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You are on page 1of 171

COGNITIVE RADIOS

by

Peiman Amini

The University of Utah

in partial fulfillment of the requirements for the degree of

Doctor of Philosophy

December 2009

Copyright

c Peiman Amini 2009

THE UNIVERSITY OF UTAH GRADUATE SCHOOL

of a dissertation submitted by

Peiman Amini

This dissertation has been read by each member of the following supervisory committee

and by majority vote has been found to be satisfactory.

Cynthia Furse

Rong-Rong Chen

Keneth Stevens

Frederic Noo

THE UNIVERSITY OF UTAH GRADUATE SCHOOL

and have found that (1) its format, citations, and bibliographic style are consistent and

acceptable; (2) its illustrative materials including figures, tables, and charts are in place;

and (3) the final manuscript is satisfactory to the Supervisory Committee and is ready

for submission to The Graduate School.

Chair, Supervisory Committee

Marc Bodson

Chair/Dean

David S. Chapman

Dean of The Graduate School

ABSTRACT

The demand for wireless services is on the rise and the vast majority of the

spectral resources have already been licensed. Consequently, cognitive radio tech-

nology has been proposed to make secondary use of licensed spectrum. Multi-

carrier communication technology has been suggested to utilize the white spaces

in the spectrum. Orthogonal frequency-division multiplexing (OFDM) was the

first multicarrier technique proposed for cognitive radios. However, OFDM suffers

from significant leakage among the carriers of different users. On the other hand,

filterbank multicarrier (FBMC) communication can overcome the spectral leakage.

Therefore, FBMC has been suggested as an alternative to OFDM for cognitive

radios. In this dissertation, we investigate the implementation issues that need to

be addressed for an actual deployment of FBMC.

Efficient polyphase structures for implementation of FBMC are investigated.

A novel formulation for a family of polyphase structures for staggered modulated

multitone (SMT) is derived. Using our derivation, it is shown that some of the

SMT analysis structures in the literature are not applicable to frequency selective

channels.

A preamble design and related algorithms are proposed for FBMC systems. The

proposed preamble is used to detect the beginning of packet, to adjust an automatic

gain control, to synchronize the carrier frequency and timing phase, and to identify

the channel impulse response. Furthermore, decision directed carrier and timing

tracking algorithms are proposed to track residual timing and carrier offset after

the acquisition. In addition, a decision directed phase lock loop (PLL) is designed

to force any built up phase error to zero. Also, an algorithm is implemented to

track the best timing phase by minimizing a cost function.

This dissertation also reports implementation of a cognitive radio equipped with

filterbank spectrum sensing. The cognitive radio was implemented on a software

defined radio platform. The filterbank spectrum sensor is shown to exhibit superior

performance in terms of the spectral dynamic range when compared to the FFT

based techniques. The radio can detect the presence of interferers on the carrier

that is currently using and move to an unoccupied part of the spectrum.

FBMC is also applied to fault detection on live wires. Optimally designed

synthesis filterbanks are used to confine the test signal to the portion(s) of the

frequency band that are free of live signal. Moreover, optimal analysis filters are

designed which can separate the reflected test tones and minimize leakage from the

live wire signals.

v

I dedicated this work to my family: Masoud, Mahin, Payvand, and Pooyan.

CONTENTS

ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv

LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x

ACKNOWLEDGMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

CHAPTERS

1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1 Multicarrier Communications

for Cognitive Radios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1.2 OFDM/FFT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

1.3 Filterbank Spectrum Sensing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

1.4 Filterbank Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

1.4.1 Staggered Modulated Multitone, SMT . . . . . . . . . . . . . . . . . . . 12

1.4.2 Cosine Modulated Multitone, CMT . . . . . . . . . . . . . . . . . . . . . . 12

1.4.3 Filtered Multitone, FMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

1.4.4 A Comparison of FMT, SMT and CMT . . . . . . . . . . . . . . . . . . 13

1.5 Contribution of the Dissertation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

1.6 Organization of the Dissertation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

2. A REVIEW ON FILTERBANK MULTICARRIER

COMMUNICATION SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

2.1 Filterbank Multicarrier Communications . . . . . . . . . . . . . . . . . . . . . . 20

2.1.1 Staggered Modulated Multitone, SMT . . . . . . . . . . . . . . . . . . . 20

2.1.2 Cosine Modulated Multitone, CMT . . . . . . . . . . . . . . . . . . . . . . 25

2.1.3 Filtered Multitone, FMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

2.2 FBMC Sensitivity to Synchronization Errors . . . . . . . . . . . . . . . . . . . 29

2.2.1 SMT Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

2.2.2 CMT Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

2.3 Sensitivity to Carrier Offset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

2.4 Sensitivity to Timing Offset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

2.4.1 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

3. POLYPHASE IMPLEMENTATION OF FILTERBANK MULTICARRIER

COMMUNICATION SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

3.1 Polyphase Synthesis Filterbank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

3.2 Polyphase Analysis Filterbank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

3.3 SMT Polyphase Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

3.3.1 Type-I SMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . . 51

3.3.2 Type-II SMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . 54

3.3.3 Type-III SMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . 57

3.3.4 Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

3.4 CMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

3.4.1 Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

3.4.2 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

4. PREAMBLE DESIGN FOR FILTERBANK MULTICARRIER

SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

4.1 Preamble Design in OFDM Systems . . . . . . . . . . . . . . . . . . . . . . . . . 75

4.2 FBMC Packet Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

4.3 Carrier Acquisition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

4.4 Timing Acquisition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

4.5 Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

4.6 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

4.6.1 Sensitivity Discussion for SMT and CMT . . . . . . . . . . . . . . . . . 90

4.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

5. CARRIER AND TIMING OFFSET TRACKING . . . . . . . . . . . 91

5.1 Literature Survey on FBMC Bind

Synchronization Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

5.2 Carrier Tracking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

5.2.1 SMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

5.2.2 CMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

5.3 Timing Tracking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

5.4 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

5.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

6. COGNITIVE RADIO TESTBED . . . . . . . . . . . . . . . . . . . . . . . . . . 105

6.1 Problem Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106

6.2 Technical Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

6.2.1 Channel Sensing and MAC Layer . . . . . . . . . . . . . . . . . . . . . . . 108

6.2.2 Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110

6.2.3 Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110

6.3 System Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

6.4 Implementation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113

6.5 Spectrum Sensing Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

6.6 Test and Demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118

6.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120

7. FILTERBANK MULTICARRIER FOR

COGNITIVE LIVE WIRE TESTING . . . . . . . . . . . . . . . . . . . . . . 121

7.1 In-Band and Out-of-Band Interference . . . . . . . . . . . . . . . . . . . . . . . 122

7.2 Filterbank MCR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

7.2.1 Signal Generator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126

viii

7.2.1.1 An Analysis of the Raised-Cosine Window

Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

7.2.1.2 An Optimum Choice of the Window Function . . . . . . . . . 130

7.2.1.3 The Relationship Between Time-Domain

Windowing and Filterbank Synthesis . . . . . . . . . . . . . . . . 132

7.2.2 Analysis Filterbanks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133

7.3 Cognitive Live Wire Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

7.3.1 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

8. CONCLUSIONS AND FUTURE RESEARCH . . . . . . . . . . . . . . 137

8.1 Outlook into Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

8.1.1 Mobile FBMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

8.1.2 MIMO FBMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

8.1.3 Pilot Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

8.1.4 Implementation of FBMC Communications . . . . . . . . . . . . . . . 142

8.1.5 Implementation of Filterbank Multicarrier Reflectometry . . . . . 142

APPENDICES

A. ACRONYMS AND ABBREVIATIONS . . . . . . . . . . . . . . . . . . . . 143

B. VARIABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146

REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

ix

LIST OF FIGURES

1.2 Transmit windowing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

1.3 The power spectral density of a subcarrier of an OFDM signal when

different choices of the roll-off parameter is used. . . . . . . . . . . . . . . . 9

1.4 Receiver windowing for OFDM signal. . . . . . . . . . . . . . . . . . . . . . . . . . 10

1.5 General structure of filterbank sensing. . . . . . . . . . . . . . . . . . . . . . . . . 11

1.6 Comparison between CMT, FMT and SMT . . . . . . . . . . . . . . . . . . . . . 14

2.1 Structure of the continuous-time SMT system. . . . . . . . . . . . . . . . . . . 21

2.2 Baseband CMT Trans-multiplexer. . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

2.3 CMT modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.4 The ICI, ISI, and signal energy of SMT when f is 0.02 of carrier

spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

2.5 The ICI, ISI, and signal energy of SMT when f is 0.01 of carrier

spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

2.6 The ICI, ISI, and signal energy of CMT when f is 0.02 of carrier

spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

2.7 The ICI, ISI, and signal energy of CMT when f is 0.01 of carrier

spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

2.8 Signal to interference ratio in the presence of carrier offset for SMT

and CMT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

2.9 Distortion of SMT, CMT, and OFDM in the presence of carrier offset

when SNR=10 dB. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

2.10 Degradation of SMT, CMT, and OFDM in the presence of carrier

offset when SNR=30 dB. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

2

2.11 The ICI, ISI, and signal energy of SMT when t0 is 64

T. . . . . . . . . . . . 40

1

2.12 The ICI, ISI, and signal energy of SMT when t0 is 64

T. . . . . . . . . . . . 40

1

2.13 The ICI, ISI, and signal energy of CMT when t0 is 64

T. . . . . . . . . . . . 41

2

2.14 The ICI, ISI, and signal energy of CMT when t0 is 64

T. . . . . . . . . . . . 41

2.15 Signal to interference ratio in the presence of timing offset for SMT

and CMT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

2.16 Distortion versus normalized timing offset for SNR = 10 dB. . . . . . . . 43

2.17 Distortion versus normalized timing offset for SNR = 30 dB. . . . . . . . 44

3.1 General structure of a synthesis filterbank . . . . . . . . . . . . . . . . . . . . . . 47

3.2 Polyphase implementation of a synthesis filterbank. . . . . . . . . . . . . . . 48

3.3 Simplified structure for the polyphase synthesis filterbank. . . . . . . . . . 49

3.4 Block diagram of a discrete time analysis filterbank. . . . . . . . . . . . . . . 49

3.5 Polyphase analysis filterbank. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

3.6 Simplified polyphase structure for analysis filterbanks. . . . . . . . . . . . . 51

3.7 A discrete time SMT transmitter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

3.8 Block diagram of type-I polyphase implementation of SMT transmitter. 53

3.9 A discrete time SMT receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

3.10 Block diagram of type-I polyphase implementation of SMT receiver. . 56

3.11 A combined discrete time SMT transmitter. . . . . . . . . . . . . . . . . . . . . 57

3.12 Block diagram of type-II polyphase implementation of SMT transmitter. 58

3.13 A combined discrete time SMT receiver. . . . . . . . . . . . . . . . . . . . . . . . 59

3.14 Block diagram of type-II polyphase implementation of SMT receiver. . 60

3.15 Block diagram of type-III polyphase implementation of SMT trans-

mitter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

3.16 Block diagram of type-III polyphase implementation of SMT receiver. 67

3.17 Block diagram of polyphase implementation of CMT transmitter. . . . . 70

3.18 Block diagram of polyphase implementation of CMT receiver. . . . . . . 71

4.1 Packet format in IEEE 802.11a. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

4.2 The proposed packet format for FBMC systems. . . . . . . . . . . . . . . . . . 79

4.3 Power spectral density of the proposed long preamble. . . . . . . . . . . . . 80

4.4 The signal analyzer for timing acquisition. . . . . . . . . . . . . . . . . . . . . . . 84

4.5 Residual CFO of the proposed long preamble-based carrier acquisition

methods. The vertical axis shows the MSE of residual CFO normal-

ized to the subcarrier spacing of the payload. The horizontal axis

indicates the SNR during the payload part of the packet. . . . . . . . . . . 88

4.6 SIR comparison of (4.23) and (4.24). The histogram are based on

testing over 10000 randomly generated channels. . . . . . . . . . . . . . . . . . 89

5.1 A PLL equipped FBMC receiver. The input y[n] is the demodulated

received signal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96

5.2 A PLL equipped SMT receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96

xi

5.3 A PLL equipped CMT receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

5.4 Performance of the PLL for carrier tracking in a CMT receiver. The

top figure shows the phase error, [n], at the loop filter input. The

lower figure shows the phase jitter, [n], of the input signal to the

analysis filterbank. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

5.5 Performance of the PLL for carrier tracking in an SMT receiver. The

top figure shows the phase error, [n], at the loop filter input. The

lower figure shows the phase jitter, [n], of the input signal to the

analysis filterbank. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

5.6 Mean square error at the output of an SMT receiver, averaged over

all subcarriers, with and without a timing tracking loop. . . . . . . . . . . . 102

5.7 Comparison of the MSE of CMT and SMT in tracking mode. . . . . . . . 103

5.8 Comparison of the MSE of CMT for three cases: CMT1 (KP = 0.1208,

KI = 0.0068), CMT2 (KP = 0.0837 and KI = 0.001), CMT3 (KP =

0.0193 and KI = 0.0001), and SMT in tracking mode. . . . . . . . . . . . . . 104

6.1 Progressive simulation based design (PSBD) of a single cognitive mo-

dem. The implementation starts from the sensing component and

progressively more of the simulated models (left dotted box) are im-

plemented (right dotted box). The rectangles are DEVS models sim-

ulated, and parallelograms are implemented components on SDR . . . . 109

6.2 Transmitter data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114

6.3 Receiver data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

6.4 The testbed setup for examining the performance of filterbank sensing.118

6.5 Power spectral density (PSD) measurements by FFT, FFT with han-

ning window, and filterbank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

7.1 An example of the test signal according to [1]. . . . . . . . . . . . . . . . . . . . 124

7.2 General structure of a filterbank MCR system . . . . . . . . . . . . . . . . . . 126

7.3 An example of the magnitude response of the window function w(t)

and its factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

7.4 Magnitude responses of H(f ) according to a raised-cosine design and

prolate design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

7.5 An example of the test signal after applying w(t). The window

function w(t) is based on a prolate design. . . . . . . . . . . . . . . . . . . . . . . 132

7.6 Magnitude response of the analysis prototype filter. . . . . . . . . . . . . . . 135

xii

ACKNOWLEDGMENTS

his guidance and patience. I could not finish this endeavor without his support.

Thanks to Dr. Farhang, I learned not only my field of research but also various

other subjects. I would like to acknowledge help and support of Dr. Cynthia

Furse, Dr. Rong-rong Chen, Dr. Keneth Stevens and Dr. Fred Noo, members

of my thesis committee. I thank Dr. Roland Kempter and Ehsan Azarnasab for

their help and useful discussions on different areas of wireless communications and

embedded programming. My brother, Pooyan, your support and your presence in

Salt Lake City in the last two years of my PhD was extremely helpful. I would also

like to express my thanks and gratitude to my great friends, Dr. Farhad Mahdavi,

Sussan Saghei, Marieh Nasoori, Dr. Hossein Mirfakharai, Mehran Tahmasebi, and

Farideh Bahremanpour for helping me through the most difficult times.

My parents, Masoud and Mahin, I would have not achieved this if you had not

set me on the path of learning and hard work.

It should be mentioned that parts of this dissertation have been previously

published in IEEE sensor journal, proceedings of 2005, 2006, and 2007 software

defined radio technical conference, and proceeding of 2008 IEEE dynamic spectrum

access conference. I acknowledge my funding sources, National Science Foundation

and University of Utah Technology Commercialization Office. I would also like

to thank the software and hardware support from Software Defined Radio Forum,

Lyrtech, Texas Instruments, Xilinx, Mathworks, Greenhills, Prismtech, Zeligsoft,

and Synplicity.

CHAPTER 1

INTRODUCTION

The demand for ubiquitous wireless services has been on rise in the past and

is expected to remain the same in the future. As a result, the vast majority of

the available spectral resources have already been licensed. In the United States,

government regulatory agencies have allocated different blocks of spectrum from 9

kHz to 300 GHz for various applications. Hence, it appears that the regulated radio

spectrum has been fully occupied and new applications will not have access to the

radio spectrum. However, spectrum bands need to be made available to the public

even if they are already allocated or licensed. It has been noted that the static

frequency allocations have resulted in inefficient usage of the spectrum resources.

For example, measurements have shown that that the actual spectrum utilization

in the 3-4 GHz frequency band is 0.5% and 0.3% in the 4-5 GHz [2]. In fact, most

of the commercial wireless systems transmit intermittently and they need variable

bandwidth over time.

The advancement of digital signal processors (DSPs), general purpose processors

(GPPs) and field-programmable gate arrays (FPGAs) has enabled us to build

reconfigurable radios. These radios can change their configuration to meet the

requirements of communication network they are operating on. This concept is

the foundation of software defined radios where the radio functionality is mostly

accomplished by software programming. In software defined radios (SDR), once

the signal is digitized, the radio functions are implemented using software-driven

components. Hence, the SDR technology has enabled us to build radios that can

transmit over different frequency bands and change their modulation schemes and

pulse shapes based on policies defined in software. Consequently, cognitive radio

2

technology has been proposed where the cognitive radio can share the spectrum

with the incumbent licensed users. In other words, cognitive radio technology

enables us to have secondary (i.e., unlicensed) users that are allowed to transmit

and receive data over portions of the spectra when primary (i.e., licensed) users

are inactive. This is done in a way that the secondary users (SUs) are invisible

to the primary users (PUs). In such a setting, PUs are ordinary terminals within

their base-station centric network or in direct point-to-point communications. PUs

thus do not need to possess much intelligence beyond the ability to communicate

with their peers in their networks. The SUs, on the other hand, should have

the intelligence of sensing the spectrum and using the available resources when

they need them. At the same time, the SUs need to give up the spectrum when

a PU begins transmission. This emerging technology is being investigated and

used by different research organizations and government agencies. The DARPA

next generation program (XG) [3] and wireless network after next (WNAN) [4]

programs have been studying the applicability of dynamic frequency-selective radios

based on cognitive radio concepts. Agile radios dynamically adapt to the channel

environment. These radios assess their environment and the spectrum policies and

regulations and capitalize on the available spectrum in their environment.

The enhancements in communication technology as well as the new requirements

for the public safety agencies indicate that narrow-band real-time voice communi-

cations might not be sufficient for mission critical applications. The International

Telecommunication Union (ITU) and National Emergency Number Association

(NENA) are developing the multimedia location based communication requirements

for inclusion in the next generation of public safety architectures [5]. Furthermore,

in disaster scenarios such as earthquake or hurricane the communication infras-

tructure might be damaged and therefore ad-hoc cognitive wireless communication

becomes more critical [6]. Therefore building radios which can dynamically adapt

to the environment and transmit with high data rates can save lives and reduce the

risks involved in the missions of public safety agencies [5].

The advancements in SDR technology, and the under-utilization of spectrum in

3

to open the TV spectrum band for cognitive use in 2004 [7]. IEEE 802.22 working

group [7] is currently working on constructing Wireless Regional Area Networks

(WRAN) which utilize the white spaces in the allocated TV spectrum.

The 802.22 radio needs to operate on TV bands without interfering with the TV

signals. Therefore the main challenge in the development of the first commercial

cognitive radios is to ensure that the SUs are invisible to the PUs. To accomplish

this, the SUs need to sense the spectrum, and this involves a spectral analysis.

When the modulation scheme of the licensed signal is known, detection of the PUs

can be performed through feature detection. This is the case in IEEE 802.22,

which is currently being designed to operate in the TV bands. However, in the

general case where the signal features might not be available, spectral analysis

mainly relies on energy detection. Therefore, it is important that the spectrum

sensing of SUs features high spectral dynamic range and frequency resolution. The

other challenge in design of cognitive radios is building a radio that can efficiently

access the available spectrum holes. The radio should be able to dynamically and

effectively change its pulse-shape and fill in the spectrum holes.

In the rest of this chapter we first talk about multicarrier communications and

its applications to the cognitive radios. Then we present the orthogonal frequency-

division multiplexing and fast fourier transform (OFDM/FFT) system and study its

performance in cognitive radio applications. Filterbank sensing and its performance

are presented in Section 1.3. In Section 1.4, staggered modulated multitone (SMT),

cosine-modulated multitone (CMT) and filtered multitone (FMT) are introduced

as three filterbank communication methodologies. Finally, the contributions and

organization of this dissertation are described.

for Cognitive Radios

Multicarrier communication technology has been suggested as a suitable candi-

date to utilize the white spaces in the spectrum [8]. OFDM was the first multicarrier

technique proposed for CRs. The rationale is that any cognitive radio needs to

4

sense the spectrum, and this involves some sort of spectral analysis. Since the fast

Fourier transform (FFT) can be used for spectral analysis and at the same time

act as the demodulator of an OFDM signal, OFDM is a suitable candidate for

multicarrier-based cognitive radio systems. However, a number of shortcomings of

OFDM in the application of cognitive radio have been noted in [9] and solutions

to them have been proposed. To elaborate, the source of the problems with the

OFDM solution is the large side-lobes of the frequency response of the filters

that characterize the channels associated with subcarriers in an OFDM system.

Therefore, there is significant interference among the carriers of different SUs as

well as between SUs and PUs in the wireless channel.

If the spectrum sensor lacks a sufficiently high spectral dynamic range, SUs

may not be able to detect the low power PUs and they may interfere with them.

Moreover, if the resolution of the spectrum sensing is low, the radio will not be

able to best harness the wireless resources. It has been shown that FFT as part

of an OFDM data transmission system is not able to provide a sufficiently high

spectral dynamic range for channel sensing. On the other hand, as a channel

sensing tool, filterbank-based spectrum analyzer can be applied to cognitive radios

and its performance found to be close to that of the Thomsons multitaper method

(MTM) [10], which has been proposed as the best candidate for cognitive radios [11].

A multicarrier transceiver is required to feature two major properties in a

cognitive radio system where the SU dynamically fills the spectrum holes. First,

the cognitive radio transmitter must confine the spectral content of the transmitter

within the selected band(s), i.e., spectrum holes. In other words, its out-of-band

interference must be minimized. Second, the receiver should be able to avoid the

in-band interference from the other signals on the channel [12]. In other words, in

order to increase bandwidth efficiency, receivers need to have acceptable out-of-band

rejection capabilities. An OFDM signal has large side lobes and therefore, does

not satisfy the first requirement. Moreover, OFDM/FFT does not satisfy the

FCCs envisioned out-of-band rejection requirements [13]. On the other hand,

filterbank multicarrier can overcome the spectral leakage problems of OFDM at the

5

transmitter side and therefore lead to less interference from SUs to PUs and other

SUs. Filterbank receiver is also capable of providing high out-of-band attenuation.

Therefore, filterbank multicarrier has been suggested as an alternative to OFDM.

Filterbank multicarrier transmitter and receiver are implemented using a synthesis

filterbank at the transmitter and analysis filterbank at the reciver [12]. A block

diagram of a transmitter and a receiver filterbank multicarrier is presented in

Fig. 1.1.

Three classes of filterbank multicarrier (FBMC) have been studied in the lit-

erature. Interestingly, the first multicarrier methods that were developed, prior

to OFDM, were filterbank-based. The first proposal came from Chang in the

1960s, [14], who presented the conditions required for signaling a parallel set of

pulse amplitude modulated (PAM) symbol sequences through a bank of overlapping

vestigial side-band (VSB) modulated filters. A year later, Saltzberg extended the

idea and showed how the Changs method could be modified for transmission of

quadrature amplitude modulated (QAM) symbols [15]. Saltzberg showed that

a perfect reconstruction FBMC system can be implemented using a half-symbol

space delay between the in-phase and the quadrature components of QAM symbols

and by proper transmit and receive pulse-shapes in a multichannel QAM system

while having the maximum spectral efficiency. In 1980s, Hirosaki progressed more

on FBMC and proposed an efficient polyphase implementation for the Saltzberg

method [16][18]. The method proposed by Saltzberg is referred to as OFDM based

on offset QAM or OFDM-OQAM. The offset comes from the half symbol shift

between the in-phase and quadrature of each QAM symbol with respect to each

other. We refer to this method as staggered modulated multitone (SMT), where

the word staggered refers to the fact that the in-phase and quadrature components

in each QAM symbols are time staggered.

The pioneering work of Chang [14] has received much less (direct) attention

than SMT. Nevertheless, the cosine modulated filterbanks that have been widely

studied within the signal processing community [19] are nothing but a reinvention

of Changs filterbank, formulated in discrete time. The use of cosine modulated

6

ej2f0 n

s0 [k]

N hT [n]

j2f1 n

e

s1 [k]

N hT [n] ! Re{} Channel

ej2fN 1 n ej2fc n

sN 1 [k]

N hT [n]

ej2f0 n

s0 [k]

hR [n] N

ej2f1 n

s1 [k]

hR [n] N

Channel

ej2fc n ej2fN 1 n

sN 1 [k]

hR [n] N

filterbanks for data transmission was widely studied in the 1990s. The advance-

ments in digital subscriber line (DSL) technology led to more work on two classes

of FBMC communication systems, namely, filtered multitone (FMT) and discrete

wavelet multitone (DWMT) modulation [20]. More recently, in [21] it has been

shown that DWMT is essentially using cosine-modulated filterbanks. Therefore,

DWMT was renamed to cosine-modulated multitone (CMT). It is also known that

CMT is using vestigial sideband (VSB) modulation to transmit PAM symbols [21].

FMT is another multicarrier communication scheme which has been proposed

for DSL applications [22]. In FMT, the adjacent subcarriers do not overlap. There-

7

fore, FMT is not bandwidth efficient when it is compared with SMT and CMT.

1.2 OFDM/FFT

OFDM has a number of problems for cognitive radio applications [8]. Herein,

we discuss some shortcomings of OFDM in cognitive radio networks. Assuming

that the data symbols are independent, the power spectral density (PSD) of an

OFDM signal can be described as a summation of PSDs of each subcarrier

X

( f ) = i (f ) (1.1)

i

In (1.2), K is the signal level, TS is the period of an OFDM symbol which is the

summation of one FFT block and the guard interval, and fi is the center frequency

of the ith subcarrier.

The sidelobes of the sinc pulse shape is relatively large. Therefore, the out-

of-band energy generated by an OFDM signal is significant. In a cognitive radio

setting, where it is critical to have minimal interference with the PUs, the side-lobes

may cause an unacceptable level of interference to the PUs. The sinc shape of the

subcarrier PSD is a direct result of the abrupt transition among successive OFDM

symbols. The sinc pulse shape can be avoided if we use soft transitions among

successive symbols. Cyclic extension of each OFDM symbol from TS to (1 + 2)TS

and windowing by a raised cosine shape can provide us the soft transition. Fig. 1.2

shows how the successive extended OFDM symbols are overlapped. This scheme

increases the effective duration of each OFDM symbol from TS to (1 + )TS , which

1

results in bandwidth loss of +1

.

Weiss et al. investigated different choices of , and concluded that as large as

1 is needed to obtain a reasonable suppression of the out-of-band energy [8]. Fig.

1.3 depicts an example of the PSD for various choices of . This clearly shows the

large side-lobes of the rectangular window ( = 0) and how the side-lobes decrease

in magnitude as increases.

8

TS TS TS

One point worth noting is that even though the raised cosine window reduces

the side-lobes of the subcarrier spectra, the side-lobes close to the main lobe are

still large (Fig. 1.3). This point is noted in [8] where a subcarrier deactivation

mechanism is used to avoid subcarrier bands near the active PU band. This

mechanism results in a further loss in bandwidth efficiency. Brandes et al. [23], [24]

propose a method for side-lobes reduction by using non-zero value deactivated

subcarriers. It has been reported in [24] that side-lobes at around 60 dB can be

achieved for = 0.2. Unfortunately, the subcarrier cancelation procedure involves

a constraint optimization for each OFDM symbol, which is a computationally

expensive task. Using filterbank solution, on the other hand, lower side-lobes

(90 dB) can be achieved at virtually no additional computational cost [13].

As was mentioned at the beginning of this chapter, the out of band rejection

capability of a cognitive radio receiver is important to minimize the interference

received by a SU from PUs and other SUs. This is a major problem in an OFDM

receiver if proper considerations are not taken into account [8]. The solution to the

potentially weak out-of-band rejection has been studied in the DSL literature [25].

It is shown that this problem can be solved by applying a window to the received

signal prior to passing it to the FFT block for demodulation. Fig. 1.4 presents the

method of receiver windowing. If the window is rectangular, one picks N samples

of a received OFDM symbol, during the time T . These N samples are then passed

to an N -point FFT for demodulation. Using windowing at the receiver, (1 + )N

samples are picked from the OFDM symbol and the window is applied to them.

A Fourier transform is then applied to (1 + )N time-domain samples and the

9

0

=0

10 =0.25

20 =0.5

=1

30

40

i(f), dB

50

60

70

80

90

100

0 2 4 6 8 10

fT

Figure 1.3: The power spectral density of a subcarrier of an OFDM signal when

different choices of the roll-off parameter is used.

the time-domain samples and applying an N -point FFT to the aliased samples.

The arrows in Fig. 1.4 show that the samples in the shaded areas are added to the

windowed samples at the two corners of the time period T . While windowing at

the receiver provides us with better out-of-band rejection, it requires the addition

of cyclic prefix and suffix samples which results in reduction of the bandwidth

efficiency of OFDM.

Therefore, OFDM can be applied to cognitive radios only if windowing is per-

formed at both transmitter and receiver sides. In addition, deactivation of subcar-

riers next to other PUs or SUs or applying side-lobe canceler subcarriers is needed.

All of the interference suppression methods come at the cost of loss in bandwidth

efficiency.

Most practical sensing methods are based on energy detection, i.e., if the re-

ceived energy for a given carrier is greater than a defined threshold, that carrier is

assumed to be busy. In order to reliably detect available spectrum holes, the channel

10

T T

2 2

(1 + )TS

sensing mechanism needs to have a high spectral dynamic range. While FFT has

been suggested as one channel sensing method, note that it suffers from a number of

shortcomings that originate from the large side lobes of the frequency response of the

filters that characterize each subcarrier. These sidelobes produce spectrum leakage

from neighboring subcarriers, resulting in significant inaccuracy and low dynamic

range. Thus, with the FFT, SUs are less spectrum agile and cannot detect low

power users. This might not be an important issue in systems where the channel

access is performed in Time Division Duplex (TDD) and Time Division Multiple

Access (TDMA). However, for the systems that incorporate frequency division

multiple access and frequency division duplex (FDMA/FDD), the limitations of

FFT are serious. Hence, in our solution [12], we propose using filterbanks as the

sensing method. By using a filterbank sensing system, the side lobes of the filters

associated with each carrier can be made arbitrarily small by adjusting filter length

and design. As a result, filters are no longer the limiting factor in achieving high

spectral dynamic range. The signal power of the output of the filterbank is then

used to estimate the signal spectrum. A block diagram of a filterbank spectrum

sensor is presented in Fig. 1.5 where h(t) is the prototype filter used for spectrum

sensing, fc + f0 , fc + f1 ,...,fc + fN 1 are the center frequency of the spectrum bands

we are sensing.

11

ej2f0 t

ej2f1 t

Channel

ej2fc n ej2fN 1 t

Haykin showed that the multitapper method (MTM) is a near optimal channel

sensing method [11]. Unfortunately MTM comes at the expense of high computa-

tional complexity. In [12] and [26], it was shown that a filterbank of prolate filters

can be used for sensing with virtually ideal performance. In the filterbank sensing

method, a prototype filter is designed and then modulated to sense each subcarrier.

Implementation can be performed efficiently through a polyphase structure which

is described in Chapter 3.

It is worth noting that filterbank sensing can be applied to other applications

when we need to detect the presence of a signal in a medium. For example, in

wiring applications, test signal should be transmitted on unoccupied portions of the

spectrum, so that it does not interfere with the live signal on the wire. Therefore,

spectrum sensing can be used to detect the presence of the live signal on the wire

and to find the spectrum holes which can be used to transmit a test signal [27].

Moreover, one can use the filterbank to generate test pulse shapes that have low

out-of-band interference to transmit on the spectrum holes on the wire.

12

In this section, we give a brief overview of the three filterbank multicarrier

communication schemes in the literature: FMT, CMT and SMT. A description of

these methods and their applicability to cognitive radios is presented in [12].

Offset quadrature amplitude modulation (OQAM) is a variation of quadrature

amplitude modulation (QAM). Saltzberg showed that by choosing a root-Nyquist

filter with symmetric impulse response for pulse-shaping at the transmitter and

using the same for match filtering at the receiver in a multichannel QAM system,

and by introducing a half symbol space delay between the in-phase and quadrature

components of QAM symbols, it is possible to achieve baud-rate spacing between

adjacent subcarrier channels and still recover the information symbols, free of

intersymbol interference (ISI) and intercarrier interference (ICI). This method has

an advantage over the conventional orthogonal frequency division multiplexing

(OFDM). Unlike OFDM, OQAM multicarrier does not need any cyclic prefix sam-

ples for resolving ISI and ICI. OQAM multicarrier, thus, is more bandwidth efficient

than the conventional OFDM. As noted earlier, in this dissertation we use the

terminology Staggered Modulation Multitone (SMT) to refer to FBMC system

that uses OQAM modulation.

In a CMT multicarrier system, parallel streams of real data symbols are trans-

mitted using a set of vestigial side-band (VSB) subcarrier channels. Each carrier

conveys a stream of pulse amplitude modulated (PAM) symbols. This scheme

also has the maximum possible bandwidth efficiency. In a CMT system, in order

to transmit N complex symbols on each multicarrier symbol, a system with 2N

subcarrier is implemented where each carrier conveys a real symbol, while, in an

SMT system the transceiver would have N subcarriers that convey N complex

symbols. If SMT symbols are transmitted at the rate of 1/T complex symbols

on each subcarrier with a bandwidth of 1/T , an equivalent CMT system with the

13

same data rate, would have a rate of 1/T real symbols on each subcarrier with the

bandwidth of 1/2T . Therefore, the same bandwidth is divided into twice as many

subcarriers in case of CMT to achieve the same data rate.

In FMT, subcarriers are arranged such that adjacent subbands do not overlap.

As such, FMT may be seen as a multicarrier communication technique that follows

the principle of the legacy frequency division multiplexing (FDM) methodology

to separate a high-rate data stream into a number of disjoint frequency bands.

However, we note that in order to keep the subcarrier bands nonoverlapping, excess

bandwidth has to be reserved to allow for a transition band for each subcarrier.

Hence, there is some bandwidth loss due to the guardbands in FMT communication

systems.

In SMT, each subcarrier band is double side-band modulated and carries a

sequence of QAM (i.e., complex-valued) symbols. Opposed to this, in CMT,

subcarrier modulation is vestigial sideband and the subcarriers carry a sequence of

PAM (i.e., real-valued) symbols. Therefore, assuming identical symbol duration and

number of subcarriers, the CMT signal occupies half the bandwidth of SMT, and

of course, only providing half of its data rate. FMT, on the other hand, introduces

guard bands between adjacent subcarriers which are complex modulated. The

width of the guardbands depends on the specific system implementation. Therefore,

for an identical number of subcarriers and identical symbol timing, FMT requires

more bandwidth than SMT [12]. This relationship is shown in Figure. 1.6.

This dissertation is focused on applications of filterbank multicarrier techniques

for cognitive systems. Filterbank multicarrier is applied to cognitive radios for data

communications and spectrum sensing. The implementation issues for filterbank

techniques are investigated. Data aided methods are proposed for timing and carrier

14

2

R=

T

(a) FMT

f

2 NR(1+a), a >0

R=

T

(b ) O F DM - OQ A M

f

NR

R/2=

T

( c) C MT

NR/2

recovery in SMT and CMT communication systems which were proposed for other

applications as well. SMT has been a candidate for physical layer of IEEE 802.11

and Third Generation Partnership Project (3GPP) LTE (Long Term Evolution).

Furthermore, a cognitive system is designed for fault detection on the live wires

based on filterbank multicarrier spectrum sensing and test signal generation.

The contribution of this dissertation are as follows:

show that some of the polyphase structures which are proposed for SMT in

the literature are not applicable to frequency selective channels.

phase and carrier offset is investigated. We show that when carrier and timing

offset are small, it is possible to use decision directed methods.

15

in wireless channels. A novel formulation for a family of polyphase structures

which was used for SMT is derived. Using our derivation, it is shown that

some of the SMT analysis structures in [28] and [29] are not applicable to

frequency selective channels.

Much of the recent CFO estimation literature attempts to develop blind CFO

estimators based on correlation properties of SMT signal. These methods

need a large window of signal to detect the carrier and timing offset and

are complex to implement. We focus on design of a preamble for packetized

communication system which may be used in practical systems. We present

a preamble structure which can be used in a packet based communication

system to detect the packet, adjust the AGC gain, and perform carrier acqui-

sition, timing recovery, and channel estimation.

While preamble is used for initial timing and carrier offset estimation, without

any carrier tracking loop, the carrier and timing phase may drift over the

length of the payload. The necessity of carrier and timing offset tracking

arises especially due to the use of long packets in data communication systems

such as 802.11n. We propose decision directed timing and carrier tracking

mechanisms for SMT and CMT. These tracking methods may be used to

track the residual offsets after the initial acquisitions are done.

radio platform. The cognitive radios use the filterbank sensing technique

which provides us with a reliable spectrum sensor. Therefore, we are able to

show that the cognitive radio can detect the presence of low power as well

as high power users and transmit in white space. Moreover, the radio can

move to an unoccupied part of a band when a PU starts transmitting on the

spectrum band that it is currently using.

16

niques. Analysis filterbank are used for spectrum sensing on a live wire and

find spectrum holes to transmit a test signal. Using synthesis filterbanks, test

pulse shapes are generated which have very low out-of-band interference and

thus do not interfere with live signal. The pulse shape is transmitted on the

wire and the reflections are passed through the analysis filterbank; the output

of the analysis filterbank is then used to detect faults on the wire.

Filterbank communication methods are presented in Chapter 2. SMT and

CMT methods are discussed in details and the orthogonality conditions are derived.

Synchronization in multicarrier systems is more essential than single carrier systems

due to loss of orthogonality among subcarrier when carrier and timing offset exists.

Chapter 2 also discusses the sensitivity of SMT and CMT to carrier and timing

offset. It is shown in the simulation results that SMT and CMT outperform OFDM

in terms of CFO immunity especially when high SNRs are required. This chapter

provides the basic framework for Chapters 3, 4, and 5 where implementation and

synchronization issues for SMT and CMT are discussed.

Efficient techniques for implementation of filterbanks are presented in Chapter

3. Generic structures for polyphase implementation of synthesis and analysis filter-

banks are discussed. The generic polyphase structures are then used to investigate

three types of polyphase implementation that has been proposed for SMT in the

literature. A novel formulation for the third polyphase structure of SMT is pre-

sented. The new derivation shows that third polyphase structure for SMT is not

suitable for frequency selective channels. Polyphase structure for CMT systems is

also discussed in Chapter 3.

Packetized data are vastly used in wireless data communications. Preamble is

used at the beginning of a packet to perform automatic gain control (AGC), timing

and carrier offset synchronization, and channel estimation. In Chapter 4, we present

a novel preamble design for FBMC systems which can be used to perform all the

17

structure similar to IEEE 802.11a and g, and IEEE 802.11n training which are based

for OFDM. Our preamble starts with a training field which is called short preamble.

The short preamble is followed by a second training which is named long preamble.

Short preamble is used for AGC adjustment and course carrier acquisition. A long

preamble is appended to the packet which is used by the receiver to perform a more

accurate tuning of the carrier frequency, timing phase acquisition, and frequency

domain channel estimation.

A literature survey on CFO estimation algorithm for SMT based on conjugate

and the unconjugated cyclostationary properties of the received signal is presented

in Chapter 5. It is noted that the derived estimators in the literature are computa-

tionally expensive and require a large number of SMT symbols and in some cases,

these methods are designed for a nondispersive channel. In Chapter 5, we propose

timing and carrier tracking algorithms for SMT and CMT which are suitable for

implementation. The proposed timing and carrier tracking methods are decision

directed. A PLL is designed to avoid any built up phase error. Timing phase is

tracked by minimizing a cost function. The performance of the proposed methods

are studied through computer simulations.

Filterbank spectrum sensing is implemented as part of a cognitive radio re-

alization which is discussed in Chapter 6. Lyrtechs Small Form Factor Software

Defined Radio was used to implement a cognitive radio solution. In Chapter 6,

implementation results are presented which demonstrate that filterbank sensing has

high spectral dynamic range and thus can reliably detect the presence of primary

and secondary users in the band. The radio can reliably find white spaces in the

spectrum and transmit over them. Furthermore, it is shown that the radio can

move to an unoccupied part of the spectrum when an interferer start transmitting

on the band that it is currently using. This work has received recognition with

the best paper award in the 2007 Software Defined Radio Technical Conference

and Exhibitions. The cognitive radio network was successfully demonstrated in the

2007 SDR Exhibitions and 2008 IEEE DySpan Demonstration track where we were

18

able to show that our cognitive radios can coexist with other active primary and

cognitive devices.

Multicarrier reflectometry (MCR) for locating faults on live wires has recently

been proposed. Chapter 7 studies the use of filterbanks for generation/synthesis of

MCR test signals and also for signal analysis for fault identification and location.

We note that the test signals have to be confined to the portion(s) of the frequency

band that is (are) free of signals already on the wires in order to avoid interfering

with them. Moreover, for effective analysis of the reflected waves, optimal filters

that separate the test signal tones and also minimize leakage from the existing

signals on the wires should be designed. We discuss the criteria necessary to design

effective MCR systems and develop the relevant filterbank design procedures. In

Chapter 7, the novel idea of cognitive live wire testing is presented. A cognitive

live wire tester measures the live wire signal activities and decides which part of

the spectrum should be used for testing.

Finally, Chapter 8 presents the concluding remarks and future research. Various

areas of research about FBMC are presented in Chapter 8. We discuss that FBMC

can be applied to different communication applications and therefore research work

is required in many areas for FBMC systems to function in different usage scenarios.

CHAPTER 2

COMMUNICATION SYSTEMS

symbol interference (ISI) happens in wireless channels. ISI is often mitigated

through channel equalizers. However, channel equalizers are complex to implement

and difficult to adapt in practice when one has to deal with fast-varying wireless

channels. Furthermore, an equalizer enhances the noise over the portions of the

frequency band where the channel gain is small. Hence, significant degradation

might happen as a result of noise enhancement.

The spread of ISI across data symbols is proportional to the delay spread of the

channel and is inversely proportional to the symbol period. Therefore, by increasing

the symbol period equivalent to decreasing the data rate, one can decrease the ISI.

In multicarrier communication systems, a data stream is multiplexed into N parallel

substreams each of which has a rate N times slower. Therefore, the effect of ISI is

reduced proportional to N . The parallel streams are modulated at N subcarriers

and added together at the transmitter. The receiver separates the N streams of

symbols and demultiplexes them to the original higher rate stream of symbols.

OFDM technique is the most used multicarrier technique. It is implemented

over a variety of communication products. FBMC are alternative methods for

OFDM systems. OFDM systems use guard interval (the cyclic prefix - CP) to

combat channel distortion. FBMC, on the other hand, mitigates the problem of

channel distortion through filtering techniques. Using proper filter design, adjacent

subcarriers are the only ones that overlap, and thus there is almost no interference

from nonadjacent subcarriers. As a result, FBMC techniques are better suited

20

for system with high mobility and high doppler effect where orthogonality among

subcarriers might be destroyed and ICI mounts to considerable distortion in OFDM

signals. Furthermore, as discussed in Chapter 1, for asynchronous multicarrier

communications in multiuser systems and cognitive radio networks, big sidelobes

of OFDM subcarriers result in interference and therefore loss of performance. There

would be up to 50% loss in bandwidth efficiency to suppress the sidelobes [9].

It is also interesting to note that the researchers who have studied filterbanks

have invented a class of filterbanks which are called modified DFT (MDFT) fil-

terbank, [30]. Careful study of MDFT reveals that this is in fact a reinvention

of Saltzbergs filterbank (in discrete-time) with emphasis on compression/coding.

The literature on MDFT begins with the pioneering works of Fliege, [31], and later

has been extended by others, e.g., [32] and [33].

Here, we present an overview fn filterbank communication techniques: SMT,

CMT and FMT. We focus more on SMT and CMT where the bandwidth efficiency

is maximum. The polyphase implementation of SMT and CMT are discussed.

Formulation of FBMC sensitivity to timing and carrier offset is presented in Section

3.

In this section, we give an overview of the three filterbank multicarrier commu-

nication schemes in the literature: FMT, CMT and SMT. We derive the received

signal of CMT and SMT techniques and present the filter conditions satisfying near

perfect reconstruction.

In an SMT transmission system, shown in Fig. 2.1, N parallel complex data

streams are passed to N subcarrier transmission filters. The in-phase and quadra-

ture components are then staggered in time by half a symbol period, T /2. The

outputs of these filters are modulated using N subcarrier modulators whose carrier

frequencies are 1/T -spaced apart.

Suppose that we have complex input symbols according to

21

Transmitter

sI0 (t) h(t)

!

jsQ

0 (t)

h(t T /2)

ej ( T t+ 2 )

2

sI1 (t)

h(t) !

!

jsQ

1 (t)

h(t T /2) !{} Channel

ej2fc t

j(N 1)( 2

T t+ 2 )

e

sIM 1 (t)

h(t) !

!

jsQ

N 1 (t)

h(t T /2)

Receiver

sI0 (n)

!{} h(t)

sQ

0 (n)

!{} h(t + T /2)

ej ( T t+ 2 )

2

sI1 (n)

!{} h(t)

Channel

!

sQ

h(t + T /2) 1 (n)

!{}

ej2fc t

ej(N1)( T t+ 2 )

2

sIN 1 (n)

! !{} h(t)

sQ

N 1 (n)

!{} h(t + T /2)

k [n] (2.1)

k [n] are the real and imaginary parts of the nth symbol of the

k (t) as

X

sIk (t) = sIk [n](t nT ) (2.2)

n

X

sQ

k (t) = k [n](t nT ).

sQ (2.3)

n

where (t) is the Dirac delta function. The complex-valued baseband SMT modu-

lated signal is defined as

22

X

N 1

x(t) = xm (t) (2.4)

m=0

where

X

jm( 2t + )

xm (t) = sIm [l]h(t lT ) + jsQ

m [l]h(t lT T /2) e

T 2 . (2.5)

l=

Analogously, assuming an ideal channel, the output of the receiver, sk [n], consists

of the real and imaginary components sIk [n] and sQ

k [n],

k [n]. (2.6)

In (2.6), sIk [n] is found as the real part of the signal at the output of the corre-

sponding matched filter with response h(t) and expressed as

Z

= < yk ( )h((nT ))d

Z

= < h( nT )yk ( )d

2

+ 2 )

yk ( ) = ejk( T x( ) (2.8)

is the demodulated signal before matched filtering. Substituting (2.4) and (2.8) in

(2.8), we obtain

Z X

N 1

jk( 2 + 2 )

sIk [n] = < h( nT ) xm ( )e T d . (2.9)

m=0

X X

N 1 Z

sIk [n] = < h( nT ) sIm [l]h( lT ) (2.10)

l= m=0

j(mk)( 2

)

+ jsQ

m [l]h( lT T /2) e T

+ 2 d.

23

X X

N 1 Z

2

sIk [n] = sm [l]h( nT )h( lT ) cos (m k)

I

+

l= m=0 T 2

2

sQm [l]h( nT )h( lT T /2) sin (m k) + d.

T 2

(2.11)

Changing the variable nT to and then taking into account that l varies from

to , (2.11) can be simplified to

X X

N 1 Z

2

sIk [n] = + l]h( lT )h( ) cos (m k)

sIm [n +

l= m=0 T 2

2

sm [n + l]h( lT T /2)h( ) sin (m k)

Q

+ d.

T 2

(2.12)

in Fig. 2.1. Similarly, the imaginary part of sn [k], sQ

k [n], can be found as

sQ (2.13)

Starting with (2.13) and following the same line of derivations as above, we obtain

X X

M 1 Z

2

sQ

k [n] = sm [n + l]h( lT )h( + T /2) sin (m k)

I

+

l= m=0 T 2

2

+sQm [l + n]h( lT + T /2)h( + T /2) cos (m k) + d .

T 2

(2.14)

We now proceed to discuss the design of the matched filter h(t). In an ideal

transmission system, the received signal equals the transmitted one and

sQ Q

k [n] = sk [n]. (2.15)

It follows directly from (5.6) and (5.7), that (2.15) can be met, if h(t) is chosen

such that the following identities are satisfied.

24

Z

2

h( lT )h( ) cos (m k) + d = [m k, l] (2.16)

T 2

Z

2

h( lT T /2)h( ) sin (m k) + d = 0 (2.17)

T 2

Z

2

h( lT )h( + T /2) sin (m k) + d = 0 (2.18)

T 2

Z

2

h( lT + T /2)h( + T /2) cos (m k) + d = [m k, l] (2.19)

T 2

where [m k, l] is the Dirac delta function. [m k, l] is one if m k = 0

and l = 0 and it is zeros otherwise. For convenience of the design, it is common to

constrain h( ) to a real and even (i.e., symmetric around = 0) function of time, .

Under these constraints, one can show that the integrand in (2.17) is anti-symmetric

around = lT /2 + T /4 and the integrand in (2.18) is anti-symmetric around =

lT /2T /4. These, in turn, imply that (2.17) and (2.18) are automatically satisfied.

Hence, in designing h( ), it is sufficient to limit ourselves to the constraints imposed

by (2.16) and (2.19). Also, to further simplify the design of h( ), it is reasonable

to assume that only adjacent subcarrier bands may overlap. When this is the case,

only instances of m and k where m k = 0, +1, 1 need to be considered in (2.16)

and (2.19). Values of m and k where |m k| > 1 are related to nonadjacent

subcarrier bands and thus, their multiplication in (2.16) results in values close to

zero. Also, for m k = 0, and iff h( ) is a root-Nyquist filter, (2.16) equates to

Z

h( lT )h( )d = [0, l] = [l]. (2.20)

Finally, for m k = 1, (2.16) reduces to

Z

2

h( lT )h( ) sin = 0. (2.21)

T

Since, h( ) is a symmetric filter and sin is odd with respect to origin, we can easily

show that the integrand in (2.21) is anti-symmetric around = lT /2 + T /4 and

thus (2.21) is valid. In a similar way, and under the same conditions, one can show

that (2.19) reduces to (2.20). In summary, any realization of h( ) which is even and

real and satisfies the root-Nyquist condition in (2.20), leads to an SMT transceiver

system which satisfies (2.15).

25

Figure 2.2 presents the structure of a CMT multicarrier system. A synthesis

filterbank is used to bandlimit a set of PAM symbols to vestigial sideband signals

and modulate them to various frequency bands. This process is outlined graphically

in Figure 2.3. Fundamentally, vestigial sideband filtering is performed through a

frequency shifted version of a lowpass filter h(t), centered at f = /2T with impulse

response h(t)ej 2T t . The sequence of transmitted symbols in a CMT system can be

presented as

X

sm (t) = sm [n](t nT ) (2.22)

n

where sm [n] are real PAM symbols. According to Fig. 2.2, the baseband multicarrier

CMT signal at the transmitter, x(t), is obtained as

X

N 1

x(t) = xm (t) (2.23)

m=0

where

X

+

xm (t) = sm [l]h(t lT )ej 2T (tlT ) ejm( T t+ 2 ) . (2.24)

l=

The received PAM symbol on each subcarrier is the real part of the complex

jt jt

output of the matched filter, h(t)e 2T = h(t)e 2T , viz.,

sck [n] = yk (t) ? h(t)ej 2T t |t=nT (2.26)

and

yk (t) = ejk( T t+ 2 ) x(t). (2.27)

26

Transmitter

s0 (t)

h(t)ej 2T t

ej( T t+ 2 )

s1 (t)

h(t)ej 2T t ! !{} Channel

ej(N 1)( T n+ 2 )

ej2fc t

sM 1 (t)

h(t)ej 2T t

Receiver

s0 [n]

h(t)ej 2T t !{}

ej( T t+ 2 )

s1 [n]

h(t)ej 2T t !{}

Channel

ej(N 1)( T n+ 2 )

ej2fc n

sM 1 [n]

h(t)ej 2T t !{}

27

f f f

Hence, sck [n] may be extended as

Z

c

sk [n] = yk ( )h(nT )ej 2T (nT ) ejk( T + 2 ) d

X

N 1 X

+ Z

= sm [l]h( nT )h( lT )ej 2T (nT lT ) ej(mk)( T + 2 ) d.

m=0 l=

(2.28)

X

N 1 X

+ Z

sck [n] = sm [l]h( )h( (l n)T )ej 2 (nl) ej(mk)( T + 2 ) d. (2.29)

m=0 l=

Furthermore, by changing l n to l, and then taking into account that l varies from

to , we obtain

28

X

N 1 X

+ Z

sck [n] = sm [l + n]h( )h( lT )ejl 2 ej(mk)( T + 2 ) d. (2.30)

m=0 l=

as

X

N 1 X

+ Z

sk [n] = sm [l+n]h( )h( lT ) cos (mk)( + )l d. (2.31)

m=0 l= T 2 2

Using (2.59), in order to have an ISI free communications, the following identity

should be satisfied Z

cos(l ) h( )h( lT )d = [l]. (2.32)

2

Noting that, cos(l 2 ) is equal to zero for odd values of l. (2.32) reduces to

Z

h( )h( 2kT )d = [m] (2.33)

These results imply that h(t) should be a square-root Nyquist filter with zero

crossing at the interval of 2T . Hence h(t) is a pulse shape that normally would

1

be used in a system with a data rate of 2T

. This is inline with the fact that we

are transmitting VSB signals with half the bandwidth of a QAM double sideband

signal. Similar to SMT, we assume that the filter h(t) is designed such that only

adjacent subcarriers overlap. Therefore, using (2.59), in order to have ICI free

communication, we need to have

g1 [l] = 0 (2.34)

and

g1 [l] = 0 (2.35)

Z

g1 [l] = h( )h( lT ) cos + l d (2.36)

T 2 2

and Z

g1 [l] = h( )h( lT ) cos + +l d. (2.37)

T 2 2

29

Z

g1 [2k] = (1)k+1

h( )h( 2kT ) sin d. (2.38)

T

By applying a change of variable kT to , we obtain

Z

g1 [2k] = h( + kT )h( kT ) sin d (2.39)

T

= 0.

where the second identity follows noting that h( + kT )h( kT ) sin

T

is an

odd function of . For l = 2k + 1, (2.36) simplifies to

Z

g1 [2k + 1] = (1) k

h( )h( (2k + 1)T ) cos d. (2.40)

T

2

in the above equation we get

Z

g1 [2k + 1] = h( + (2k + 1)/2T )h( (2k + 1)/2T ) (2.41)

sin d = 0.

T

Combining (2.39) and (2.41), one finds that g1 [l] = 0 for all l. We can show in a

similar way that g1 [l] = 0. Therefore, ICI free transmission can be achieved for

CMT communication systems.

FMT system works similar to a conventional frequency division multiplexing

method. There is no overlap between adjacent subcarriers and thus there is no

ICI. The reconstruction properties on each subcarrier can be derived similarly to

single carrier communication systems. Therefore, an square-root Nyquist filter can

be used for pulse shaping. Detailed discussion on FMT can be found in [22], [34].

One of the major disadvantages of multicarrier systems in general is their

sensitivity to carrier frequency and timing offset. It has been shown in the literature

that phase noise and misalignments in time and frequency can considerably degrade

30

interference from symbols on the same subcarrier which is refereed to as intersymbol

interference (ISI) and also intercarrier interference (ICI), [35], [36]. In this section,

we study the effect of timing and carrier offset on the performance of SMT and

CMT receivers. Furthermore, we will show that when the carrier frequency offset

(CFO) and timing offset are small, the term from the desired symbol is considerably

larger than the interference terms. Therefore, it is possible to detect the symbol

and incorporate decision directed algorithm to perform carrier and timing tracking

correctly (with a probability that is close to one).

The received inphase symbol in an SMT system is obtained as:

Z

sk [n] = <

I

h( nT )yk ( )d (2.42)

where yk ( ), in the presence of timing, carrier and phase offset, can be written as

jk( 2 +

2 ) x( t ) e j(2f + )

yk ( ) = e T

0

0

+ ( ) (2.43)

white Gaussian noise with E[( )2 ] = 2 . Substituting (2.4) and (2.43) in (2.42),

we obtain

"Z #

X

N 1

2

+ 2 +2f t+0

sIk [n] = < h( nT ) xm ( t0 )ejk( T ) d . (2.44)

m=0

X X

N 1 Z

sIk [n] = sIm [l]h( nT )h( t0 lT )

l= m=0

2 2mt0

cos (m k) + + 2f + 0

T 2 T

sQ

m [l]h( nT )h( t0 lT T /2)

2 2mt0

sin (m k) + + 2f + 0 d )

T 2 T

+ (nT ) (2.45)

31

where (t) is

Z

2k

(t) = ( )h(t t0 ) cos k + d. (2.46)

T 2

Applying the variable change nT to , (2.45) can be simplified to

X N X1 Z

I

sk [n] = sIm [n + l]h( t0 lT )h( )

l= m=0

2 2mt0

cos (m k) + + 2f + 2f nT + 0

T 2 T

m [n + l]h( t0 lT T /2)h( )

sQ

2 2mt0

sin (m k) + + 2f + 2f nT + 0 d

T 2 T

+ (nT ). (2.47)

In this chapter, we study the effect of timing and carrier offset with the assump-

tion of no residual phase error. That is assumed that 2f nT 2kt0

T

+ 0 is

being perfectly tracked and compensated, e.g., using a decision directed methods.

Furthermore, we assume that roll off factor of h is smaller than one. Thus at the

receiver, the interference term from the carriers which are more than one carrier

spacing away is negligible. As a result, we only consider the desired subcarrier and

the adjacent ones in our calculations. Hence, we can write sIk [n] as

X X

u=+1

Q

I I I Q

sk [n] = sk+u [l + k]gu [l] + sk+u [l + k]gu [l] + (nT ) (2.48)

l= u=1

where guI [l] and guQ [l] are the impact of the in-phase and quadrature symbols trans-

mitted on the carrier k + u on in-phase element of carrier k, respectively. guI [l] and

guQ [l] can be expressed as

Z

I

gu [l] = h( t0 lT )h( )

2 2ut0

cos u + + 2f d (2.49)

T 2 T

and

Z

guQ [l] = h( T /2 t0 lT )h( )

2 2ut0

sin u + + 2f d. (2.50)

T 2 T

32

In the rest of this chapter, the effect of carrier and timing offset is studied indepen-

dently. We investigate the effect of carrier and timing offset on SINR degradation

as well as the magnitude of ICI and ISI terms. SINR degradation is defined as

SINRA

D(f, t0 ) = (2.51)

SINRS

where SINRA is the signal to noise ratio at the input of the decision block at the

receiver which may have carrier or timing offset. SINRS is the signal to noise ratio

if the transmitter and receiver are completely synchronous. Using (2.48), SINRA

can be calculated as following

2

g0I [0]2 E[sIk [n]]

SINRA = (2.52)

2 P P u=+1 Q I 2 g I [0]2 + 2

E[sIk [n]] l=

2

u=1 gu [l] + gu [l] 0

while SINRS is

2

E[sIk [n]]

SINRS = . (2.53)

2

To the best of our knowledge there is no closed form equation for D(f, t0 ) in case

of SMT. Hence, the distortion can only be studied numerically.

In a CMT receiver, the received PAM symbol on kth subcarrier can be expressed

as Z

sk [n] = yk ( )h( nT )ej 2T (nT ) ejk( T + 2 ) d (2.54)

where

jk( T + 2 )

yk ( ) = e [x( t0 ) e2f +0

+ ( ) . (2.55)

X

N 1 X

+ Z

sC

k [n] = sm [l]h( )h( t0 + (l n)T )ej 2 (nl)

m=0 l=

mt

j (mk)( T + 2 ) T 0 +2f +0

e d. (2.56)

33

X

N + Z

1 X

c

sk [n] = sm [l + n]h( )h( lT t0 )

m=0 l=

mt

j (mk)( T + 2 ) T 0 +2f nT +2f +0

ejl 2 e d

+ (nT ) (2.57)

where (t) is Z

k

+ 2 )

(t) = ( )h(t t0 )ejk( T d (2.58)

Therefore, the received PAM symbol is

X

N + Z

1 X

sk [n] = sm [l + n]h( )h( t0 lT )

m=0 l=

mt0

cos (m k)( + ) l + 2f nT + 2f + 0 d

T 2 2 T

+ 0 (nT ) (2.59)

where 0 (nT ) = <{(nT )}. Using the assumption that the phase offset is perfectly

compensated, one obtains

X X

u=+1

sk [n] = sk+u [l + k]gu [l] + 0 (nT ) (2.60)

l= u=1

where

Z

gu [l] = h( )h( t0 lT )

ut0

cos u + l + 2f d. (2.61)

T 2 2 T

We can express the degradation for CMT is the same way as (2.51). Where SINRA

and SINRS are defined as

g0 [0]2 E[s2k [n]]

SINRA = (2.62)

P Pu=+1

u=1 gu [l] g0 [0]

2 I

E[sk [n]] l=

2 2 + 20

and

E[sk 2 [n]]

SINRS = . (2.63)

20

34

Similar to SMT case, there is no closed form solution in the current literature for

the degradation function of CMT. Hence, numerical results are presented for CMT

as well as SMT.

As mentioned in Section 2.1, in SMT and CMT systems, adjacent subcarriers

overlap. Therefore, SMT and CMT signals are susceptible to small offsets in carrier

frequency. Even a small CFO causes loss of orthogonality among the different

subcarriers and thus introduces ICI. To elaborate, CFO causes a shift in the

spectrum, and the received filter picks up interference from adjacent suncarriers.

Furthermore, carrier offset results in ISI in a single carrier OQAM system. In this

section, we study the resulted ICI and ISI from CFO.

We study the energy of the different interference terms for SMT and CMT in

the presence of small values of CFO, numerically. This numerical study is later

used to justify the use of a carrier offset tracking method. Figs. 2.4 and 2.5 present

the signal energy of the terms in (2.49) and (2.50) for the carrier offset of 0.02 and

0.01 of carrier spacing for an SMT system. The number of subcarriers are N = 64

and a square-root Nyquist prototype filter with length 6N is used which is designed

using the method described in [37]. As we can see in Fig. 2.4, the desired signal

I

,gQ [0], when the carrier offset is 0.02 of carrier spacing, has 30 dB higher power

than the interference terms with most power in g0I [0] and g0I [1]. In the second case

when the carrier offset is 0.01 of carrier spacing, the desired term has 40 dB power

more than the interference terms. Therefore, one may see that with carrier offset

of less than 0.02 of carrier spacing, the desired symbols have considerably higher

power than all the interference terms.

The interface power of CMT in the presence of 0.02 and 0.01 of carrier spacing

CFO are presented in Fig. 2.6 and Fig. 2.7, respectively. By studying these figures

one may realize that here also the desired symbols at these two values of carrier

offset have 30 dB and 40 dB higher power.

Next, we study the signal to interference ratio (SIR) where the power of inter-

35

0

10

20

30 gQ [l]

0

40

Interference power

gI0[l]

50

60 gQ [l]

1

70

gI1[l]

80

90 gQ [l]

1

100

gI1[l]

110

120

130

140

150

6 5 4 3 2 1 0 1 2 3 4 5 6

l

Figure 2.4: The ICI, ISI, and signal energy of SMT when f is 0.02 of carrier

spacing.

0

10

20

30 gQ [l]

0

40

Interference power

gI0[l]

50

60 gQ [l]

1

70

gI1[l]

80

90 gQ [l]

1

100

gI1[l]

110

120

130

140

150

6 5 4 3 2 1 0 1 2 3 4 5 6

l

Figure 2.5: The ICI, ISI, and signal energy of SMT when f is 0.01 of carrier

spacing.

36

0

10 g0[l]

20

g1[l]

30

40 g1[l]

Interference power

50

60

70

80

90

100

110

120

130

140

150

6 5 4 3 2 1 0 1 2 3 4 5 6

l

Figure 2.6: The ICI, ISI, and signal energy of CMT when f is 0.02 of carrier

spacing.

0

10

g0[l]

20

30 g1[l]

40 g1[l]

Interference power

50

60

70

80

90

100

110

120

130

140

150

6 5 4 3 2 1 0 1 2 3 4 5 6

l

Figure 2.7: The ICI, ISI, and signal energy of CMT when f is 0.01 of carrier

spacing.

37

ference is the summation of powers of all the interference terms. In Fig. 2.8, SIR for

SMT and CMT for different values of CFO are presented. It has been shown in [38]

that the performance of CMT and SMT is the same in the presence of carrier

offset. Thus Fig. 2.8 presents one curve for both CMT and CMT systems. As

indicated in Fig. 2.8, for the CFO values less than 0.023 of carrier spacing the SIR

is larger than 30 dB. Therefore, the desired symbols can comfortably be detected

for values of CFO less than 0.023 of carrier spacing. Moreover, one can see that the

CFO requirement for OFDM system which is 0.01 to 0.02 of carrier spacing [39] is

sufficient for SMT and CMT systems as well.

We also study the degradation that is caused by carrier offset both for SMT

and CMT systems and compare it to OFDM. Fig. 2.9 presents the distortion as a

function of carrier offset when the SNR at the receiver input is 10 dB. SMT and

CMT have the same distortion results as predicted in [38]. For a normalized carrier

offset (to the carrier spacing) of 0.1, SMT and CMT have the same results and they

both have 2 dB less distortion than an OFDM system. Fig. 2.10 presents distortion

when the SNR at the receiver input is 30 dB. As we can see, SMT and CMT have

90

CMT and SMT

80

70

Signal To Interference Ratio

60

50

40

30

20

10

0

0 0.023 0.04 0.06 0.08 0.1

Normalized Carrier Offset

Figure 2.8: Signal to interference ratio in the presence of carrier offset for SMT

and CMT.

38

1.8

OFDM

1.4

Distortion in dB

1.2

0.8

0.6

0.4

0.2

0

0 0.02 0.04 0.06 0.08 0.1

Normalized Carrier Offset

Figure 2.9: Distortion of SMT, CMT, and OFDM in the presence of carrier offset

when SNR=10 dB.

16

CMT and SMT

14

OFDM

12

Distortion in dB

10

0

0 0.02 0.04 0.06 0.08 0.1

Normalized Carrier Offset

Figure 2.10: Degradation of SMT, CMT, and OFDM in the presence of carrier

offset when SNR=30 dB.

39

0.8 dB less distortion than OFDM when the normalized carrier offset is 0.1. As a

result, if a system requires high SINR, SMT and CMT outperform OFDM in terms

of CFO immunity. This indeed is an important gain in a system with high data

rate when higher order modulations are required.

A drawback of FBMC modulation techniques is their sensitivity to timing offset.

SMT and CMT are more sensitive to timing errors than single carrier systems. In

this section, we study the sensitivity of SMT and CMT to timing offset.

We first study the ICI and ISI terms in the presence of timing offset for SMT.

2

Fig. 2.11 presents the ICI and ISI terms with timing offset of 64

of symbol timing.

Here, similar to the previous set of simulations, we assume no residual phase at

the sampling time. The interference from quadrature to in-phase part of signal

is thus equal to zero. The desired term has 30 dB more power than the terms

coming from ICI. Fig. 2.12 presents the ICI and ISI terms when timing offset is

1

64

of symbol timing. As can be seen in Fig. 2.12, the desired term is 40 dB above

the interference terms. Figs. 2.11 and 2.12 show us that the desired signal has

considerably higher power than the interference terms when the timing offset is as

high as 0.03 % of symbol timing. We will use this observation in Chapter 5 to

design a decision directed timing tracking algorithm.

Fig. 2.13 and Fig. 2.14 present the energy of the interference terms for CMT

system. As can be seen here also, the desired signal term has sufficiently higher

power in both cases and thus can be sliced properly. Therefore, decision directed

methodology is applicable to CMT timing tracking as well.

OFDM systems have immunity to timing offset if the timing offset is not bigger

than a threshold. The threshold is the length of CP minus the length of channel.

The immunity to timing offset is not present in FBMC systems and therefore

OFDM outperforms FBMC when timing offset is small and hence we do not have

a comparison between OFDM and FBMC in our simulation results. As a result,

more accurate timing acquisition and tracking methods need to be developed for

40

0

10

20

30 gQ [l]

0

40

Interference Energy

gI0[l]

50

60 gQ [l]

1

70

gI1[l]

80

90 gQ [l]

1

100 I

g1[l]

110

120

130

140

150

6 5 4 3 2 1 0 1 2 3 4 5 6

l

2

Figure 2.11: The ICI, ISI, and signal energy of SMT when t0 is 64

T.

0

10

20

30 gQ [l]

0

40

Interference Energy

gI0[l]

50

60 gQ [l]

1

70

gI1[l]

80

90 gQ [l]

1

100 I

g1[l]

110

120

130

140

150

6 5 4 3 2 1 0 1 2 3 4 5 6

l

1

Figure 2.12: The ICI, ISI, and signal energy of SMT when t0 is 64

T.

41

0

10

20

30

40

Interference power

g0[n]

50

60

70 g1[n]

80

90 g1[n]

100

110

120

130

140

150

5 4 3 2 1 0 1 2 3 4 5

n

1

Figure 2.13: The ICI, ISI, and signal energy of CMT when t0 is 64

T.

0

10

20

30

40

Interference power

g0[n]

50

60

70 g1[n]

80

90 g1[n]

100

110

120

130

140

150

5 4 3 2 1 0 1 2 3 4 5

n

2

Figure 2.14: The ICI, ISI, and signal energy of CMT when t0 is 64

T.

42

Fig. 2.15 presents the SIR for CMT and SMT. The timing offset is normalized

to the symbol period, T . As indicated in Fig. 2.15 for timing offsets of less than

0.0161 of symbol period, SIR is higher than 30 dB and thus the desired symbol can

be easily recovered. Figs. 2.16 and 2.17 present distortion versus timing offset for

the SNR at the receiver input of 10 and 30 dB, respectively. As we can see the

distortion curve for SNR = 30 dB grows faster than the curve when SNR = 10 dB.

For timing offset of 0.1T , there is close to 15 dB loss for SNR = 30 dB while there

is almost 2 dB loss for SNR = 10. Therefore, it is crucial to have accurate timing

offset estimation methods when higher SINRs are required.

2.4.1 Summary

This chapter investigated the filter design conditions for SMT and CMT. It was

shown that root-Nyquist filter designs can be used for SMT and CMT. Moreover, we

explored the sensitivity of SMT and CMT modulations to carrier and timing offset.

It was shown that assuming perfect phase tracking, it is possible to comfortably

detect the transmitted symbols when there is a CFO as much as 0.02 of carrier

spacing. Furthermore, we saw from the simulation results that SMT and CMT

outperform OFDM in terms of CFO immunity especially when high SNRs are

required. Therefore, the carrier offset requirement for OFDM will be sufficient for

SMT systems. The effect of timing offset was also numerically studied. It was

shown that SMT and CMT are sensitive to timing offset and thus accurate timing

recovery algorithms need to be developed. Furthermore, we saw that for timing

offset of less than 0.016T , the resulting SIR is greater than 30 dB.

43

90

CMT and SMT

80

70

60

50

40

30

20

10

0

0 0.01601 0.04 0.06 0.08 0.1

Normalized Timing Offset

Figure 2.15: Signal to interference ratio in the presence of timing offset for SMT

and CMT.

1.5

Distortion in dB

0.5

0

0 0.02 0.04 0.06 0.08 0.1

Normalized Timing Offset

Figure 2.16: Distortion versus normalized timing offset for SNR = 10 dB.

44

16

12

Distortion in dB

10

0

0 0.02 0.04 0.06 0.08 0.1

Normalized Timing Offset

Figure 2.17: Distortion versus normalized timing offset for SNR = 30 dB.

CHAPTER 3

POLYPHASE IMPLEMENTATION OF

FILTERBANK MULTICARRIER

COMMUNICATION SYSTEMS

technique that is called polyphase implementation. Polyphase implementation uses

multirate signal processing techniques to reduce the complexity by joint imple-

mentation of all synthesis or analysis filters in the filterbank. Herein, we first

present a generic polyphase structure. This generic structure is then used to derive

the polyphase structures for SMT and CMT communication systems. A novel

derivation for one of the polyphase structures used for SMT is presented in 3.3.3.

Using this derivation, we have shown that some of the SMT analysis structures in

[28] and [29] are not applicable to frequency selective channels.

If we start from a general implementation of a synthesis filterbank presented in

Fig 1.1, the input of each subcarrier can be written as

X

sk (t) = sk [n](t nT ), for k = 0, 1, ..., N 1. (3.1)

n=

X

j2k

xk (t) = sk [l]h(t lT ) e T t . (3.2)

l=

2k 2k

Using ej T

t

= ej T

(tlT )

, we get

46

X

j 2k

xk (t) = sk [l]h(t lT )e L

(tlT )

l=

X

= sk [l]hk (t lT ) (3.3)

l=

where

2k

hk (t) = h(t)ej L

t

(3.4)

need to use digital filters. Fig. 3.1 presents the digital implementation of a synthesis

filterbank. We can write (3.3) as

X

xk [n] = sk [l]hk [n lL]. (3.5)

l=

X

N 1

X[z] = Xk (z). (3.6)

k=0

Using multirate signal processing identities [34], one finds from Fig. 3.2 that

filters in the z-domain can be written as

X

Hk (z) = h[n]z n WLkn (3.8)

n=

2

where WL = ej L . Substituting (3.8) in (3.7), we obtain

X

N 1 X

X(z) = Sk (z L )h[n]z n WLkn . (3.9)

k=0 n=

47

s0 [n] x0 [n]

L h[n] j2

e L n

s1 [n] x1 [n]

L h[n] ! x[n]

2

ej(N 1) L n

sN 1 [n] xN 1 [n]

L h[n]

Figure 3.1: General structure of a synthesis filterbank

X

L1

H(z) = z p El (z L ) (3.11)

l=0

where El (z) is the z-transform of el [n]. Using (3.11), (3.9) can be rearranged

L1

X N

X 1

l L L kl

X(z) = z El (z ) Sk (z )WL . (3.12)

l=0 k=0

PL1

The vector q = k=0 Sk (z L

)WLkl l = 0, , L 1 is the size L IDFT of

the upsampled signal. If the number of symbols, N , is less than L, zeros need to

be appended to form a vector with length of L. The multiplication by El (z L ) is

equivalent to passing the output of IDFT through the polyphase filters.Therefore,

using (3.12), one can design the structure presented in Fig. 3.2.

Using the properties of multirate systems [34], one can simplify the structure

presented in Fig. 3.2. Since, IDFT is simply a constant matrix multiplication, it

48

s0 [n] x[n]

L E0 (z L )

z 1

L-point IDFT

s1 [n]

L E1 (z L )

sN 1 [n]

L

0 z 1

0 EL1 (z L )

identity [34], we can switch upsampling and the polyphase elements by changing

El (z L ) to El (z) and thus Fig. 3.2 simplifies to Fig. 3.3.

In order to extract the signals s0 [n] to sN 1 [n] from the signal x[n], analysis

filterbank must be used. This can be done by demodulating the signal of each

stream to baseband and performing low pass filtering. The general structure of an

analysis filterbank is depicted in Fig. 3.4. The output of each subcarrier channel

can be written as

Sk (z L ) = Hk (z)X(z). (3.13)

X

L1 X

L

Sk (z ) = X(z)h[n]z n WLkn (3.14)

k=0 n=

49

s0 [n] x[n]

E0 (z) L

z 1

s1 [n] L-point IDFT

E1 (z) L

sN 1 [n]

0 z 1

0 EL1 (z) L

s0 [n]

j2 h[n] L

e L n

s1 [n]

h[n] L

x[n]

2

ej(N 1) L n

sN 1 [n]

h[n] L

50

X

L1

L

Sk (z ) = W kp Ep (z L )z p X(z). (3.15)

p=0

signal. At the output of the polyphase elements, the summation over p is an

IDFT which is performed on the output of the filters. Finally, we need to perform

downsampling on Sk (z L ) to obtain Sk (z). Fig. 3.5 presents the described polyphase

structure. Since IDFT is essentiality a multiplication, it can be commutated with

the downsampling. Similar to the synthesis filterbanks, the polyphase elements

maybe commutated with upsampling using the first Noble identity as presented in

Fig. 3.6.

x[n] s0 [n]

E0 (z ) L L

z 1

s1 [n]

L-point IDFT

E1 (z L ) L

sN 1 [n]

L

z 1

EL1 (z L )

51

x[n] s0 [n]

L E0 (z)

z 1

s1 [n]

L-point IDFT

L E1 (z)

sN 1 [n]

z 1

L EL1 (z)

Three types of polyphase structures have been proposed for SMT transceivers.

In this section, we describe these three structures. At the end of this section,

we have a discussion on which of these structures can be used in a system where

frequency selective channels or carrier offset exists and needs to be compensated.

The synthesis filterbank in Fig. 2.1 can be rearranged in two filterbanks one with

prototype filter h(t) and one with the prototype of h(t T /2). It is also possible to

2

+ 2 )

move the rotation of k 2 from the term ejk( T to the input signal. Doing these,

the synthesis filters in Fig. 2.1 can be presented as Fig. 3.7.

The two synthesis filterbank structures in Fig. 3.7 are similar to the structure

presented in Fig. 3.1. We note that it is possible to move the delay from h[n

L/2] filter to outside the filterbank structure. Therefore, by replacing each of the

two filterbanks in Fig. 3.7 with one in Fig. 3.1, we can obtain the structure in

52

2

ej L n

jsI1 (t) !

L h[n]

2

ej(N 1) L n

j N 1 sIN 1 (t) !

L h[n]

jsQ

0 (t) L h[n L/2]

2

ej L n

j 2 sQ !

1 (t) L h[n L/2]

2

ej(N 1) L n

j N sQ !

N 1 (t)

L h[n L/2]

Fig. 3.8 where PSFB is polyphase synthesis filterbanks. The upsampling rate of

L is assumed in the structure and the delay of L/2 which is equivalent to T /2

is performed after the synthesis filterbank on the second polyphase structure. We

call the structure in Fig. 3.8 the synthesis structure for Type-I SMT Polyphase

Structure.

Similar to the changes we made in the synthesis filterbank, we can break the

53

sI0 [n]

jsI1 [n]

j N 1 sIN 1 [n]

P SF B

0

x[n]

jsQ

0 [n]

j 2 sIQ [n]

j N sQ

N 1 [n] P SF B z L/2

0

ter.

54

transmitter structure at Fig. 2.1 into two analysis filterbanks with filters of h(t) and

2

+ 2 )

h(t + T /2). The k 2 from the term ejk( T can be moved to the output of the

filterbanks and the delay of T /2 can be moved to the input signal. Doing these

changes, the receiver part of Fig. 2.1 can be transformed to Fig. 3.9. By replacing

the structures in Fig. 3.9 with polyphase analysis filterbanks (PAFB) presented in

Fig. 3.4, the structure in Fig. 3.10 can be obtained. The structures in Fig. 3.8 and

Fig. 3.10 are used in [34] and [30].

In the structure presented in Fig. 2.1, sIk (t) and sQ

k (t) are passed through two

separate filters with the delay of T /2. Alternatively, one may note that we can

define (2.5) as

xm (t) = s0k (t) h(t) (3.16)

where

X X

s0k (t) = sIk [n](t nN ) + j k [n](t nN T /2).

sQ (3.17)

n n

inphase and quadrature part of the complex input signal, adding them as in (3.17),

and passing the results through the prototype filter h(t), [17], [40]. Therefore, the

two synthesis filterbanks are essentially combined into one at the transmitter.

The discrete implementation of the described combined transmitter structure is

presented in Fig. 3.11. Similar to type-I structures, rotations of k/2 are moved

to the input signal. Since, an upsampling of 2 is applied to the input signal at the

staggering process, we need an upsampling of L/2 after the staggering module.

Using the same concepts that were applied in deriving the structure depicted in

Fig. 3.5, we can come up with a structure that has upsampling of L/2 instead of L.

When we commutate the upsampling of L/2 and the polyphase elements of Ek (z L ),

we get Ek (z 2 ). Therefore, the polyphase structure of Fig. 3.12 can be obtained for

the type-II polyphase synthesis filterbanks which are presented in [17] and [40].

Following the same line of thought that led to Fig. 3.11, the two analysis filter-

banks in Fig. 2.1 can be combined into one analysis filterbank. The discrete-time

55

sI0 [n]

h[n] L !{}

2 j

ej L n

! ! sI1 (n)

h[n] L !{}

2 (j)N 1

ej(N1) L n

! ! sIN 1 (n)

h[n] L !{}

y[n]

sQ

0 (n)

h[n + L/2] L !{}

2 j

ej L n

! ! sQ

1 (n)

h[n + L/2] L !{}

2 (j)N 1

ej(N1) L n

! ! sQ

N 1 (n)

h[n + L/2] L !{}

56

sI0 [n]

!{}

j

sI1 [n]

!{}

P AF B (j)N 1

sIN 1 [n]

!{}

y[n]

sQ

0 [n]

!{}

j

sQ

1 [n]

!{}

z L/2 P AF B (j)N 1

sQ

N 1 [n]

!{}

57

jsQ

0 [n]

2

z 1

sI0 [n] !

2 L/2 h[n]

j 2 sIQ [n]

2

2

z 1 ej L n

jsI1 [n]

2

!

L/2 h[n]

!

j N sQ

N 1 [n]

2 2

1

ej(N 1) L n

z

j N 1 sIN 1 [n] ! !

2 L/2 h[n]

structure for a combined receiver structure is depicted in Fig. 3.13. The analysis

polyphase structure for Fig. 3.13 can be derived in the same way as the one in

Fig. 3.3. The only difference is that downsampling of L/2 is used instead of L.

Hence, upsampled polyphase components, Ek (z 2 ), are used in the structure. The

fixed structure of the type-II polyphase analysis filterbanks is presented in Fig. 3.14.

Looking at Fig. 3.12, one may note that the inputs of the IDFT at each time

have one of the following conditions

At even discrete time indexes, the input of odd carriers are strictly imaginary

and the input of even subcarriers are strictly real.

At odd discrete time indexes, the input of odd subcarriers are strictly real

and the input of even subcarriers are strictly imaginary.

58

jsQ

0 [n]

2

z 1

sI0 [n] s!0 [n] S0! [n]

2 + E0 (z 2 ) L/2

j 2 sIQ [n]

2 z 1

z 1

L point IDFT

2 + E1 (z 2 ) L/2 +

z 1

j N sQ

N 1 [n]

2

z 1

j N 1 sIN 1 [n] s!N 1 [n]

2 +

0 z 1

!

SL1 [n]

0 EL1 (z 2 ) L/2 +

mitter.

59

sQ

0 [n]

2 !{}

z1

sI0 [n]

h[n] L/2 2 !{}

sQ

1 [n]

2 !{}

j 2

j

e L n

z1

y[n] ! ! sI1 [n]

h[n] L/2 2 !{}

sQ

N 1 [n]

2 !{}

j(N1) 2

L n

(j)N 1

e z1

! ! sIN 1 [n]

h[n] L/2 2 !{}

Therefore, the input of IDFT at even discrete time and odd discrete time indexes

can be written as

(1)p sI2p [n] k = 2p

s0k [2n] = p I (3.18)

j(1) s2p+1 [n] k = 2p + 1

and

j(1)p sQ

2p [n] k = 2p

s0k [2n + 1] = p+1 Q (3.19)

(1) s2p+1 [n] k = 2p + 1,

respectively. If we consider the even time index 2n, the IDFT in Fig. 3.12 can be

written as

X

L1

Sk0 [2n] = s0m [2n]WLkm . (3.20)

m=0

X

L/21

pk

X

L/21

pk

Sk0 [2n] = (1)p sI2p [n]WL/2 + jWLk (1)p sI2p+1 [n]WL/2 . (3.21)

p=0 p=0

In (3.21), the IDFT of size L is broken into two IDFT of size L/2 where all the

inputs are strictly real. Using this, [29] and [28] have proposed using an IDFT of

60

sQ

1 [n]

2 !{}

z1

y[n] s!0 [n] S0! [n] sI0 [n]

L/2 E0 (z 2 ) 2 !{}

sQ

0 [n]

2 !{}

z 1

j z1

s!1 [n] S1! [n] sI1 [n]

L Point IDFT

L/2 E1 (z )2

2 !{}

z 1

sQ

N 1 [n]

2 !{}

(j)N 1

z1

!

SN 1 [n]

sIN 1 [n]

2 !{}

z 1

s!L1 [n]

L/2 EL1 (z 2 )

size L/2, where the input of IDFT is the addition of adjacent subcarriers. To do

this, one may define

X

L/21

pk

Uk [n] = up [n]WL/2 (3.22)

p=0

X

L/21

pk

Uk [2n] = (1)p (sI2p [n] + jsI2p+1 [n])WL/2 . (3.24)

p=0

Next, we define

1

Tk1 [2n] = (Uk [2n] + UL/2k [2n]) (3.25)

2

61

1

Tk2 [2n] = (Uk [2n] UL/2k

[2n]) (3.26)

2

L/21

X

1 pk

Tk1 [2n] = (1)p (sI2p [n] + jsI2p+1 [n])WL/2

2 p=0

X

L/21

p(kL/2)

+ (1) p

(sI2p [n] jsI2p+1 [n])WL/2

p=0

L/21

X

1 pk

= (1)p (sI2p [n] + jsI2p+1 [n])WL/2

2 p=0

X

L/21

pk

+ (1) p

(sI2p [n] jsI2p+1 [n]) WL/2

p=0

1 X

L/21

pk

= (1)p sI2p [n]WL/2 . (3.27)

2 p=0

X

L/21

pk

Tk2 [2n] =j (1)p sI2p+1 [n]WL/2 . (3.28)

p=0

X

L/21

pk

X

L/21

pk

Sk0 [2n + 1] = j(1)p sQ

2p [n]WL/2 + WLk (1)p+1 sQ

2p+1 [n]WL/2 .

p=0 p=0

where

1

Tk1 [2n + 1] = (Uk [2n + 1] UL/2k

[2n + 1]) (3.31)

2

1

Tk2 [2n + 1] = (Uk [2n + 1] + UL/2k [2n + 1]) (3.32)

2

62

and

X

L/21

pk

2p [n] s2p+1 [n])WL/2 .

(1)p (jsQ Q

Uk [2n + 1] = (3.33)

p=0

Following (3.24), (3.25), (3.26), and (3.29) and also (3.30), (3.31), (3.32) and (3.33),

one arrives at the structure presented in Fig. 3.15. Comparing to Fig. 3.14, the

complexity of the IDFT processing is one half.

Similar methodology can be applied to derive an efficient receiver structure.

Assuming that the transmitted signal can be recovered without any phase rotation

(which might not be correct in frequency selective channels), we have the following

condition at the output of IDFT in Fig. 3.14.

At even discrete time indexes, at the output of IDFT, we need only the real

part of the output of the even subcarriers and only the imaginary part of the

output of odd subcarriers.

At odd discrete time indexes, at the output of IDFT, we need only the

imaginary part of the output of the even subcarriers and only the real part

of the output of odd subcarriers.

0 0

In Fig 3.14, Sm [n] are the outputs of the IDFT. Sm [n] and the desired output

symbols are related as

( I

(1)p S 0 2p [2n] k = 2p

sIk [n] = Q (3.34)

p

(1) S 0 2p+1 [2n] k = 2p + 1

and ( Q

(1)p S 0 2p [2n + 1] k = 2p

sQ

k [n] = I (3.35)

(1)p+1 S 0 2p+1 [2n + 1] k = 2p + 1

I Q 0

where S 0 m [n] and S 0 m [n] are the real and imaginary parts of Sm [n]. At even time

indexes can be written as

X

L1

S 0 2p [2n] = s0m [2n]WL2pm (3.36)

m=0

63

jsQ

0 [n]

2

z 1

sI0 [n] s!0 [n]

2 +

j 2 sIQ [n]

2

z 1

jsI1 [n] s!1 [n] u0 [n] U0 [n]

2 + +

S0! [n]

E0 (z 2 ) L/2

z 1

j N 1 sQ U1 [n]

Subcarrier Separation

L/2 point IFFT

N 2 [n]

2 S1! [n]

E1 (z 2 ) L/2 +

z 1

j N 2 sIN 2 [n] s!N 2 [n] z 1

2 +

j N sQ

N 1 [n]

2

z 1

j N 1 sIN 1 [n] s!N 1 [n] uN/21 [n]

2 + +

UL/21 [n] z 1

0 !

SL1 [n]

EL1 (z 2 ) L/2 +

0

k

! T !

! ! !

UN/2k [n]/2 2

k [n]

SL/2k [n]

(1)n WLk

mitter.

64

I

2S 0 2p [2n] = S 0 2p [2n] + S 0 2p [2n]

X

L1

2pm

X

L1

= s0 m [2n]WL + s0 m [2n]WL2pm

m=0 m=0

X

L1

pm

X

L1

pm

= s0 m [2n]WL/2 + s0 m [2n]WL/2 . (3.37)

m=0 m=0

pm p(m+L/2)

Using WL/2 = WL/2 , we can write (3.37) as

I X

L/21

pm

2S 0 2p [2n] = (s0 m [2n] + s0 m+L/2 [2n])WL/2

m=0

X

L/21

pm

+ (s0 m [2n] + s0 m+L/2 [2n])WL/2 . (3.38)

m=0

get

L/21

I X

2S 0 2p [2n] = s0 m [2n] + s0 m+L/2 [2n]

m=0

pm

+ s0 Lm [2n] + s0 L/2m [2n] WL/2 . (3.39)

The desired signal on an odd subcarrier at an even time index can be written as

Q

2j S 0 2p+1 [2n] = S 0 2p+1 [2n] S 0 2p+1 [2n]

X

L1

(2p+1)m

X

L1

(2p+1)m

= s0 m [2n]WL s0 m [2n]WL

m=0 m=0

X

L1

pm

X

L1

= WLm s0 m [2n]WL/2 pm

WLm s0 m [2n]WL/2 . (3.40)

m=0 m=0

I pm

Similar to the case of S 0 2p [2n], we can use the periodicity of WL/2 with respect to

m to obtain

Q X

L/21

pm

2j S 0 2p+1 [2n] = WLm (s0 m [2n] + s0 m+L/2 [2n])WL/2

m=0

X

L/21

pm

WLm (s0 m [2n] + s0 m+L/2 [2n])WL/2 . (3.41)

m=0

65

X

L/21

Q

2j S 0 2p+1 [2n] = WLm s0 m [2n] + s0 m+L/2 [2n] (3.42)

m=0

pm

s0 Lm [2n] s0 L/2m [2n] WL/2 . (3.43)

Next we define

1 0

rk1 [2n] = s k [2n] + s0 L/2k [2n] (3.44)

2

+ s0 L/2+k [2n] + s0 Lk [2n]

and

1 0

rk2 [2n] = s k [2n] + s0 L/2k [2n]

2

s0 L/2+k [2n] s0 Lk [2n] . (3.45)

Using (3.44) and (3.45), one can write (3.39) and (3.42) as

I X

L/21

pm

1

S 0 2p [2n] = rm [2n]WL/2 (3.46)

m=0

and

Q X

L/21

pm

j S 0 2p+1 [2n] = WLm rm

2

[2n]WL/2 . (3.47)

m=0

I Q

Qk [2n] = S 0 2p [2n] + j S 0 2p+1 [2n]

X

L/21

km

= qk [2n]WL/2 (3.48)

m=0

where

I Q

This shows that the designed terms, S 0 2p and S 0 2p+1 can be conveniently obtained

by combining rk2 [2n] and rk1 [2n] according to (3.44) and applying an L/2 point IDFT

to the results.

66

Following the same line of thoughts for the odd time indexes, it can be shown

that

Q I

Qk [2n + 1] = S 0 2p [2n + 1] + j S 0 2p+1 [2n + 1]

X

L/21

km

= qm [2n + 1]WL/2 (3.50)

m=0

with

and

1 0

rk1 [2n + 1] = sk [2n + 1] s0 L/2k [2n + 1]

2

+ s0 L/2+k [2n + 1] s0 Lk [2n + 1] (3.52)

and

1 0

rk2 [2n + 1] = s k [2n + 1] s0 L/2k [2n + 1]

2

s0 L/2+k [2n + 1] + s0 Lk [2n + 1] . (3.53)

I

This shows that the desired terms, S 0 Q 0

2p [2n+1] and S 2p+1 [2n+1] can be conveniently

obtained combining rk1 [2n + 1] and rk2 [2n + 1] according to (3.51) and applying an

L/2 point IDFT to the results. The obtained receiver structure is presented in Fig.

3.16.

3.3.4 Equalization

In the case of SMT, if the bandwidth of each subcarrier is sufficiently narrow,

gain of channel on each subcarrier can be approximated by a fixed complex value.

Therefore, once the channel gains are obtained, one may choose to use a single-tap

complex equalizer per subcarrier channel. In that case, the gains of the equalizers

are the inverse of the channel gains at the center frequency of each subcarrier

channel. In order to be able to apply the inverse of the complex channel, we need

67

sQ

1 [n]

2 !{}

z1

sI0 [n]

2 !{}

sQ

0 [n]

2 !{}

s!0 [n] j z1

y[n] q0 [n]

L/2 E0 (z 2 ) Q0 [n] sI1 [n]

2 !{}

z 1

Subcarrier Combination

L/2 E1 (z 2 ) N 2 [n]

2 !{}

1

L/2 Point IDFT (j)N 2

z1

z sIN 2 [n]

2 !{}

sQ

N 2 [n]

2 !{}

(j)N 1

z1

QN/21 [n] sIN 1 [n]

z 1 2 !{}

s!L1 [n] qL/21 [n]

L/2 EL1 (z 2 )

s!k [n]/4

s! L/2k [n]/4 ! ! ! rk1 [n]

! qk [n]

(1)n

s! Lk [n]/4 ! !

! rk2 [n] !

n

s! L/2+k [n]/4 (1) WLk

68

to have access to the complex output of each channel before taking the real value

of the signal. We have access to the complex signal at the polyphase structure of

type-I and type-II. However, in case of the polyphase structure type-III, we do not

have access to the complex output of each subcarrier. This indeed happens because

of our assumption that we do not need the imaginary part of a signal when the real

part is our desired signal and vice versa. Therefore, while the type III transmitter

can be used as an efficient implementation, type III receiver implementation may

not be used in frequency selective channels. Furthermore, same problem exists with

the type III receiver implementation when carrier offset needs to be estimated. We

will have more elaborate description of carrier offset compensation in Chapters 4

and 5.

In order to implement a polyphase structure for CMT, we can rewrite xk (t) in

(2.24) as

X

+

j

xk (t) = sk [l]h(t lT )e j 2T (tlT )

ek( T t+ 2 )

l=

X

+

j

= (j) sk [l]h(t lL) ej 2T t ek( T t+ 2 ) .

l

(3.54)

l=

Therefore, it is possible to replace the modulated filter h(t)ej 2T by h(t) and

a modulator to carrier frequency 2T

while multiplying (j)n to the input signal.

Furthermore, by moving the phase rotation of k/2 from the exponent to the input

signal, the discrete-time implementation of the kth branch can be obtained as

X

+

jk

xk [n] = (j) (j) sk [l]h[n lL] ej 2L n e L n .

k l

(3.55)

l=

j kn k

Noting that e L = (1)lk ej L (nlL) , We have

X

+

xk [n] = (j) (j) (1) sk [l]hk [n lL] ej 2L t .

k l lk

(3.56)

l=

X

N 1

X(z) = Xk (z) (3.57)

k=0

69

X

+

x0k [n] = (j)k (j)l (1)lk sk [l]hk [n lL] (3.58)

l=

we have

X 0 (z) is defined as

X

N 1

0

X (z) = Xk0 (z). (3.60)

k=0

and also

X

kn

Hk (z) = h[n]z n W2L . (3.61)

n

X

N 1 X

0

X (z) = j k Sk ((1)k jz L )h[n]z n W2L

kl

. (3.62)

k=0 n

We can use the a 2L polyphase representation for the filter Hk (z) to derive

X

N X

1 2L1

X 0 (z) = j k Sk ((1)k jz L )W2L

kl

El (z 2L )z l (3.63)

k=0 l=0

We have

1/2

X 0 (z) = X(zW2L ). (3.65)

70

1/2

Therefore, in order to derive X(z), we need to replace z by zW2L . X(z) can

be obtained as

X

N X

1 2L1

1/2

X(z) = j k Sk ((1)k z L )W2L

kl

El (z 2L )(zW2L )l . (3.66)

k=0 l=0

X

2L1

1/2 l

X

N 1

2L k k L kl

X(z) = (zW2L ) El (z ) j Sk ((1) z )W2L . (3.67)

l=0 k=0

Using (3.67), and the properties of multirate systems, one can draw the structure

in Fig. 3.17.

At the receiver, we need to pass the receive signal through the filterbank and

then we need to take the real values of the signal to get transmitted signal from

the VSB signal. After straightforward derivations similar to the derivation of the

transmitter, the complex signal before the real value operation can be written as

1/2

Xk [(1)k z] = (j)k Hk (zW2L )X(z) (3.68)

s0 [n]

E0 (z 2 ) L

j

(1)n j 1/2 1

W2L z

s1 [n]

2L-Point IDFT

E1 (z 2 ) L

1/2 1

W2L z

Nn

(1) j N 1 j N 1

sN 1 [n]

0 1/2 1

W2L z

0 E2L1 (z 2 ) L

71

where Xk (z) are the signal value before taking the real value in Fig. 3.18. By

replacing Hk (z) by its polyphase elements we get

X

2L1

1/2

k

Xk [(1) z] = (j)k W2L

kl

El (z 2L )(zW2L )l X(z) (3.69)

l=0

Therefore, one can show that Fig. 3.18 presents the polyphase structure for receiver

filterbanks.

3.4.1 Equalization

In the case of CMT, also, if the subcarrier spacing is such that we can use

the flat gain approximation over each subcarrier, one can show that inverse of

channel needs to be applied to the complex value signal before the real value is

obtained. The polyphase CMT implementation described here provides access to

the complex value signal and thus a channel inverse may be applied. More details

on the equalization CMT are investigated in [21] and [41]. Moreover, [21] has

s0 [n]

L E0 (z 2 ) !{}

1/2 1

W2L z

j (1)n

s1 [n]

2L-Point IDFT

L E1 (z 2 ) !{}

1/2 1

W2L z

(j)N 1 (1)N n

sN 1 [n]

!{}

1/2 1

W2L z

L E2L1 (z 2 )

72

shown that the CMT signal has some features that enable blind adaptation of the

equalizers.

3.4.2 Summary

Polyphase technique for implementation was presented. Polyphase implemen-

tation of synthesis and analysis filterbanks were derived. The general polyphase

structures were used as an basis to come up with a concise derivation of polyphase

structures for SMT. The new formulation was used to show that the third polyphase

implementation is not functional for frequency selective channels. Polyphase struc-

ture for CMT systems was also discussed.

CHAPTER 4

MULTICARRIER SYSTEMS

rier systems, requires mechanisms for carrier and timing acquisition and tracking.

Moreover, in packetized data, each packet is equipped with a preamble that is

specifically designed to facilitate fast tuning of carrier frequency and timing phase

at the receiver, upon the receipt of each packet. In OFDM-based systems, such as

IEEE 802.11a, g and 802.16e, the preamble consists of two parts: a short preamble

followed by a long one [42], [43]. The short preamble is constructed by adding a few

well separated tones to allow a coarse acquisition of carrier frequency offset (CFO),

with a wide lock range. The short preamble is also used to adjust the gain of an

automatic gain control (AGC) at the receiver input. The long preamble consists of

a cyclic prefix followed by two full cycles of an OFDM symbol. This can be used

for fine tuning of the carrier frequency and adjustment of the timing phase as well

as the frequency domain equalizers [44].

This chapter borrows the ideas of short and long preamble from the OFDM

standards/literature and extends them to the FBMC systems. We note that the

short preamble as proposed for IEEE 802.11a, g and 802.16e can be adopted, as it is,

to any FBMC system and, thus, we propose to use it for adjustment of the AGC gain

and for a course acquisition of the carrier frequency. However, the long preamble

used in the OFDM systems is not applicable to the FBMC systems. The presence

of cyclic prefix in OFDM isolates successive symbol frames and also allows some

tolerance with respect to timing phase offset. In the FBMC systems, on the other

hand, the extended length of the subcarrier band filters (equivalently, the prototype

74

of the absence of any guard interval between successive symbol frames, the timing

phase in FBMC system cannot tolerate any significant offset. To deal with these

issues, we propose to use a long preamble which is isolated from the short preamble

and also from the payload of the packet. This is done by adding sufficient gaud

time/null space after the short preamble and before the payload. After an initial

tuning of carrier frequency and timing phase, tracking algorithms should be used

to make sure that the receiver remains locked to the rest of the incoming packet.

In the past, a number of authors have looked into the problem of carrier and

timing synchronization in FBMC communication systems [45] - [46] . However,

the approaches taken in these studies are different from the work presented in

this dissertation. While we use pilot symbols (preambles) for carrier and timing

acquisitions, most of the past works operate based on the statistical properties of

the FBMC signals, i.e., they are blind methods. Bolsckei was the first to propose a

blind carrier offset and timing estimation method for the berg FBMC method [45].

It relies on second-order statistics and cyclostationarity of the modulated signals.

Also, it acknowledges that when all subcarrier channels carry the same amount

of power, the (unconjugate) correlation function of multicarrier signals vanishes to

zero and thus proposes unequal subcarrier powers (subcarrier weighting) to enable

the proposed synchronization methods. Noting this, Ciblat and Serpedin have

developed a carrier acquisition/tracking method using the conjugate correlation

function of SMT signals which they found exhibits conjugate cyclic frequencies at

twice the carrier frequency offset (CFO) [47]. Fusco and Tanda [48] have taken

advantage of both the conjugate and unconjugate cyclostaionarity of the SMT

signals to derive a maximum likelihood CFO estimator. Other related works can

be found in [49] and [50]. A more elaborate review on the blind synchronization

methods is presented in Chapter 5. An exception to the above works is [51] where

the authors propose a synchronization method that uses a known periodic pilot

signal, similar to the short preamble in IEEE 802.11a and g, and IEEE 802.16e, [42],

[43] and the one that is considered in this chapter. Fusco et al. had derived a

75

data-aided joint CFO and symbol timing estimator. The training sequence in their

method is similar to the short training in 802.11 OFDM system, and consists of

Nrip identical blocks each of duration of QT where T is duration of one FMT

or SMT symbol. The methodology used in [51] is similar to the synchronization

methods used in preamble of OFDM systems which are described in section 4.1.

This method requires Nrip Q FBMC symbols. Also, more recently and independent

of the work in this dissertation, Fusco et al. [46] have proposed a pilot signal similar

to the long preamble proposed in this dissertation. Fusco et al. [46] use this pilot

signal for timing recovery and carrier phase estimation, based on a cost function

which is different from the one proposed in this dissertation. Simulation results that

compare the accuracy of the timing recovery method of [46] with the one proposed

in this chapter are presented in Section 4.6. Furthermore, the described method

in [51] and [46] does not provide a methodology for AGC and channel estimation.

In this dissertation, we propose a data aided method and a packet format that

address AGC, carrier and timing synchronization and channel estimation [52].

In this chapter, we first present a literature survey on preamble designs used in

OFDM systems. Then we present our proposed preamble design for FBMC and

the corresponding techniques for carrier and timing synchronization. Simulation

results are presented at the end of the chapter.

Herein, we have a brief review of the literature on preamble design in OFDM

communication systems. The first task of preamble is packet detection and coarse

timing recovery. Transmitting a null reference block is among the first algorithms

proposed by Nogami and Nagashima for packet detection [53]. In this method the

drop of the received power is used to find the beginning of a packet. This method is

inaccurate and not suitable for burst transmission where the channel might be idle

for a long time. The most popular approach for packet detection is using repetitive

structures in the time domain. This method was first proposed by Schmidl and

Cox. The reference block in this method consists of two identical sequences, each

76

half a symbol length. To elaborate, in the Schmidl method, if the channel impulse

response is shorter than the cyclic prefix (CP), two identical blocks will be received

at the receiver side when there is no carrier offset. Peaks of the correlation function

among the repeated parts reveal the beginning of packet. The cost function for

packet detection is defined as follows:

X

M/21

y[n + m + M/2]y[n + m]

m=0

M [n] = (4.1)

X

M/21

|y[n + m + M/2]|2

m=0

where y[n] is the received symbol. A packet is detected if |M [n]| passes a given

threshold. One of the main challenges in the Schmidl and Cox method is how

to adjust the threshold so that the packets can be detected reliably while the

probability of misdetection remains at an acceptable level. It has been noted in

the literature that the Schmidl and Cox method suffers from a large plateau on the

peak. This plateau results in inaccuracy in the estimation of timing. As a solution

to this problem, training sequences with sharper metric have been proposed.

After the packet is detected and the initial timing acquisition is performed,

the carrier acquisition must be accomplished. Carrier frequency acquisition is also

normally performed using the preamble structure at the beginning of a packet.

The most popular method is exploiting repetitive structures. These repetitive

structures are phase rotated if carrier offset is present. The induced phase shift

can be used to estimate the carrier offset. Assuming that the y1 [n], and y2 [n] are

the received signals corresponding to the first and the second components of the

repetitive preamble:

y1 [n] = p[n]ej2f n/M + 1 [n] (4.2)

where p[n] is the received signal component of the repetitive preamble; 1 (n) and

2 (n) are the noise components of the received signal. The estimate of carrier offset

can be calculated as:

77

1 X

Np 1

c =

f { y2 [n]y1 [n]} (4.4)

2Np /N n=0

where NP is the length of the preamble. Since returns values in the range of

c | N . Therefore, solutions

[, ), the maximum detectable carrier offset is |f 2Np

have been proposed to increase the lock range of the frequency acquisition method.

The carrier offset can be broken into two parts: the part that is an integer multiple of

the subcarrier spacing, and a part that is a fraction of carrier spacing. Schmidl and

Cox estimate the fractional part using the mentioned repetitive training sequence.

Furthermore, they transmit two PN sequences (P N1 and P N2 ) to calculate the

integer part of the carrier offset. P N1 is transmitted on the even subcarriers, and

P N2 is transmitted on the odd subcarriers. They first detect the fractional part and

compensate it before they process the second part of preamble for estimating the

integer part. Thus when the two PN sequences are processed, only an integer offset

is remaining. As a result, the received PN sequences after DFT are only cyclicly

rotated due to uncompensated integer frequency. The amount of rotation can be

easily calculated by cyclicly rotating the received signal and finding the preamble

that maximizes the correlation with the transmitted PN sequence. The value of

the rotation is the integer part of carrier offset.

The alternative method to extend the lock range of the frequency acquisition

is proposed by Morelli and Mengali [54]. They divide an OFDM symbol to Q > 2

identical parts of N/Q samples. They estimate the CFO

1 X

Q/2

c =

f (q){[q] [q 1]} (4.5)

2/Q q=1

X

o+N 1qN/Q

(q) = y[k + qN/Q]y [k], q = 1, 2, ..., Q/2 (4.6)

k=o

12(Q q)(Q q + 1) Q2

(q) = (4.7)

2Q(Q2 1)

78

Fig. 4.1 presents the packet format of IEEE 802.11a [42]. The short training

(preamble) consists of 10 cycles of a periodic signal. It is effectively an 8 s long

summation of 12 tones at the subcarrier numbers {24, 20, 16, 12, 8, 4,

4, 8, 12, 16, 20, 24}. We may also recall that the active data and pilot subcarriers

in IEEE 802.11a are numbered 26 through 26, excluding 0. The long training

(preamble) starts with a guard interval (a cyclic prefix), GI2, followed by two

cycles of the same OFDM symbol, T1 and T2 . By the end of the long training, all

synchronization steps (carrier tuning and timing recovery) have to be completed and

the receiver should be ready to correctly detect the payload part of the packet. The

payload begins with an OFDM symbol called signal field which contains information

such as the length of the payload, the data rate and the channel code.

Following the same idea as in IEEE 802.11a, we propose the packet format

shown in Fig. 4.2. The short training (preamble) remains the same as the one in

Fig. 4.1. The long training (preamble) is an isolated FBMC symbol/frame which

is positioned such that the transients of the underlying filters do not overlap with

the short training and the payload parts of the packet. In other words, the length

of the long training should be at least equal to the length of the prototype filter1

h(t). We note that, in practice, when the available bandwidth to both OFDM and

FBMC system is the same, the length of h(t) is typically equivalent to 6 OFDM

1

We note that since a matched filter h(t) is applied at the input of the receiver, strictly speaking,

the length of the long preamble after filtering at the receiver is at least twice the duration of h(t).

However, since the tails of the response at the beginning and end are small, we found, numerically,

restricting the length of the long preamble to the length h(t) does not incur any significant loss

in performance.

signal field

short training (8 s) long training (8 s) (4 s) data

Figure 4.1: Packet format in IEEE 802.11a.

79

signal

short training long training field data

optimum timing phase

(center of the long training)

symbols; see the design example in [38]. It thus may appear that with the proposed

preamble, FBMC is less bandwidth efficient than OFDM. However, the absence of

guard intervals (cyclic prefix) in FBMC will result in a shorter payload and, thus,

the overall packet length in an FBMC system is expected to be shorter than its

counterpart in OFDM.

As in IEEE 802.11a, we use the short training part of the preamble for setting

the AGC gain and a coarse acquisition of the carrier frequency. Since this has been

well studied and reported in the literature, e.g., [55] and [56], here, we concentrate

on the design of the long training and its application to fine tuning of the carrier

frequency.

As long training, we use a single frame of binary phase shift keying multicarrier

signal [52] that is defined as

N

1

X

2

2k

xlong (t) = ak h(t)ej T t (4.8)

k=0

where ak are a set of binary numbers with magnitude K, i.e., they take values of

K. We may choose ak s to optimize certain properties of xlong (t), for instance, to

minimize its peak to average power ratio (PAPR). This optimization is of particular

interest as it will allow maximization of signal power during the training phase

which, in turn, improves the accuracy of the carrier frequency and timing phase

estimates. The power spectral density of our proposed preamble is presented in

Fig. 4.3.

80

20

40

60

80

100

0.5 0 0.5

F

Assuming the channel has an equivalent baseband impulse response c(t), the

long training symbol will be received as

where v(t) is the channel additive noise. Taking the Fourier transform of on both

sides of (4.9) and using (4.8), we obtain

where

N

X

2

1

2k

A(f ) = ak C(f )H f . (4.11)

k=0

T

Squaring both sides of (4.10), we get

Assuming a low noise channel, one may ignore the term |V (f )|2 on the right-hand

side and thus simplify (4.12) to

81

Assuming that the channel noise v(t) is a complex symmetric white stationary

Gaussian process with an instantaneous variance of v2 , V (f ) also will be a complex-

valued symmetric white stationary Gaussian process with an instantaneous variance

of v2 . Hence, <{A (f )V (f )} will be a real-valued white nonstationary Gaussian

process with an instantaneous variance |A(f )|2 v2 /2 and, accordingly, (4.14) may

be rewritten as

|Ylong (f )|2 = |A(f )|2 + |A(f )|V 0 (f ) (4.14)

neous variance v20 = 2v2 .

Equation (4.14) corresponds to the case where there is no carrier offset between

the transmitter and receiver. In the presence of a carrier frequency offset f , (4.14)

converts to

|Ylong (f )|2 = |A(f f )|2 + |A(f f )|V 0 (f ) (4.15)

or, alternatively,

|Ylong (f )|2

= |A(f f )| + V 0 (f ). (4.16)

|A(f f )|

Since V 0 (f ) is a white noise, a maximum likelihood (ML) estimate of f , say

c , may be obtained by minimizing the following cost function

f

Z !2

c) = |Y long (f )|2

c | df

(f |A(f f

|A(f f c|

Z 2

1 c |2 df.

= |Ylong (f )|2 |A(f f (4.17)

|A(f f c |2

small. When |A(f )| is small, the term |V (f )|2 that was ignored in the equations

following (4.12) will become significant and thus may not be ignored. To deal

with this situation, we suggest the following modification to (4.17). The integral

is performed over ranges of f that |A(f )| is above a certain threshold. Finding an

optimum value of this threshold, unfortunately, is not a straightforward task. On

the other hand, as will be shown in Section 4.6, other alternative cost functions

that are introduced below may prove more useful in practice.

82

1

If we simply ignore the scaling factor c |2

|A(f f

under the integral (4.17), we

obtain the modified/simplified cost function

Z 2

c

(f ) = c

|Ylong (f )| |A(f f |

2 2

df. (4.18)

The minimization (f

Z

c

f = arg max c |2 df.

|Ylong (f )|2 |A(f f (4.19)

f

c

Estimation of f c)

c ) requires a priori knowledge of A(f ) which, in turn, requires knowledge of

and (f

the channel, C(f ), that we also wish to estimate as part of the receiver initialization.

In the numerical results presented in Section 4.6, we assume C(f ) is known when

c ). However, as practical estimators, we concentrate on (4.19), and

minimizing (f

when using this estimator, we simplify the problem by considering the following

approximations.

1. We ignore the channel effect and simply assume that C(f ) = 1, i.e., an ideal

channel. Noting that the terms H f 2kT

are nonoverlapping, this leads to

1 N

2

X

2

2k

|A(f )| = K

2 H f

2 . (4.20)

T

k=0

2. We note that when channel noise is small, |Ylong (f )|2 resembles the shape of

|A(f f )|2 accurately and, thus, |Ylong (f )|2 may be used to estimate the

magnitude of C(f ) at each of the bands defined by the terms H f 2k T

and,

accordingly, an approximation to |A(f )|2 , may be constructed as

N

1 2

X

2

2k

|A(f )| = K

2 2

|Ck | H f

2 (4.21)

k=0

T

where Ck = Ylong ( 2k

T

) is an estimate of C(f ) at f = 2k

T

.

83

Once the CFO, fc , is estimated and the long training preamble is compensated

accordingly, the optimum timing phase is estimated by taking the following steps.

The CFO-compensated long training is passed through an analysis filter bank that

extracts the transmitted training symbols ak s. Recalling that the long training

consists of a number of isolated subcarrier symbols across both time and frequency,

we note that, in the absence of channel distortion, at the optimum timing phase,

the analyzed subcarrier signals reach their maximum amplitudes independent of one

another. The presence of channel introduces some distortion in the signal such that

the optimum timing phase may not be the same for different subcarriers. It is thus

reasonable to check the energy of the analyzed signals and choose the timing phase

that maximizes the total energy of demodulated signals across all the subcarriers.

Fig. 4.4 presents the signal analyzer that we propose for timing acquisition. It

is a polyphase filter bank with N/2 bands, with E0 (z) through E N 1 (z) being the

2

The input ylong [n] is a sampled version of ylong (t). The optimum timing phase is,

thus, obtained as

N

1

X

2

n

k=0

Using the Parsevals theorem for DFT, (4.22) may equivalently be written as

N

1

X

2

n

k=0

where uk [n] are the signal samples at the FFT input in Fig. 4.4. This shows that

the optimum timing phase can be obtained without performing any FFT operation.

In a recent work Fusco et al. [46] have also proposed the use of an isolated

FBMC symbol (similar to the proposed long preamble in this dissertation) for

timing acquisition. They have noted that in the absence of channel distortion, such

a symbol is symmetric with respect to its center and have developed the following

equation for timing acquisition.

84

ylong [n] N

u0 [n] y0 [n]

E0 (z 2 )

z 1

N u1 [n] y1 [n]

ylong [n 1] E1 (z 2 )

z 1 N

2 -point

FFT

.. ..

. .

z 1

N

u N 1 [n] ylong [n]

E N 1 (z 2 ) 2

N 2

ylong [n 2 + 1]

(M 1)/2

X

nopt

= arg max ylong [n i]ylong [n + i] (4.24)

n

i=1

where M is the length of ylong [n]. It is also noted in [46] that the symmetry

property of the isolated FBMC symbol holds approximately in presence of channel

and, thus, argued that the same formula may be used for timing acquisition in

multipath/frequency selective channels.

It is also worth noting that while in the absence of the channels distortion,

both (4.23) and (4.24) provide the optimum timing phase, they only result in a

near optimum timing phase when a channel distortion and/or noise present. We

evaluate the accuracy of the two methods and compare them with each other in

Section 4.6.

4.5 Equalization

Once the preamble is CFO-compensated, and the optimum timing phase is

acquired, assuming a flat gain over each subcarrier channel, the outputs of the

85

signal analyzer of Fig. 4.4 are the training symbols ak s scaled by the channel gains

at the center frequencies 2k

T

, k = 0, 1, , N/2. Moreover, if we assume that these

samples are dense enough, an interpolation may be applied to find the channel gains

at all frequency points where the payload subcarrier channels will be located. Note

that the locations of the center of subcarrier channels depend on the modulation

type, say, being CMT or SMT. Once the channel gains are obtained, one may choose

to use a single-tap complex equalizer per subcarrier channel. In that case, the gains

of the equalizers are the inverse of the channel gains at the center frequency of each

subcarrier channel. It is also possible to use a multitap equalizer per subcarrier.

This has been discussed in detail in [17], for the SMT, where it is argued that

to remove ICI, the equalizers should be fractionally spaced ones. The receiver

structure proposed in [17] is tailored towards implementation of the half-symbol

spaced fractionally spaced equalizers.

In the case of CMT, the equalizers shall be inserted at the points before the <{}

blocks in Fig. 2.2. The efficient CMT implementations proposed in [41] and [21]

provide access to these points and thus equalizers can be easily implemented.

In the case of SMT, if one follows an implementation that mimics the receiver

structure of Fig. 2.1, the equalizers should be inserted at the points right before

where the demodulated signals branch to the <{} and ={} blocks. If that is

the case and decision directed loops are adopted for the equalizers tracking, the

presence of the filters h(t) and h(t + T2 ) within the loops may introduce excessive

delay which may result some undesirable behavior. Fortunately, in the case of SMT

also the efficient polyphase structures that have been proposed in the literature,

say, [17], are such that the <{} and ={} blocks are moved to the output of the

filters h(t) and h(t + T2 ) and thus avoid the problem of loop delay.

In this section, the performance of the proposed packet format is evaluated

through a set of numerical tests. We consider a random sampled channel with

delay-power profile

86

where the samples are spaced at the interval T /64, and T , in units of seconds, is

the symbol interval in the case of SMT. We assume a transmission bandwidth of

20 MHz which is divided into N = 64 subcarriers. This results in the subcarrier

spacing (20 MHz)/64 = 312.5 kHz and the symbol interval T = 1/0.3125 = 3.2 s.

Signals are generated at an over-sampled rate of four times faster than their Nyquist

rate, i.e., at a sample interval Ts = T /(4N ) = T /256. This will allow us to adjust

the timing phase with an accuracy of Ts which is four times better than the Nyquist

rate T /N . We also recall that since in the CMT, modulation is VSB, if the same

subcarrier spacing as in the SMT is assumed (because of the reasons mentioned

in [38]), the symbol interval will be T /2.

We use a short preamble similar to that of IEEE 802.11a and g in our packets,

i.e., 10 cycles of a periodic signal with period of 0.8 s. The long preamble is an

isolated SMT symbol in which the even subcarriers are filled up by a set of binary

phase-shift keying (not QAM, OQAM or VSB) symbols, and the odd subcarrier

are filled up with zeros, as in (4.8). The binary symbols ak are selected through

a random search to minimize the peak power of xlong (t). This combined with the

fact ak s are nonzero only at even subcarriers will allow us to reduce the peak

amplitude of xlong (t) to about 9 dB below that of the payload, assuming that the

pilot symbols ak have the same power as the payload symbols sk [n]. We add this

margin of 9 dB to xlong (t) and transmit a high-powered long preamble. Since this

boosts the SNR of the long preamble, it leads to a more accurate carrier estimation

and timing recovery. To allow reproduction of the results presented here by an

interested reader, we note that the samples of xlong (t), at the rate fs = 4N/T , are

generated using the following instructions in MATLAB:

N=64; L=4*N; K=6; alpha=1; gamma=1;

h=sr Nyquist p(K*L,L,alpha,gamma);

a=sign(randn(N/2,1));

xlong=H*a;

where sr Nyquist p(N,M,alpha,gamma) is a square-root Nyquist filter design pro-

gram that has been developed in [37]. The designed filter h[n] has a length of

87

KL + 1 and h[n] ? h[n] has zero crossings at an interval L samples. Also, in the

above MATLAB lines, H is a (KL + 1) (N/2) matrix with the k column of

k k k

hk = [h[0] h[1]ej4 L h[n]ej4 L n h[KL]ej4 L KL ]T , k = 0, 1, , N/2.

(4.26)

Fig. 4.5 presents the mean square error (MSE) of the residual CFO (normalized

to the carrier spacing) after tuning the carrier using the long preamble. The three

methods discussed in Section 4.3 are examined. These methods are: (i) correlation-

based estimation according to (4.19) with the channel included using (4.21); (ii)

correlation-based estimation assuming an ideal channel, i.e., using (4.19) and (4.20);

and (iii) ML-based estimation using the cost function (4.17). For the latter case,

the threshold levels of 10% 25% of the maximum of |A(f )|2 are examined. It is also

assumed that A(f ) is known perfectly. The results presented in Fig. 4.5 have been

averaged over 10,000 randomly generated channels.

From the results presented in Fig. 4.5, the following observations are made.

While at lower SNR values, the correlation-based methods are superior to the ML

estimator, at higher values of SNR the latter performs better. This can be explained

if we recall that the approximation used to derive the ML estimator improves as

SNR increases. In high SNR regime (> 15 dB) all methods result in a relatively

low residual CFO. Hence, in practice, all methods may work satisfactorily and thus

one may choose the one with the lowest complexity. On the other hand, in low

SNR regime (< 15 dB) the correlation-based methods outperform the ML method.

Furthermore, the correlation-based methods have lower computational complexity

than the ML methods; compare the relevant equation in Section 4.3. Noting these,

we conclude that the correlation-based CFO estimation methods are better suited

in any practical FBMC system.

After carrier acquisition, the CFO-compensated long preamble is used for timing

acquisition. In Section 4.4 we developed a formula (equation (4.23)) for timing

acquisition and noted that a different formula (equation (4.24)), applicable to our

packet setup, has been recently proposed by Fusco et al. [46]. To evaluate the

performance of (4.23) and compare it with the results obtained using (4.24), we run

88

0

10

Corr, Ch. included

Corr., Ch. not included

2 ML, Threshold at 10%

10

ML, Threshold at 25%

4

10

f

2

6

10

8

10

10

10

0 5 10 15 20 25 30

SNR, dB

Figure 4.5: Residual CFO of the proposed long preamble-based carrier acquisition

methods. The vertical axis shows the MSE of residual CFO normalized to the

subcarrier spacing of the payload. The horizontal axis indicates the SNR during

the payload part of the packet.

the following experiment. The channel introduced at the beginning of this section

is included and 10,000 SMT packet are examined, each with a randomly selected

channel. No channel noise was added. The short preamble of each packet is used

for course carrier acquisition. The acquired carrier is removed from the preamble

portion and further tuning of carrier is performed using the method discussed in

Section 4.3. Then, (4.23) and (4.24) are used for timing acquisition. Subsequently,

the equalizer coefficients are set using the method presented in Section 4.5. The

payload part of the packet is then processed using the tracking algorithms discussed

in Sections 5.2 and 5.3. As a measure of performance, the mean square error (MSE)

of the recovered symbols compared with the transmitted symbols are evaluated and

averaged across time and all subcarrier symbols. Since there is no channel noise in

this set of simulations, the measured MSE is caused by the residual ISI and ICI.

89

s2

SIR = 10 log10 (4.27)

MSE

where s2 = E[|s[n]|2 ] is the symbol power. The results of this set of tests are

compiled and presented in the form of a histogram in Fig. 4.6. The following

observations are made from the histogram:

For better channels (with smaller multipath effects), Fusco et al. method

performs better. These are cases with SIR of more than 50 dB.

On the other hand, in channels with higher level of distortion, the method

proposed in this dissertation shows superior performance.

Since in practical channels SNR values are often below 30 dB, it is reasonable

to say that both methods have satisfactory performance. Nevertheless, one

3000

Proposed method

Fusco et al method

2500

2000

1500

1000

500

0

20 30 40 50 60 70 80

SIR, dB

Figure 4.6: SIR comparison of (4.23) and (4.24). The histogram are based on

testing over 10000 randomly generated channels.

90

may argue that the method proposed in this dissertation may be preferred

over that of [46], as SIR values in the range of 40 dB or below are more

destructive than those in the range of 50 dB or greater.

It was shown in sensitivity discussion in Chapter 2 that a CFO of less than

0.02 of carrier spacing results in SIR of more than 30 dB. As can be seen from

Fig. 4.5, if SNR is larger than 4 dB the MSE of CFO for all four methods discussed

CFO estimation is less than 0.02 and thus the target precision can be comfortably

achieved with our preamble design. Furthermore, we saw in Chapter 2 that for

timing offset of less than 0.016T , the resulting SIR is greater than 30 dB. Fig. 4.6

shows that the MSE of timing offset is less than 0.016T . Therefore, the designed

preamble can easily work in low SNR and provides us with an accurate timing offset

estimate.

Using the designed preamble the desired precision for carrier and timing offset

can be achieved. The tracking algorithms described in Chapter 5 are used to

maintain the offset at the desired level and to mitigate any timing and carrier

drifts that may happen during the frame.

4.7 Summary

A packet format for transmission of FBMC signals was proposed. The proposed

packet format follows an structure similar to those of IEEE 802.11a and g, and IEEE

802.11n that are based on OFDM multicarrier signaling. It starts with a short

preamble for AGC adjustment and coarse carrier acquisition. A long preamble

for more accurate tuning of the carrier frequency, timing phase acquisition, and

adjustment of the tap weights of a set of frequency domain equalizer then follows.

Once these synchronization steps are performed, the receiver is ready to detect the

data symbols in the payload part of the packet.

CHAPTER 5

TRACKING

communication systems. In this chapter we present novel timing and carrier track-

ing algorithms for SMT and CMT. Blind methods have been proposed for timing

and carrier recovery of FBMC systems and can be applied for tracking purposes.

Unfortunately, blind carrier and timing synchronization methods are complicated

and require a large number of symbols [51]. While it is shown that accurate

CFO estimation algorithm can be implemented by using both the conjugate and

the unconjugated cyclostationary properties of the received signal, the derived

estimators require a large number of SMT symbols and in some cases, these methods

are designed for nondispersive channel. In this chapter we propose decision directed

timing and carrier tracking algorithms for SMT and CMT. We will show that we

are able to successfully track and residual timing and carrier offset in the packet.

In the rest of chapter, we first have an overview over the blind synchronization

techniques in the literature. Then, we discuss our proposed carrier recovery method

for SMT and CMT [52]. Timing tracking is the next in this chapter. Finally,

simulation results are presented for timing and carrier tracking.

Synchronization Techniques

In this section we have a brief overview over synchronization methods of FBMC.

We discuss the methods that have been applied to SMT. To the best of our knowl-

edge there is no report of any synchronization method for CMT communication

systems.

92

Bolsckei was the first to propose a blind carrier offset estimation method for

SMT [45]. This method is an extension of Gini-Giannakis [57] estimator for single

carrier systems and is applicable to both OFDM and SMT. The correlation function

of the received signal, y[n],

is used to estimate the CFO. It has been shown that cy [n, ] is M periodic with

respect to n if subcarrier weighting is used. The Fourier series of cy [n, ], Cy [k, ]

is then used to derive a blind estimator. It has also been shown that the Fourier

transform of a function of Cy [k, ] with respect to can be used to derive an

estimator for a wider range of carrier offsets. The Bolsckei method needs subcarrier

weighting which is a limiting factor for practical systems. The other issue is

that since the values of subcarrier weights are used in the estimator, the channel

response is needed at the receiver and the channel estimation errors will affect the

performance of Bolsckeis method.

Ciblat and Serpedin have proposed using conjugate correlation which is defined

as

ccy [n, n0 ] = E[y[n]y [n n0 ]] (5.2)

for estimation of carrier offset [47] in SMT systems. This method is an extension of

[58] which is applicable to noncircular modulations. It is shown that the conjugate

correlation of received signal is periodic with period of {0 + Lq }q=0,..,L , where 0 =

(2f mod 1), L is the number of subcarriers, and f is the carrier offset. Cilbat et

al. estimate the frequency of embedded harmonics of the signal by finding the points

that maximize the periodogram of the conjugate correlation function [47]. The

authors have mentioned that since the periodogram has several local maximas, the

coarse estimate might result in outliers. Therefore, they have concluded that their

method is best suited for carrier tracking. The Ciblat method is more complicated

than Bolsckeis method because it requires an FFT based peak search and a steepest

descent fine peak search in addition to the conjugate correlation estimation [59].

93

Fusco et al. have extended a maximum likelihood CFO estimation for OFDM

systems and noncircular modulations [60] to SMT [50]. They have assumed that

there are many subcarriers in the system and thus the received signal is modeled as

a complex Gaussian random variable. They have used the noncircularity of SMT

in a nondispersive channel to derive an ML algorithm for CFO estimation. The

authors have acknowledged that the ML CFO estimator requires computationally

intensive maximization procedure with respect to a continuous parameter and is

not suitable for implementation. They have proposed a bilinear unbiased estimator

for frequency offset. In this method, B[n] is defined as

1 X

L1

B[n] = y[k + nL]y[M k + nL]. (5.3)

L 1 k=1

Then, the v[n] is used in the following equation to calculate the carrier offset:

3 X1

=

f [nv[n]( n)] (5.5)

2L( 2 1) n=1

where f

window of signal which is used for CFO estimation. As can be seen this method is

also computationally expensive.

Fusco et al. have applied their ML method to a system with null subcarriers [50].

They have shown that using null subcarriers in a system with large number of

subcarriers, they can estimate the CFO using ML estimator.

Lin et al. have used correlation function on each subcarrier after downsampling

and filtering to estimate the carrier offset [59]. They have shown that they need

to use subcarrier weighting to be able to extract the offset information from the

correlation function. Lin et al. have also used conjugate correlation function on

the filtered signal on each subcarrier. It is proved in [61] that without subcarrier

weighting or null carriers, the conjugate correlation is zero, and thus they have

94

correlation. The conjugate correlation is then used to estimate the carrier offset [61].

It is shown that if a carrier is nulled, the conjugate correlation of the received signal

on the nulled carrier and the adjacent carriers have information that can be used

for CFO estimation.

In this section, we describe a carrier tracking method which may be used to

track any residual carrier offset during the payload transmission of an FBMC

data packet. We make the reasonable assumption that the payload starts with

an accurate estimate of the carrier phase. However, without any carrier tracking

loop, the carrier phase may drift over the length of the payload. Hence, the goal is

to design a phase-locked loop (PLL) that forces any built up phase error to zero [52].

Because of their differences, we treat the SMT and CMT separately.

5.2.1 SMT

In an SMT receiver, the phase and quadrature components of the detected data

symbols, before passing through a decision device (a slicer), are given by

X N X1 Z

I

sk [n] = sIm [l]h( lT )h( nT )

l= m=0

2

cos (m k) + + [n]

T 2

sQ

m [l]h( lT T /2)h( nT )

2

sin (m k) + + [n] d (5.6)

T 2

and

X X

N 1 Z

sQ

k [n] = sIm [l]h( lT )h( + T /2 nT )

l= m=0

2

sin (m k) + + [n] + f T

T 2

+ sQ [l]h( lT + T /2)h( + T /2 nT )

m

2

cos (m k) + + [n] + f T d (5.7)

T 2

95

where [n] is the demodulator carrier phase angle at time nT . Combining (5.6)

and (5.7) and separating the desired and interference terms, we obtain

Z k

= sIk [n] h2 ( ) cos [n]d

Z

Q

+ jsk [n] h2 ( ) sin ([n] + f T ) d + k [n] (5.8)

where k [n] is the interface resulting from ISI and ICI terms. Although, for brevity,

the channel noise is not included in (5.6) and (5.7), one can argue that k [n] may

include the channel noise as well.

Assuming that f is small enough such that f T 1, hence we have

R

Noting that

h2 ( )d = 1 since h(t) is a root-Nyquist filter, (5.8) reduces to

The goal of the carrier tracking loop is to force [n] to zero. We assume a

receiver structure as in Fig. 5.1. We obtain an averaged estimate of the phase error

[n] as !

X

N 1

[n] = sk [n]sk [n] (5.11)

n=0

where sk [n] is the detected data symbol after passing sk [n] through a slicer and (x)

denotes the angle associated with the complex variable x. The loop filter output

is an estimate of the phase error in y[n] arising from the CFO. Fig. 5.2 depicts the

structure of carrier tracking for SMT .

5.2.2 CMT

Following the CMT transmitter structure that was discussed in Chapter 2 and

was presented in Fig. 2.2 and assuming a phase error [n] at the analysis filterbank

96

sk [n]s

Analysis sk [n]s

y[n] Slicer

Filter Bank

Phase

ej Estimator

Loop [n]

Filter

Figure 5.1: A PLL equipped FBMC receiver. The input y[n] is the demodulated

received signal.

2n

ejm( M + 2 )

sIm [n]

Re{} h[n] M

sQm [n]

decision

Im{} h[n + M/2] M

Phase Error

Channel z1 kp Subcarriers

Combination

Phase Compensation

ki z1

Integrator Loop Filter

97

input, if we switch the <[] blocks and the sampler, one finds that the input to the

<[] block at the kth subcarrier channel is given by

X

M 1 X

+ Z

sC

k [n]

j[n]

=e sm [l]h( lT )h( nT )ej 2T (nT lT ) ej(mk)( T + 2 ) d

m=0 l=

(5.12)

where the superscript C on sC

k [n] is to emphasize that it is complex-valued.

Separating the terms associated with the desired symbol, sk [n], and the inter-

R

ference terms in (5.12) and noting that h2 ( )d = 1, we obtain

k [n] sk [n]e

sC for k = 0, 1, , N 1.

j[n]

+ k [n], (5.13)

where, as in the case of SMT, k [n] is the interference resulting from ISI and ICI

terms as well as channel noise. Also, following the same line of thoughts as in the

case of SMT, one finds that the PLL structure presented in Fig. 5.1 is applicable

to CMT as well, with (5.11) replaced by

!

X

N 1

[n] = sk [n]sC

k [n] (5.14)

n=0

k [n] through an slicer. Fig. 5.3

Although equations (5.11) and (5.14) look similar and thus one may expect the

same behavior of the associated PLLs, there is a difference that should be noted. In

the steady-state, when [n] is small, (5.11) provides a much less noisy estimate of

[n] as compared to (5.14). This difference arises for the following reasons. In the

case of SMT, the phase and quadrature components of each recovered symbol are

sampled when there is a negligible amount of ISI and ICI. On the other hand, for

CMT systems although at correct sampling time the real part of sC

k [n] may be free

of ISI and ICI, its imaginary part contains a significant level of ISI and ICI. When

the carrier phase is known, the imaginary part of sC

k [n] is simply ignored and thus

has no impact on the decision value sk [n]. However, the relatively large variance

of the imaginary part of sC

k [n] results in a noisy estimate of [n]. Nevertheless, in

systems with the packet format, we have numerically found that since the preamble

98

s0 [n]

Re{ } decision

N

j 2N n

h[n]e

Im{}

Phase Compensation ej( N n+ 2 )

s1 [n]

Re{ } decision

Channel

!

h[n]ej 2N n N

Im{} sin1 {}

sN1 [n] Ns2

ej(N1)( N n+ 2 )

Re{ } decision

h[n]ej 2N n N

Im{}

z 1 kp

ki z 1

Integrator Loop Filter

allows a very good estimate of CFO, to track the residual CFO, in the PLL, one

may use a loop filter with a sufficiently small gain for suppression of the noisy

component of [n].

In an OFDM system, the timing offset can be as long as the length of CP minus

the length of the channel impulse response without any detrimental effect. In a

filterbank communication system, on the other hand, any timing offset results in

ISI and ICI. Hence, timing tracking is an important issue in filterbank multicarrier

systems and has to be given due attention. Furthermore, we note that in standards

such as 802.11n, aggregation is used on data packets to make the system more

bandwidth efficient. As a result, longer packet lengths are being transmitted, which

99

Assuming that the timing offset value , can be adjusted before the analysis

filterbank, one may define the cost function

X

N

[n, ] = |sm [n, ] sm [n, ]|2 (5.15)

m=0

where sm [n, ] is the detected symbol at the output of the mth subcarrier channel,

at time n, when the timing offset value is and sm [n, ] is obtained after passing

sm [n, ] through a slicer. The optimum timing offset is thus tracked by searching

for a value of that minimize [n, ]. A typical early-late gate method, [62], may

be adopted for this purpose.

The tracking algorithms presented in Sections 5.2 and 5.3 were also tested

through computer simulations. The short and long preambles were used to acquire

the carrier frequency and timing phase of the received signal. Subsequently, while

the carrier and timing tracking loops were active or deactivated, the performance

of the receiver in detecting the payload information symbols was studied. For

the carrier tracking loop filter we followed [63] and designed a proportional and

integrator loop that also counts for the delay caused by the analysis filterbank. The

filter parameters that were calculated for a critically damped PLL were obtained

as Kp = 0.1208, for the integrator gain, and KI = 0.0068, for the integrator gain.

Assuming a perfect timing phase is available (or could be tracked), Figs. 5.4 and

5.5 present a set of plots that show how the PLL in the CMT and SMT systems

performs, respectively. The results correspond to the case where SNR is 20 dB. The

upper plot in each figure shows the phase error, [n], at the loop filter input. The

lower plot shows the phase jitter, [n], of the input signal to the analysis filterbank.

As discussed in the last paragraph of Section 5.2, the estimated phase error in the

case of CMT is more noisy than its counterpart in the SMT. This is clearly seen

by comparing Figs. 5.4 and 5.5.

Fig. 5.6 presents a sample result of a set of simulations that we ran to explore

the behavior of a timing tracking mechanism that was proposed in Section 5.3.

100

0.3

0.2

0.1

[ n ]

0.1

0.2

0 100 200 300 400 500 600 700 800 900 1000

S y mb ol i n d e x , n

0.1

0.05

[ n ]

0.05

0.1

0 100 200 300 400 500 600 700 800 900 1000

S y mb ol i n d e x , n

Figure 5.4: Performance of the PLL for carrier tracking in a CMT receiver. The

top figure shows the phase error, [n], at the loop filter input. The lower figure

shows the phase jitter, [n], of the input signal to the analysis filterbank.

101

0.3

0.2

0.1

[ n ]

0.1

0.2

100 200 300 400 500 600 700 800 900 1000

S y mb ol i n d e x , n

0.1

0.05

[ n ]

0.05

0.1

100 200 300 400 500 600 700 800 900 1000

S y mb ol i n d e x , n

Figure 5.5: Performance of the PLL for carrier tracking in an SMT receiver. The

top figure shows the phase error, [n], at the loop filter input. The lower figure

shows the phase jitter, [n], of the input signal to the analysis filterbank.

102

0.035

Without tracking

With tracking

0.03

0.025

0.02

MSE

0.015

0.01

0.005

0

0 2000 4000 6000 8000 10000

ti m e i n d e x , n

Figure 5.6: Mean square error at the output of an SMT receiver, averaged over

all subcarriers, with and without a timing tracking loop.

Although the results presented here are for the SMT, the same results are obtained

for the CMT. For the results presented in Fig. 5.6, it is assumed that there is a

difference of 10 ppm (part per milion) between the transmitter symbol clock and

its counterpart at the receiver. As seen, without timing tracking, the MSE at the

receiver output increases with time. The timing tracking loop fixes the problem

and results in an MSE that remains constant, at a level slightly above the noise

level. For this simulation, the SNR was set equal to 30 dB. This has an associated

noise level of 0.001.

Fig. 5.7 compares the performance of CMT and SMT when both carrier and

timing tracking loops are active. At SNR values of 15 dB or less both methods

perform virtually the same. However, at higher values of SNR, the CMT degrades.

This difference is believed to be mostly due to the higher phase error/jitter at the

carrier recovery loop filter output in the CMT.

If the residual carrier offset is small, one can decrease Kp and/or KI and have

103

1

10

SMT

CMT

0

MSE 10

1

10

2

10

3

10

0 5 10 15 20 25 30

SNR, dB

Figure 5.7: Comparison of the MSE of CMT and SMT in tracking mode.

loopback filter the effect of error/jitter can be reduced. For residual carrier offset of

0.001 carrier spacing the CFO tracking was simulated for various values of KP and

KI . Fig. 5.8 shows the MSE plots for CMT and SMT for three sets of KP and KI ,

1) (Kp = 0.1208, KI = 0.0068), 2)(KP = 0.0837 and KI = 0.001) 3) (KP = 0.0193

and KI = 0.0001). It was observed that going from the second to third sets of

coefficients the improvement is less that 0.02 dB. Further decrease in the values of

the coefficients does not change the CFO MSE results for CMT.

5.5 Summary

A preamble is used to perform the initial timing and carrier offset. To resolve

any residual CFO and/or timing offset, tracking algorithms were developed. A

decision directed PLL was designed that forces any built up phase error to zero.

An algorithm was designed to track the best timing phase by minimizing a cost

function. SMT and CMT FBMC communication systems were studied. Through

104

1

10

SMT

CMT1

CMT2

0

10 CMT3

MSE

1

10

2

10

3

10

0 5 10 15 20 25 30

SNR, dB

Figure 5.8: Comparison of the MSE of CMT for three cases: CMT1 (KP = 0.1208,

KI = 0.0068), CMT2 (KP = 0.0837 and KI = 0.001), CMT3 (KP = 0.0193 and

KI = 0.0001), and SMT in tracking mode.

computer simulations it was found that for most parts both systems perform about

the same. Only the carrier tracking look in the CMT found to be more jittery than

its counterpart in the SMT.

CHAPTER 6

an implementation of a cognitive radio network. This implementation work done

as part of Smart Radio Challenge. Smart Radio Challenge is a group of cognitive

and software defined radio projects defined and supported by SDR Forum, a forum

of companies promoting the next generation SDR systems [64]. Our proposal for

implementation of a cognitive radio network using filterbank sensing was selected

in 2006 by the SDR Forum to receive hardware and software support [65]. The

cognitive radios are implemented on Lyrtech Small Form Factor (SFF) Software

Defined Radio (SDR) platform [6], [26], [66], [67]. Using our cognitive radio

implementation, it is shown that filterbank sensing can reliably detect the presence

other radios in an environment where various primary and secondary users are

active on the wireless channel [68].

In this chapter, we present a a brief overview of our cognitive radio implemen-

tation. For a complete report on this project, please see [67] and [6]. First we

define the problem setup in Section 6.1. Next, an overview of channel sensing,

MAC layer, and transceiver are presented in Section 6.2. The system architecture

including various modules in DSP and FPGA as well as the interface between

them are presented in Section 6.3. Development tools for implementing DSP and

FPGA are also described in this section. In Section 6.4, we discuss the design

decisions for system implementation. Sensing results are presented next. Test and

demonstration of the setup is discussed in 6.6 and the conclusions are drawn in 6.7.

106

In disaster situations, it is necessary for law enforcement, rescue agencies, and

other first responders to have the ability to communicate and exchange information

quickly and reliably. Since wired networks cannot be depended upon to survive

in all types of disasters and may be impractical, wireless networks are the ideal

choice. SDR has been successfully applied to build cognitive radio systems. A radio

for first responders should be easy to reconfigure and also portable. Small Form

Factor design of Lyrtech platform, similar to NAVYSYS [69], Kansas University

Agile Radio [70], and Motorola [71] platforms satisfies the requirements for rescue

workers and thus has been chosen in this research.

Cognitive radio technology has been presented as one possible solution to the

spectrum scarcity. From a users perspective, a cognitive radio network should

operate identically to a standard wireless network. However, cognitive radio nodes

should be aware of the operation context [72] and can learn from the past [73].

A cognitive radio network is built to coexist in a given portion of the spectrum

with the legacy devices. In our setup, the Family Radio Service (FRS) band is

chosen for transmitting voice and data [67]. Each node must be able to identify the

presence of legacy communications and share this information with other nodes.

Collaboration allows the cognitive nodes to communicate reliably and to avoid the

legacy devices. Since the legacy device communication is typically intermittent, the

cognition determines the time for switching frequencies during transmission.

We denote the FRS users as Primary Users (PU); they are the legacy users

and accordingly have the priority access to the channel. The cognitive radio (CR)

users are called Secondary Users (SU). The unused parts of the spectrum are called

spectral holes (or opportunities) and can be used by SUs to transmit data. In our

experiment, 200 carriers on 462-467 MHz ISM band are used by the cognitive radio

to transmit voice or data, provided that the legacy users are not using the channel.

The method used for sensing should feature a high spectral dynamic range to enable

the detection of the low power users. We choose the filterbanks spectrum sensing

because of its superior performance compared to FFT in terms of detecting low

107

power users when users with high and low power are present [12], [74], [26].

Spectrum sensing is performed on each node before transmission and the results

are passed to a basestation which combines all the sensing information to compile a

channel state information (CSI). CSI is also used by the basestation for channel

allocation. Control channels are used for exchanging sensing information and

control messages such as channel assignment for the leaf nodes.

Design decisions such as dividing the tasks between FPGA and DSP, and

choosing the appropriate methods to implement each block are made in order to

optimize the usage of the resources on hardware. First the modem is simulated

in Matlab and Simulink. Then we use System Generator for DSP to implement

the FPGA blocks. Simulink and Real Time Workshop (RTW) are used to make

individual modules for the DSP. TI Code Composer Studio compiles the DSP

subsystems and combines different DSP modules.

The modeling and simulation environment that supports this work is based on

Discrete Event System Specification (DEVS) [75]. DEVS is a formalism derived

from generic dynamic systems theory. It has well-defined concepts of coupling

of components, hierarchical, modular model construction, and an object-oriented

substrate supporting repository reuse. DEVS has been implemented and used

as a practical simulation tool in a variety of implementations. The DEVSJava

environment is used in this work along with Progressive Simulation Based Design

and development (PSBD) technique [76] to simplify the development process.

Based on PSBD methodology the system is broken into interworking compo-

nents. First, we start from a traditional pure simulation of the system in a simulated

environment. In this example the environment is defined by frequency usage and

channel. Environment is changed as a result of both PU and SU transmissions

or different channel fading parameters. In the course of PSBD real components

are added to the model, replacing the simulated models. It is a challenging issue

to what extent simulation assisted design should be involved and to what level

108

the system should be decomposed. A single real modem itself comprises many

individual modules each a candidate for co-simulation along with other simulated

objects and the environment. Fig. 6.1 shows the PSBD approach of designing a

single transceiver including packet generation, coding, decoding, channel sensing,

channel model and emulated PUs.

As we proceed with PSBD, we start using one SDR board. Most of the func-

tionalities of cognitive radio depend on sensing the medium. Channel sensing is

implemented in the earliest stage as shown in Fig. 6.1. To test sensing module we

emulate PU traffic on different frequency bands using a signal generator, while ad-

justing some design parameters such as analogue to digital converter (ADC) gains,

frequency axis margins, and power threshold of PU detection. The transmitted

traffic of PU by the signal generator is a multi-band waveform which is generated

using a Matlab script and uploaded to the device with Agilent Waveform Download

Assistant via Ethernet connection with simulator on a PC. All simulated objects are

running on the same PC, while the SDR board (running implemented components)

is connected to that PC via an Ethernet cable.

The basestation assigns channels to the cognitive node from the pool of dis-

covered opportunities. The efficiency of opportunity discovery in cognitive radio

depends on both physical and MAC layer design strategies [77]. Depending on the

PU traffic different sensing periods may result in discovery of more opportunities

and better channel allocation. Sensing the channel should take into consideration

the discrepancy in the received power levels from the different users and needs to

feature a high dynamic range in order to reliably detect the spectrum holes.

In our system, we sense the channel 10 times per second. To sense the chan-

nel, each node halts its transmission, collects the necessary samples and runs the

filterbanks sensing algorithm. The whole process takes less than 1ms. The sensing

information is next reported to the basestation. The basestation collects the sensing

results from all the cognitive nodes, including itself, and broadcasts the channel

allocation results to all the leaf nodes in the network. The basestation tags the

Progress

Simulation(On PC) Implementation(On SDR)

MAC Layer Syncronization Demodulation

Packet Assembly Channel Decoding

SU

Wireless Channel

Simulated

PU1

Simulated

PU2

Simulated

PU3 Emulator (Vector Signal Generator)

Figure 6.1: Progressive simulation based design (PSBD) of a single cognitive modem. The implementation starts from the

sensing component and progressively more of the simulated models (left dotted box) are implemented (right dotted box).

The rectangles are DEVS models simulated, and parallelograms are implemented components on SDR

109

110

CSI vector with the time that an activity is last seen on each carrier to specify

the availability of each channel. The basestation tries to allocate a carrier which is

less used and has neighboring carriers that are less used as well. When assigning

channels, basestation weighs each carrier by the average usage in 3 neighboring

channels. In this way idle areas of the spectrum are chosen more frequently.

6.2.2 Transmitter

The software defined modem provides two modes of operation to process two

different types of services. One service is a 19.2 kbps computer-to-computer data

stream while the other service is a 16 kbps Continuously Variable Slope Delta

Modulation (CVSD) vocoded voice. The data stream is encoded using a rate 1/2

convolutional encoder. 8 Phase-Shift Key (8PSK) symbol mapping is used for data.

For the voice stream, we use a Reed-Solomon encoder and Quaternary Phase-Shift

Key (QPSK) signalling.

To use only one digital upconverter from baseband to Intermediate Frequency

(IF) for both services, the packet assembly is done such that the symbol rate at

the input of the pulse shaping filter is 20 kbps for both data and voice streams.

The transmitted packet consists of two major parts: a 192-sample cyclic preamble,

generated using three identical Binary Phase Shift Key (BPSK) modulated pseudo

noise (PN) sequences of length 64, and a payload constructed using the data or

voice streams output of the symbol mappers.

Upconversion is done using Cascaded-Integrator-Comb (CIC) filters and a pulse-

shaping filter (PSF) whose coefficients are chosen to achieve the Nyquist-M prop-

erty.

6.2.3 Receiver

The received signal is first down-converted to baseband. The baseband signal

is then passed to the synchronization and channel equalization modules, both of

which are implemented in the fractional space. The fractional spacing between the

samples is chosen to be Ts /2, where Ts is the symbol interval.

Synchronization is performed using a cyclic preamble. Cyclic preamble is chosen

111

in our model because it can serve the dual purpose of estimating timing and carrier

offsets while at the same time equalizing the channel effects when coupled with a

cyclic equalizer. [78]. The repetition structure of the cyclic preamble allows us to

detect the start of the packet as well as the carrier offset. This method exhibits good

performance and is easy to implement. Packet detection is performed by computing

the autocorrelation of the received signal. We correlate the signal with a shifted

version of itself and find the position of the preamble by identifying the interval

over which the autocorrelation is significantly large [34]. After compensating for

the carrier offset, we make use of a half symbol spaced fractionally-spaced adaptive

equalizer to compensate for the channel distortion, any residual carrier offset and

to obtain the correct timing phase [34]. The equalizer coefficients obtained using

this algorithm are further fine-tuned using a decision-directed adaptive scheme.

The base of the platform is the digital processing module. It is designed

around the TMS320DM6446 (also called DM6446) Digital Media Processor (DMP)

System on Chip (SoC) from TI and Virtex-IV XC4VX35 FPGA from Xilinx.

DM6446 combines an Advanced Very Long Instruction Word (VLIW) 64x+ DSP

and Reduced Instruction Set Computer (RISC) ARM926J-S cores, where the ARM

microcontroller is mainly set to run the INTEGRITY Real-Time Operating System

(RTOS) and DSP performs complex data processing. The data conversion module

is equipped with a 125 MSPS, 14-bit dual channel ADC and a 500 MSPS 16-bit

dual channel interpolating DAC provided by TI. The RF module is configured to

have either 5 or 20 MHz bandwidth with working frequencies of 200-930 MHz for

the transmitter and 30-928 MHz for the receiver. The SDR modem implementation

is divided into different tasks. The SFF SDR platform gives the designer the option

to choose the silicon device that is most suitable to the task being developed. We

use the INTEGRITY and SMSHELL API provided by Lyrtech to target the board

while we develop our signal processing tasks on the DSP core and the FPGA.

The division of tasks between the DSP and the FPGA was made based on the

112

availability of resources, the inherent characteristics of these cores, and the extra

functionalities offered by TI and Xilinx. We make use of the already available Xilinx

Logicore Blocksets for FPGA and the optimized DSP libraries written for vectors

of complex numbers for C64x+ core.

Interfacing between the DSP and FPGA is done using the Video Processing Sub-

system (VPSS) data port. The DSP VPSS is a DM6446 DSP 16-bit synchronous

video transfer port modified to support transfer of nonvideo data to and from the

DSP. The VPSS consists of a Video Processing Front End (VPFE) and a Video

Processing Back End (VPBE). The VPFE is used as an input interface to the DSP

and the VPBE as an output interface from the DSP to FPGA. In the FPGA, a

VPSS data port module, also consisting of a VPBE and a VPFE, is implemented

to interface with the DSP VPSS. The data bus inside the FPGA is a 32-bit and

the VPSS of DM6446 DSP bus is a 16-bit. On the other hand, custom registers,

a shared memory of eight 32-bit words between the DSP and the FPGA On-Chip

Peripheral Bus (OPB), are used as configuration registers. As a result, the fast

VPSS 32-bit bus is our gateway between DSP and FPGA.

The tasks developed for the FPGA are implemented using the System Generator

for DSP. System Generator, an add-on to Simulink provided by Xilinx, produces

a highly optimized FPGA realization, since each module used in the architecture

maps to an FPGA library component that has been carefully constructed and

optimized for the FPGA target device. Moreover, the System Generator provides

us with a visual representation of the system that not only serves as the design

specification, but as the behavioral simulation model and the source definition for

the hardware. The system Generator implementation also facilitates the rapid

investigation of various design options in the system [79].

To develop the DSP subsystem, the algorithms targeting the DSP processor are

first implemented in Simulink blocks. RTW is next used to produce the first version

of the code for the individual Simulink blocks. Each block is then individually tested

in Simulink external simulation. Although RTW is able to generate stand-alone

C code for the Simulink blocks, it can only be used for rapid prototyping and

113

testing since the code it generates is not optimized for a specific DSP or GPP

target. The RTW generated code often needs extra memory and processing power

and the optimization burden is put on the compiler only. The RTW thus cannot

be used to implement the complete DSP subsystem whose requirements include

realtime performance in terms of memory and speed and special data alignment.

To overcome this problem, a Target Language Compiler (TLC) file is developed to

customize the code generation. In writing the TLC, it is feasible to use optimized TI

DSP libraries DSPLiband compiler optimization techniques such as giving feedback

to the compiler. Furthermore, the wrapper TLC (unlike inline TLC) saves a single

version of each algorithm and therefore simplifies code maintenance. The wrapper

TLC code (written for the individual blocks) can be reused in the independent

compilation of the complete DSP subsystem project, without involving the RTW.

Finally, the C code of the complete DSP subsystem (either generated by RTW or

written as wrapper TLC) is compiled by TI Code Composer Studio (CCS). CCS

makes use of the high performance VelociTI architecture of DM6446 to optimize

the code down to the programming level optimization.

The distribution of the SDR modem components between the DSP core and

the FPGA is shown in Fig. 6.2 and Fig. 6.3. The VPBE and VPFE are used to

transfer the data streams back and forth between the two modules while the custom

registers are used for handshaking.

We use a custom register Rf to indicate the services required by DSP to be done

by FPGA. Depending on the type of data processing required from the FPGA, the

DSP specifies a command number inside the custom register Rf and then transfers

the data through the VPSS. Similarly, another custom register Rd is used by the

FPGA to inform the DSP about the characteristics of the bit-stream arriving at the

VPFE in the DSP subsystem. The DSP, being sequence based and often running

1c

2008 IEEE. Quoted, with permission, from P. Amini, E. Azarnasab, P. Amini, S. Akoum

and B. Farhang-Boroujency, An experimental cognitive radio for first responders, Proceeding

of IEEE DySpan, IEEE Dynamic Spectrum Access Conference, October 14-17, 2008, Chicago.

Transmitter

DSP (c64x+) FPGA (Vitex IV, XC4VX35)

Rf = 0

RS Enoder

Binary Source

Conv Encoder

Rf = 1

Symbol Mapping Rd = 0

Rf = 2 To RF Frontend

Framing M1 CPSCC M2 CIC Modulation

V P F E V P BE

Receiver

114

Rd = 0 From RF Frontend

Packet Detection Carrier Recovery M1 CPSCC M2 CIC Demodulation

Framing M1 CPSCC M2 CIC Modulation

V P F E V P BE

Receiver

DSP (c64x+) FPGA (Vitex IV, XC4VX35)

Rd = 0 From RF Frontend

Packet Detection Carrier Recovery M1 CPSCC M2 CIC Demodulation

Rf = 2

RS Decoding

FS Equalizer Demapping

Viterbi

Rf = 3

Rd = 1

Binary Data

Rd = 2 From RF Frontend

Filterbank Sensing AGC M3 Lowpass Filter Demodulation

Sensing Timer Rd = 2

V PFE V P BE

115

116

an endless loop, uses the content of the Rd register to select the appropriate DSP

function to be applied on the incoming data. The transmission is initiated, as shown

in Fig. 6.2, in the DSP core. The binary source is an arbitrary bitstream of voice

or data incoming to the DSP. The voice data are input from the pcm3008 stereo

audio codec at 48 KHz and encoded by the CVSD having a data rate of 16kbps.

The binary voice stream is zero padded to achieve a data rate of 20kbps. The data

traffic, on the other hand, is a fixed computer-to-computer data stream. This data

stream has a lower bit error rate than the voice stream and is retransmitted in the

MAC layer (if missed or corrupted) to ensure data integrity of critical information.

The transmit packet is sent to the FPGA through the VPSS. The custom register

Rf is set to zero if the source is audio and one if nonaudio. In the FPGA, depending

on the data content, either Reed Solomon (RS) coding or convolutional coding

combined with interleaving is performed. Following the source coding in the FPGA,

the binary vectors are retransferred to the DSP (Rd = 0) to perform modulation

and framing. Data stream transmitted using 8PSK and QPSK is implemented for

transmitting voice. The binary vector is finally sent back to the FPGA (Rf = 2)

to upconvert the signal to IF and eventually transmit it over the air. Digital up

conversion in the FPGA consists of three blocks. Combined CIC and pulse shaper

(CPSCIC) that follow the Nyquist-M criterion, a CIC integrator, and a Direct

Digital Synthesizer (DDS) to modulate the signal to the IF. The CPSCIC filter we

used is an 80-tap FIR filter generated using the Xilinx FIRCOMPILER provided

by the System Generator for DSP. The baseband signal was modulated to an IF of

30 MHz at a sampling rate of 80 MHz. Note that in the SFF SDR platform, the

FPGA has access to IO, Data Conversion and RF modules.

At the receiver side (Fig. 6.3), two separate functionalities are first performed in

the FPGA, digital down conversion (DDC) and sensing. The resulting signal is then

passed to the DSP (Rd = 1) where synchronization tasks and symbol demapping

are performed. After demapping, the signal is sent back to the FPGA for decoding

(Rf = 2 for voice and Rf = 3 for data). The decoded signal is finally passed to

the DSP (Rd = 2). This timer activates the sensing module 10 times a second for

117

almost 4s. The timer control circuit disables the transmitter functionality while

the sensing is performed. The sensing data are first demodulated to baseband

by means of a DDS whose frequency is centered at the IF. A lowpass polyphase

decimator is used to filter the required signal band and bring the sampling rate

down to 5 MHz. Note that in order to make use of the maximum dynamic range

of the ADC, AGC is developed in the DSP to control the gain of the analogue

amplifiers available on the data conversion module before the signal is digitized.

The resulting signal is then sent to the DSP (Rd = 3) for further processing. In

the DSP, the DSPLib library for C64x+ is used for efficient implementation of the

filterbank sensing. A filterbank is implemented in polyphase structure using 256

8-tap polyphase elements which are the decimated coefficients of a prolate filter.

The output of the polyphase elements are then passed through FFT. The output

energy of the filterbanks is then averaged over three decimated samples. The sensing

information is compared with a tunable threshold to locate possible active primary

users and create a 32-byte channel state information. This information is then

transmitted to the basestation. The basestation compiles the sensing information

from all of the users and creates a common CSI to be used for channel assignment.

A vector signal generator has been used to generate a signal that emulates the

traffic of PUs and SUs (Fig. 6.4) [66]. The vector signal generator is interfaced to

Matlab and the accumulated signal of primary and secondary users are transmitted

over 462 to 467 MHz. Fig. 6.5 is a snapshot of the sensing results where six

users are emulated on the channel. The signal generator modulates these signals

with different power levels to 463.278MHz, 463.367MHz, 463.456MHz, 463.545MHz,

463.624MHz, and 463.985MHz. The sinewaves at 463.278MHz, 463.456MHz,and

463.624MHz are transmitted at 25dbm power. The ones at 463.367MHz, and

463.545MHz are transmitted at -15dbm while 463.985MHz sinewave is transmitted

at -9dbm [66].

The PSD of the received signal is presented in Fig. 6.5. The number of input

118

Real SU1

Wireless Channel

Real SU2

Si mulated

SU1

Si mulated

SU2

Si mulated

PU1

Figure 6.4: The testbed setup for examining the performance of filterbank sensing.

samples and the prototype filter length are 2048. The results of FFT, FFT with

a Hanning window and filterbank are averaged over three decimated samples. The

calculated PSD from 462MHz to 467MHz for these three methods are depicted

in Fig. 6.5. As we can see in Fig. 6.5, filterbank sensing is able to show all the

transmitted sinewaves clearly. FFT, on the other hand, has a considerable spectrum

leakage which results in missing the three sinewaves at 463.367MHz, 463.545, and

463.985MHz. FFT with hanning while having better dynamic range than FFT,

also misses two of the sinewaves.

In order to have successful cognitive radio deployment in future networks, it

is essential for cognitive radios to coexist not only with the primary devices but

also with other cognitive radio which may be present in the same band. The

cognitive radio setup discussed in this chapter was presented in two exhibitions

and demonstration environments where primary and secondary interferes were

0

FFT

10 FFT with Hanning window

Filterbank

20

30

40

50

Magnitude (dB)

60

70

80

0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5

Normalized Frequency

Figure 6.5: Power spectral density (PSD) measurements by FFT, FFT with hanning window, and filterbank

119

120

available in the band. The testbed was first presented in the 2007 Software Defined

Radio and Technical Exhibition as part of Smart Radio Challenge [64]. The radio

was demonstrated and tested for two days in the exhibitions in the presence of

interfering cognitive and software defined radios from other companies, universities

and research institutions. It was shown that an audio signal can be transmitted

from one cognitive radio to other one while interferes are present in the band

and the radios can move to an unused part of the band when interference from

primary or secondary devices become available in their band. The testbed was

also presented to a panel of judges from major companies in field of cognitive

and software defined radio and the paper describing the implementation [26] was

awarded the best paper award [80]. Furthermore, as a result of successful demon-

stration at the SDR Technical conference, we were invited to the present our testbed

in the Demonstration Track of the 2008 IEEE conference on Dynamic Spectrum

Access Network (DySpan) [68]. We were able to show in the three days of our

demonstration at DySpan that our testbed can coexist with cognitive radios from

various companies and universities.

6.7 Summary

A cognitive radio network for first responders was developed. The system

performs channel sensing to identify the presence of PU and transmits over unused

portions of the spectrum. It was shown that filter spectrum sensing provides a

reliable mechanism for detecting the presence of primary users. The system was

presented at two demonstration environments and it was shown that the cognitive

radio can keep transmitting voice in the presence of various types of interferers.

CHAPTER 7

COGNITIVE LIVE WIRE TESTING

Aging wiring is one of the forefront issues in maintaining older aircrafts. Inci-

dents such as Swiss Air Flight 111 and TWA Flight 800 have led to a heightened

public awareness of these critical wiring issues [81].

Conventional wiring inspection is typically limited to visual inspection during

routine maintenance or highly invasive testing during major modifications. But

visual inspection does not provide enough information to detect flaws, especially

within wire bundles. Therefore, methods to locate small faults before they create

system level problems are desired. Some faults may cause impedance discontinuities

that are too small to detect. On the other hand, there are methods that can locate

the fault when its impedance discontinuity is larger, such as when the wire vibrates

against a metal structure creating an intermittent short circuit have more promise

of locating these anomalies. This requires being able to test the wires continuously

while they are live and in flight, which requires a new class of reflectometry methods

[1], [82-85].

Recently, a new method of live wire testing called multicarrier reflectometry

(MCR) has been proposed [1]. Reflectometry is essentially a system identification

problem. A test signal is sent across the wire under test, and the reflected signal

is used to study the condition of the wire [1], [82-85] . The wire may be treated

as a plant whose input is the test signal, and its output is the reflected signal.

Identification of the plant, or equivalently, the condition of the wire, is the goal.

1 c

2009 IEEE. Quoted, with permission, from P. Amini, C. Furse, and B. Farhang-Boroujency,

Filterbank multicarrier reflectometry for cognitive live wire testing, IEEE Sensor Journal, vol.

9, no. 12, December 2009.

122

The plant response can be obtained by comparing its input and output signals.

In time domain reflectometry (TDR) [84], for example, the input is chosen to be

a step function or impulse, and accordingly the plant output/reflected signal is

the step or impulse response of the plant/wire. In MCR, the test signal is chosen

such that the plant response can be measured in the frequency domain. For this

purpose, the test signal is chosen to be the summation of a number of tones, and the

plant/wire frequency response is measured by comparing the amplitude and phase of

the transmitted tones with their reflected counterparts, [86]. This method of system

identification was applied to wire testing in [1]. An MCR test equipment selects one

or more portions of the spectrum that is/are free of live wire signals for transmission

of the tones/test signal. This leads to frequency agility and adaptability ideal for

live wire testing.

The work presented in [1], although pioneering in the sense that it for the

first time introduces the concept of MCR, has not given any due attention to the

optimality of the test signals and the filters that are used for signal analysis. We

concentrate on these aspects of MCR and its goal is to refine the MCR method

that was proposed in [1]. We intend to minimize the signal to interference and

noise ratio (SINR) for both the live signal and the test signal used for diagnosis.

This chapter is organized as follows. In Section 7.1, we describe the problems

of out-of-band interference in signal synthesis (i.e., interference with the live wire

signals) and in-band interference while performing signal analysis (i.e., the interfer-

ence that tester receives from live wire signals). The proposed filterbank solution

and the filter design methodologies are presented in Section 7.2. The concept of

cognitive live wire testing is described in Section 7.3. The concluding remarks are

drawn in Section 7.3.1.

In [1], the multicarrier test signal is synthesized by summing a set of sine waves

over a finite window of time. Mathematically, this is written as

!

X

x(t) = ai sin (i t + i ) w(t) (7.1)

iS

123

and phase of the ith sine wave, t denotes continuous time, and w(t) is a window

function that limits x(t) to a finite duration. In [1], w(t) was chosen as

1, 0 t < T

w(t) = (7.2)

0, otherwise

i.e., a rectangular window with duration of T . Moreover, it was suggested that the

phase angles i should be chosen to minimize PAPR of x(t).

Defining

X

v(t) = ai sin (i t + i ) (7.3)

iS

X(f ) = V (f ) W (f ) (7.4)

Using (7.4) and noting that the Fourier transform of the rectangular window

w(t) is a sinc pulse sinc(x) = sin(x)

x

, and the Fourier transform of each sine wave

is the sum of two impulses, at frequencies f = 2

i

, one finds that the energy

spectrum of x(t), defined as |X(f )|2 , is the sum of a number of sinc-squared pulses.

An example of such a spectrum is presented in Fig. 7.1. The length of the test signal

is 320 samples and a multicarrier system with 128 subcarrier is used. Subcarriers 8

to 25 and 33 to 45 are used for transmitting the test signal. A relevant characteristic

of this spectrum to this paper is the fact that |X(f )|2 is not confined to the intended

frequency band. There is a significant level of spectral leakage to the portions of

the band that may be occupied by the live wire signal; for example, if the live wire

signal was in the (normalized) frequency range 0.2 to 0.25 or near DC. In the latter

cases, the attenuation of the test signal over the live wire bands is only 20 to 25

dB. Hence, without other measures, the MCR test signal may interfere with a live

wire signal. We refer to the interference generated by the test signal on the live

wire signal as the out-of-band interference.

Another problem will arise in the analysis of signals. In [1], it is proposed that for

analysis a rectangular windowed portion of the reflected signal may be passed to an

124

10

!10

|U(f)|2

!20

!30

!40

!50

0 0.1 0.2 0.3 0.4 0.5

normalized frequency8 f

FFT processor. Here again, the application of the rectangular window is equivalent

to applying a set of narrowband filters whose frequency responses are sinc pulses.

Such responses suffer from poor stopband rejection which in turn means the live

wire signal energy is picked up by the analysis filters, reducing the accuracy of the

measurements. We refer to this type of interference as the in-band interference.

The problems associated with the rectangular window are well known to the

signal processing community, and measures to alleviate them have been studied in

different contexts. In spectrum analysis the problem of spectral leakage is solved

by replacing the rectangular window with other window types, e.g., a Hamming

or Hanning window, [87]. For digital subscriber lines (DSL) some of the problems

are very similar to those encountered in live wire testing. There, a communication

signal is transmitted over an unshielded telephone line which is exposed to radio

signals over some portions of the frequency band. Therefore, similar to our case

here, portions of the band should not be used for communication, [88]. Moreover,

the synthesized signals should be designed to avoid these radio bands. In the

125

analysis part of the system (the receiver), proper filtering operation should be

performed in order to avoid any significant portion of the radio signal - indeed, a

very similar problem to the live wire testing. In DSL, the problem of leakage and

thus filtering is solved by replacing the rectangular window with a window that

tapers at the sides, [89]. This avoids the sharp edges that are the main source of

spectral leakage/poor filtering.

We use the windowing method proposed in [89] to reduce the out-of-band

interference. However, for signal analysis, we resort to a direct filterbank solution.

For live wire signals, the filterbank analysis method is a good choice since we can

design (as shown in Section 7.2.2) optimal filterbanks that minimize the in-band

interference and assure near-perfect separation of the tones in a test signal. This

application of filterbanks is unique to live wire testing, because the test signals are

a sum of pure tones. We also study some details of the windowing solution of [89]

and develop new insights that lead to a method of improving the window function

that has been commonly used in the past. We also show that the proposed signal

synthesis with windowing may be formulated in the framework of filterbanks.

Fig. 7.2 presents the various blocks involved in the construction of a filterbank

MCR (FBMCR). The output of the signal generator block, x(t), is a multitone finite

duration signal whose spectrum is confined within a desired band. The system, in

the context of this paper, is a live wire. The input to the system is the point

where the test signal is injected into the wire, and its output is the point where the

reflected signal from the wire is seen; for details of the relevant circuit diagrams

see [1]. The live signal on the wire is also seen at the output of the system. This

is indicated in Fig. 7.2 as an additive interference, considering the fact that the

live signal is a source of interference to the intended measurement/FBMCR. The

analysis filterbanks (AFBs) extract the signal tones applied at the input as well

as their replicas after reflecting from the wire, i.e., at the system output, y(t).

Comparing each pair of outputs from the AFBs, as discussed in [1] (also, see [86]

126

interference

generator

system y(t) filterbank

....

system

identification

....

analysis

filterbank

for more details), one can estimate the samples of the frequency response of the

system (the wire). The measured frequency response is then used to study the

time-domain characteristics of the wire. These operations are performed in the

system identification block. We request the reader to refer to [1] for the details of

how this conversion can be performed. In the following, we present the details of

the signal generator and ABF blocks of Fig. 7.2 and discuss the criteria that should

be used to design these blocks optimally.

The test signal x(t) is synthesized by summing a set of tones that are spread over

a selected frequency band. Also, x(t) should have the following desirable properties:

2. Its spectral content should be confined within the selected band. In other

words, its out-of-band interference should be minimized.

127

The first property is required as any realistic test has to be completed within a

finite time. This finite time can be easily set by truncating x(t) (or, equivalently,

the tones) outside of a preselected interval.

Once the tones are truncated, their spectrum will spread across the frequency

axis, e.g., see (7.4), and as a result the spectral spread over the frequencies that

are not part of the intended band. We minimize the out-of-band interference by

first adding the tones and then applying a well-designed window function to the

summation.

The PAPR is minimized through a three-step signal synthesis. We first choose

a discrete-time periodic signal [n] with a small PAPR and with a period of, say, N

samples. Such a periodic signal has a Fourier series with N harmonics at frequencies

2k

N

, for k = 0, 1, , N 1. It is also desirable to choose [n] such that its harmonics

have equal power. This results in equal excitation at all frequencies where we wish

to estimate the frequency response of the system. Equal excitation is desirable and

commonly used in system identification, as it results in equal accuracy at all the test

points [90]. Fortunately, sequences with the properties of small PAPR and equal

power harmonics exist. One class of such sequences are the so called polyphase

codes devised by Chu [91]. They are defined as

(

Kn2

ei N , N even

[n] = Kn(n+1) (7.5)

i

e N , N odd

where K is a number relatively prime to N . Note that [n], for any value of n

has the instantaneous power of unity. Hence, its average power is also unity, and

accordingly it has a PAPR of one or, equivalently, 0 dB. This is indeed the minimum

PAPR that any signal may have.

In the second step, we find the Fourier series coefficients of [n] by taking the

DFT of one cycle of it. The result which we call [k] is used to generate the

continuous-time version of [n] as

X

N 1

2k

(t) = [k]ej N

t

. (7.6)

k=0

128

arbitrary band according to the equation

where fc is the carrier frequency (the center of the band) and <{} denotes the real

part of.

We note that after interpolation, the PAPR is no longer at the minimum level

0 dB. The interpolated signal always has a PAPR which is greater than 0 dB.

However, we argue that the use of polyphase codes, which start with a minimum

PAPR, leads to a continuous-time test signal with a small PAPR. We also note

that different polyphase codes result in different PAPR values and thus examine

all choices of [n] for each code length, N , to find the one that results in minimum

PAPR. The test signal generated in this way for all values of N (we examined

values of N in the range of 10 to 100) have PAPR values of around 2.5 dB. This

is relatively small PAPR. To compare, the phase randomization method that used

in [1] results in signals with PAPRs that are 1 or 2 dB greater.

Recalling that the test signal should have a finite duration, in the third step of

test signal generator, a time window should be applied to v(t), as in (7.1). The

common window suggested in the literature is the raised-cosine function defined as

1 cos( Tt0 )

, 0 t T0

1, 2 T0 t T

w(t) = (7.8)

1 + cos( (tT )

)

T0

, T t T + T0

2

0, otherwise

where T0 is the width of role-off time at each side of the window, and T + T0 is

the total duration of the window. Although the raised-cosine window is commonly

used in the practice of signal processing, as discussed below, it is not necessarily

the best window function. Next, we present an analysis of w(t) that leads to some

insight that we use to propose an improved window function.

129

Function

When the window function w(t) is chosen according to (7.8), one finds that

cos(f T0 )

W (f ) = T sinc(f T ) ejf (T +T0 ) . (7.9)

1 4f 2 T02

t T /2

w(t) = h(t) (7.10)

T

where

t 1, |t| T /2

= (7.11)

T 0, otherwise

and

t t T0 /2

h(t) = sin . (7.12)

2T0 T0 T0

Clearly, the first term on the right-hand side of (7.9) is the Fourier transform of

sin(x)

(t/T ) and we have defined sinc(x) = x

. The second term is obtained by

taking the Fourier transform of h(t + T0 /2). The last term (a linear phase term)

arises because the two terms on the right-hand side of (7.10) are the time shifted

versions of (t/T ) and h(t + T0 /2), respectively.

It is instructive to note that the Fourier transform of h(t) appears as a multi-

plicative factor to the sinc pulse on the right-hand side of (7.9) and thus has the role

of attenuating the side-lobes of sinc(f T ). A good choice of h(t) can significantly

improve the out-of-band interference of the spectral content of x(t).

To develop an in-depth understanding of the impact of h(t) on the magnitude

response of W (f ), in Fig. 7.3 we have presented |W (f )|, |T sinc(f T )| and |H(f )|.

The relationship between the parameters T and T0 and some features of these plots

are also presented. In particular, we may note that the width of the main lobe of

|H(f )| is equal to 1.5/T0 and, thus, decreases as T0 increases. On the other hand,

narrowing the latter width is desirable, as it results on attenuating more of the side

lobes of |T sinc(f T )|, thus, improving the out-of-band interference of the spectrum

of x(t).

130

20

T | si n c(f T )|

10 | H (f )|

| W (f )|

M agn i tu d e re sp on se s, d B

!10

2/T

!20

!30

1.5/T0

!40

!50

!60

!1 !0.5 0 0.5 1

Fre q u e n c y, f

Figure 7.3: An example of the magnitude response of the window function w(t)

and its factors.

Looking at h(t) in the time domain gives us a different prospect. h(t) is a

half sine wave with the sharp edges at t = 0 and T0 . Such sharp edges constitute

high frequency components in its Fourier transform, resulting a magnitude response

|H(f )| with side lobes that may not be sufficiently small. Hence, the function h(t)

as given in (7.12) may not be a good choice and, thus, a more elegant design of it

can lead to better spectral containment of x(t), within the desired band. We argue

that an optimum choice of h(t) can be obtained by designing h(t) such that the

total energy of the side lobes of H(f ) is minimized. This leads to a choice of h(t)

which is known as prolate function, [92]. Prolate functions are flexible in the sense

that for a given time span T0 , the width of the main lobe of their response in the

frequency domain can be traded for different suppression level of their side lobes.

131

10

rai se d - c osi n e

M agn i tu d e re sp on se s, d B 0 p rolate

!10

!20

!30

!40

!50

!60

!1 !0.5 0 0.5 1

Fre q u e n c y, f

prolate design.

In contrary, the choice of h(t) in the raised-cosine window, for a given time span

T0 , results in fixed response in the frequency domain. In particular, the width of

its main lobe is fixed at 1.5/T0 . Fig. 7.4 compares the magnitude responses of h(t)

when it is selected to be a prolate function and when it is selected according to

(7.12), both with the same time duration T0 . However, the prolate design that we

have selected has a slightly wider main lobe, in order to achieve higher attenuation

of its side lobes. Here, at the cost of slightly wider main lobe, we achieve 10 to

20 dB improvement in suppression of the side lobes.

To conclude our discussion in this section, we present in Fig. 7.5 a repeat of the

spectrum that we previously presented in Fig. 7.1 after applying a window function

based on the proposed prolate design. As seen, and expected, the out-of-band

spectra are significantly attenuated from 20 dB to 40 dB to below 100 dB. As

a result the interference from test signal to the live signal on the wire is orders of

132

|Xtest(f)|2 !50

!100

!150

0 0.1 0.2 0.3 0.4 0.5

normalized frequency, f

Figure 7.5: An example of the test signal after applying w(t). The window

function w(t) is based on a prolate design.

magnitude smaller than noise level. Therefore, the effect of test signal on the live

signal SINR is negligible.

Windowing and Filterbank Synthesis

According to the procedure discussed above, the test signal x(t) is obtained

by adding a number of tones and then applying a window function to the result.

Concentrating on the ith tone in x(t) and calling it xi (t), we obtain

t T /2

xi (t) = h(t) eji t

T

Z

ji t t T /2

= e h( ) d

T

Z

ji

t T /2 ji (t )

= h( )e e d

T

t T /2 ji t

= h(t)e ji t

e . (7.14)

T

133

This result clearly shows that the ith tone in x(t) is obtained by first applying

a rectangular window to the continuous-time tone eji t and then passing the result

through the modulated filter h(t)eji t , centered at i . Hence, the time domain

windowing has an equivalent filterbank synthesis where each tone passes through a

filter in the filterbank that is centered at its respective frequency.

Although the test signal, x(t), and the reflected signal from the wire, y(t),

are continuous-time, for the purpose of processing they should be sampled. The

sampled signals x[n] and y[n] are analyzed by passing them through a pair of similar

filterbanks. The filterbanks are constructed based on a prototype filter g[n]. The

prototype filter is a lowpass filter with the frequency response G(f ), where f is the

normalized frequency with respect to the sampling rate. The filterbank is realized

by implementing a set of filters with the responses G(f fi ), i S, where fi s are

the normalized frequency of the tones in the test signal. We assume that x(t) and

y(t) are demodulated to baseband, i.e., the carrier frequency fc is removed, before

being sampled and passed to the AFBs. Hence, fi = 2i

N

, for i S. This choice

allows efficient realization of each AFB in a polyphase structure, [19].

We propose to design g[n] based on the following criteria:

2. Set the gain of G(f ) at f = 0 (this is at the middle of its passband) equal to

one.

3. The filter frequency response should have zero crossings at integer multiples

of the frequency spacing of the tones to avoid interference among different

tones.

134

Z 1f0

Es = |G(f )|2 df (7.15)

f0

[g[0] g[1] g[N 1]]T and e(f ) = [1 ej2f ej2(N 1)f ] and noting that

G(f ) = gT e(f ), straightforward manipulations lead to

Es = hT h (7.16)

1 2f0 k=l

kl = . (7.17)

2f0 sinc (2f0 (k l)) k 6= l

2. To set the gain of G(f ) at f = 0 equal to one, the following constraint should

be imposed

cT

0h = 1 (7.18)

3. The constraints that impose zero gain at integer multiples of the frequency

spacing between the tones are obtained as

cT

i h = 1, for i = 1, 2, , N 1, (7.19)

The above results suggest that to design the prototype filter g[n], one should

minimize Es subject to the constraints (7.18) and (7.19). Hence, using the method

of Lagrange multipliers, we define

X

N 1

0 h 1) +

= hT h + 0 (cT i cT

i h (7.20)

i=1

h = 0 and = 0, for i = 0, 1, , N 1. (7.21)

i

Fig. 7.6 presents the magnitude response of a typical prototype filter that is

designed using the above procedure. Here, N = 16 and the filter length is L =

135

!10

!20

magnitude, dB

!(0

!40

!50

!60

!%0

!80

!0.5 0 0.5

normalized frequency, f

8N + 1 = 129. By increasing the filter length (L), one can arbitrarily control

the stopband attenuation of this filter. Therefore, using the filterbank analysis

structure, the interference from the live signal on the wire to the test signal is not

a limiting factor in decreasing the effective SINR in our diagnosis system.

The frequency band(s) over which live wire signals are located in different wires

are not necessarily the same and, thus, such bands may be unknown to a live wire

tester. We propose to make the tester intelligent by designing it such that before

every measurement it tests the spectral activity on the wire and finds a band (or

multiple bands) for the frequency for setting up the test signal. We borrow this

idea from the field of cognitive radios [93] and thus call the proposed method

cognitive live wire testing. Cognitive radios belong to an emerging class of radios

that measure the radio spectral activities in their surrounding environment and

136

begin a communication session over the portion of the spectrum that is not used by

other radios. Clearly, extension of this concept to live wire testing is straightforward

and does not need any further elaboration. We only need to equip the live wire

tester with spectrum sensor, i.e., an spectrum analyzer.

Many spectrum analyzers essentially use a filterbank to extract the spectral

energy of the analyzed signal at different portions of the frequency band. Moreover,

recent studies have identified filterbanks as the natural choice for spectrum sensing

in cognitive radios, [94]. We also propose using filterbank method for spectrum

sensing in live wire testing, and note that since in our system setup an analysis

filterbank is connected to the wire this addition comes at virtually no additional

cost.

7.3.1 Summary

Multicarrier reflectometry (MCR) has recently been proposed as an effective

method of testing live wires [1]. This chapter presented a more detailed study of

the signal processing tools necessary in the implementation of MCR and discussed

how these tools may be perfected. We noted that to minimize the interference

between the test equipment and live wire signals, filterbanks are the best signal

processing tools. We thus developed novel methods for this application using

filterbanks. We showed that using a filterbank based on the prolate window design,

the interference level from the test signal to the live wire signal can be controlled

and decreased significantly. Hence the effective SINR of the live signal will be

minimally affected by the test signal. Furthermore, it was shown that the optimum

filters can be designed for analysis filterbanks. The stop band attenuation of the

analysis filterbanks can also be made arbitrary small by increasing the length of the

filters. We also borrowed an idea from the field of cognitive radios and suggested

the concept of cognitive live wire testing.

CHAPTER 8

RESEARCH

There is high demand for wireless services and the vast majority of the spectrum

has already been licensed. It appears that the regulated radio spectrum has been

fully occupied and new applications will not have access to the radio spectrum.

It has been noted that the static frequency allocations have resulted in inefficient

usage of the spectrum resources. On the other hand, the advancement of SDRs has

enabled us to build radios that can change their pulseshape, modulation scheme and

carrier frequency. Consequently, cognitive radio technology has been proposed that

uses the SDR technology to make secondary use of licensed spectrum. Multicarrier

communication technology has been suggested as a suitable candidate to utilize the

white spaces in the spectrum. The subcarriers that appear to be unattended are

added to the spectrum pool while busy parts of the spectrum are not aggregated to

avoid collision with PUs. OFDM/FFT was the first multicarrier technique which

was proposed for data communication and spectrum sensing in cognitive radios.

However, OFDM suffers from large side-lobes in the frequency response of the filters

that characterize the subcarriers in an OFDM system. Therefore, there is significant

interference among the carriers of different SUs as well as between SUs and PUs. On

the other hand, filterbank multicarrier can overcome the spectral leakage problems

of OFDM at the transmitter side and therefore lead to less interference from SUs to

PUs and other SUs. Filterbank receiver is also capable of providing high out-of-band

attenuation. Moreover, filterbanks can provide us with a robust spectral analysis

tool with high spectral dynamic range. Therefore, filterbank multicarrier has been

suggested as an alternative to OFDM for cognitive radio applications. In this

138

radios and proposed solutions.

We presented the formulation and orthogonality conditions of filterbank commu-

nication methods. The formulation was used as a basis to investigate the sensitivity

of SMT and CMT to carrier and timing offset. The required accuracy for timing and

carrier synchronization methods was discussed. It was shown through simulation

results that SMT and CMT outperform OFDM in terms of CFO immunity specially

when high SNRs are required. However, it was noted that due to the use of cyclic

prefix in OFDM systems, OFDM systems are less sensitive to timing offset. As a

result it was shown that it is necessary to have accurate timing and carrier recovery

techniques for FBMC systems.

Polyphase structure is used to implement filterbank techniques for signal pro-

cessing and communications. We investigated the proposed polyphase structures in

the literature to see if they are applicable for implementation of a wireless system. A

novel formulation for a family of polyphase structures which was used for SMT was

derived. Using our derivation, we showed that some of the SMT analysis structures

in the literature are not applicable to frequency selective channels.

In order to deploy filterbank communication techniques, it is necessary to de-

velop computationally efficient carrier and timing synchronization techniques. Ma-

jority of literature on synchronization of FBMC is based on conjugate and the un-

conjugated cyclostationary properties of the received signal. The derived estimators

in the literature are computationally expensive and require a large number of SMT

symbols. Furthermore, in some cases, CFO estimation methods are only suitable for

nondispersive channels. Most data networks are packet based system. Each packet

starts with a preamble which is used to detect the packet, adjust various stages

of gains, synchronize the receiver with carrier frequency of the incoming signal,

find a good timing phase, and identify the channel impulse response or adjust

a set of channel equalizer parameters. In this dissertation, following the same

philosophy, we developed a packet format for multicarrier systems that operate

based on filterbanks. The proposed preamble can be used to perform all the

139

aforementioned tasks. The algorithms for carrier frequency and timing recovery

as well as channel identification/equalizer adjustment and methods for carrier and

timing tracking loops were proposed. The proposed ideas were evaluated and their

satisfactory performance was presented through computer simulations.

In order to have complete packet based design which is suitable for implemen-

tation in data networks, we designed timing and carrier tracking algorithms. While

our proposed preamble may be used for initial timing and carrier offset estimation,

without any tracking loop, the carrier and timing phase may drift over the length

of the payload. Furthermore, carrier and timing offset tracking are more necessary

for data communication system with large payload sizes such as IEEE 802.11n.

We proposed decision directed timing and carrier tracking mechanisms for SMT

and CMT. A decision directed PLL was used to force any built up phase error to

zero. Timing was tracked by minimizing a cost function. Simulation results were

presented to show the satisfactory performance of the proposed methods.

As a case study for implementation of a filterbank based cognitive radio network,

cognitive radios equipped with filterbank spectrum sensing were implemented. This

work was done to evaluate the performance of our proposed filterbank sensing in

an actual implementation. The cognitive radio was implemented on the Small

Form Factor (SFF) Software Defined Radio (SDR) platform, provided by Lyrtech

and Texas Instruments (TI). Our filterbanks spectrum sensing was shown to exhibit

superior performance in terms of the spectral dynamic range when compared to the

conventional FFT based techniques, i.e., periodogram method. Different processing

tasks were divided between a TI c64x+ DSP and a Xilinx Virtex IV FPGA while an

ARM9 core was used to host Greenhills operating system. To tackle the complexity

of development, we used progressive simulation based design. To develop the

network of the cognitive radio modems, we deployed the available real modems with

simulated primary and secondary users in a central simulation. Three real nodes

were used in our testbed which perform channel sensing and data transmission.

If the presence of a primary user is detected on a carrier that is being used, the

cognitive radio moves to an unoccupied part of the spectrum. Our implementation

140

was tested at a major exhibition and a cognitive radio demonstration track and it

was shown that our radio can coexist not only with primary devices but also with

other cognitive radios.

Filterbank multicarrier techniques were also applied to fault detection of live

wires. Multicarrier refelctometry (MCR) as an effective method for testing live

wires had been recently proposed. We studied the use of filterbanks for genera-

tion/synthesis of MCR test signals and also for analysis of the reflected signal. We

noted that the test signals have to be confined to the portion(s) of the frequency

band that is (are) free of the live wire signals in order to avoid interference with the

critically important live ware signals. Moreover, for effective analysis of the reflected

waves, optimal filters that separate the test signal tones and also avoid minimal

leakage from the live wire signals should be designed. We discussed the criteria

necessary to design effective MCR systems and developed the relevant filterbank

design procedures. We also borrowed an idea from cognitive radio research and

introduced the novel idea of cognitive live wire testing, where the tester first

measures the live wire signal activities and then decides on which part of the

spectrum may be used for testing.

From this research, one can conclude that the FBMC communication are plau-

sible for implementation in commercial data network such as wireless LAN and

WiMax. As a result, this research can be considered a starting point for many

other areas of research which are targeted toward development of filterbank based

communications systems. Furthermore, we presented an implementation of a cog-

nitive radio based on filterbank sensing which could be used as a base for further

development of a cognitive radio where filterbanks are used for data communication

as well. In this section we briefly highlight some possible future research areas.

As discussed in Chapter 2, in FBMC communication systems, filters can be

designed such that only adjacent subcarriers overlap. In OFDM systems, on the

141

other hand, if the orthogonality is lost, there would be interference among adjacent

and nonadjacent subcarriers that results in considerable distortion. Hence, FBMC

systems are more suitable than OFDM systems for environments with high mobility

and high doppler effect. Designing all the components of an FBMC systems that

can reliably perform in frequency selective fast fading channels presents us many

new areas of research. Using adaptive filters and decision feedback equalizers for

channel estimation, joint data and channel estimation, performance of different

filter designs in different channel models are few examples of the research topics in

mobile FBMC systems.

The use of multiple antennas at the transmitter and receiver which is named

Multiple-input and Multiple-output (MIMO) can provide significant throughput

increase in communication systems. OFDM have been widely used in MIMO

systems. IEEE 802.11n and 802.16e are two of the industry standards that use

MIMO-OFDM. MIMO FBMC offers many exciting problems for research. Channel

estimation and synchronization are among interesting issues to work on. The

discussed FBMC methods in this dissertation as well as other variants of FBMC

should be investigated and compared in MIMO settings.

In this dissertation, we discussed decision directed frequency and timing phase

tracking algorithms. Our proposed methods does not require any additional over-

head and transmit power for pilots during payload transmission. However, in some

OFDM based industry standard such as IEEE 802.11, selected subcarriers are used

to transmit pilot signals which may be used for frequency and timing phase tracking.

Performance study of pilot subcarriers with different pilot patterns is a research area

that could be investigated in future FBMC based industry standards.

142

In this dissertation, we presented an implementation of a cognitive radio which is

using filterbank spectrum sensing. Extending the current implementation to include

a FBMC based communication system would be the next step to further show the

usefulness and practicality of FBMC communications and spectrum sensing on a

cognitive radio modem. Our proposed preamble structure and decision directed

methods can be implemented on the SFF SDR testbed.

Implementation and performance study of our Filterbank Multicarrier Reflec-

tometry for Cognitive Wire Testing on a practical setup that allows testing on

live wires would be the next step in the presented research. Using a test setup, the

interference from our designed test signal onto the live signal should be investigated.

Furthermore, the leakage from the live signal to the reflected test signal in our

analysis filterbanks can be measured. The measurements may be then used to show

that the filterbanks can provide minimal leakage and accurate fault detection.

APPENDIX A

used throughout this dissertation.

AFB Analysis Filterbank

AGC Automatic Gain Control

BPSK Binary Phase Shift Key

CCS Code Composer Studio

CFO Carrier Frequency Offset

CIC Cascaded-Integrator-Comb

CMT Cosine-Modulated Multitone

CP Cyclic Prefix

CPSCIC Combined CIC and Pulse Shaper

CR Cognitive Radio

CSI Channel State Information

CVSD Continuously Variable Slope Delta Modulation

DDC Digital Down Conversion

DDS Direct Digital Synthesizer

DEVS Discrete Event System Specification

DFT Discrete Fourier Transform

DMP Digital Media Processor

DSL Digital Subscriber Lines

DSP Digital Signal Processor

DySpan Dynamic Spectrum Access Network

FBMC Filterbank Multicarrier

FBMCR Filterbank Multicarrier Reflectometry

FCC Federal Communications Commission

FEC Forward Error Correction

FDD Frequency Division Duplex

144

FFT Fast Fourier Transform

FMT Filtered Multitone

FPGA Field-Programmable Gate Arrays

FRS Family Radio Service

GPP General Purpose Processor

GUI Graphical User Interface

ICI Intercarrier Interference

IDFT Inverse Discrete Fourier Transform

IF Intermediate Frequency

ISI Intersymbol Interference

ITU International Telecommunication Union

LTE Long Term Evolution

MCR Multicarrier reflectometry

MDFT Modified DFT

MIMO Multiple-Input Multiple-Output

ML Maximum Likelihood

MSE Mean Square Error

MTM Multitaper Method

NENA National Emergency Number Association

OPB On-Chip Peripheral Bus

OFDM Orthogonal Frequency Division Multiplexing

OQAM Offset Quadrature Amplitude Modulation

PAFB Polyphase Analysis Filterbanks

PAM Pulse Amplitude Modulation

PAPR Peak to Average Power Ratio

PLL Phase Locked Loop

PN Pseudo Noise

PSBD Progressive Simulation Based Design

PSD Power Spectral Density

PSF Pulseshaping Filter

PSFB Polyphase Synthesis Filterbanks

PSK Phase Shift Key

PU Primary User

QAM Quadrature Amplitude Modulation

RISC Reduced Instruction Set Computer

RS Reed Solomon

RTOS Real-Time Operating System

RTW Real Time Workshop

SINR Signal to Interference plus Noise Ratio

SIR Signal to Interference Ratio

145

SFF Small Form Factor

SMT Staggered Modulated Multitone

SNR Signal to Noise Ratio

SoC System on Chip

SU Secondary User

TDD Time Division Duplex

TDMA Time Division Multiple Access

TDR Time Domain Reflectometry

3GPP Third Generation Partnership Project

TLC Target Language Compiler

VLIW Very Long Instruction Word

VPBE Video Processing Back End

VPFE Video Processing Front End

VPSS Video Processing Subsystem

VSB Vestigial Sideband

XG Next Generation Program

WNAN Wireless Network After Next

APPENDIX B

VARIABLES

This appendix provides definitions used in the text. The following variables are

used in Chapters 1 to 6.

B[n] Defined at (5.3).

C(f ) The Fourier transform of c(t).

c(t) The baseband equivalent of channel impulse response.

ccy [n, n0 ] Defined at (5.2).

cy [n, ] Defined at (5.1).

D(f, t0 ) The degradation where f is carrier offset and t0 is timing offset.

El (z) z-transform of el [n].

el [n] The lth polyphase element of h[n].

fc The carrier frequency.

fi The center frequency of the ith subcarrier

of a basedband multicarrier signal.

guI [l] The interference term from the in-phase symbols of the

subcarrier k + u. on in-phase element of subcarrier k.

guQ [l] The interference term from the quadrature symbols of

the subcarrier k + u on in-phase element of subcarrier k.

gu [l] The interference term in a CMT system from subcarrier

k + u on subcarrier k.

Hk (z) The modulated filter in the z-domain.

h(t) The prototype filter used in a filterbank structure.

hk Defined at (4.26).

hT [n] The prototype filter of a transmitter FBMC structure.

hR [n] The prototype filter of a receiver FBMC structure.

={} The imaginary part of.

T The symbol period of a multicarrier signal.

K The signal level.

L The size of IDFT used for polyphase implementation.

N The number of subcarriers in a multicarrier system.

NP The length of p[n].

nopt Defined at (4.22).

147

the repetitive preamble.

Q The number of trainings in one OFDM symbol.

qk [2n] Defined at (3.49).

qk [2n + 1] Defined at (3.51).

<{} The real part of.

rk1 [2n] Defined at (3.44).

rk2 [2n] Defined at (3.45).

rk2 [2n + 1] Defined at (3.53).

rk1 [2n + 1] Defined at (3.52).

Sk (z L ) The z-transform of the upsampled

version of sk [n].

0

Sm [n] The outputs of the IDFT at Fig 3.14.

I 0

S 0 m [n] The real part of Sm [n].

Q 0

S 0 m [n] The imaginary part of Sm [n].

s0k (t) The staggered QAM signal on one subcarrier.

sIk [n] The real part of the nth transmitted symbol of

the kth subcarrier.

sQ

k [n] The imaginary part of the nth transmitted symbol of

the kth subcarrier.

s[n] Obtained by passing the

real part of sC

k [n] through PAM demodulator.

sCk [n] Defined at (5.12).

sIk [n] The real part of the nth received symbol of

the kth subcarrier.

sQ

k [n] The imaginary part of the nth received symbol

of the kth subcarrier.

sm [n] The nth transmitted symbol of the mth subcarrier.

sm [n] The nth received symbol of the mth subcarrier.

sm [n] The nth received symbol of the mth subcarrier.

SINRA The signal to noise ratio in presence of

carrier or timing offset.

SINRS The signal to noise ratio if the transmitter

and receiver are synchronous.

Tk1 [2n] Defined at (3.25).

Tk2 [2n] Defined at (3.26).

Tk1 [2n + 1] Defined at (3.31).

Tk2 [2n + 1] Defined at (3.32).

TS The length of one OFDM symbol.

t0 A timing offset.

Uk [n] The z transform of uk [n].

up [n] Defined at (3.23).

v[n] Defined at (5.4).

2

WL ej L .

148

Xm (z) The z tranform of xm (t).

X 0 (z) Defined at (3.60).

Xk0 (z) The z-transform of x0k [n].

Xk [z] Defined as (3.68).

x(t) The continuous transmitted signal.

xc (t) The complex output of the matched filter in CMT systems.

x0k [n] Defined at (3.58).

xlong (t) The long training Defined at (4.8).

xm (t) The continuous transmitted signal on the mth subcarrier.

Ylong (f ) The Fourier transform of ylong (t).

y(t) The received signal.

yk (t) The baseband signal of the kth subcarrier before matched filter.

ylong (t) The received long training.

The roll-off parameter for OFDM receive windowing.

The roll-off parameter for OFDM transmit windowing.

(t) The Dirac delta function.

[m, k] The Dirac function in two dimensions.

f CFO.

c

f The estimated CFO.

k [n] The interface resulting from ISI and ICI terms.

The timing offset value.

( ) An additive white Gaussian noise.

(nT ) The noise term of nth symbols.

[n] Defined at (4.25).

The noise variance.

[n, ] Defined at (5.15).

0 A phase offset.

[n] The demodulator carrier phase angle.

i (f ) The PSD of the ith subcarrier.

[q] Defined in (4.7).

[q] Defined at (4.6).

149

c0 A column vector of length N and elements of 1.

ci A column vector with the elements of

1, ej2fi , , ej2(N 1)fi .

e(f ) [1 ej2f ej2(N 1)f ].

Es Defined at (7.16).

fc Carrier frequency.

fi The normalized frequency of the tones in the test signal.

g[n] The prototype filter used in analysis filterbanks.

G(f ) The fourier transform of g[n].

g [g[0] g[1] g[N 1]]T .

h(t) The window function.

={} The real part of.

K A number relatively prime to N .

L Filter length.

N Period of [n].

<{} The real part of.

S A set of frequency indices.

T The time duration of w(t).

T0 The width of role-off time at each side of the w(t).

t Continuous time.

X(f ) The Fourier transform of x(t).

x(t) Multicarrier test signal.

xi (t) The ith tone in x(t).

V (f ) The Fourier transform of v(t).

v(t) Summation of sinewaves.

W (f ) The Fourier transform of w(t).

w(t) A window function that limits x(t) to a finite duration.

y(t) The reflected signal.

i The frequency of the ith sine wave.

i The phase of the ith sine wave.

[n] Polyphase codes used to minimize PAPR.

Tt Rectangular window.

Defined at (7.20).

N -by-N matrix with the klth element defined at (7.17).

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