IEEE J. China. ACKNOWLEDGMENT The authors thank Ibrahim Budiarjo for his idea of the shifted spectrum edge comparison and suggestions of the channel. 45. Commun. However. Swindlehurst. pp. “A simple and effective post-FFT beamforming technique for QAM-OFDM system”. N fBCW is the number of effective OFDM subcarriers in beamforming with constrained weights. Aug. vol. China. 4. On Microwave. vol. Areas Commun. P. CR is capable of directing its main beam towards its own user and nulls to LU and interferences. Filho. IEEE Vehicular Technology Conference (VCT) . no. 1996. M. “Cognitive radio: brain–empowered wireless communications. “On downlink beamforming techniques for TDMA/FDD systems. M. The Netherlands.jsp X. no. pp. Romano. 2. This eliminates the intrusion to LU via putting more constraints to the weights of OFDM subcarriers in the shared frequency bands. The Bit rate gain η is defined as: For CR. Feng.tudelft. M. Zhou. 23. Mitola. η 10 log( N fBCW N fWM ) (34) [8] [9] [10] Where. Anu. no. IEEE Int. in Proc.. Oct. H. and are masked in Fig. 1999. R. S. F. 2005 N.nl/live/pagina. Lian. However. 2008. Commun. no.” IEEE Trans. C.” in Proc. pp. as the SNR of CR increases. Milan. D. Nikookar and J. “FDD DS-CDMA Downlink beamforming by modifying uplink beamforming weights. Weiss. 21.3.7. MA. 4 indicates that both methods achieve lower BER with higher SNR. 928–937. J. Techniques for Cognitive Radio. H. and J. Adaptive beamforming with weights masking simply forces the weights for those OFDM subcarriers occupying the same frequency bands with LU to be zero to avoid affecting LU users. M. vol. W. Signal Process. the gap between the BER of the constrained weights beamforming and that of the weights masking becomes significant. Enschede. in Proc. and compute the beamforming weights iteratively with low computational load. A. Moselet. 3073–3083. Available: http://www. N. VTC 2000. for spectrum masking technique. It is worth noticing that the depth of the nulls can be controlled by μ1 and μ2 . Commun. At each SNR ML = 64 × 500 16QAM symbols are considered. H. 151–160.Viberg and A. CONCLUSION [11] [12] Two OFDM adaptive beamforming techniques for CR are addressed in this paper. 2008. Italy. Propagation. Wax and Y. Thesis. 1994. 2 and Fig. 170-174.D. S. Commun. Haykin. Proc. C. D. According to our simulation. The proposed constrained weights adaptive beamforming technique of this paper provides a larger throughput. T. interferences caused by the sidelobes of LU spectrum band is also successfully removed.

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