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Proposal of PTS Method with Cycle Sample Shifting

for PAPR Reduction in OFDM System


Yuya INAGAKE, Katsuhiro NAITO, Kazuo MORI and Hideo KOBAYASHI
Division of Electrical and Electronic Engineering, Graduated School of Engineering, Mie University
1577 Kurimamachiya-cho Tsu-city, 514-8507, Japan
E-mail: inagake@com.elec.mie-u.ac.jp


Abstract - One of drawbacks in the usage of OFDM technique is
its time domain signal with higher peak to average power ratio
(PAPR), which leads the degradation of BER performance and
the undesirable frequency spectrum re-growth in the non-linear
channel. Partial Transmit Sequence (PTS) is considered as one of
the promising methods, which can reduce the PAPR performance
without any degradation of signal quality. Although PTS could
improve the PAPR performance relatively as increasing the
number of clusters and weighting factors, the computational
complexity required at the transmission side would increase
exponentially. This paper proposes a new PTS method with cycle
sample shifting which can achieve the better PAPR performance
than that for the conventional PTS method with keeping almost
the same computational complexity. This paper presents the
various computer simulation results to verify the effectiveness of
proposed PTS method.
Keywords-OFDM, PAPR, PTS, Sample shifting, Non-linear
I. INTRODUCTION
OFDM (Orthogonal Frequency Division Multiplexing)
technique has been received a lot of attentions especially in
the field of wireless communications because of its efficient
usage of frequency bandwidth and robustness to multipath
fading [1]. From these advantages, OFDM technique has been
adopted as the standard transmission technique in the
terrestrial digital broadcasting, wireless LAN and next
generation of mobile communications systems [2]-[4].
However, still some challenging research topics remain
unsolved in the OFDM systems. One of the major drawbacks
in the design of OFDM is its higher peak to average power
ratio (PAPR) in the time domain signal as compared with the
conventional single carrier modulated signal. The time domain
signal with higher PAPR would lead the fatal degradation of bit
error rate (BER) performance and the undesirable frequency
spectrum re-growth due to the inter-modulation noise occurred
in the non-linear amplifier located at the transmitter.
To solve the above problem, many PAPR reduction
methods have been proposed up to today. These proposed
methods can be classified into two types, the signal distortion
and signal distortionless methods. The former representative
method is the clipping method [5][6]. The disadvantage of this
method is to reduce the PAPR performance at the cost of BER
degradation and the expansion of frequency bandwidth. The
latter representative methods are Selective Mapping (SLM) [7]
and Partial Transmit Sequence (PTS) [8]. Among these
methods, the PTS is the most attractive technique because of its
good PAPR performance with the reasonable computational
complexity. Although the PTS method could improve the
PAPR performance by increasing the number of clusters and
phase coefficients, the computational complexity would
increases exponentially.
This paper proposes a new PTS method with cycle sample
shifting to the time domain signal, which could achieve better
PAPR performance with keeping almost the same
computational complexity as that for the conventional PTS.
The salient feature of proposed method is to enable the PAPR
reduction with small computational complexity, which
includes processing of cyclic time shifting in each cluster
signal and summations of time domain signal for all clusters.
This is different from the conventional PTS method, which
requires both the processing of summation and multiplication.
In the following of this paper, Section II presents the
system model and PAPR problem in the OFDM system.
Section III proposes a new PTS method with cycle sample
shifting. Section IV presents the various computer simulation
results to verify the effectiveness of proposed PTS method and
finally some conclusions are provided in Section V.
II. OFDM SYSTEM MODEL AND PAPR PROBLEM
In the OFDM system, the modulated information data
X
n
in
the frequency domain is converted to the time domain signal
k
x
as given by the following equation.
2
0
1
X
kn
N-1
j
N
k n
n
x e
N
t
=
=

(1)
where N is the number of IFFT points which includes M
modulated information data and (N-M) zero-padding in the
frequency domain. Here R=N/M represents the over sampling
ratio. The PAPR for the transmitted OFDM signal is defined as
the ratio of the maximum peak to average power as given by[9],
2
10 2
10
[ ]
k
k
max x
PAPR log
E x
= (2)
where
2
k
[ ] E x represents the averaged signal power.
From (1), it can be observed that the maximum peak power
of OFDM time domain signal would be relatively larger than
the conventional single carrier modulated signal because the
time domain signal is obtained by the summation of M random
information data in the processing of IFFT. The OFDM signal
with higher PAPR would produce the larger inter-modulation
noise incurred at the non-linear amplifier which falls into both
inside and outside of allocated frequency bandwidth. The
former noise causes the degradation of BER performance and
the latter noise causes the interference to the adjacent channel
in the FDMA system.
The simple solution for PAPR problem is to operate the
non-linear amplifier in the linear region by taking enough
lower input back-off. Although the level of inter-modulation
noise can be reduced sufficiently when the non-linear amplifier
is operated in the linear region, the usage of power amplifier
becomes inefficient. The inefficient usage of power amplifier
leads the serious problem especially for the wireless portable
terminal, which requires the long operation by the battery.
Another solution to solve the PAPR problem is to employ
the PTS method. Fig.1 shows the structure of OFDM
transmitter with PTS technique when the number of clusters V
is 4. In the PTS method, M data information ] [
M 1
X X = X in
the frequency domain is partitioned into V clusters, which is
expressed by the following equation.

=
=
V
1 v
v X X (3)
where
v X represents the information data at the v -th cluster
which consists of M/V sub-carriers. The time domain signal
v
x which is converted from the frequency data information at
the v -th cluster is given by,
{ }
0 1 1
X [ ]
v k N
IFFT x , x , x , , x
v v v v
v
= = x (4)
The time domain signal for each cluster is multiplied by the
certain weighting factor so as to minimize the PAPR
performance. The combined time domain signal with the
certain weighting factors for all clusters can be given by,
| |
'
1
' '
1
'
0
1
, , , , ,
~

=
= =
N k v
V
v
v
x x x x b x x (5)
where b
v
is the phase coefficient for the v -th cluster. The
phase coefficient will be selected from among the following,
when the number of predetermined phases is 4.
3 1 2 4
, , ,
j j j j
b e e e e
u u u u
v
( e

(6)
By using (5), the optimum phase coefficient for each cluster,
which could achieve the best PAPR performance can be
obtained by the following equation.
{ }
1 2 3 4
'
1 2 3 4
0 1
[ , , , ]
[ , , , ] arg min max
k
k N
b b b b x
u u u u
s s
=

(7)
Actually, the optimum phase coefficients for all clusters are
decided by the exhausted search for all combinations of phase
coefficients to achieve the best PAPR performance which leads
the higher computational complexity.
S
/
P

a
n
d

p
a
r
t
i
t
i
o
n

i
n
t
o

c
l
u
s
t
e
r
s
IFFT
IFFT
IFFT
X
1
X
2
X
3
X
4
X
1
x
Optimization of
weighting factor
2
x
3
x
4
x
x
b
1
b
2
b
3
b
4
IFFT
+
Fig.1 Structure of PTS Method when V=4.
III. PROPOSAL OF NEW PTS METHOD WITH CYCLE
SAMPLE SHIFTING
In the PTS technique, the computational complexity to
achieve the better PAPR performance increases exponentially
as increasing the number of clusters and phase coefficients. In
the optimization for the phase coefficients for all clusters given
in (7) includes both processing for addition and multiplication
of phase coefficients.
To reduce the computational complexity required in the
PTS method, this paper proposes a new PTS method in which
the time sample for each cluster is shifted so that the combined
time domain signal for all clusters could achieve the better
PAPR performance. Fig.2 shows the structure of proposed PTS
method with cycle time sample shifting.
X
1
X
2
X
3
X
4
X
1
x
2
x
3
x
4
x
+
x
d
1
d
2
d
3
d
4
cyclic
shift
IFFT
S
/
P

a
n
d

p
a
r
t
i
t
i
o
n

i
n
t
o

c
l
u
s
t
e
r
s
IFFT
IFFT
IFFT
cyclic
shift
cyclic
shift
cyclic
shift
Optimization of
time sample shifting
Fig.2. Structure of proposed PTS method.
In the proposed PTS method, as the same manner as the
conventional PTS method, the data information in the
frequency domain is partitioned into V clusters as given in (3),
and converted them to the time domain signal by IFFT as given
in (4). The difference of proposed PTS method from the
conventional PTS method is to shift the certain time sample for
each cluster instead of multiplying the phase coefficient to the
time domain signal. Since the time domain OFDM signal is
obtained from the frequency domain data information by using
IFFT, adding the time delay to the time domain OFDM signal
is equivalent to shift the time sample cyclically. When d
samples is delayed to the original time domain OFDM signal
for thev -th cluster as given in (4), the delayed time domain
signal can be obtained by shifting d samples cyclically as
shown in Fig.3. The delayed signal for the v -th cluster is given
by the following equation.

] , , , , , , , , , [ ) (
1 1 0 1 1
v
d
v v v
N
v
k d
v
d
v
d v v
v v v v
x x x x x x x d
+ +
= x

(8)


In (8), if the sample number ( ) d k
v
+ in the time domain signal
is larger than (N-1), the sample number becomes modulo N of
( ) d k
v
+ from the fact that the time domain signal after IFFT is
repeated cyclically by N. Here it should be noted that the time
delay in the time domain signal corresponds to the phase
shifting in the frequency domain signal as given in the
following equation.
2 nd
j
N
k d n
x X e
v
v
t
v v
+


(9)
In the proposed PTS method, the PAPR could be reduced by
summations of all clusters time domain signal, which have the
different time sample shifting. The combined time domain
signal for all clusters with the certain time sample shifting can
be given by the following equation.

| |
"
1
" "
1
"
0
1
, , , , , ) (
~

=
= =
N k v
V
v
v d
x x x x d x x

(10)
In the proposed method, the time sample shifting for each
cluster is selected from among the following.
| |
1 2 /
, , ,
N D
d m m m
v
e (11)
where D represents the interval of time sample shifting and
N/D is the total number of predetermined candidate sample
shifting. By using (10), the optimum sample shifting for each
cluster, which can achieve the best PAPR performance, can be
given by the following equation when the number of cluster V
is 4.
{ }
1 2 /
''
1 2 3 4
0 1
[ , , , ]
[ , , , ] arg min max
N D
k
k N
m m m
d d d d x
s s

=

(12)
In the proposed PTS method, the best PAPR performance
could be achieved by the exhausted search for all
combinations of time sample shifting for all clusters. However,
the computation complexity becomes exponentially larger as
increasing the number of clusters and the number of
predetermined time sample shifting N/D as given in (11).
When the number of clusters is V and the number of time
sample shifting is N/D, the order of computational complexity
by using the exhausted search is V
(N/D)
, which becomes larger
computational complexity.
To solve the above problem, this paper proposes the
algorithm, which could achieve the better PAPR with small
computational complexity, which is almost the same as the
conventional PTS method. Fig.4 shows the procedures for the
proposed algorithm. In the proposed algorithm, the
optimization of time sample shifting for each cluster is carried
out independently from other clusters.
d Sample Shift
Original Time Domain Signal
Cyclic Sample Shifting Signal
0
x
1
x
2
x
2 d
x
1 d
x
d
x
1 d
x
+ 2 d
x
+ 2 N
x
1 N
x

0
x
1
x
2
x
2 d
x
1 d
x
d
x
1 d
x
+ 2 d
x
+ 2 N
x
1 N
x


Fig.3 Cyclic sample shifting of OFDM time domain signal.
| |
| | s
Change Cluster
Repeat all procedures
v
(

m
d Change Time Sample
m
( d )
v
v
x
1
V
s s
d
x ( d )
v
v
=
=
=

x
s
m d
( d ) x
v
v
+ x
if
s
m m
( d ) x ( d )
v v
v v
= x
m N / D >
if
V v >
if
s S >
if
1 m m = +
1 v v = +
1 s s = +
1
V
s s
d
x ( d )
v
=
=

x
Lower PAPR Signal with Optimum Time Sample Shifting
YES
NO
YES
NO
YES
NO
YES
NO
Calculate PAPR ]
v
v
m
, ,d [s
m m-1
[s, , d ] [s, , d ] PAPR PAPR
v v
s
0
1
V
x ( d )
v
v =
=

x

Fig.4 Procedures for proposed PTS method.
As shown in Fig.4, the time sample shifting is changed [m]
from m=1 to m=N/D for the v -th cluster with keeping the
same time sample shifting for other clusters and the same
procedures are repeated by changing the cluster [v] one by one
so as to achieve the better PAPR. Then all procedures are
repeated by changing [s] up to obtain the better PAPR
performance. The proposed procedures could achieve the
better PAPR performance with small computation complexity
because the exhausted search is unemployed as the
conventional PTS method. The proposed PTS method also
enables the reduction of computational complexity, because
the required processing is the cyclic time sample shifting and
summation. The required computation complexity for the
proposed PTS method is evaluated in Section IV as compared
with the conventional PTS method.
IV. PERFORMANCE EVALUATION
This section presents the various computer simulation
results to verify the effectiveness of proposed PTS method.
Table.1 shows the simulation parameters to be used in the
following evaluations. The following simulations assume that
the allocated frequency bandwidths is 5MHz, the modulation
method is 16QAM, the number of sub-carriers M is 64, the
number of FFT points N is 256, and the over sampling ratio is
4 to achieve the accurate evaluation of PAPR performance [9].
Table 1 Simulation parameters.
Allocated Bandwidth 5 MHz
Modulation method 16QAM
Number of sub-carriers (M) 64
Number of FFT points (N) 256
Guard interval 15 samples
Frame length 50 symbols
Number of cluster (V) 4
Interval of time delay (D) for N-PTS 2 - 8 samples
Number of phase coefficients for C-PTS 4
Non-linear amplifier SSPA
Rap coefficient for non-linear (r) 1
Input back-off -3dB
Multipath fading model
Power delay profile exponential
Delay constant -1dB
Number of delay paths 12
The nonlinear amplifier assumed in this paper is the Solid
State Power Amplifier (SSPA), of which AM/AM conversion
characteristics is modeled by [9],
1 2
1 2
r / r
F[ ]
{ ( / A) }

=
+
(13)
where

is the amplitude of input signal, A is the saturated
output level and r is the parameter to decide the non-linear
level which calls the rap coefficient. In the simulation, the rap
coefficient r is 1 and the input back off (IBO) is -3dB. The
multipath fading is modeled by the exponential power delay
profile of 12 delay paths with -1dB decay constant. In the
evaluation of PAPR performance, the complementary
cumulative distribution function (CCDF) is used which shows
the probability of exceeding a given threshold PAPR
0
.
Fig.5 shows the improvement of PAPR performance for
the New PTS (N-PTS) with proposed algorithm as compared
with the conventional PTS (C-PTS) at CCDF=10
-1
when
changing the interval of sample shifting D. Here it should be
noted that the BER performance in the non-linear channel is
decided dominantly by the PAPR performance at around
CCDF=10
-1
. From the figure, it can be observed that the
PAPR performance is converged when the number of
repetitions S is 2 regardless of the interval of time sample
shifting D. Although the improvement of N-PTS as compared
with C-PTS at CCDF=10
-1
increases as decreasing the interval
of time sample shifting D, the computational complexity
would increase accordingly.

Fig.5 PAPR improvement of N-PTS as compared with C-PTS when
changing the number of repetitions.
The computational complexity for the conventional C-PTS
method, when the number of clusters is V and the number of
phase coefficients is P, can be estimated by the following
equation.
( )
1
2
1
V
C PTS
L NV log N 2NP V

= +

(14)
where the computational complexity of C-PTS method L
C-PTS

consists of V times IFFT processing
2
( NV log N ) and
1
1
V
N(V )P

times summation and multiplication of phase
coefficients.
The computational complexity for the N-PTS method when
the number of clusters is V, the number of predetermined
sample shifting is N/D and the number of repetitions for the
proposed algorithm S is evaluated by the following equation.
( ) { }
2
2
2 3
N PTS
L NV log N VN / D N V S

= + + (15)
where the computational complexity of proposed N-PTS
method L
N-PTS
consists of N NV 2 log IFFT processing and
{ }
2
2 3 VN / D N( V ) S +

times processing of summation. From
(15), it can be seen that the required processing for the
proposed method is only for the summation except V times
IFFT processing. The ratio of computational complexity
between the C-PTS and N-PTS can be defined by,
L N PTS C PTS
R L / L

= (16)
Table.2 shows the comparison of computational complexity
between the C-PTS and N-PTS methods when the number of
clusters V is 4. From Table.2 and Fig. 5, the proposed N-PTS
method with D=6 and D=8 show the better PAPR performance
by 0.91dB and 0.79dB with the smaller computational
1 2 3 4
0.7
0.8
0.9
1
1.1
Number of Repetitions for N-PTS (S)
P
A
P
R

I
m
p
r
o
v
e
m
e
n
t

o
f

N
-
P
T
S

f
r
o
m

C
-
P
T
S

[
d
B
]
D=8
D=6
D=4
D=2
complexity by 0.92 and 0.72, respectively than those for the
conventional C-PTS method.
Fig.6 shows the PAPR performance based on CCDF for
the proposed N-PTS method with V=4, D=6 and S=2. In the
figure, the PAPR performances for the conventional OFDM
signal without PAPR reduction method and the conventional
C-PTS method with V=4 and P=4 are also shown as for the
comparison. From the figure, it can be observed that the
proposed N-PTS method shows better PAPR performance than
the conventional OFDM by 3dB and the C-PTS by 0.91dB at
CCDF=10
-1
.
Table.2 Computational complexity and PAPR Improvement.
C-PTS
(V=4, P=4)
N-PTS
(V=4, S=2) Computational
Complexity
Ratio R
L

Eq.(16)
PAPR
Improvement
of N-PTS
from C- PTS
at CCDF=10
-1

Computational
Complexity
L
C-PTS

Eq.(14)
Computational
Complexity
L
N-PTS

Eq.(15)
106,496
D=2 272,896 2.56 1.08dB
D=4 141,824 1.33 0.94dB
D=6 98,133 0.92 0.91dB
D=8 76,288 0.72 0.79dB

Fig.6. CCDF PAPR performance for proposed N-PTS.
Fig.7 shows the BER performance for the proposed N-PTS
and the conventional C-PTS methods in the non-linear and
multipath fading channel. The input back-off (IBO) of SSPA
non-linear amplifier is operated at -3dB. From the figure, the
proposed N-PTS method shows better BER performance than
the C-PTS and almost the same BER performance as that in the
linear channel.
V. CONCLUSIONS
This paper proposed the new PTS method with cyclic
sample time shifting, which can achieve the better PAPR
performance and lower computational complexity than those
for the conventional PTS method. The salient feature of
proposed method is to employ the characteristics of IFFT,
which enables the addition of time delay to the time domain
signal by shifting the time sample cyclically. From this fact, the
proposed method can achieve the better PAPR performance
only by the processing of sample shifting and summation,
which is different from the conventional PTS methods required
for the processing of summation and multiplications. This
paper also proposed the computational complexity reduction
algorithm for the new PTS method.
The computer simulation results showed that the proposed
PTS method can achieve the better PAPR performance with
lower computational complexity than the conventional PTS
and shows the better BER performance in the non-linear
channel, which is almost the same as that in the linear channel.
The detection method for the time sample shifting of each
cluster, which enables the correct demodulation without side
information at the receiver, is subject to the further study.
Fig.7. BER performance of proposed N-PTS versus C/N.

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0 1 2 3 4 5 6 7 8 9 10 11 12
10
-4
10
-3
10
-2
10
-1
10
0
PAPR[dB]
C
C
D
F
C-PTS
(V=4, P=4)
OFDM
N-PTS
(V=4, D=6, S=2)
20 25 30 35 40
10
-5
10
-4
10
-3
10
-2
10
-1
C/N[dB]
B
E
R
OFDM
C-PTS
(V=4, P=4)
N-PTS
(V=4, D=6, S=2)
OFDM without SSPA
IBO=-3dB
with SSPA