MC OFDM Principles 4up

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Southampton School of ECS, Univ. of Southampton, UK. http://www-mobile.ecs.soton.ac.uk 1/ 49 |

Principles of Multicarrier Modulation and
OFDM
a
Lie-Liang Yang
Communications Research Group
Faculty of Physical and Applied Sciences,
University of Southampton, SO17 1BJ, UK.
Tel: +44 23 8059 3364, Fax: +44 23 8059 4508
Email: lly@ecs.soton.ac.uk
http://www-mobile.ecs.soton.ac.uk
a
Main reference: A. Goldsmith, Wireless Communications, Cambridge University Press, 2005.
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MC Modulation and OFDM - Summary
Principles of multicarrier (MC) modulation;
Principles of orthogonal frequency-division multiplexing (OFDM);
Inter-symbol interference (ISI) suppression;
Implementation challenges.
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Multicarrier Modulations - Introduction
In multicarrier (MC) modulation, a transmitted bitstream is divided into many
different substreams, which are sent in parallel over many subchannels;
The parallel subchannels are typically orthogonal under ideal propagation
conditions;
The data rate on each of the subcarriers is much lower than the total data rate;
The bandwidth of subchannels is usually much less than the coherence band-
width of the wireless channel, so that the subchannels experience at fading.
Thus, the ISI on each subchannel is small;
MC modulation can be efciently implemented digitally using the FFT (Fast
Fourier Transform) techniques, yielding the so-called orthogonal frequency-
division multiplexing (OFDM);
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Multicarrier Modulations - Application
Examples
Digital audio and video broadcasting in Europe;
Wireless local area networks (WLAN) - IEEE802.11a, g;
Fixed wireless broadband services;
Mobile wireless broadband communications;
Multiband OFDM for ultrawideband (UWB) communications;
A candidate for the next-generation cellular mobile
communications systems.
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Multicarrier Modulations - Transmitter
Symbol
Mapper
R/N bps s
0
g(t)
cos(2f
0
t)
s
0
(t)
+
Serial-to-
Parallel
Converter
R bps
..........
Symbol
Mapper
R/N bps
g(t)
Symbol
Mapper
R/N bps
g(t)
s
1
s
1
(t)
cos(2f
1
t)
s
N1
s
N1
(t)
cos(2f
N1
t)
s(t)
Figure 1: Transmitter schematic diagram in general multicarrier modulations.
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Multicarrier Modulations - Principles
Consider a linearly modulated system with data rate R and bandwidth B;
The coherence bandwidth of the channel is assumed to be B
c
< B, so
signals transmitted over this channel experience frequency-selective fading.
When employing the MC modulations:
G the bandwidth B is broken into N subbands, each of which has a bandwidth
B
N
= B/N for conveying a data rate R
N
= B/N;
G Usually, it is designed to make B
N
<< B
c
, so that the subchannels
experience (frequency non-selective) at fading.
G In the time-domain, the symbol duration T
N
1/B
N
of the modulated signals
is much larger than the delay-spread T
m
1/B
c
of the channel, which hence
yields small ISI.
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An example
Consider a MC system with a total passband bandwidth of 1 MHz.
Suppose the channel delay-spread is T
m
= 20 s. How many
subchannels are needed to obtain approximately at fading in each
subchannel?
G The channel coherence bandwidth is
B
c
= 1/T
m
= 1/0.00002 = 50 KHz;
G To ensure at fading on each subchannel, we take
B
N
= B/N = 0.1 B
c
<< B
c
;
G Hence, N = B/(0.1 B
c
) = 1000000/5000 = 200 subcarriers.
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Multicarrier Modulations - Transmitted
Signals
s(t) =
N1
i=0
s
i
g(t) cos (2f
i
t +
i
) (1)
where
s
i
: complex data symbol (QAM, PSK, etc.) transmitted on the ith
subcarrier;

i
: phase offset of the ith subcarrier;
f
i
= f
0
+ i(B
N
): central frequency of the ith subcarrier;
g(t): waveform-shaping pulse, such as raised cosine pulse.
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0 T
Amplitude
Time
Figure 2: Illustration of multicarrier modulated signals.
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Multicarrier Modulations - Receiver
to-Serial
Converter
Parallel-
f
0
s
0
(t) + n
0
(t)
Demodulator
cos(2f
0
t)
R/N bps
..........
Demodulator
R/N bps
Demodulator
R/N bps
f
1
f
N1
s
1
(t) + n
1
(t)
cos(2f
1
t)
cos(2f
N1
t)
s
N1
(t) + n
N1
(t)
R bps
s(t) + n(t)
Figure 3: Receiver schematic diagram in general multicarrier modulations.
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Overlapping MC
f
4
f
5
f
6
f
7
f
3
f
2
f
1
f
0
The set of orthogonal subcarrier frequencies, f
0
, f
1
, . . . , f
N1
satisfy:
1
T
N
_
T
N
0
cos(2f
i
t +
i
) cos(2f
j
t +
j
)dt =
_
_
_
0.5, if i = j
0, else
(2)
The total system bandwidth required is:
B N/T
N
(3)
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Overlapping MC - Detection
Without considering the fading and noise, the received MC signal can be
expressed as
r(t) =
N1
i=0
s
i
g(t) cos (2f
i
t +
i
) (4)
Assuming that the detector knows {
i
}, then, s
j
can be detected as
s
j
=
_
T
N
0
r(t)g(t) cos (2f
j
t +
j
) dt
=
_
T
N
0
_
N1
i=0
s
i
g(t) cos (2f
i
t +
i
)
_
g(t) cos (2f
j
t +
j
) dt
=
N1
i=0
s
i
_
T
N
0
g
2
(t) cos (2f
i
t +
i
) cos (2f
j
t +
j
) dt
=
N1
i=0
s
i
(i j) = s
j
, j = 0, 1, . . . , N 1 (5)
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Fading Mitigation Techniques in MC
Modulation
Coding with interleaving over time and frequency to exploit the
frequency diversity provided by the subchannels experiencing
different fading;
Frequency-domain equalization: When the received SNR is
2
i
P
i
, the receiver processes it as
2
i
P
i
/
2
i
P
i
to reduce the
fading;
Precoding: If the transmitter knows that the channel fading gain
is
i
, it transmits the signals using power P
i
/
2
i
, so that the
received power is P
i
;
Adaptive loading: Mitigating the channel fading by adaptively
varying the data rate and power assigned to each subchannel
according to its fading gain.
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Implementation of MC Modulation Using
DFT/IDFT
Let x[n], 0 n N 1, denote a discrete time sequence. The
N-point discrete Fourier transform (DFT) of {x[n]} is dened as
X[i] =DFT{x[n]}
N
N1
n=0
x[n] exp
_
j2ni
N
_
, 0 i N 1 (6)
Correspondingly, given {X[i]}, the sequence {x[n]} can be
recovered by the inverse DFT (IDFT) dened as
x[n] =IDFT{X[i]}
N
N1
i=0
X[i] exp
_
j2ni
N
_
, 0 n N 1 (7)
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Implementation of MC Modulation Using
DFT/IDFT
When an input data stream {x[n]} is sent through a linear time-invariant
discrete-time channel having the channel impulse response (CIR) {h[n]}, the
output {y[n]} is given by the discrete-time convolution of the input and the
CIR, expressed as
y[n] = h[n] x[n] = x[n] h[n] =
k
h(k)x[n k] (8)
Circular Convolution: when {x[n]} is a N-length periodic sequence, then the
N-point circular convolution of {x[n]} and {h[n]} is dened as
y[n] = h[n] x[n] = x[n] h[n] =
k
h(k)x[n k]
N
(9)
which has the property
DFT{y[n] = h[n] x[n]} = X[i]H[i], i = 0, 1, . . . , N 1 (10)
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Implementation of MC Modulation: Cyclic
Prex
Cyclic Prex Original Length N Sequence
Append Last Symbols to Beginning
x[N ], x[N + 1], ..., x[N 1] x[0], x[1], ..., x[N 1] x[N ], x[N + 1], ..., x[N 1]
Figure 4: Cyclic prex of length .
The original N-length data block is x[n] : x[0], . . . , x[N 1];
The -length cyclic prex block is x[N ], . . . , x[N 1], which
is constituted by the last symbols of the data block {x[n]};
The actually transmitted data block is length N + , which is
x[n] : x[N ], . . . , x[N 1], x[0], x[1], . . . , x[N 1]
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Implementation of MC Modulation: Cyclic
Prex
Then, when { x[n]} is input to a discrete-time channel having the CIR
h[n] : h[0], . . . , h[], the channel outputs are
y[n] = x[n] h[n] =
k=0
h[k] x[n k] =
k=0
h[k]x[n k]
N
= x[n] h[n], n = 0, 1, . . . , N 1 (11)
Therefore,
Y [i] = DFT{y[n] = x[n] h[n]} = X[i]H[i], i = 0, 1, . . . , N 1 (12)
When {Y [i]} and {H[i]} are given, the transmitted sequence can be
recovered as
x[n] = IDFT
_
X[i] =
Y [i]
H[i]
_
= IDFT
_
DFT{y[n]}
DFT{h[n]}
_
, n = 0, 1, . . . , N 1 (13)
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OFDM Using Cyclic Prexing - An Example
Consider an OFDM system with total bandwidth B = 1 MHz and
using N = 128 subcarriers, 16QAM modulation, and length = 8
of cyclic prex.
Then
G The subchannel bandwidth is B
N
= B/128 = 7.812 kHz;
G The symbol duration on each subchannel is
T
N
= 1/B
N
= 128 s;
G The total transmission time of each OFDM block is
T = T
N
+ 8/B = 136 s;
G The overhead due to the cyclic prex is 8/128 = 6.25%;
G The total data rate is
128 log
2
16 1/(T = 136 10
6
) = 3.76 Mbps.
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OFDM - System Structure
CP removing
P/S
S/P
IDFT
DFT
Transmitter
processing
processing
Receiver
Signal shaping
Matched-
ltering
Channel
CP
XXX
N
xxx
N
yyy
N N
g(t)
g
(t)
YYY
Figure 5: Schematic block diagram of the transmitter/receiver for OFDM sys-
tems using IDFT/DFT assisted multicarrier modulation/demodulation and cyclic-
prexing (CP).
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OFDM - Transmitter
Serial-to-
Parallel
Converter
X[N 1]
Add Cyclic
Prex, and
Parallel-
to-Serial
Converter
x[0] X[0]
X[1] x[1]
x[N 1]
QAM
Modulation
X
R bps
D/A
s(t)
cos(2f
0
t)
x(t)
IFFT
Figure 6: Transmitter of OFDM with IFFT/FFT implementation.
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OFDM - Receiver
R bps
Prex, and
Converter
Converter
cos(2f
0
t)
r(t)
LPF
and A/D
y[n]
Remove
Serial-to-
Parallel
y[0]
y[1]
y[N 1]
FFT
Y [1]
Y [N 1]
Y [0]
Parallel-
to-Serial
Y
QAM
Demod
Figure 7: Receiver of OFDM with IFFT/FFT implementation.
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OFDM - Transmitted Signal
G Let the N data symbols (thought as in the frequency-domain) to
be transmitted on the N subcarriers within a DFT period is given
by
XXX = [X
0
, X
1
, . . . , X
N1
]
T
(14)
G After the IDFT on XXX, it generates N time-domain coefcients
expressed as
x
n
=
1
N
N1
m=0
X
m
exp
_
j
2mn
N
_
, n = 0, 1, . . . , N 1 (15)
G Let FFF be a fast Fourier transform (FFT) matrix given by the next
slide. Then, we can express xxx = [x
0
, x
1
, . . . , x
N1
]
T
as
xxx = FFF
H
XXX (16)
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FFT/IFFT Matrices
G FFT matrix:
FFF =
1
N
_
_
1 1 1 1
1 W
N
W
2
N
W
N1
N
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
1 W
N1
N
W
2(N1)
N
W
(N1)
2
N
_
_
(17)
where W
N
= e
j2/N
;
G IFFT matrix is given by FFF
H
;
G Main Properties: FFF
H
FFF = FFFFFF
H
= III
N
.
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OFDM - Transmitted Signal
G After adding the cyclic-prex (CP) of length , xxx is modied to xxx
of length N + ;
G The normalized transmitted base-band OFDM signal is formed
as
s(t) =
N+1
n=0
x
n
g (t nT
) (18)
where
g (t): time-domain pulse dened in [0, T
), which is
normalized to satisfy
_
T
0
g
2
(t) dt = T
;
T
: chip-duration and T
1/B.
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OFDM - Representation of Received Signals
When the OFDM signal of (18) is transmitted over a
frequency-selective fading channel with the CIR h
n
, 0 n
as well as Gaussian noise, the discrete-time received
observation samples in correspondence to x
0
, x
1
, . . . , x
N1
are
given by
y
n
= x
n
h
n
+ v
n
, n = 0, 1, . . . , N 1 (19)
Let yyy = [y
0
, y
1
, , y
N1
]
T
. Then, it can be shown that yyy can be
expressed as
yyy =

HHH xxx +vvv (20)
Here, it is very important to represent the matrix

HHH.
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OFDM - Representation of Received
Signals (Linear Convalution)
x
x
1
x
0
x
1
x
2
x
3
x
4

h
1
h
0
0
0 h
h
1
h
0
0
0 0 h
h
1
h
0
0
0 0 0 h
h
1
h
0
0
0 0 0 0 h
h
1
h
0
0
+ + + + +
v
0
v
1
v
2
v
3
v
4

= = = = =
y
0
y
1
y
2
y
3
y
4

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OFDM - Representation of Received
Signals (Another Way)
x
x
1
x
0
x
1
x
2
x
3
x
4

h
0
h
0
x
0
h
0
x
1
h
0
x
2
h
0
x
3
h
0
x
4

h
1
h
1
x
1
h
1
x
0
h
1
x
1
h
1
x
2
h
1
x
3

.
.
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.
h
x
+1
h
x
+2
h
x
+3
h
x
+4

+v
0
+v
1
+v
2
+v
3
+v
4

= = = = =
y
0
y
1
y
2
y
3
y
4

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From the previous slide, we can see that
_
_
y
0
y
1
.
.
.
y
n
.
.
.
y
N1
_
_
=
_
_
h
+h
1
x
+1
+ +h
0
x
0
+v
0
h
x
+1
+h
1
x
+2
+ +h
1
x
0
+h
0
x
1
+v
1
.
.
.
h
x
n
+h
1
x
n+1
+ +h
1
x
n1
+h
0
x
n
+v
n
.
.
.
h
x
N1
+h
1
x
N
+ +h
1
x
N2
+h
0
x
N1
+v
N1
_
_
(21)
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When expressed in matrix form, (21) is
_
_
y
0
y
1
.
.
.
y
N1
_
_
. .
yyy
=
_
_
h
h
1
h
0
0 0 0 0
0 h
h
1
h
0
0 0 0
.
.
.
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.
0 0 0 0 h
h
1
h
0
_
_
. .
HHH
_
_
x
.
.
.
x
1
x
0
.
.
.
x
N1
_
_
. .
xxx
+
_
_
v
0
v
1
.
.
.
v
N1
_
_
. .
vvv
(22)
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Therefore, we have
HHH =
_
_
h
h
1
h
0
0 0 0 0
0 h
h
1
h
0
0 0 0
.
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0 0 0 0 h
h
1
h
0
_
_
(23)
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G In (22), if CP is used and set as x
i
= x
Ni
, i = 1, . . . , , then, (22) can be
represented as
_
_
y
0
y
1
.
.
.
y
N1
_
_
. .
yyy
=
_
_
h
0
0 0 0 h
2
h
1
h
1
h
0
0 0
.
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0 0 h
h
1
h
0
0 0 0
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0 0 0 h
0
0 0
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0 0 0 h
1
h
0
0
0 0 0 h
h
1
h
0
_
_
. .
HHH
_
_
x
0
x
1
.
.
.
x
N1
_
_
. .
xxx
+
_
_
v
0
v
1
.
.
.
v
N1
_
_
. .
vvv
(24)
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HHH =
_
_
h
0
0 0 0 h
2
h
1
h
1
h
0
0 0
.
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0 0 h
h
1
h
0
0 0 0
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0 0 0 h
0
0 0
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0 0 0 h
1
h
0
0
0 0 0 h
h
1
h
0
_
_
(25)
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An Example
Let we assume xxx = [x
0
, x
1
, x
2
, x
3
]
T
and = 2.
Then, we have
HHH =
_
_
h
2
h
1
h
0
0 0 0
0 h
2
h
1
h
0
0 0
0 0 h
2
h
1
h
0
0
0 0 0 h
2
h
1
h
0
_
_
, HHH =
_
_
h
0
0 h
2
h
1
h
1
h
0
0 h
2
h
2
h
1
h
0
0
0 h
2
h
1
h
0
_
_
(26)
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OFDM - Signal Detection
In (24), HHH is a circulant channel matrix, which can be decomposed into
HHH = FFF
H
FFF, where = diag{
0
,
1
, ,
N1
} is a (N N) diagonal matrix.
Using xxx = FFF
H
XXX of (16), we can re-write (24) as
yyy = HHHFFFXXX +vvv = FFF
H
FFFFFF
H
. .
=III
N
XXX +vvv = FFF
H
XXX +vvv (27)
Carrying out the FFT on yyy gives
YYY = FFFyyy = FFFFFF
H
. .
=III
N
XXX +FFFvvv = XXX +vvv
(28)
Therefore, for n = 0, 1, . . . , N 1,
Y
n
=
n
X
n
+v
n
(29)
based on which {X
n
} can be detected.
Explicitly, there is no ISI.
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OFDM - Peak-to-Average Power Ratio
The peak-to-average power ratio (PAPR) is an important
attribute of a communication system;
A low PAPR allows the transmit power amplier to operate
efciently, whereas a high PAPR forces the transmit power
amplier to have a large backoff in order to ensure linear
amplication of the signal;
A high PAPR requires high resolution for the receiver A/D
converter, since the dynamic range of the signal is much larger
for high-PAPR signals.
High-resolution A/D conversion places a complexity and power
burden on the receiver front end.
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0 T
Amplitude
Time
Figure 8: Illustration of multicarrier modulated signals.
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The PAPR of a continuous-time signal is given by
PAPR
max
t
{|x(t)|
2
}
E
t
[|x(t)|
2
]
(30)
The PAPR of a discrete-time signal is given by
PAPR
max
n
{|x[n]|
2
}
E
n
[|x[n]|
2
]
(31)
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In OFDM, the transmitted signal is given by
x[n] =
1
N
N1
i=0
X[i] exp
_
j2ni
N
_
, 0 n N 1 (32)
Given E
_
|X[i]|
2
= 1, the average power of x[n] is given by

E
n
_
|x[n]|
2
=
1
N
N1
i=0
E
_
|X[i]|
2
= 1 (33)
The maximum value occurs when all X[i]s add coherently, yields
max
n
{|x[n]|
2
} = max
_
_
_
N
N1
i=0
X[i]
2
_
_
_
=
2
= N (34)
Therefore, in OFDM systems using N subcarriers, PAPR = N, which
linearly increases with the number of subcarriers.
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OFDM - Techniques for PAPR Mitigation
Clipping: clip the parts of the signals that are outside the
allowed region;
Coding: PAPR reduction can be achieved using coding at the
transmitter to reduce the occurrence probability of the same
phase of the N signals;
Peak cancellation with a complementary signal;

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OFDM - Frequency and Time Offset
f
4
f
5
f
6
f
7
f
3
f
2
f
1
f
0
Figure 9: Spectrum of the OFDM signal, where the subcarrier signals are orthog-
onal to each other.
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OFDM modulation encodes the data symbol {X
i
} onto
orthogonal subcarriers, where orthogonality is assumed by the
subcarrier separation f = 1/T
N
;
In practice, the frequency separation of subcarriers is imperfect
and so f is not exactly equal to 1/T
N
;
This is generally caused by mismatched oscillators, Doppler
frequency shifts, or timing synchronization, etc.;
Consequently, frequency offset generates inter-carrier
interference (ICI).
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Let us assume that the signal transmitted on subcarrier i is
x
i
(t) = e
j2it/T
N
(35)
where the data symbol and the main carrier frequency are suppressed;
An ideal signal transmitted on subcarrier (i +m) would by x
i+m
(t). However,
due to the frequency offset of /T
N
, this signal becomes
x
i+m
(t) = e
j2(i+m+)t/T
N
(36)
Then, the interference imposed by subcarrier (i +m) on subcarrier i is
I
m
=
_
T
N
0
x
i
(t)x
i+m
(t)dt =
T
N
_
1 e
j2(+m)
_
j2( +m)
(37)
Explicitly, when = 0, I
m
= 0.
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It can be shown that the total ICI power on subcarrier i is given
by
ICI
i
=
m=i
|I
m
|
2
C
0
(T
N
)
2
(38)
where C
0
is a certain constant.
Observations
As T
N
increases, the subcarriers become narrower and
hence more closely spaced, which then results in more ICI;
As predicted, the ICI increases as the frequency offset
increases;
The ICI is not directly related to N, but larger N results in
larger T
N
and, hence, more ICI.
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The effects from timing offset are generally less than those from
the frequency offset, as long as a full N-sample OFDM symbol
is used at the receiver without interference from the previous or
subsequent OFDM symbols;
It can be shown that the ICI power on subcarrier i due to a
receiver timing offset can be approximated as 2(/T
N
)
2
;
Since usually << T
N
, the effect from timing offset is typically
negligible.
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IEEE802.11 Wireless LAN Standard
IEEE802.11a: Bandwidth= 300 MHz, operated in the 5 GHz
unlicensed band;
IEEE802.11g: Virtually identical to the IEEE802.11a, but
operated in the 2.4 GHz unlicensed band.
Main Parameters:
300 MHz bandwidth is divided into 20 MHz channels that can
be assigned to different users;
N = 64, = 16 samples;
Convolutional code with one of three possible rates:
r = 1/2, 2/3 or 3/4;
Adaptive modulation based on the modulation schemes:
BPSK, QPSK, 16-QAM and 64-QAM.
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OFDM - Summary
G No interference exists among the transmitted symbols;
G It is a transmission scheme achieving the highest spectral-efciency;
G No diversity gain is achievable in frequency-selective fading channels;
G Sensitive to the frequency offset and timing jitter;
G The transmitted OFDM signals have a high dynamic range, resulting in the
high PAPR;
G The high PAPR requires that the OFDM transmitter has a high linear range
for signal amplication. Otherwise, the OFDM signals conict non-linear
distortion, which results in out-of-band emissions and co-channel
interference, causing signicant degradation of the systems performance;
G The high PAPR has more harmful effect on the uplink communications than
on the downlink communications, due to the power limit of mobile terminals;
G When OFDM is used for uplink communications, the high PAPR may
generate severe inter-cell interference in cellular communications.
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Single-Carrier Frequency-Division
Multiple-Access
In order to take the advantages of multicarrier communications
whereas circumventing simultaneously the high PAPR problem,
the single-carrier frequency-division multiple-access (SC-FDMA)
scheme has been proposed for supporting high-speed uplink
communications;
In principle, the SC-FDMA can be viewed as a DFT-spread
multicarrier CDMA scheme, where time-domain data symbols
are transformed to frequency-domain by a DFT before carrying
out the multicarrier modulation;
SC-FDMA is also capable of achieving certain diversity gain,
when communicating over frequency-selective fading channels.
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SC-FDMA - Transmitter
mapping
Subcarrier
(FFT)
DFT IDFT
(IFFT)
Add
CP
Low-pass
lter
{x
k0
, . . . , x
k(N1)
}
s(t)
{
X
k0
, . . . ,

X
k(U1)
} { x
k0
, . . . , x
k(U1)
}
T-domain F-domain T-domain
{X
k0
, . . . , X
k(N1)
}
Figure 10: Transmitter schematic for the kth user supported by the SC-FDMA
uplink.
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SC-FDMA - Receiver
Subcarrier
F-domain
processing
demapping
CP lter
T-domain
Matched- Remove DFT
(FFT)
{
Y0, . . . ,

Y(U1)} { y0, . . . , y(U1)} {Yk0, . . . , Yk(N1)}
T-domain
IDFT
(IFFT)
{ xk0, . . . , xk(N1)}
F-domain
r(t)
Figure 11: Receiver schematic for the kth user supported by the SC-FDMA uplink.

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Southampton School of ECS, Univ. of Southampton, UK. http://www-mobile.ecs.soton.ac.uk 1/ 49 |

= 1, the average power of x[n] is given by

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