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Haris GACANIN and Fumiyuki ADACHI

Department of Electrical and Communication Engineering, Graduate School of Engineering, Tohoku University

Sendai, 980-8579 Japan

Email: haris@mobile.ecei.tohoku.ac.jp

Abstract—Orthogonal frequency division multiplexing to improve the transmission performance of the conventional

(OFDM) signals have a problem with high peak-to-average OFDM in terms of the bit error rate (BER) and the PAPR. The

power ratio (PAPR). A distortionless selective mapping (SLM) PAPR, however, cannot be completely eliminated. To further

has been proposed to reduce the PAPR, but a high computational

complexity prohibits its application to OFDM with a large reduce the PAPR some additional PAPR reduction technique

number of subcarriers. Recently, OFDM combined with time must be applied. In [8], we analyzed the performance of

division multiplexing (OFDM/TDM) using minimum mean amplitude clipped OFDM/TDM using MMSE-FDE, but the

square error frequency-domain equalization (MMSE-FDE) clipping causes the transmit signal distortion, spectrum splat-

was proposed to improve the transmission performance of ter and the BER performance degradation. A comprehensive

conventional OFDM in terms of the bit error rate (BER) and

the PAPR. The PAPR problem, however, cannot be completely performance comparison of OFDM/TDM using MMSE-FDE

eliminated. In this paper, we propose a new SLM to further and conventional OFDM, in [9], shows that spectrum side-lobs

reduce the PAPR of OFDM/TDM. Unlike the conventional of OFDM/TDM are larger than the conventional OFDM. Con-

OFDM, where SLM is applied over subcarriers in the frequency sequently, a distortionless PAPR reduction technique should be

domain, we propose the new SLM for OFDM/TDM by exploiting considered with OFDM/TDM.

both time and frequency dimensions of OFDM/TDM signal.

It is shown, by computer simulation that proposed SLM for In this paper, we propose a new SLM technique for

OFDM/TDM increases the number of candidate sequences in OFDM/TDM using MMSE-FDE to further reduce the

comparison with the conventional SLM, while reducing the PAPR by utilizing both time and frequency dimensions of

PAPR. Furthermore, OFDM/TDM with proposed SLM achieves OFDM/TDM signal. We note here that SLM can be di-

a lower PAPR than the conventional OFDM with same or rectly applied to OFDM/TDM on a slot-by-slot basis, but

reduced computational complexity.

the PAPR reduction capability reduces due to reduced size

Index Terms—OFDM/TDM, MMSE-FDE, selective mapping, of phase codes. Unlike the conventional OFDM with SLM

PAPR, symbol re-mapping. [5], where SLM is applied over the subcarriers in frequency

domain, we propose SLM for OFDM/TDM by independently

I. I NTRODUCTION exploiting both time (i.e., time-slots of OFDM/TDM frame)

Orthogonal frequency division multiplexing (OFDM) signal, and frequency (i.e., subcarriers) dimensions of OFDM/TDM

which is robust against multipath fading, has a behavior signal. Consequently, the number of candidate sequences is

similar to that of a Gaussian random process. This yields a increased achieving an additional gain for PAPR reduction. We

drawback of having a large amplitude dynamic range, i.e., a also bring the reader’s attention to the fact that the proposed

large peak-to-average power ratio (PAPR) [1]. Of late, there SLM may be applied to the conventional OFDM, but the

has been substantial work on PAPR reduction of OFDM. An implementation may be limited due to long latency (i.e.,

overview of various techniques for reducing the PAPR has processing delay) and a large computational complexity if a

been presented in [2]. The simple and widely used method is large number of subcarriers is considered. The benefit of the

amplitude clipping [3] that limits the PAPR below a threshold proposed technique with OFDM/TDM is twofold: (i) reduced

level, but it causes both in-band distortion and spectrum PAPR and (ii) same or lower computational complexity as the

splatter. Block coding [4] of an input data into a phase code conventional OFDM depending on the OFDM/TDM design.

word with low PAPR is another well-known technique to The remainder of this paper is organized as follows. In

reduce the PAPR, but it reduces the transmission data rate. Sect. II a brief overview of OFDM/TDM is given. Section

Selective mapping (SLM) has been proposed to reduce the III introduces SLM. The simulation results are shown in Sect.

PAPR [5] with relatively small increase in redundancy and IV and finally, the concluding remarks are given in Sect. V.

without signal distortion (i.e., without spectrum splatter), but Throughout this paper, following notations are adhered to.

with high computational complexity when a large number of Bold lowercase letters are used to denote column vectors.

subcarriers is utilized. Bold uppercase letters are used to denote matrices. (·)T , (·)∗ ,

Recently, we proposed OFDM combined with time divi- E{·}, diag[·], · and · ∞ denote transpose, complex

sion multiplexing (OFDM/TDM) [6] using minimum mean conjugate, the ensemble average, diagonal matrix, Euclidean

square error frequency-domain equalization (MMSE-FDE) [7] and maximum norm operations, respectively.

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II. OFDM/TDM U SING MMSE-FDE is carried out using Nm -point FFT to obtain the decision

In OFDM/TDM, the inverse fast Fourier transform (IFFT) variables for each OFDM signal [7].

time window (i.e., OFDM/TDM frame) of the conventional

III. PAPR R EDUCTION U SING SLM

OFDM with Nc subcarriers is divided into K time slots. An

example of the conventional OFDM with Nc = 16 subcarriers In this section, we first briefly survey the application of SLM

and OFDM/TDM with K = 4 is shown by Fig. 1. to conventional OFDM. Then, we point out a problem that

The Nc data-modulated vector d = [d(0)d(1) . . . d(Nc − arises when SLM is directly applied to OFDM/TDM. Finally,

1)]T is transmitted during one OFDM/TDM frame. Data- we present the proposed SLM for OFDM/TDM.

modulated signal vector d is divided into K vectors

A. Conventional SLM for OFDM [5]

d0 , dk . . .dK−1 with dk = [dk (0)dk (1) . . .dk (Nm − 1)]T .

Then, Nm -point IFFT is applied to each data vector dk In the discrete time domain, an OFDM signal with Nc

to generate a sequence of K OFDM signals with Nm = subcarriers can be expressed by Eq. (1) for K = 1 (i.e., k=0)

Nc /K subcarriers. The OFDM/TDM transmit signal ma- and Nm = Nc . The PAPR of an OFDM signal, defined as the

trix is represented by S = [s0 . . .sk . . .sK−1 ]. Here sk = ratio of the peak power to the ensemble average power, can

[sk (0) . . .sk (t) . . .sk (Nm − 1)]T is the kth slot OFDM signal be expressed as

with Nm subcarriers given by max{ s 2∞ }

Nm −1 P AP R(d) = . (4)

k 2Es i E{ s 2 }

s (t) = dk (i) exp j2πt (1)

Tc Nm i=0 Nm In conventional SLM for OFDM [5], an alterna-

tive input data-modulated vectors represented by du =

for k = 0 ∼ K −1, where t = 0 ∼ Nm−1 is a discrete time index.

[du (0)du (1) . . . du (Nc − 1)] for u = 1 ∼ U are gener-

In the above expression, Es and Tc denote the data-modulated

ated by multiplying a phase codes represented by pu =

symbol energy and sampling period, respectively. After inser-

[pu (0)pu (1) . . . pu (Nc − 1)]T element-wise in frequency-

tion of Ng -sample guard interval (GI) the OFDM/TDM signal

domain to the original input data-modulated vector d. Here

is transmitted over a frequency-selective fading channel [7].

an element-wise multiplication is denoted as du = d◦ pu with

At the receiver, after removing the GI, Nc -point FFT is

du (i) = d(i)pu (i) for u = 1 ∼ U and i = 0 ∼ Nc −1. Note that

applied over the entire OFDM/TDM frame to decompose

each symbol of the phase code is set to have unit magnitude

the received signal into its frequency components represented

to keep the same power. The first phase code p1 is set to all

by r = [r(0)r(1). . .r(Nc − 1)]T . One-tap MMSE-FDE is

”1” sequence (i.e., p1 (i) = 1 for i = 0 ∼ Nc −1). It was shown

applied over the entire OFDM/TDM frame [7] with several

in [12] that the best phase code is random phase sequence

concatenated OFDM signals to obtain frequency diversity gain

with {pu (i) = ±1; i = 0 ∼ Nc −1}. Finally the OFDM signal

as [10]

sû = IF F T {dû } with the lowest PAPR is transmitted, where

r̂ = Wr, (2)

û is selected as

where the equalized signal vector r̂ = [r̂(0)r̂(1) . . . r̂(Nc−1)]T .

In the above expression, W = diag[w(0) . . . w(n) . . . w(Nc − û = arg min1≤u≤U P AP R(du ). (5)

1)]T is the MMSE weight diagonal matrix with nth element

given by [11] Notice that the SLM technique exploits only the frequency

∗ dimension (i.e., subcarriers) of the OFDM signal to generate

H (n)

w(n) = −1 , (3) alternative candidate sequences.

Es

|H(n)|2 + N 0 B. Direct Application of SLM to OFDM/TDM

where N0 denotes the single-sided power spectrum density. A direct application SLM to OFDM/TDM is possible on

The time-domain OFDM/TDM signal is recovered by ap- a slot-by-slot basis, where conventional SLM is applied to

plying Nc -point IFFT to r̂ and then, OFDM demodulation each Nm (=Nc /K)-subcarrier OFDM signal independently as

presented in previous section (i.e., Nc is replaced with Nm ).

f

The length of the phase code will also be reduced to Nm

f

elements.

d(15)

d(0) d(4) d(8) d(12) In this case, the phase code matrix is represented by

Pu = diag[p1u . . . pku . . . pK−1

u ], where the kth slot phase code is

d(1) d(5) d(9) d(13)

represented by pku = diag[pku (0)pku (1) . . . pku (Nm −1)]. Conse-

d(2) d(6) d(10) d(14) quently, the number of phase codes U = 2Nm is decreasing

in K (i.e., Nm is reducing) and a natural consequence is

t d(11) d(15) t

d(1)

d(0)

d(3) d(7)

that the further PAPR reduction capability is reducing. Same

(a) Conventional OFDM (Nc=16) (b) OFDM/TDM (N c=16; Nm=4, K=4) as in the conventional OFDM, direct application of SLM to

OFDM/TDM exploits only frequency dimension (i.e., reduced

Fig. 1. Time and frequency data arrangement. number of subcarriers) of OFDM/TDM signal. Note that same

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f f Here we bring the reader’s attention to the fact that Nc

d((K-1)

d(0) d(Nm) …

Nm)

d(0) d(1) … d(K-1) data-modulated symbols in d are statistically independent and

d(Nm+ d((K-1)

consequently, their re-mapping will produce a new set of can-

d(1) … d(K) d(K+1) … d(2K-1)

1) Nm+1) didate sequences. To generate time domain set we exploit time

dimension (i.e., time slots for k = 0 ∼ K − 1) of OFDM/TDM

…

…

…

…

…

signal. In this case, the time domain set Dt is generated

d((Nm-1) d((Nm-1)

d(Nm-1) d(2Nm-1) … d(KNm-1)

t K) K+1)

… d(NmK-1)

t by writing-in row-by-row elements of one dimensional data-

modulated vector d = [d(0)d(1) . . . d(Nc − 1)]T as shown by

(a) Mapping of Df (b) Mapping of Dt

Fig. 2(b). In essence, Nm × K matrix Dt can be represented

Fig. 2. Principle of SLM with symbol re-mapping. as

Dt =

⎛ ⎞

d(0) d(1) ··· d(K − 1)

or different phase vectors pku for k = 0 ∼ K − 1 can be used ⎜ d(K) d(K + 1) ··· d(2K − 1) ⎟

⎜ ⎟

that will not affect the PAPR reduction. ⎜ .. .. .. .. ⎟.

⎝ . . . . ⎠

Nevertheless, to improve the PAPR reduction capability of

SLM for OFDM/TDM the number of candidate sequences d((Nm − 1)K) d((Nm − 1)K + 1) · · · d(Nm K − 1)

(7)

must be increased in comparison with the conventional SLM.

The proposed SLM algorithm with symbol re-mapping is

To this end, we develop a new SLM to increase the number

presented bellow:

of alternative candidate by exploiting both time and frequency

dimensions of OFDM/TDM signal. Step 1: Generate the frequency-domain candidate set of

input data-modulated sequences Duf by multiplying

C. Proposed SLM for OFDM/TDM columns of data matrix Df with the phase code

matrix Pu element-wise (i.e., Duf = Pu ◦ Df ) for

As we have emphasized in the previous section, op- u = 1 ∼ U (see Fig. 3(a)).

portunities for exploiting both time (i.e., time slots of Step 2: Generate the time-domain candidate set of in-

OFDM/TDM frame) and frequency (i.e., subcarriers) dimen- put data-modulated sequences Dut by multiplying

sions of OFDM/TDM signal for PAPR reduction arise. The columns of data matrix Dt with the same phase

SLM for OFDM/TDM exploits time and frequency dimensions sequence vector Pu element-wise (i.e., Dut = Pu ◦Dt )

of OFDM/TDM signal to generate a larger set of candidate for u = 1 ∼ U as given by (see Fig. 3(b)).

sequences yielding a larger potential for PAPR reduction and Step 3: After all u (=1 ∼ U ) are exhausted the PAPR is

then, transmit the one with lowest PAPR. At first, we explain evaluated for both time domain set Dut and frequency

how to generate two sets of independent data-modulated domain set Duf of generated candidate sequences to

symbols corresponding to input data-modulated matrices Df select the set with lower PAPR.

(hereafter referred as frequency domain set) and Dt (hereafter Step 4: The OFDM/TDM signal sû = IF F T {Dûf , Dût } with

referred as time domain set) using frequency and time dimen- the lowest PAPR is transmitted, where û is selected

sions of OFDM/TDM signal, respectively. as û = arg min1≤u≤U P AP R(Duf , Dut ).

The elements of data matrix Df are mapped by writing-

in column-by-column elements of one dimensional data- To recover data, the side information has to be sent to

modulated vector d = [d(0)d(1) . . . d(Nc − 1)]T as shown by the receiver. For the conventional OFDM with SLM using U

Fig. 2(a). In essence, Nm × K matrix Df can be represented phase codes the number of required information side bits is

as log2 U . The number of required side information bits for one

Df =

⎛ ⎞

d(0) d(Nm ) ··· d((K − 1)Nm ) Pu Pu

⎜ d(1) d(N + 1) · · · d((K − 1)N + 1) ⎟

⎜ m m ⎟

⎜ .. .. .. .. ⎟.

⎝ . . . . ⎠ f f

d(Nm − 1) d(2Nm − 1) · · · d(KNm − 1) d(0) d(N ) …

d((K-1) d(0) d(1) … d(K-1)

m

N )

(6) m

Notice that columns and rows denote the time (i.e., time slot) d(1)

d(N +

1)

… md((K-1)

N +1)

d(K) d(K+1) … d(2K-1)

m

and the frequency (i.e., subcarrier) dimensions of OFDM/TDM

…

…

…

…

…

symbols are transmitted over Nm (=Nc /K)-subcarriers using d(N -1) d(2N -1) … d(KN -1)

d((N -1) d((N -1)

m m … d(N K-1)

m m t m K) K+1) m t

K time slots as shown by Fig. 1. We note that in the

conventional OFDM (K=1), Df reduces to one dimensional (a) Frequency domain set (b) Time domain set

vector d with Nc data-modulated symbols transmitted within

one time slot (i.e., OFDM signaling interval). Fig. 3. Time and frequency set generation.

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TABLE I 1.E+00

C OMPUTATIONAL C OMPLEXITY C OMPARISON : U =16.

Conventional OFDM 32768 163840 360448 K =16

K=16 16384 98304 229376

Prob [PAPR>abscissa]

OFDM/TDM K=32 12282 81920 196608 1.E-01

K=64 8192 65536 16384

U =1 U =1

OFDM/TDM frame is log2 U +1, where the side information U =32 U =16

includes a direction (time or frequency) in which proposed 1.E-02

the direction (time or frequency) of SLM). In this work, we

assume that the side information is known at the receiver side. N c =256

We note here that the proposed SLM may also be applied N m =N c /K

to conventional OFDM, but practical implementation of such 1.E-03

PAPR reduction technique may not be feasible because of a 0 1 2 3 4 5 6 7 8 9 10 11 12

PAPR (dB)

large computational complexity and long latency (i.e., process-

ing delay). Fig. 4. PAPR distribution of OFDM/TDM and conventional OFDM.

IV. S IMULATION R ESULTS

In our computer simulation we assume an OFDM/TDM Table I. The complexity is evaluated by the number of

frame size of Nc =256 samples, GI length of Ng =32 samples complex multiplications. It can be seen that OFDM/TDM

and ideal coherent QPSK data modulation/demodulation. As has significantly lower computational complexity than OFDM

the propagation channel, we assume an L=16-path block with conventional SLM. In the case of OFDM/TDM with

Rayleigh fading channel with uniform power delay profile. A K=16 complexity is two times lower than the conventional

perfect knowledge of the channel state information is assumed. OFDM with Nc =256. Consequently, the number of phase

We note, however, that the comparison above is given sequences U for OFDM/TDM can be increased two times,

under the constraint of same transmission data-rate and band- while obtaining the same complexity requirements. This fact

width efficiency. For example, suppose that we compare gives OFDM/TDM flexibility to increase the number of phase

OFDM/TDM with {Nc = 256; Nm = 16, K = 16} and sequences to further reduce the PAPR for the same complexity

the conventional OFDM with Nc =16. In both cases the same as OFDM (see discussion on Fig. 4).

number of subcarriers is used and naturally, the PAPR distri-

bution will be the same. However, the transmission data-rate B. PAPR Distribution

and bandwidth efficiency of conventional OFDM will degrade

in comparison with OFDM/TDM since the GI length needs to First we will show the results of PAPR distribution when

be kept the same for both systems. conventional SLM is applied to both OFDM/TDM and the

conventional OFDM under the constraint of same compu-

A. Computational Complexity Issue tational complexity. Figure 4 illustrates the complementary

As mentioned above, a main drawback of conventional cumulative distribution function of the PAPR for OFDM/TDM

SLM is its high computational complexity that prohibits (K=16) and the conventional OFDM (K=1) when Nc =256

the implementation in practical OFDM system with a large under the constraint of same computational complexity. As can

number of subcarriers. The complexity of SLM increases in be seen from Fig. 4, OFDM/TDM with SLM (U =32) reduces

proportion to the number U of phase sequences because for the PAPR30% level, which the PAPR of OFDM/TDM exceeds

each phase code, an IFFT should be computed to generate with probability of 30%, for about 1.75 dB in comparison

different candidate sequence. A straight forward way to reduce with OFDM/TDM without SLM (U =1). It is further seen that,

the complexity is to reduce the number of generated sequences, the OFDM/TDM with U =32 the PAPR30% level is reduced for

but the PAPR reduction capability reduces. On the other hand, about 4.3 dB in comparison with the conventional OFDM with

the complexity can be reduced if the IFFT size is reduced, but U =16, while obtaining the same computational complexity.

the bandwidth efficiency of such OFDM system will degrade An additional reduction of PAPR for OFDM/TDM can be

since the GI length needs to be kept the same. made using the proposed SLM. Figure 5 plots the PAPR

The proposed SLM for OFDM/TDM reduces the complex- distribution of proposed SLM for OFDM/TDM when K=16

ity by dividing a large IFFT size of conventional OFDM with U as a parameter. As shown by Fig. 5, the PAPR30% level

into several smaller slots and process each slot separately, of proposed SLM with U =16 in comparison with OFDM/TDM

while keeping the same GI length to preserve same data without SLM (labeled as U =1) is about 1.75 dB. It can be

rate efficiency. The complexity comparison between the con- further seen that the PAPR reduction of PAPR30% level over

ventional SLM for OFDM and OFDM/TDM is given in the conventional SLM with U =16 is about 0.25 dB as U

4

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1.E+00 1.E-01

U =1 Conventional KK=16

=16 (Conv. SLM U=32)

SLM KK=16

=16 (Proposed SLM U=32)

16

Prob [PAPR>abscissa]

1.E-01 1.E-02

Proposed

Average BER

K =1 (OFDM)

U =16 SLM

Conventional

32 K =16 SLM (U =16)

64

1.E-02 1.E-03

128

K =16 MMSE-FDE

N c =256 QPSK

N m =N c /K L =16

1.E-03

1.E-04

1 2 3 4 5 6

10 15 20 25 30 35

PAPR (dB) Peak E b /N 0 (90%)

Fig. 5. PAPR distribution of the proposed SLM for OFDM/TDM. Fig. 6. Peak-transmit power efficiency.

increases. This clearly shows the benefit of the proposed SLM ACKNOWLEDGMENT

for OFDM/TDM in comparison with conventional SLM.

This work was supported by Grant-in-Aid for Scientific

C. Reduction of Peak-transmit Power Research from Japan Society for the Promotion of Science

We also consider the required peak transmit power of the (JSPS).

proposed SLM for OFDM/TDM using MMSE-FDE because it R EFERENCES

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