This article has been accepted for publication in a future issue of this journal, but has not been
fully edited. Content may change prior to final publication. Citation information: DOI
10.1109/TVT.2014.2366598, IEEE Transactions on Vehicular Technology
PAPR Reduction of SC-FDMA Signals via
Probabilistic Pulse Shaping
Jinwei Ji, Guangliang Ren, Member, IEEE, and Huining Zhang
Abstract—To avoid the excess bandwidth and noise enhance-
ment penalty involved in the pulse shaping method for peak-to-
average power ratio (PAPR) reduction of single carrier frequency
division multiple access (SC-FDMA) signals, we propose a novel
alternative method, called probabilistic pulse shaping. A set of
weighting windows with zero excess bandwidth is designed to
weight the outputs of the discrete Fourier transform (DFT)
precoder of a block of SC-FDMA symbols in a slot. Then
the candidate signal blocks with different weighting windows
for each block are generated with the designed low-complexity
implementation scheme and the one with the lowest PAPR is
selected to be transmitted. At the receiver, the received data
can be detected in the same way as that of the conventional
SC-FDMA using the defined equivalent channel without side
information. It is shown by simulations that the proposed method
achieves considerable improvements over the conventional SC-
FDMA system in terms of both PAPR and bit error rate (BER)
performance with low additional complexity.
Index Terms—Peak-to-average power ratio (PAPR), pulse
shaping, single carrier frequency division multiple access (SC-
FDMA), discrete Fourier transform (DFT) precoder.
I. I NTRODUCTION
HE long term evolution (LTE) standard has adopted the
T well-known single carrier frequency division multiple
access (SC-FDMA) technique in its uplink transmission [1].
SC-FDMA, a special case of “linearly precoded” orthogonal
frequency division multiple access (OFDMA), has relatively
lower peak-to-average power ratio (PAPR) than OFDMA due
to the precoding [2]–[4]. However, for the localized FDMA
(LFDMA) adopted by the SC-FDMA system in LTE uplink,
the PAPR is still large and even larger for higher order
modulations [5]–[7]. The large PAPR requires a large back
off of the transmit power amplifier from its output saturation
point, which leads to a very low power efficiency [8]–[10].
This problem is particularly serious for the uplink, because of
the stringent low-cost and power consumption demands on the
user terminals [11].
To reduce the PAPR of SC-FDMA signals, several proposals
have been studied in the literature. In [12], [13], proper
Manuscript received March 22, 2014; revised August 24, 2014 and October
14, 2014; accepted October 24, 2014. This work was supported in part by
the National Basic Research Program of China (973 Program) under Project
2014CB340205, by the State Natural Science Foundation of China under
Grants 61072102 and 61102058, and by the Areospace TT&C Innovation
Program under Grant 201409B. The review of this paper was coordinated by
Dr. J.-C. Chen.
Copyright (c) 2013 IEEE. Personal use of this material is permitted.
However, permission to use this material for any other purposes must be
obtained from the IEEE by sending a request to pubs-permissions@ieee.org.
The authors are with the State Key Laboratory of ISN, Xidian University, X-
i’an, 710071, China (e-mail: jjw86215@163.com; glren@mail.xidian.edu.cn;
hnzhang@xidian.edu.cn).
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1
mapping schemes were proposed to reduce the PAPR of SC-
FDMA signals with space-frequency block coding (SFBC),
which is only customized for multiple transmit antennas. In
[7], a flexible PAPR reduction scheme was proposed for coded
SC-FDMA signals with low-complexity but a slight error floor
in the bit error rate (BER). Partial transmit sequence (PTS) and
selected mapping (SLM) schemes were proposed in [14]–[17].
However, they all need very high computational complexity as
well as the transmission of side information. As a simple and
effective method, pulse shaping [18]–[22] reduces the PAPR
of SC-FDMA signals by weighting the outputs of the discrete
Fourier transform (DFT) precoder with weighting windows
whose time-domain responses have small and misaligned side-
lobes. In [18], Falconer studied an optimal weighting window
which was obtained through solving a complex optimization
problem to weight the outputs of the DFT precoder for PAPR
reduction. However, this method yields only a fraction of
1 dB gain over the conventional SC-FDMA. More gain in
PAPR was achieved at the expense of sacrificing the precious
spectrum in [19]–[22], where a large amount of excess band-
width was introduced and the designed weighting windows
were applied to the cyclically extended outputs of the DFT
precoder. Specifically, in [19], [20], inter-symbol interference
free parametric linear pulses with small side-lobes were used
to reduce the PAPR of SC-FDMA signals. In [21] two kinds of
weighting windows were designed to achieve PAPR reduction,
namely the raised-cosine (RC) window and square-root raised-
cosine (SRRC) window. A step further, the optimum weighting
window with excess bandwidth was derived in [22] by solving
a complex optimization problem similar to that in [18], which
can achieve better PAPR reduction performance than that in
[21]. However, it causes a loss of power from the subcarriers in
the band of interest besides the heavy task to find the optimum
weighting window suitable only for a given system and it is,
therefore, concluded that using SRRC as the window is good
enough for some applications where the simplicity of the shape
of the SRRC is more valuable. The main problem of the pulse
shaping method is that it requires large excess bandwidth and
causes the noise enhancement penalty due to the non-constant
magnitudes of the applied weighting windows.
In this paper, we focus on further reduction of the PAPR
of LFDMA signals. We first illustrate PTS and SLM in SC-
FDMA from the point of view of pulse shaping which may
be called probabilistic pulse shaping, and then propose a low-
complexity probabilistic pulse shaping method without excess
bandwidth and noise enhancement penalty. A set of weighting
windows with zero excess bandwidth is designed to weight
the outputs of the DFT precoder of a block of SC-FDMA
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2


symbols in a slot. The candidate signal blocks with different s0( m )
M-Point
weighting windows for each block are then generated with the Serial s (m)
1 DFT
Add CP
xn( m )
Data N-Point and


to
designed low-complexity implementation scheme and the one and




Source IFFT Parallel
Parallel Weighting
sM( m )1 to Serial
with the lowest PAPR is selected to be transmitted. At the the Outputs

receiver, the applied weighting window and the channel are 

combined to form a new equivalent channel and removed in Channel

the equalization, thus side information is not required for data AWGN
Noise
detection. It is shown that the proposed method can reduce Remove

Detection
Parallel Equalization
N-Point CP and
the PAPR of SC-FDMA signals effectively with low additional




to and M-Point


FFT Serial to
Serial IDFT
Parallel
complexity.
The rest of this paper is organized as follows. In Section
II, we describe the system model. In Section III, we describe Fig. 1. Block diagram of the discrete baseband SC-FDMA transceiver with
the proposed method in detail. The analysis of computational pulse shaping.
complexity and PAPR reduction performance is also presented
in this section. Section IV presents the simulation results of
the proposed method. Finally, our conclusions are given in Substituting (1) into (2) yields
Section V. −1 −1 ( )
1
M∑ (m)
∑
U
j2π N
fk n
− kn
′
Notations: We use non-bold symbols for scalars, lowercase x(m)
n = √ sn′ pk e M

boldface symbols for vectors and uppercase boldface symbols M N n′ =0 k=0

M −1 ( ) (3)
2πf0 n ∑
for matrices. The symbols whose elements are wrapped in 1 N
sn′ g n − n′
(m)
braces denote sets. [·]T , |·| and E{·} denote the transpose, = √ ej N
M M
modulus and expectation operations, respectively. ⊙, ⊗N n′ =0
and IFFTN {·} denote the component-wise multiplication, N - where g(n) is the discrete time-domain response of window
point circular convolution and N -point inverse fast Fourier p and is given as
transform (IFFT) operations, respectively. circ(x, t) denotes
U −1
the circularly right-shifted version of the signal x by t samples. 1 ∑ 2πkn
g(n) = √ pk ej N . (4)
j is the imaginary unit and Pr[A] is the probability of event N k=0
A.
For conventional SC-FDMA signals, p reduces to the all one
II. S YSTEM M ODEL vector with length M and g(n) is the sinc like pulse:
Fig. 1 shows the block diagram of a discrete baseband SC- 1 π(M −1)n πM n πn
FDMA transceiver with pulse shaping. Assume that there are g(n) = √ ej N sin / sin . (5)
N N N
Z SC-FDMA symbols in a slot of the SC-FDMA system each
of which transmits M complex modulated data. The complex The
[ PAPR of ]the signal vector x(m) =
(m) (m) (m) T
modulated data vector s(m) = [s0 , s1 , . . . , sM −1 ]T of the (m) (m) (m)
x0 , x1 , . . . , xN −1 in (3) is defined as
mth (1 ≤ m ≤ Z) SC-FDMA symbol in a slot is first linearly
′  
precoded by an M by M √ DFT precoder F whose (n , k)th  (m) 2
−j2πkn′ /M ( ) max xn 
element is e / M , yielding the frequency-domain 0≤n≤N −1
(m) (m) (m) (m) PAPR x(m) = {  } . (6)
data vector a = [a0 , a1 , . . . , aM −1 ]T as follows:  (m) 2
E xn 
M −1
(m) 1 ∑ (m) −j 2πkn′
ak =√ sn′ e M , 0 ≤ k ≤ M − 1. (1) At the receiver, after discarding the cyclic prefix (CP) the
M n′ =0
length of which is always assumed to be longer than that of the
For SC-FDMA signals with pulse shaping, a weighting multipath channel, one can obtain the received signal vector
window p = [p0 , p1 , . . . , pU −1 ]T , is used to weight the of the mth SC-FDMA symbol as follows:
outputs of the DFT precoder.
[ The weighted data vector can ]
(m) (m) (m)
T y(m) = h(m) ⊗N x(m) +w(m) (7)
be written as u(m) = p0 a0 , p1 a1 , . . . , pU −1 aU −1
(m) (m) (m)
where for U > M , excess bandwidth is introduced with where y(m) = [y0 , y1 , . . . , yN −1 ]T ,
(m) (m)
au =au−M for M ≤ u ≤ U − 1. Then, for LFDMA, the [ ]T
(m) (m)
h(m) = h0 , . . . , hL−1 is the time-domain impulse
elements of u(m) are mapped to U contiguous inputs of the
N -point (N > U ) IFFT block with the index set denoted response of the channel over the mth SC-FDMA symbol,
as {fk |fk = f0 +k, 0 ≤ fk ≤ N −1, k = 0, 1, . . . , U −1}. Af- L is [ the total number of] resolvable multi-paths and
T
(m) (m) (m)
ter being zero-padded and block-processed with the N -point w(m)= w0 , w1 , . . . , wN−1 represents the additive white
IFFT of u(m) , the transmitted signal samples can be written Gaussian noise (AWGN) vector. After applying fast Fourier
as transform (FFT) of y(m) , the received data at the fk th
U −1
1 ∑ (m) 2πfk n
subcarrier is obtained as
x(m)
n = √ pk ak ej N , 0 ≤ n ≤ N − 1. (2) (m) (m) (m) (m)
N k=0 Yfk = Hfk pk ak + Wfk (8)

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(m)
where Wfk represents the AWGN at the fk th subcarrier and
(m) ∑ (m) −j 2πfk l
L−1
Hfk = hl e N .
l=0
III. P ROPOSED M ETHOD WITH L OW-C OMPLEXITY
I MPLEMENTATION S CHEME
A. Review of PTS and SLM in SC-FDMA
PTS and SLM are both probabilistic PAPR reduction
schemes where R candidate signals are generated and the one
with the lowest PAPR is selected for transmission. In PTS
and SLM, the frequency-domain candidate symbol sequences
T
are ai = [wi,0 a0 , ..., wi,M −1 aM −1 ] , 0 ≤ i ≤ R − 1, where
T
wi = [wi,0 , ..., wi,M −1 ] is the ith weighting window and
the candidate signals xi are obtained via the N -point IFFT
of the frequency mapped and zero padded version of ai .
Through (3), it can be seen that, in SC-FDMA, each candidate
signal can also be seen as the combined signal of a sequence
of the complex-modulated-symbol weighted versions of the
( )
pulses gi n − d M N
, 0 ≤ d ≤ M − 1, where gi (n) is
the time-domain response of wi and can be obtained using
(4). In this sense, PTS and SLM may be called probabilistic
pulse shaping with arbitrary pulses and the “desired pulse”
with the lowest PAPR of the candidate signals is selected.
Moreover, due to the different time-domain pulses of the
weighting windows, each weighting window may result in a
special PAPR distribution and generally speaking, those with
better PAPR of the candidate signals will be selected with
higher probabilities in the optimal reduction of the PAPR of
SC-FDMA signals. This is quite different from the case in
OFDM/A systems, where each weighting window is selected
with the same probability.
In contrast to the pulse shaping method, PTS and SLM
schemes can reduce the PAPR of SC-FDMA signals without
excess bandwidth and noise enhancement penalty. However,
they require very high computational complexity and the
transmission of side information. To reduce the complexity
and avoid the transmission of side information, we propose a
novel probabilistic pulse shaping method which also requires
zero excess bandwidth and does not cause noise enhancement
penalty.
B. The Set of Designed Weighting Windows for the Proposed
Method
In [18], Falconer developed an optimization procedure to
obtain the optimal weighting window from the DFT matrix.
between their samples, i.e., g (1) (n) = ej2πn/N g (0) (n). In
addition, the linear combination between the cyclically shifted
and weighted versions of g (0) (n) and those of g (1) (n) will
be a modification to g (n), the time-domain response of p.
Therefore, in the following, we design a set of weighting win-
dows from p(0) and p(1) and the time-domain responses of the
designed weighting windows are linear combinations between
the cyclically shifted and weighted versions of g (0) (n) and
those of g (1) (n).
Based on the above arguments, the set of the designed
weighting windows
{ }
T
P= pi |pi=[pi,0 , pi,1 , . . . , pi,M −1 ] , 0 ≤ i ≤ Q−1
where Q is the number of the designed weighting win-
dows, is divided }into three subsets and expressed as P =
{
P(0) , P(1) , P(2) . The subset P(0) contains only one vector
p0 =p = [1, 1, . . . ,1]T and P(1) and P(2) are the other two
subsets. The elements in P(1) and those in P(2) are determined
as follows. For pi ∈ P(1) , pi has the following general form:
2πfk v1
pi,k =(j) 1 e−j
τ (0) (1)
N pk + pk (9)
and for pi ∈ P(2) , pi has the general form as follows:
2πfk v2
pi,k =pk + (j) 2 e−j
(0) τ (1)
N pk (10)
(0) (1)
where k = 0, 1, . . . , M − 1, pi,k , pk and pk are the kth
elements of pi , p(0) and p(1) , respectively, τ1 ∈ {0, 1},
τ2 ∈ {0, 1} and v1 and v2 are positive integers whose values
can range from 1 to q, and q is a positive integer variable which
determines the number of the designed weighting windows.
τ τ
The weighting factors (j) 1 and (j) 2 in (9) and (10) are
selected to avoid the complex multiplications in the process
of generating the candidate signals [23]. For a given value of
q, by first changing the values of v1 , and then changing the
values of τ1 , we can get 2q weighting windows pi ∈ P(1) ,
1 ≤ i ≤ 2q. Likewise, 2q weighting windows pi ∈ P(2) ,
2q + 1 ≤ i ≤ 4q can also be obtained. Therefore,
{ we can}
obtain a set of weighting windows P = P(0) , P(1) , P(2)
with Q = 4q + 1 elements.
By using (4), we can obtain the time-domain responses of
the designed weighting windows as follows:
for pi ∈ P(1) ,
τ −j2πf0 v1

He also pointed out that the DFT matrix used in conventional gi (n) = (j) 1 e N g (0) (n − v1 ) + g (1) (n)
( )
SC-FDMA systems is a good choice of precoder for reducing √ 1 τ1 j π((M −2)(n−v1 )−2f0 v1) sin
πM (n−v1 )
j πM n sin πM n
= N (j) e N
2π(n−v1 ) +e
N N N
sin 2πn
the PAPR of OFDMA signals with zero excess bandwidth. sin N N

Motivated by this, we begin with the weighting window (11)

p = [1, 1, . . . ,1]T for the conventional SC-FDMA signals and and for pi ∈ P(2) ,
modify it to design different weighting windows. −j2πf0 v2
τ
To modify the weighting window p conveniently and enable gi (n) = g (0) (n) + (j) 2 e N g (1) (n − v2 )
( )
low computational complexity in generating the candidate π(M −2)n sin πM n τ2 j π(M (n−v2 )−2f0 v2 ) sin
πM (n−v2 )

signals, we decompose p as p = p(0) + p(1) , where p(0) = =√1N ej N sin 2πn +(j) e
N N N
2π(n−v2 ) .
N sin N
[1, 0, 1, 0, . . . , 1, 0]T and p(1) = [0, 1, 0, 1, . . . , 0, 1]T . The (12)
respective time-domain responses g (0) (n) and g (1) (n) of p(0) The relationship between gi (n) , 1 ≤ i ≤ Q − 1 and g (n) is
and p(1) are the same except a phase rotation of ej2πn/N given as follows:

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1 1
of τ1 and τ2 and v1 and v2 . In this case, the value of f0 may
g0(n) g0(n)
0.8 0.8
have little effect on the PAPR reduction performance with the
g (n) (v =1,τ =0) i
g (n) (v =1,τ =0)
1 1
i 1 1
g (n) (v =3,τ =0) g (n) (v =3,τ =0) designed weighting windows. (This is also corroborated by the
Amplitude

Amplitude
0.6 i 1 1 0.6 i 1 1

i
g (n) (v =6,τ =0)
1 1 i
g (n) (v =6,τ =0)
1 1 simulation results in Section IV).
0.4 0.4
With such a design method, the designed weighting win-
0.2 0.2
dows can be used to generate the candidate signals with only
0
0 10 20 30 40
0
470 480 490 500 510 520 N complex additions each. Moreover, the designed weighting
Index of smaples (n) Index of smaples (n)
1 1 windows all have zero excess bandwidth and the constant
g (n) g (n)
0.8
0
g (n) (v =1,τ =1) 0.8
0
g (n) (v =1,τ =1)
magnitude of their elements, causing no noise enhancement
i 1 1 i 1 1
penalty. It is also noted that the weighting windows with
Amplitude

Amplitude
0.6 i
g (n) (v =3,τ =1)
1 1 0.6 i
g
1
(n)
1
(v =3,τ =1)

0.4
i
g (n) (v =6,τ =1)
1 1
0.4
i
g (n) (v =6,τ =1)
1 1 time-domain responses with relatively small magnitudes of the
0.2 0.2
large side-lobes around the index of n = N/2 have relatively
0
similar pulse shapes of the time-domain responses to that
0
0 10 20
Index of smaples (n)
30 40 470 480 490 500
Index of smaples (n)
510 520
of p. Such weighting windows can lead to better PAPR of
the corresponding candidate signals due to the smaller large
Fig. 2. Examples of the pulse shapes of the time-domain responses of side-lobes of the time-domain responses around the index of
several designed weighting windows pi ∈ P(1) and p0 = [1, 1, . . . , 1]T n = N/2 and have higher selected probabilities regardless
with f0 = 0, N = 1024 and M = 72.
of the modulation types. By discarding some of the designed
weighting windows with the selected probabilities below a
certain threshold η, we can obtain a new set with Q′ elements
for pi ∈ P , (1)
( ) as follows:
1 τ1 −j π(n−v1N+2f0 v1) g(n − v1 ) g(n)
P′ = {pi |Pr (pi ) >η, pi ∈ P}
πn
gi (n)= √ (j) e π(n−v1 )
+ej N πn (15)
N 2 cos N 2 cos N
(13) where Pr (pi ) denotes the selected probability for pi . The
proper values of η can be selected as those achieving a good
and for pi ∈ P(2) , tradeoff between the PAPR reduction performance and the
( ) computational complexity through a trial-and-error procedure
1 −j πn g(n) π(n−v2 −2f0 v2) g(n − v2 )
. beforehand. By setting a proper value of η and using P′ ,
τ
gi (n)= √ e N +(j) e 2 j N
N 2 cos πn 2 cos π(n−v2 )
N N the proposed method can have a little performance loss but
(14) much lower computational complexity as compared to using
From (13) and (14), it can be seen that gi (n) , 1 ≤ i ≤ Q−1 P, which is shown in Section IV. This further reduces the
may be seen as combinations of the weighted versions of g (n) redundancy and complexity in the PAPR reduction process.
and its cyclically shifted and weighted versions. Compared In the following, we simply use the notation Q to denote the
′
with g (n), when q is less than N/M , the pulses gi (n) have number of elements in P as well as P without ambiguity.
smaller and broader main lobes, and the smaller side-lobes Remarks
adjacent to the main lobes, and the larger side-lobes around
the index of n = N/2. In addition, from (11) and (12), it can • One way to make the pulse shapes of the time-domain
be seen that the pulse shapes of the time-domain responses responses of the weighting windows independent of f0
of the designed weighting windows have a dependence on the and keep the same PAPR reduction performance is to
value of f0 . As an example, Fig. 2 shows the curves of the change (9) and (10) respectively as follows:
pulse shapes of the time-domain responses of several designed for pi ∈ P(1) :
weighting windows pi ∈ P(1) and p0 = [1, 1, . . . , 1]T with 2πkv1
pi,k =(j) 1 e−j
τ (0) (1)
N pk + pk (16)
f0 = 0, N = 1024 and M = 72. To give a clear vision
of the behaviors of the main lobes and side-lobes of the and for pi ∈ P(2) :
time-domain responses of the proposed weighting windows, 2πkv2
pi,k =pk + (j) 2 e−j
(0) τ (1)
only the samples near n = 0 and n = N/2 are plotted. N pk . (17)
Though the time-domain responses of the designed weighting
However, this will increase the computational complexity
windows pi are different for different values of f0 , they all
in generating the candidate signals by N complex mul-
can be expressed with the same expression of (11) or (12)
tiplications each to compensate the phase factor ej2πf0 n
with variable f0 . As in the case of f0 =0 shown in Fig. 2,
for the corresponding time-domain signal samples at the
many different pulse shapes of the time-domain responses of
odd or even-indexed subcarriers in Section III-C and is
the weighting windows can be generated to constitute similar
unnecessary.
pulse shape set1 for any value of f0 =0 when a large number
• The candidate signals with the above weighting windows
of weighting windows are generated by changing the values
can be generated with only N complex additions each
2πf0 v1 2πf0 v2 by using the designed low-complexity implementation
1 In fact, the phase rotations e−j N and e−j N in (11) and (12)
caused by different values of f0 can be completely compensated for by using scheme for the proposed method in Section III-C. If the
different values of τ1 and τ2 . number of complex additions needed in generating the

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[ ]T
(m) ′ (m) ′ (m) ′ (m) ′
= pi,0 ′ a0 , pi,1 ′ a1 , . . . , pi,N−1 ′ aN−1 , where
D0
CSGB Select a
Signal
as ai
DFT
Process D1
Block with
the Lowest pi ′ = [pi,0 ′ , pi,1 ′ , . . . , pi,N −1 ′ ]T is the frequency mapped and
Precoding, CSGB PAPR
s (1) , ,s ( Z ) Frequency a (1) ', , a( Z ) '
-ing
Block
B from the Di zero padded version of the designed weighting window pi .
Mapping Candidate
Generat According to the structure of the designed weighting windows,


and Zero- Signal
-ing
Padding Blocks (m)
Di =[xi(1) ,..., xi can be obtained as follows:
DQ 1 xi( Z ) ] { }
CSGB (m) (m) ′
xi = IFFTN ai
{ } { }
(m,0) ′ (m,1) ′
Fig. 3. Block diagram of the low-complexity implementation scheme. = IFFTN ai + IFFTN ai
( { ′
} )
x( m ,0)
Cyclically
x ( m ,0) '
= r1 circ IFFTN a(m,0) , t1 (18)
N // 22-point
( { } )
a( m,0) N t1 Cyclic
Extended to
IFFT
length N Shifts ′
r1 xi( m )
+ r2 circ IFFTN a(m,1) , t2
a ( m ,1) N / 2-point x ( m ,1)
Inversely
Extended to
x ( m ,1) ' t2 Cyclic ( ′
) ( ′
)
IFFT
w
length N
r2
Shifts
= r1 circ x(m,0) , t1 + r2 circ x(m,1) , t2
Common Parts for Generating
Each Candidate Signal [ ]T
(m,0) ′ (m) ′ (m) ′ (m,1) ′
where ai = ai,0 , 0, . . . , ai,N −2 , 0 and ai =
Fig. 4. Simplified architecture of the CSGB in the low-complexity imple- [ ′ ′ ]T
(m) (m) (m) ′
mentation scheme. 0, ai,1 , . . . , 0, ai,N −1 are two subblocks of ai ,
[ ]T
′ (m) ′ (m) ′ ′
a(m,0) = a0 , 0, . . . , aN −2 , 0 and a(m,1) =
candidate signals is increased, different sets of weighting [ ′ ′ ]T ′
(m) (m)
windows can be obtained. But, the computational com- 0, a1 , . . . , 0, aN −1 are two subblocks of a(m) and the
plexity is increased with very little gain in PAPR reduc- values of r1 , r2 , t1 and t2 can be jointly determined based on
tion performance (results not shown here for simplicity). the applied weighting window pi given as:

 {1, 1, 0, 0} , pi ∈ P(0)

τ
C. Proposed PAPR Reduction Method with the Low- {r1 , r2 , t1 , t2 } = {(j) 1 , 1, v1 , 0} , pi ∈ P(1) . (19)

 {1, (j)τ2 , 0, v } , p ∈ P(2)
Complexity Implementation Scheme 2 i
To reduce the PAPR of OFDM systems without side infor- (m)
mation, the method of relying on channel equalization has In addition, the computational complexity in generating xi
been introduced in [24], [25]. Specially, in [25], we have can be further reduced by using the property of the IFFT
′
proposed a modified SLM scheme that deals with a block operation. Specifically, the time-domain signal vector x(m,0)
′
of OFDM symbols. In the proposed PAPR reduction method, and x(m,1) in (18) have the following form:
′
{ ′
}
we make full use of the pilot symbol in every slot of the SC- x(m,0) = IFFTN a(m,0)
FDMA standard to enable equivalent channel estimation at [(
the receiver. The Z SC-FDMA symbols in a slot are treated { })T ( { })T ]T
as a processing block and the designed weighting windows are = IFFTN/2 a(m,0) IFFTN/2 a(m,0)
applied to weight the outputs of the DFT precoder of a block (20)
of SC-FDMA symbols. { }
(m,1) ′ ′
x = IFFTN a(m,0)
Fig. 3 shows the block diagram of the low-complexity [(
implementation scheme for the proposed PAPR reduction { })T
= w ⊙ IFFTN/2 a(m,1) (21)
method.[ As shown, each] complex modulated data vector
})T ]T
T
(m) (m)
s(m) = s0 , s1 , . . ., sM−1 , 1 ≤ m ≤ Z of the SC-
(m) ( {
− w ⊙ IFFTN/2 a(m,1)
FDMA symbol in the processing block is firstly precod-
ed by the DFT precoder, mapped on a set of contigu- [ ]T
(m) ′ (m) ′ (m) ′ (m) ′
ous subcarriers and zero-padded to obtain the frequency-
[ ]T where a(m,0) = a0 , a2 , . . . , aN −4 , aN −2 and
′ (m) ′ (m) ′ (m) ′ [ ′ ′ ′ ′ ]T
domain data vector a(m) = a0 , a1 , . . . , aN −1 . a(m,1) =
(m) (m) (m)
a1 , a3 , . . . , aN −3 , aN −1
(m)
represen-
′
Then, the obtained Z frequency-domain data vectors a(m) t the data vectors at even-indexed subcarriers and odd-
′
are passed through a processing block generating mod- indexed subcarriers of a(m) , respectively, and w =
[ j2π0/N j2π1/N ]T
[ule to
′ ′ ′
]
obtain the frequency-domain data block B = e ,e , . . . , ej2π(N/2−1)/N . Finally, the trans-
a(1) , . . . , a(m) , . . . , a(Z) . After passing B through Q can- mitted signal block in the proposed method is given as
[ ]
didate signal generating blocks [ (CSGBs), Q time-domain ] (1)
Dī = arg min PAPR (Di ) = xī , . . . , xī
(Z)
. (22)
(1) (m) (Z)
candidate signal blocks Di = xi , . . . , xi , . . . , xi are Di ,0≤i≤Q−1
(m)
generated, where xi
is the ith candidate signal of the mth Fig. 4 shows the simplified structure of the designed CSGB
SC-FDMA symbol. With the designed weighting windows, the which only involves the processing procedure for the mth SC-
frequency-domain candidate symbol sequences can be given FDMA symbol since the Z frequency-domain data vectors in

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the data block B are parallel processed in the same way in
the CSGB. As shown, a(m,0) and a(m,1) are passed through
the N/2-point IFFT block to generate the time-domain signal
vectors x(m,0) and x(m,1) . Then x(m,0) and the weighted
version of x(m,1) by w are cyclically and inversely extended,
′ ′
respectively, to length N as x(m,0) and x(m,1) , and various
(m) ′
candidate signal vectors xi are generated from x(m,0)
′
and x(m,1) by using different combinations of the complex
constants r1 and r2 and the cyclic shifts t1 and t2 . Thus, with
the designed CSGB, the candidate signal blocks Di consisting
of Z signal vectors can be generated with very low complexity.
D. Detection with the Equivalent Channel
Assume that the channel is constant over the duration of a
slot, i.e., the time duration of a processing block. According to
(8), the equivalent channel at the fk th subcarrier of the mth
SC-FDMA symbol in a block is defined as
(m)
He,fk =
(m)
Hfk pī,k
where pī,k is the kth element of pī which minimizes the PAPR
of the transmitted signal block. Since the channel is constant
over the duration of a block and pī is applied to every SC-
FDMA symbol in the block, the equivalent channel will be
constant within the block. Assume that, the bth SC-FDMA
symbol in a block is the pilot symbol. Then by using the pilot
symbol, the equivalent channel at the fk th subcarrier for the
mth SC-FDMA symbol in a block can be estimated as
(m) (b) (b) (m) (b) (b)
Ĥe,fk = Yfk /ak = He,fk +Wfk /ak
(b) (b)
where Yfk and ak are the received and transmitted pilot data
at the fk th subcarrier respectively. For simplicity, the zero
forcing (ZF) frequency-domain equalizer (FDE) is considered
at the receiver and the equalized data for the mth SC-FDMA
symbol can be obtained as follows:
(m) (m) (m)
âk = Yfk /Ĥe,fk .
Then, the transmitted symbol can be obtained by performing
(m)
the inverse DFT (IDFT) of âk , given as
M −1
(m) 1 ∑ (m) j 2πkn′
ŝn′ = √ âk e M .
M k=0
Therefore, by using the estimated equivalent channel, the
received frequency-domain data of the SC-FDMA system
with the proposed method can be equalized as those of the
conventional SC-FDMA systems without side information.
This demonstrates that, for signal antenna LTE uplink systems,
the proposed method has the advantage of being transparent
to the receivers, i.e., it does not require any special signal-
processing algorithms in the mobile terminals.
It should be pointed out that, recently, the LTE standard
[1] has specified the multiplexing configuration in the uplink
and a maximum number of four antennas were discussed.
For multiple-antenna LTE uplink systems, the computational
complexity of both the aforementioned pulse shaping methods
and the proposed scheme grows as the number of antennas
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6
increases. With the property of the low computational com-
plexity of the proposed method, the additional computational
load at a given antenna can be small. In addition, we can use
the designed weighting windows in the subset P(0) and P(2)
for all antennas, and then perform channel estimation at the
non-affected subcarriers with indices fe , e = 0, 2, . . . , M − 2
and side information detection at the other subcarriers with the
method in [26], respectively, at the pilot SC-FDMA symbol.
Since the proposed method can avoid the transmission of side
information with low computational complexity, it has the
potential to be extended to systems with multiple transmitting
antennas with good PAPR reduction performance by applying
independent weighting windows for different antennas. A de-
tailed investigation of the application of the proposed method
for LTE uplink systems with multiple antennas is, however,
left for future work.
E. Analysis of Computational Complexity and PAPR Reduc-
(23) tion Performance
In this paper, the computational complexity is evaluated in
terms of the numbers of complex multiplications and complex
additions for each SC-FDMA symbol. The computational
loads before subcarrier mapping and those at the receiver are
omitted, since they are common for the other pulse shaping
methods. From Fig. 4, it can be seen that, the common parts
for generating each candidate signal within the dotted box
requires two N/2-point IFFT operations and N/2 complex
multiplications, thus it requires (N/2)log2 N complex multi-
plications and N log2 (N/2) complex additions in total. To gen-
(24)
erate each candidate signal, N complex additions are needed
′
for combining the cyclically shifted versions of x(m,0) and
′
x(m,1) , and therefore N Q complex additions for generating
Q candidate signals. In addition, we also need additional N Q
2
|·| operations, i.e., N Q/2 complex multiplications for peak
power search for Q candidate signal vectors. Thus, for the
proposed method, the total number of complex multiplications
(25) is (N/2)log2 N + N Q/2 and that of complex additions is
N log2 N +N (Q−1). While the computational complexity for
the conventional SLM is (QN/2)log2 N complex multiplica-
tions and N Qlog2 (N/2) complex additions. As compared to
the computational complexity of the pulse shaping methods
(26) in [18]–[22], which needs (N/2)log2 N complex multiplica-
tions and N log2 N/2 complex additions, the proposed method
needs N Q more complex multiplications and N (Q − 1) more
complex additions, respectively.
With respect to the PAPR reduction performance of the
proposed method, it depends on both the number of the
candidate signal blocks Q and the size of the candidate signal
blocks Z. Assume that different SC-FDMA symbols in the
candidate signal blocks are independent and the complemen-
tary cumulative distribution function (CCDF) of the PAPR
[
of each SC-FDMA signal )vector in the] ith candidate block
(
(m)
is pi = Pr PAPR xi ≥ PAPR0 2 , where PAPR0 is
2 In fact, the pilot SC-FDMA symbol has the different PAPR distribution
from that of the data SC-FDMA symbols due to the different modulation types,
but this is omitted for simplicity. Extending the above analysis to include this
difference should be quite straightforward.
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7

the PAPR threshold. Then, the CCDF of the PAPR of the ith 0
10
candidate signal block can be expressed as
Z
di = Pr[PAPR(Di ) ≥ PAPR0 ] = 1 − (1 − pi ) . (27) −1
10

CCDF(Pr[PAPR>PAPR0])
The distribution of the instantaneous power of the SC-FDMA
−2
signal and its CCDF with a given weighting window is 10

elaborated in [27]. The numerical evaluation to obtain the

exact expression of pi for SC-FDMA signals can be quite −3
10
complicated, and therefore left out of the scope of this paper. Conventional SC−FDMA (M=24)
Proposed Method (M=24)
We assume that the knowledge about the value of pi is −4 Conventional SC−FDMA (M=72)
10
available. If the candidate signal blocks generated in the Proposed Method (M=72)
Conventional SC−FDMA (M=144)
proposed method are quite different (i.e., independent), the Proposed Method (M=144)
CCDF of the PAPR of the selected block for transmission −5
10
2 3 4 5 6 7 8 9 10
will be PAPR0 (dB)

∏
Q−1
d = Pr[PAPR(Dī ) ≥ PAPR0 ] = di . (28) Fig. 5. Comparison of CCDF of PAPR reduction performance between
the proposed method for M =24 and 144 and that for M =72 for 64-QAM
i=0 modulation.
Generally speaking, the numerical statistics of the PAPR is
evaluated symbol-wisely but not block-wisely. Let the CCDF 0
10
of the PAPR of the transmitted SC-FDMA symbols be denoted
as p. With the independent assumption of the SC-FDMA
symbols in the selected signal block, the relationship between 10
−1

p and d can be written as CCDF(Pr[PAPR>=PAPR0])

( )
∑Z Z c−1
10
−2

(−1) pc = d. (29)
c
c=1 −3
10
The value of p can be obtained through solving (29). When p is
much smaller than 1 (e.g., p < 10−2 ), it can be approximately −4
Conventional SC−FDMA
Proposed Method (f0=0)
10
given by Proposed Method (f0=24)
Proposed Method (f0=72)
p ≈ d/Z. (30) 10
−5

IV. S IMULATION R ESULTS
To verify the effectiveness of the proposed method, the
PAPR reduction performance is investigated by computer
simulations. For the purpose of comparison, the SRRC window
proposed in [21] with an excess bandwidth of β = 10% and
β = 20% respectively is also considered in our simulations.
The parameters used for simulations are as follows: each
SC-FDMA symbol consists of M = 72 complex modulated
symbols and the size of IFFT is N = 1024. The applied
modulation schemes are 16-QAM and 64-QAM, respectively.
The system with one transmitting antenna and one receiving
antenna is considered. Normal CP is assumed, and there are
Z = 7 SC-FDMA symbols in a slot.
The number of the designed weighting windows is defined
by the equation Q = 4q + 1. By changing the value of q,
we can obtain different numbers of the designed weighting
windows. To show the dependence of the PAPR reduction
performance of the proposed method on the number of the
designed windows, in the simulation, the values of q are
selected as 4, 8 and 16, respectively, and the corresponding
values of Q are 17, 33 and 65, respectively. To investigate the
PAPR reduction performance of the proposed method with
different numbers of allocated subcarriers to each user, the
numbers of the allocated subcarriers M =24 and 144 are also
considered in the simulations.
2 3 4 5 6 7 8 9 10
PAPR0 (dB)
Fig. 6. PAPR reduction performance of SC-FDMA with the designed
weighting windows for f0 =0, 24 and 72, respectively.
Fig. 5 shows the PAPR reduction performance of the
proposed method for M =24, 72 and 144 in terms of CCDF
for 64-QAM modulation and Q=65. From this figure, we can
see that the PAPR reduction performances of the proposed
method are almost the same for M =24, 72 and 144. Fig.
6 shows the PAPR reduction performance of the proposed
method for M =72 and f0 =0, 24 and 72, respectively, for 64-
QAM modulation and Q=65. From this figure, we can see
that the PAPR reduction performance of the proposed method
appears almost the same for different values of f0 . Therefore,
in the following simulations, M =72 and f0 =0 are adopted.
Figs. 7 and 8 show the PAPR reduction performance of
the proposed method and that of the SRRC window for 16-
QAM and 64-QAM modulations, respectively. From these two
figures, we can see that, for 16-QAM modulation, the PAPR
reduction performance of the proposed method is significantly
better than that of the SRRC window with β = 10% for
Q = 17 and Pr[PAPR>PAPR0 ]<10−1 , and is almost the same
as that of the SRRC window with β = 20% for Q = 65
and Pr[PAPR>PAPR0 ]<10−4 . While for 64-QAM modulation,

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8

0 0
10 10

−1
10
−1
10
CCDF(Pr[PAPR>=PAPR0])

−2
10

Prob(Pi)
−2
10
−3
10
Conventional SC−FDMA (16−QAM)
SRRC (16−QAM,β=10%) −3
10
−4 SRRC (16−QAM,β=20%)
10
Proposed Method (16−QAM,Q=17)
Proposed Method (16−QAM,Q=33) 16−QAM, Q=65
Proposed Method (16−QAM,Q=65) 64−QAM, Q=65
−5 −4
10 10
2 3 4 5 6 7 8 9 10 0 10 20 30 40 50 60
PAPR0 (dB) Index of weighting windows (i)

Fig. 7. CCDF of PAPR reduction performance of the proposed method and Fig. 9. Selected probabilities for each of the designed weighting windows
that of the SRRC window in [21] for 16-QAM modulation. for Q=65 and 16-QAM and 64-QAM modulations respectively.

0
10 0
10

−1
10 −1
10
CCDF(Pr[PAPR>=PAPR0])

CCDF(Pr[PAPR>PAPR0])
−2
10 −2
10

−3
10 −3
10
Conventional SC−FDMA (64−QAM)
SRRC (64−QAM,β=10%)
−4 SRRC (64−QAM,β=20%)
10 −4 16−QAM, Q=65
Proposed Method (64−QAM,Q=17) 10
16−QAM, Q=23
Proposed Method (64−QAM,Q=33) 64−QAM, Q=65
Proposed Method (64−QAM,Q=65) 64−QAM, Q=23
−5
10 −5
10
2 3 4 5 6 7 8 9 10 2 3 4 5 6 7 8 9
PAPR0 (dB) PAPR0 (dB)

Fig. 8. CCDF of PAPR reduction performance of the proposed method and Fig. 10. CCDF of PAPR reduction performance of the proposed method
that of the SRRC window in [21] for 64-QAM modulation. using Q=65 and the selected Q=23 weighting windows for 16-QAM and
64-QAM modulations respectively.

the PAPR reduction performance of the proposed method is

already much better than that of the SRRC window with
β = 10% for Q = 17 and Pr[PAPR>PAPR0 ]<10−1 , and is
even better than that of the SRRC window with β = 20%
for Q = 33 and Pr[PAPR>PAPR0 ]<10−4 and for Q = 65
and Pr[PAPR>PAPR0 ]<10−3 . In addition, it can be seen that
the superiority in PAPR reduction performance of the SRRC
with β = 20% over the proposed method vanishes when the
modulation turns from 16-QAM to 64-QAM. This is due to
the fact that the SRRC reduces the PAPR by decreasing the
contribution from the side-lobes to the large peaks, which is
relatively effective for PAPR reduction of SC-FDMA systems
with low order modulations, while the proposed method re-
duces the PAPR by introducing new weighting windows to
break the coherent addition of the main lobes and is relatively
effective for high order modulations. It should also be pointed
that the proposed method is implemented with zero excess
bandwidth.
From Figs. 7 and 8, we can also see that, for both 16-QAM
and 64-QAM modulations, the PAPR reduction performances
of the proposed method are improved as the number Q of
the weighting windows increases. The improvement as Q
increases from Q=17 to Q=33 is obviously larger than that
from Q=33 to Q=65. The improvement is very small from
Q=33 to Q=65, but the additional complexity is very large. In
practice, to make a compromise between the performance and
the complexity, Q can be selected to be about 33.
Fig. 9 shows the selected probabilities for each of the
designed weighting windows for Q=65 and 16-QAM and
64-QAM modulations respectively. From this figure, we can
see that the curves of selected probabilities are almost the
same for both 16-QAM and 64-QAM modulations. For both
cases, some of the weighting windows are selected with higher
probabilities than the others. This is due to the fact that some
of the designed weighting windows can lead to better PAPR
of the corresponding candidate signals due to the smaller large
side-lobes of the time-domain responses around the index of
n = N/2 and therefore have higher selected probabilities
regardless of the modulation types.
Fig. 10 shows the PAPR reduction performance of the
proposed method with Q=65 weighting windows and Q=23

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0
10
64−QAM
−1
10
BER
−2
10 16−QAM
Conventional SC−FDMA
SRRC (β=20%)
Proposed Method (Q=23)
−3
10
12 14 16 18 20 22 24
1/N0 (dB)
Fig. 11. Comparison of BER performance between conventional SC-FDMA
and SC-FDMA system with SRRC window with β = 20% and the proposed
method respectively with Q=23 in wireless channels.
selected weighting windows for 16-QAM and 64-QAM mod-
ulations respectively. The used Q=23 weighting windows are
obtained by selecting the ones with the selected probabilities
above η = 10−2 from the Q=65 weighting windows. From
this figure, we can see that the PAPR reduction performance of
the proposed method degrades slightly with the selected Q=23
weighting windows as compared to that with Q=65 weighting
windows. In this case, the number of candidate signal blocks
is reduced greatly, which results in a significant reduction in
computational complexity of the proposed method.
Fig. 11 shows a comparison of BER performance between
conventional SC-FDMA, SC-FDMA with SRRC window with
β = 20% and the proposed method with Q=23 selected win-
dows respectively for wireless channels with the exponential-
decay power-delay profile (PDF). To take into account an
amplitude limited power amplifier at the transmitter, the trans-
mitted signal is amplitude adjusted (with the peak amplitude
normalized to be 1) in which case nonlinear distortions will
not occur. From this figure, we can see that, for both 16-QAM
and 64-QAM modulations, the SC-FDMA system with the
proposed method has better BER performance than conven-
tional SC-FDMA and SC-FDMA with SRRC window with
β = 20%. It has about 1.9dB (16-QAM) and 2.1dB (64-
QAM) improvement over the conventional SC-FDMA systems
and about 0.5dB (16-QAM) and 1.1dB (64-QAM) compared
with the SC-FDMA with SRRC window with β = 20%.
The improvement of SC-FDMA systems with the proposed
method over the conventional SC-FDMA systems is due to
the fact that the proposed method can achieve much lower
PAPR which allows a higher level of the transmitted signal.
While for the SC-FDMA systems with SRRC window, the
noise enhancement penalty for SRRC window greatly affects
the BER performance. Note that, since the transmitted signals
are normalized with peak amplitude to be 1, the x-axis is
1/N0 , where N0 is the single-sided power spectral density of
the additive white noise.
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9
V. C ONCLUSIONS
We have proposed a probabilistic pulse shaping method
for reducing the PAPR of SC-FDMA signals without excess
bandwidth and noise enhancement penalty. The candidate
signal blocks are generated with the designed low-complexity
implementation scheme where only N complex additions
are needed for each candidate signal in the candidate signal
blocks. Then, the candidate signal block with the lowest PAPR
is selected for transmission. The proposed method can avoid
the transmission of side information by combining the applied
weighting window into the defined equivalent channel, and
then estimating and removing it in the equalization process
26 28 30
at the receiver. The proposed method is a linear and simple
method and can achieve good PAPR reduction performance
at the cost of low additional complexity to the convention-
al SC-FDMA system at the transmitter. In addition, it has
the potential to be applicable to LTE uplink systems with
multiple transmitting antennas. Due to the good features of
the proposed method, it is rather attractive for use in the
practical SC-FDMA systems, especially in those with high
order modulations.
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10
Jinwei Ji was born in Hebei, China, in 1986. He
received the B.S. degree in communications engi-
neering from Hebei University of Technology, Tian-
jin, China, in 2009. He is currently working towards
the Ph.D. degree in communication and information
systems with Xidian University, Shaanxi, China.
His research interests include wireless communi-
cation and peak-to-average power ratio reduction for
OFDM/SC-FDMA based communication systems.
Guangliang Ren (M’06) was born in Jiangsu, Chi-
na, in 1971. He received the B.S. degree in commu-
nication engineering from Xidian University, Xi’an,
China, in 1993, the M.S. degree in signal processing
from the Academy of China Ordnance, Beijing, Chi-
na, in 1996, and the Ph.D. degree in communication
and information systems from Xidian University, in
2006. He is currently a Professor with the School of
Telecommunications Engineering, Xidian Universi-
ty.
He is the author of more than 30 research papers
in journals and conference proceedings, such as IEEE T RANSACTIONS ON
C OMMUNICATIONS AND IEEE T RANSACTIONS ON V EHICULAR T ECHNOL -
OGY , and an author or coauthor of three books. His research interests include
wireless communication and digital signal processing, particularly multiple-
input multiple-output systems, WiMAX and the long-term evolution, etc.
Huining Zhang was born in Shaanxi, China, in
1971. She received the B.S. and M.S. degrees in
communication engineering from Xidian University,
Xi’an, China, in 1993 and 1996, respectively. She is
currently an Associate Professor with the School of
Telecommunications Engineering, Xidian Universi-
ty.
Her research interests include wireless communi-
cation and digital signal processing.