Steve C. Thompson John G. Proakis James R. Zeidler Center for Wireless Communications University of California, San Diego La Jolla, CA 92093-0407 sct


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In this paper a new approach is presented to alleviate the



undesirable efects due to the high peak-to-average power ratio of orthogonal frequency division multiplexing. A class of siRnalinR called OFDM angle modulation is presented. ~. These constant envelope OFDM based sinnals guarantee a OdB PAPR thus are well suited for eficient nonlinear power amplification. This paper focuses on binary OFDM phase modulation, which is a special case o OFDM angle f modulation. 1. INTRODUCTION

Fig. 1.

Standard OFDM with transformation (shaded)

The high peak-to-average power ratio (PAPR) inherent to orthogonal frequency division multiplexing (OF'DM) is one of its primary drawbacks. The superposition of the orthogonal subcarriers yields a waveform with a large dynamic range that is not well suited for nonlinear power amplifiers (PA) used in the wireless environment [I], [2]. To reduce the undesirable effect of nonlinear intermodulation distortion output power backoff (OBO) is typically required. This O B 0 reduces the operational efficiency of the PA and also the signal-to-noise ratio (SNR) of the system. For example, a class-A power amplifier operating with a 10 dB O B 0 has an efficiency of less than 5% and a 10 dB loss in signal power [I]. Still, with this large backoff in power, intermodulation distortion is not eliminated completely which impacts bit-error-rates (BER). The nonlinear distortion imposes out-of-band spectral growth thus reducing the spectral efficiencies of OFDM. Furthermore, the low power efficiency can be detrimental to mobile devices which operate on battery power.

[IO]. Pre-distortion techniques such as clipping and filtering, peak windowing, and peak cancellation have been studied [I 1]-[13]. Researchers are actively pursuing amplifier designs with ereater linearity and efficiency to accommodate signals with large PAPR's [I] and signal processing combined with amplifier design techniques have been reported [141. The effectiveness of these methods vary and each comes with its own inherent trade-off in terms of bit-error-rate performance, implementation complexity, a n d o r spectral efficiency.

This work investigates a new approach to PAPR reduction in which the OFDM waveform is transformed into a conslantenvelope OdB peak-to-average power ratio waveform. A simple block diagram is shown in Fig. 1. The nature of the transformation is to use the OFDM waveform to angle modulate the carrier signal using either phase modulation (OFDM-PM) or frequency modulation (OFDM-FM). The constant envelope property of the resultant signal achieves the goal of PAPR reduction and is well suited for highly efficient amplification. The out-of-band spectral growth associated with nonlinear distortion is eliminated. This paper presents the general form of OFDM angle modulation including OFDM-FM and OFDM-PM. Bandwidth considerations are discussed and performance of binary OFDMPM is studied in the additive white Gaussian noise channel with a proposed receiver structure. System performance comparisons are made between OFDM and OFDM-PM.

Much attention has been given to the PAPR problem [31-[6]. Coding techniques whereby data symbols are mapped to a subset of OFDM waveforms with relatively low PAPR have 11. THEBASEBAND OFDM WAVEFORM been extensively investigated [7], [8].Techniques based on scrambling subcarrier phase andlor amplitude in a pseudorandom way known at the receiver have been presented [9], The OFDM baseband waveform can be represented by

This work was supported by the UCSD Center for Wireless Communications and by the CoRe research gant 00-10071

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%[v(t)] = A Y k=O %[dk]COS2nkt/T -3[dk] sin2nkrlT and N-1 3[v(t)] =A. The !+ power of the phase signal is then P = J l @ ( f ) d r / T= h:. For OFDM-FM the instantaneous frequency of the carrier is proportional to the OFDM message thus the phase signal in (2) is . BINARY OFDM PHASE MODULATION A special case of OFDM angle modulation uses phase modulation with binary data symbols resulting in the binary OFDM-PM bandpass signal The OFDM angle modulation handpass waveform is represented as s ( t ) =A. Random phase alignment of the subcarriers results in large signal peaks. is the modulation index for OFDM-PM.7 08 0.. T is the signaling interval.[%[v(r)]dr (3) for 0 5 f 5 T where d E {kl} for all k. hence @(f)= hpRlV(f)l (4) 622 .4 0.8 0. IV. @(r) -2nh. 20 -8 10 -'OO 0.1 ~ 0. The data symbols are chosen from a complex set defined by an M-point signal constellation such as PSK or QAM. is a gain constant. Alternately. 2 and the resulting constant envelope OFDM-PM bandpass signal. k=O 9[dk]cos2nkf/T+R[dk]sin2nkt/T Figure 2 illustrates the large dynamic range of the OFDM signal. % [ v ( r ) ] * + 3 [ ~ ( r ) ]with the peak and average signal powers.9 1 0- 0 0.1 0. It is convenient to k define the message signal as m ( f )= @(r)/hp. = Jlm(r)df/T = 1 with A. that is P. OFDM ANGLE MODULATION In these definitions the complex-valued OFDM baseband waveform (1) is used. Since there are N bits of information per transmission the average bit energy is !Ea =AfT/2N. is the modulation index.1 08 0.I 6 70 E a 2 3 . the discrete cosine transform (DCT) could be used to calculate an OFDM waveform with 2N PAM data symbols modulating cosines separated by 1/2T Hz [IS].2 03 normflied lime: I I T 0. Since $ ( t ) is required to be real-valued the real part of the OFDM message signal is used in (3) and (4)./?@?.4 0.- - 0 F $ 9" e -2 4 t. and fc are the carrier amplitude and frequency.The constant A. N is the number of subcarriers. is chosen to normalize the average power of the message signal. Typically this signal is computed in discrete-time by applying the discrete Fourier tsansform (DFT) to the complex-valued data symbols.cos(2nfcf +@(f)) (2) where A. Figure 4 shows the binary OFDM message signal from Fig. and data symbol dk modulates the k" subcarrier eJ2*/'. = A:T/2. ~. The real and imaginary parts of v(f) are N-1 where h. Figure 3 plots the squared envelope.2 0. Either approach has the same bandwidth requirement. For this example the peak-to-average power ratio is more than 6dB. where h.5 0. 111. The average power of (5) is Aj/2 and the signal energy is E. since a real-valued signal is needed for @(I).3 0. = .S OS 0. In OFDM-PM the carrier phase is proportional to the OFDM message signal.9 1 n O M l i k J time: f I T where A.

This front-end filter is assumed to pass s(r) with negligible distortion while rejecting out-of-band noise. (a) Binary OFDM message signal and (b) the resulting OFDM-PM signal.(() represent the envelope and the phase of the noise process. Block diagram of OFDM-PM receiver A. nw(r). with power-spectral density S . For the purposes of this paper the bandwidth of OFDM-PM is B = max[2W.8. f = N0/2 is added to s ( f ) and the result is .(t)cos2nfcr -n. 5 the OFDM-PM receiver consists of an angle demodution front-end used to detect the phase of the received signal followed by a standard OFDM receiver to make decisions on the transmitted data symbols. The output of the angle demodulator is Y ( t )= W r ) (13) where K is a gain.hpm(r)sin2nfCt HI(f) centered at fc.2hPW]. With a large number of subcarriers this Carson bandwidth is overly conservative since rnax[$(t)] has a low occurrence rate of approximately 2-N. Bandwidth Considerations In general. AWGN Analysis In this section the performance of a binary OFDM-PM receiver is evaluated.. Each block will be analyzed below.(t)cos (2nf.(t) = -sin(@. h..t -A. With the large CNR assumption and choosing K = lfh. a bandwidth approximation know as the Carson's rule is B = 2(max[$(t)l+ l)W =2(h. evaluating the power spectral density of an angle modulated process if quite involved due to the nonlinear nature of the modulation. 1171. for large N the phase signal is accurately modeled as a Gaussian distributed process thus the root-mean-square bandwidth B = 2&W = 2h. / c = 20/T Fig.h. = 0.H PAPR a WB PAPR Fig.(t). 4.&+ 1)W. (11) With the assumption of a high carrier-to-noise ratio (CNR) >> V. Equation (8) simplifies to r(t) =R(f)cos(2nfcr+$(t) +$&)) where R ( r ) is the envelope of r(t) and (9) is the phase error term. The phase deviation of the angle demodulator input is v(t)= @ ( t -)+ @ e @ ) A. Its output is r(r) = s ( t ) + n ( t ) = s ( t ) +n. + W ) = I) Angle Demodulation Front-end: The zero-mean additive white Gaussian noise (AWGN).m(t)) . N = 16. As h. the phase excursions are low and the OFDM-PM signal approximates to s ( f )% A. However.t +e&)) + where V. ~ ( t )m ( r ) . As discussed in 1171. However some simple observations can give a rough idea about the bandwidth requirements of OFDM-PM. 5 . As shown in Fig.(t) hdc 623 . tan-' [ns(f ) h( t ) ] ) = s ( t ) V.W is a more appropriate measure j171. becomes larger (6) is no longer valid and the bandwidth of the signal broadens. Treatment of these trigonometric identities are standard in modem textbooks 1161. the modulation index controls the phase signal power Tq= h$ For very small h.(t)sin2nfct (7) where n. As shown above. Equation 7 can be represented as r(t) = s ( t ) + J=-cos(2nft+ (8) (6) This can be seen by expanding s(r) into a Taylor series and taking only the first two terms [16]. (IO) becomes B.(t) and ns(t) are the quadrature components of the zero-mean filtered Gaussian noise n(t).() passed through the bandpass filter with transfer function (14) (15) where Vdt) Y.(t) and e. This narrowband case shows that the bandwidth of the signal is at least 2W where W is the bandwidth of the OFDM message m(t).cosZnf.

/(@Af) for I1 5 W f (17) Figure 6 compares the noise spectra for standard OFDM in AWGN with that of OFDM-PM.. This illustrates the classic feature of angle modulated systems where bandwidth can b e traded for The output of the serial-to-parallel converter is passed to the bank of correlators. is N I T . NI.The power spectral density of (15) is a function of x [cos(Znl(iz -il)/N) + cos(Znl(i*+ i. ( f ) which depend on the bandpass filter H. with a suitable bandwidth B. it is well known [16]-[18] that the power spectrum of (15) is flat over the in-band power of m(t) such that &(f) = N. The OFDM receiver block correlates the noisy input with the N subcarriers in parallel. The ideal transfer function of the filter is The signal component is calculated to be 'l U-. .I' and I N-I N-1 i2 . The 1" discrete-time correlation is SNR.defined by the mainlobe of the highest frequency subcarrier. It shows that while the noise floor of the OFDM system can only be controlled by increased signal power (or reduced noise power) the noise floor for OFDM-PM can additionally be controlled by the modulation index h.(t) (19) The zero mean Gaussian noise term. For minimal distortion by the lowpass filter (18) its bandwidth is N W =aT 624 .)/N)] The bandwidth of m ( t ) .(f).(t) and n . m[i]cos27di/~ i=O k-0 SI = i=O =~ ~ 1 ~ d ~ c o s 2 ~ i / N ~ c o s 2 (24) i / N n l and its output is z ( t ) =m(r)+Z. Choosing the ideal filter to be 2 ) OFDM Receiver: From (20) the zero mean additive Gaussian noise is flat over the OFDM message frequency band thus appears white. The AID converter samples z ( t ) at N equally spaced time instances over 0 2 r <_ T . The final stage of the front-end block is the lowpass filter used to pass the message signal m(r) and reject out-of-band noise from Yn(r). has variance The power spectral density and autocorrelation function of the noise term Zn(r) is E[N:] =E [ rZZn[i]cos2di/N .

OFDM and OFDM-PM scales are below and above the figure. several dB gains are seen with h. . The OFDM system performances curve is that . The r. Rough bandwidth requirements are predicted using the Carson's rule and the rootmean-square bandwidth for Gaussian angle modulated processes. For integer values of a. or equivalently.2h. With this OFDM-PM bandwidth measure. > 0.m. A conservative threshold C N R is (181 CNR. 7.s. For example. CONCLUSION Constant envelope binary OFDM phase modulated is presented and analyzed in the additive white Gaussian noise channel with a proposed receiver. = lOdB The above analysis is then valid with the condition A:/2 CNR = -> CNR. Estimates are made on the transmitted data symbols with the use of the discrete Fourier transform. By increasing the modulation index the signal bandwidth broadens. at Eb/No (OFDM-PM) = 16dB.7. In studying the AWGN performance a high carrierto-noise ratio assumption (CNR > IOdB) is made to linearize the analysis. This trade has a limit however due to the so-called threshold efeci.=O Rz"(0) [I +cos(4di/N)] WNo N-' 1 +cos(4nli/N) = 22 i=o (27) Excluding the zero frequency subcarrier.(25) simplifies to I N-I E[: N] = . . therefore the O B 0 is assumed power amplifier saturation.where a 2 1.6.8 performs at around compared to an error rate of when using h. The high CNR requirement in (12) is jeopardized since the bandpass filter passes more noise thus increasing the power of n(t).W] is used to calculate the threshold boundary (30). = 10 BNo (29) As indicated by (28) and Fig. . A comparison is made to standard binary OFDM. Comparing the OFDM and OFDM-PM performance. performance curves account for 6dB less hackoff than the OFDM system. the OFDM-PM system has a 6dB power gain over the OFDM system. This spectral efficiency reduction is less when compared to OFDM with a higher power amplifier saturation occurrence rate.. a = I. Therefore performance gains are possible without increasing signal power at the cost of spreading the signal spectrum. V. bandwidth expression B = max(2W. 5 are assumed to be ideal as exnressed in (16) and (18). The OFDM-PM svstem . Ideal filters are assumed in the receiver frontend. Improved hit-errorrate performance is seen with increased modulation index at 625 C. . = 0. respectively where Q(x) = Jxmexp(-y2/2)dy/d%. Resulis and Discussion Figure 7 shows binary OFDM-PM performance curves for various modulation indices. = 0. Performance of binary OFDM-PM compared to binary OFDM (dash) wilh a 6dB power gain. The OFDM-PM curves are also idealized since a from (26) is set to unity and the filters from Fig. comparable BER performance to ideal OFDM is seen with a spectral efficiency reduction of roughly 112. the OFDM-PM system using a modulation index of h. 3) The Threshold Effect: Equation (28) shows performance gains with increased modulation index h. The modulation index controls the spectral spreading and detection performance of OF'DM-PM. 6 the performance gains are accomplished with increasing the modulation index. the average probability of error is Fig.

H. Tarokh. Tarokh and H. 4* ed. V. 48. Pauli and H.'' IEEE Transactions on Cornnumications Theory. ZWI. Midrio. ZWZ. Northridge and Dr. "Power Amplifiers and Transmitters for RF and Microwave:' IEEE Tmnrocrions on Micmwove Theory and Techniques. "Reducing the Peak-to-Average Power Ratio in OFDM Radio Transmission Systems:' in Proceedings of IEEE Veliiculor Technology Conference. Tranter. 3. [I41 W. (London). 1995. (Anaheim). Salehi. 45. I I . Canada). McGraw-Hill. pp. Sept.. Jafarkhani. vol. [4] G.fixed transmission power. pp. "Impact of Amplifier Nonlinearities on OFDM Transmission System Performance:' IEEE Coniniunicnrions Lerrers. pp. hpolin. May 1997. F. vol. Feb. Richard North from SPAWAR Systems Center. 1997.Average Power Reduction and Ermr Correction:' in Proceedings of IEEE GLOBECOM. and Noise. 1994. 3. 4Ih ed. and 1. pp. REFERENCES [ l ] F. 33. vol. "Considerations on Applying OFDM in a Highly Efficient Power Amplifier:' IEEE Tranracrionr on Cirruirs 626 . Liu. Cheng. Muller. Cimini. R. vol. 74b744. Jan. 93-101. vol. Kohling. and 1. Modulation Syrrenis and Noire. 27742778. 303-307. . 1997. May and H. pp. Oct. Huber. Ng. vol. Prentice-Hall. Feb. Feb. Zeirner and W. 46. 51. Sept. Proakis and M. 151 1. and S . 2003. W. Nee. Prentice-Hall. Feb. M. I. [I21 T. 2oM1. Fisher. no. vol. 2000. [I31 X. Proakis. pp. Comparable BER performance i s observed with improved utilization of the power amplifier at the cost of spectral efficiency. 49. 1964. 1974-1987. Feb. 161 X. "Effects of Clipping and Filtering on the Performance of OFDM:' in Proceedings of IEEE Vehicular Technology Conference. 1999. 181 V. Conintunicorion Systems Engineering. Modulorion. T. pp.Wunder and H. 2003. [7] R. Cioffi. vol. H. [ I l l M. La". "Reduction of Pealr-to-Average Power Ratio of OFDM Systems using a Companding Technique:' IEEE 7ransarriom on Brondeosring. 3 7 4 . pp. San Diego. 368-369. Wang. Hw. thanks to Mike Geile from Nova Engineering (Cincinnati.. 58-67. Wiley. 1. 1996. pp. 52. "On the Existence and Construction of Good Codes with Low Peak-to-Average Power Ratios:' IEEE Trnnroctionr on Infomarion nteory. [2] E. 46. G. vol. I. 1999. 50. 1151 . Jan. L. B. R. Also. "OFDM with Reduced Peak-to-Average Power Ratio by Optimum Combination of Pmial Transmit Sequences:' Elerrronic Leners. 3. 2002. "OFDM Codes for Peak-tc. L. Costa. May 1998. Muller and J. [3] K. pp. [9] S . G. Mar. Patersan and V. pp. 6 0 7 4 1 1. Tan and G. Downing. pp. Raab er. "Constant Envelope Multi-Carrier Modulation:' in Proceedings of IEEE Milirory Contrnunicarionr Conference. OH) for his creative ideas at the genesis of this research. 37-39. 488494. and C. ''Upper Bounds on the Statistical Distribution of the Crest-Factor in OFDM Transmission:' IEEE Trrmraclionr on Information Theory. [IO] S. vol. vol. Nov. Bauml. and R. [I61 [I71 VI. 1. 1634-1638. 814-826. Huber. R. 1329-1336. pp. Stuber. The authors want to thank Professor Ray Pettit from California State University. Tjhung. Li and L.. 1997. Kuchenbecker. ACKNOWLEDGMENTS [I81 [I91 ond Sysienis II: Analog ond Digilnl Signal Processing. "Minimization of the Intemodulation Distortion of a Nonlinearly Amplified OFDM Signal:' Wireless Perkonnl Conmenicoriom. Boche. (Ottawa. "On the Computation and Reduction of the Peak-to-Average Power Ratio in Multicarrier Communications:' IEEE Tramoerionr on Comnrunicotionr. 1. vol. 1. pp. vol. "OFDM with Reduced Peak-to-Averige Power Ratio by Multiple Signal Representation:' Annals of Telecomrnunicntionr. al. vol. 1. 218-228. Performance comparisons to ideal binary OFDM are made with a 6dB output power backoff differential. "Maximum-Likelihwd Detection of Nonlinearly Distorted Multicanier Symbols by Iterative Decoding. pp. 1. 1999. 4. Principles of Comnzunicorionr: Syslenu. Digirol Cornmunicotionr. Tellado.

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