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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 θ q is the elevation angle of the qth signal. This beamforming technique masks the weights for OFDM subcarriers. beamforming is introduced after FFT at the receiver. ni (t ) is AWGN. which minimizes the difference between the array output and the desired signal." . while others are the interferences. and σ 1( i ) is the power of S1( i ) (t ) . Sd (t )) modulated on ith subcarrier. with the antenna spacing considered as λ0 / 2 . The number of interference is d − 1 . As for the transmitting. f h are the lowest and highest frequencies of OFDM signal respectively. which are forbidden to use. αi (θ 2 ). the OFDM adaptive beamforming weights of those carriers in OFDM system. so that beamforming technique for narrowband signal sources can be applied to OFDM signals. System model The array antenna in Fig. Rx A. TWO OFDM ADAPTIVE BEAMFORMERS FOR CR Assume that S1( i ) (t ) is the desired signal of the ith subcarrier.Figure 1. Meanwhile. αi (θ d )). sharing the same spectrum with CR." ." . this work only discusses the beamforming technique at the receiver. f i ∈ f LU ⎪ ⎩ (4) . S 2 (t ). where λ0 = c / fL fh (1) f L . 2.1. weight wi for the ith OFDM subcarrier is computed. When the DOA of the desired signal is known. we assume that there are M OFDM subcarrieres. System configuration of OFDM with adaptive beamforming. III. (i ) (i ) S (i ) (t ) = ( S1(i ) (t ). e jπ f i λ0 sin θ q / c . i = 1. d (6) αi (θ q ) is the direction vector of the ith subcarrier of the qth signal source. M (3) Where Ai (θ ) is the direction matrix of ith subcarrier. e j ( N −1)π f i λ0 sin θ q / c T ) . q = 1. Thus. several methods [12]-[14] have been presented. which is transmitted by the CR user. 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. OFDM Adaptive Beamformer with Weights Masking When employing spectrum masking technique. Meanwhile. others will be deduced by mapping them into different frequency bands via transformation matrix T. i = 0. (i ) Rx = E[ xi (t ) xiH (t )] (8) B. need to be zeros. M − 1 (2) M The beamforming technique for OFDM discussed in the paper divides OFDM signal into M different subcarriers by FFT." . Null Constraint. which are in the same frequency bands with LU.1 is assumed to be Uniform Linear Array (ULA). 2. Therefore. fi ∉ f LU wiH = ⎨ (9) 0. Ai (θ ) = (αi (θ1 ). which are also wide signals. containing N array elements. possibly coming from another CR system. where: ( f − fL ) fi = f L + i h . we discuss MMSE beamformer [7] for OFDM system." . the OFDM adaptive beamforming with masking weights are: H (i ) ⎧ ⎤ ⎪arg min E ⎡ ⎣ wi xi (t ) − S1 (t ) ⎦ . In this paper. with d < N − 1 . 2. M (5) αi (θ q ) = (1. i = 1." . for example. The received signal of the ith subcarrier is: xi (t ) = Ai (θ ) S ( i ) (t ) + ni (t ).

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

At the same time. SNRLU 2 = 15dB .Figure 2. f h = 3. for example. 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. and f L = 3. SIMULATION RESULTS We consider a ULA with 10 array elements ( N = 10 ).52GHz . The delay vector is (0 Ts 2Ts ) . SNR for those LU are SNRLU 1 = 20dB. 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. p = 1. 2. The constraints constant in (22) are μ1 = μ2 = 10−4 . sharing the same spectrum bands with CR. The corresponding multipath gain vector is (0 −10dB −15dB ) . We assume that each of the LU occupies 16 OFDM subcarriers of CR. 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. therefore there is no Doppler effect considered. Meanwhile. where Ts = 10μ s . ( p) ( p) ( p) γk ." . f i . Meanwhile we consider 2-path delayed Wide Sense Stationary Uncorrelated-scattering (WSSUS) Rayleigh fading channel. The length of CP is 1/4 of the OFDM symbol duration. φ2 = 28D respectively. fi ∈ f LUp ( Γ ( p ) )ic ⎨ i (30) ⎩ 0. We suppose the CR users are fixed. . and their DOAs are φ1 = −30D . BER of output of MMSE beamformer with weights masking and To sum up. INR = 15dB ." . γk +1 . γ k + K −1 . elsewhere Where ( A)ic indicates the ith column of matrix A.5GHz . (32) The output of MMSE beamformer with constrained weights is: H yCW (t ) = diag (WCW x (t )) (33) IV. 2-5. Beampattern of OFDM MMSE beamformer with constrained weights for CR Figure 5. Beampattern of OFDM MMSE beamformer with weights masking for CR Figure 4. In Fig. interference from other CR system also exists with θ 2 = 50D . We notice that the interference is also an OFDM signal. P . All the simulations consider 16 Quadrature Amplitude Modulation (QAM) symbols as its modulation. while the second LU takes over f 32 to f 47 . The CR signal comes from θ1 = 10D and its SNR = 15dB . the distance between every two of them is l = λ0 / 2 . Let: ⎧γ ( p ) . 3) meanwhile compute the constrained weights for the subcarriers sharing the frequency bands with all the LU users. we assume there are two independent LU coexisting with CR. 2) calculate the MMSE beamformer weights wi for f i using narrowband beamforming techniques.

The Bit rate gain η is defined as: For CR. According to our simulation. Techniques for Cognitive Radio.” in Proc. in Benelux. vol. “MMSE techniques for space diversity receivers in OFDM-based wireless LANs. Boston. The proposed constrained weights adaptive beamforming technique of this paper provides a larger throughput. I. Sym. Chin and K. 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. Sym. Liu.” Ph. “Mutual interference in OFDM based spectrum pooling systems”. 928–937. Brazil. Liang. 2004. indicating that those weights are masked successfully. University of Twente.” IEEE Journal Selected Area. XIX Symposio Brasileiro de Telecomunicacoes. VTC 2000. IEEE Int.. Z. 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. It is worth noticing that the depth of the nulls can be controlled by μ1 and μ2 . However. M. 2. China.D. interferences caused by the sidelobes of LU spectrum band is also successfully removed. Signal Process. while nulls towards the direction of interference. Aug. 2005 N. Apr. Netherlands. Nikookar and J.nl/live/pagina.” in Proc. Lian. Liu. Both methods are performed after calculating FFT/IFFT. the deeper the nulls are. Fortaleza. 2001. Moselet. Delft. in Proc. 45. 5 is the result of BER comparison of these two methods in different channels with a shifted spectrum edge Δf . J. the gap between the BER of the constrained weights beamforming and that of the weights masking becomes significant. Wireless Personals Communication. Antenna. Radio resource discovery for ad-hoc wireless networking. 2002. 3. i = 16. the same as Fig. for those OFDM subcarriers. 1999. Technol. Hangzhou. while N fWM means the number of effective OFDM subcarriers in beamforming with weights masking. I. no. Sep. the bit rate gain is: 64 η = 10 log( (35) ) = 3dB 64 − 16 − 16 V. Areas Commun. Assuming Δf / ( f i +1 − f i ) = 30% . “Analysis of the combined effects of finite samples and model errors on array processing performance. IEEE Int. 2007. Oct. pp. On Microwave. CR is capable of directing its main beam towards its own user and nulls to LU and interferences. in Fig. and EMC Technologies for Wireless Communications. Fig. 3 show the beampatterns of weights masking and constrained weights MMSE beamformer respectively for OFDM based CR with L=100 snapshots. M. Nikookar. the adaptive beamforming technique with constrained weights can replace the spectrum pooling by separating CR users and LU in space domain. May. “A simple and effective post-FFT beamforming technique for QAM-OFDM system”. Commun. R. Swindlehurst. 6. Aug. vol. as the SNR of CR increases. Romano. Mitola. vol. C. 47 . S. H. 4. 49. both methods show a higher BER than that in Fig. 2. ACKNOWLEDGMENT The authors thank Ibrahim Budiarjo for his idea of the shifted spectrum edge comparison and suggestions of the channel. China. P. vol. Filho. M. S.” IEEE Pers. P. H. M. Perez-Neira. no. 23. Thesis. Proc. C. pp. vol. Sel." . Commun. S. J. 2008. Y. Milan. Fig. Feb.. which occupy the same frequency bands with two LU users. This eliminates the intrusion to LU via putting more constraints to the weights of OFDM subcarriers in the shared frequency bands. Available: http://www. Haykin. “Cognitive radio: An integrated agent architecture for software defined radio. pp. Stockholm. and compute the beamforming weights iteratively with low computational load. 42. Because of the non-orthogonality between LU signal and the CR. Mitola. S. Both of them demonstrate that the beampattern for each OFDM subcarrier directs its main beam at the CR user. Bartolome and A. “A beamspace-based pre-FFT beamforming algorithm for OFDM systems with antenna array”. On Microwave. However. European Wireless Technology (EuWiT) Conf. “Cognitive radio: brain–empowered wireless communications. P Cavalcanti. 3073–3083. for spectrum masking technique. N. 5. Amsterdam. 2. “Performance analysis of the minimum variance beamformer. IEEE Vehicular Technology Conference (VCT) . “On downlink beamforming techniques for TDMA/FDD systems. While in Fig. “Downlink beamforming for DS-CDMA mobile radio with multimedia services”. 2 and Fig. 2004. Using the suggested technique.4. η 10 log( N fBCW N fWM ) (34) [8] [9] [10] Where. 1994. Y.. While with the proposed constrained weights beamforming technique. no. USA.7.. REFERENCE [1] [2] [3] [4] [5] [6] [7] J. H.. and J. Zhou. higher data rate and lower BER for the CR system. P.3. 293-324. Commun. Aug. K. no. BER of weights constrained beamforming is lower than that of weights masking. 44. Nov. 2003.” IEEE Trans. Propagation. T. Fig. Vehicular Tech. W. The Netherlands. Italy. 201-210. Budiarjo. “Cognitive radio: Making software radios more personal. [13] [14] [15] [16] . CR suffers the frequency band intrusion of LU by Δf . M. 2000.tudelft. S. IEEE VTS-Fall. At each SNR ML = 64 × 500 16QAM symbols are considered. Li. Panazio. Chin.. 1.Fig. R. A. and are masked in Fig. 4 indicates that both methods achieve lower BER with higher SNR. 2007. Nov. Ma. no. Weiss. pp. 2008. there are no beampattern for (W )ic = 0. 2.” IEEE J. pp. Signal Process. D.Viberg and A. Sweden. C. 151–160.” IEEE Trans. 21. Antenna. and EMC Technologies for Wireless Communications. Wax and Y. Ye. Royal Inst.17. T. IEEE Sympos. Feng. Enschede. Feb. N fBCW is the number of effective OFDM subcarriers in beamforming with constrained weights. IEEE Trans. CONCLUSION [11] [12] Two OFDM adaptive beamforming techniques for CR are addressed in this paper.Sc Thesis.. their beams place nulls towards the DOA of LU users. pp. vol. vol. 170-174. “Adaptive robust beamformer for cognitive radio”. F. D. May. F. Nikookar. no.jsp X. 4. However. Hangzhou. Commun. No. pp. MA. M. The smaller the μ is. “FDD DS-CDMA Downlink beamforming by modifying uplink beamforming weights. Anu. “Cognitive radio dynamic access techniques”. 11. July 2001. 1996. Liang and F. vol. 2007. 13-18. [Online]. (KTH). in Proc. Lakshmanan. Propagation.

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