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OFDMAMobileBroadband
Communications

ASystemsApproach

WrittenbythepioneersofFlashOFDM,arguably
thefirstcommerciallydevelopedOFDMAbased
mobilebroadbandsystemintheworld,thisbook
teachesOFDMAfromfirstprinciples,enabling
readerstounderstandmobilebroadbandasa
whole.
Thebookexaminesthekeyrequirementsfor
datacentricmobilehowOFDMAfitswellwith
datanetworkswhymobilebroadbandneedstobe
IPbasedandhowtobridgecommunications
theorytorealworldairinterfacedesignandmakea
goodsystemchoicebetweenperformanceand
complexity.Italsoexploresthefutureofwireless
technologiesbeyondconventionalcellular

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technologiesbeyondconventionalcellular Qualcomm.Heiswellknownforhisresearchand
architecture. innovationintheareaofwirelesscommunications
Oneofthekeychallengesfacedbynewcomersto andnetworking.
thisfieldishowtoapplythewireless
communicationstheoryandprinciplestothereal RajivLaroiaisSeniorVicePresidentof
worldandhowtounderstandsophisticated EngineeringandCTOatSonusNetworks.Hewas
commercialsystemssuchasLTE.Theauthorsuse thefounderandCTOofFlarionTechnologiesand
theirfirsthandexperiencetohelpgraduate thenSeniorVicePresidentofEngineeringat
students,researchers,andprofessionalsworkingon Qualcomm.Heiswidelyrecognizedasapioneerof
4Gtobridgethegapbetweentheoryandpractice. OFDMAbasedcellulartechnologies.HeisaFellow
oftheIEEE.
JunyiLiisVicePresidentofEngineeringat Li,WuandLaroiasbookfulfilsamajorneedan
Qualcomm,responsibleforconceptualizingand authoritativereferenceonOFDMA,whichisthe
developingnextgenerationwirelessnetworking foundationfor4Gcellulartechnology,andlikely
solutions.HewasakeyinventorofFlashOFDM thedominantairinterfacetechnologyformany
andafoundingmemberofFlarionTechnologies. yearstocome.Theauthorsarerenowned
HeisaFellowoftheIEEE. innovatorsandsystemengineerswhoamongthem
pioneeredtheuseofOFDMforcellularsystems,
XinzhouWuisPrincipalEngineer/Managerat
andthebookcontainsmanycrispinsightsthatno

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Li,WuandLaroiasbookfulfilsamajorneedan Thisisamustreadbookforbothstudentsand
authoritativereferenceonOFDMA,whichisthe engineerswhoareinterestedinlearningabouthow
foundationfor4Gcellulartechnology,andlikely theprinciplesofOFDMcanbeusedtodesignand
thedominantairinterfacetechnologyformany controlwirelessnetworks.Thisselfcontainedbook
yearstocome.Theauthorsarerenowned beginswithagentleintroductionandbasicsof
innovatorsandsystemengineerswhoamongthem OFDMAsystems,buildsthematerialtoadvanced
pioneeredtheuseofOFDMforcellularsystems, stateofthearttechniquescurrentlybeingused,
andthebookcontainsmanycrispinsightsthatno andthenlooksaheadatthedesignoffuture
otherteamofauthorscouldprovide.Theacademic wirelesssystems.Aremarkablebookwrittenbythe
rigorofthebookisalsoremarkable,particularly pioneersofFlashOFDMtechnologies.
frompracticingsystemengineers.Infact,theyhave
NessB.Shroff,TheOhioStateUniversity
independentlyderivedseveralcuttingedgeresearch
resultsinordertomakevarioustechnicalpoints!A Thisisaveryspecialbook,writtenbyindustry
musthavebookforanywirelesssystemengineers pioneersofOFDMAtechnology,takingthe
personallibrary. unconventionalandverytimelysystemview.It
providesabeautifulperspectiveofhowimportant
JeffreyAndrews,TheUniversityofTexasatAustin
theoreticalideasandunderstandingoftheneedsof
Thisisamustreadbookforbothstudentsand realworldcommunicationssystemswereharnessed

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OFDMAMOBILEBROADBANDCOMMUNICATIONS

hassinceadoptedOFDMAtechnologyasthe ontherelationshipbetweentheoryandpractice
convergedglobal4Gstandard.Itpresentsina illustratedthroughtheuseofpracticalexamples
uniquewaytheprinciples,basicsandadvanced makesthebookunique.Iexpectthebooktobea
elementsofwirelessOFDMAtechnology,andalso valuableresourceforresearchersandpractitioners
providesafuturecentricperspectiveofpractical intheareaofwirelessnetworks.
aspectsofwirelesscommunications.Thisthreepart
bookoffersinsightsforscholars,researchersand R.Srikant,UniversityofIllinoisatUrbana
wirelessindustrialengineers,leadersand Champaign
visionaries.Inparticular,thisbookisbeneficialfor
Systemdesigninvolvestakingaholisticviewofall
studentsastheyareexposedtomorethanstandard
theaspectsandanglesinvolvedthisisa
theoreticalperspectives,unlikeofmostbooksand
particularlytoughchallengeincellularwireless
coursesinthearea.Thisbookisapleasuretoread.
systemwhichinvolveswidelydisparateaspects
ShlomoShamai,TechnionIsraelInstituteof suchasunreliabilityofphysicalwirelessmedium,
Technology arbitratingthesharedwirelessmediumamong
manyusers,infrastructuremanagement(base
Thisbookprovidesathoroughlyresearched stationsandsectorization)andinterfacewith
holisticviewpointofwirelesscommunications externalnetworkssuchastheinternet).Flash
usingOFDMAtechnology.Theauthorsperspective OFDMpersonifiesthephilosophyofsystemdesign

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OFDMAMOBILEBROADBANDCOMMUNICATIONS

andthisbook,comingfrompioneersofthe
OFDMAMobileBroadband
technologyisamustreadforanyoneinterestedina
systemviewoftheentirecellularsystemaswellas Communications
anyoneinterestedinunderstandingtheprocessof ASystemsApproach
systemdesign.

PramodViswanath,UniversityofIllinoisat JUNYILI
UrbanaChampaign Qualcomm

Mosttextsincommunicationsfocuseitheron XINZHOUWU
theoryorondetaileddescriptionofstandards.This Qualcomm
uniquebooktakescuttingedgetheoryandshows
RAJIVLAROIA
howitcanbeappliedtorealworldsystems.An
SonusNetworks
invaluableguideonthebridgefromtheoryto
practice,writtenbysomeofthebestsystem
engineersinthefield.

DavidTse,UniversityofCaliforniaatBerkeley

OFDMAMobileBroadband

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CAMBRIDGEUNIVERSITYPRESS
Cambridge,NewYork,Melbourne,Madrid,CapeTown,
CAMBRIDGEUNIVERSITYPRESS Singapore,SoPaulo,Delhi,MexicoCity
Cambridge,NewYork,Melbourne,Madrid,CapeTown,
Singapore,SoPaulo,Delhi,MexicoCity CambridgeUniversityPress
TheEdinburghBuilding,CambridgeCB28RU,UK
CambridgeUniversityPress
TheEdinburghBuilding,CambridgeCB28RU,UK PublishedintheUnitedStatesofAmericabyCambridgeUniversity
Press,NewYork
PublishedintheUnitedStatesofAmericabyCambridgeUniversity
Press,NewYork www.cambridge.org
Informationonthistitle:www.cambridge.org/9781107001602
www.cambridge.org
Informationonthistitle:www.cambridge.org/9781107001602 CambridgeUniversityPress2013

CambridgeUniversityPress2013 Thispublicationisincopyright.Subjecttostatutoryexceptionandto
theprovisionsofrelevantcollectivelicensingagreements,no
Thispublicationisincopyright.Subjecttostatutoryexceptionandto reproductionofanypartmaytakeplacewithoutthewritten
theprovisionsofrelevantcollectivelicensingagreements,no permissionofCambridgeUniversityPress.
reproductionofanypartmaytakeplacewithoutthewritten
permissionofCambridgeUniversityPress. Firstpublished2013

Firstpublished2013 PrintedandboundintheUnitedKingdombytheMPGBooksGroup

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AcataloguerecordforthispublicationisavailablefromtheBritish CambridgeUniversityPresshasnoresponsibilityforthepersistence
Library oraccuracyofURLsforexternalorthirdpartyinternetwebsites
referredtointhispublication,anddoesnotguaranteethatany
LibraryofCongressCataloginginPublicationdata contentonsuchwebsitesis,orwillremain,accurateorappropriate.
Li,Junyi,1969
OFDMAmobilebroadbandcommunications:asystemsapproach/
JunyiLi,Qualcomm,Bridgewater,NewJersey,XinzhouWu,
Qualcomm,Bridgewater,NewJersey,RajivLaroia,SonusNetworks. Tomyparents,SongnianLiand
pagescm
Includesbibliographicalreferencesandindex.
XiangzhenHuang
ISBN9781107001602(hardback) JunyiLi
1.Orthogonalfrequencydivisionmultiplexing.I.Wu,Xinzhou.II.
Laroia,Rajiv.III.Title.
TK5103.484.L5782013 Tomyparents,YapingWuand
621.398dc232012042953
LiyingJi
ISBN9781107001602Hardback XinzhouWu

Tomyparents,Krishanand
AnuradhaLaroia
RajivLaroia

Contents

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OFDMAMOBILEBROADBANDCOMMUNICATIONS

Contents
Tomyparents,SongnianLiand
XiangzhenHuang
JunyiLi Foreword
Preface
Tomyparents,YapingWuand ListofNotation
LiyingJi ListofAbbreviations
XinzhouWu
1Introduction

Tomyparents,Krishanand 1.1Evolutiontowardsmobilebroadband
AnuradhaLaroia communications
RajivLaroia 1.2Systemdesignprinciplesofwireless
communications
1.3WhyOFDMAformobilebroadband?
Contents
1.4Systemsapproachandoutlineofthe
book

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2ElementsofOFDMA OFDMA,CDMA,andFDMA
2.2.3Intercell
2.1OFDM interferenceaveraging:
2.1.1Tonesignals OFDMAversusCDMA
2.1.2Cyclicprefix 2.2.4Tone
2.1.3Timefrequency hopping:averagingversus
resource peaking
2.1.4Blocksignal Practicalexample2.1
processing Physicalresourceblock
Discussionnotes2.1 allocationandhoppingin
FFT/IFFT LTEdatachannels
Discussionnotes2.2 2.2.5Timefrequency
Filtering synchronizationandcontrol
Discussionnotes2.3 2.2.6Blocksignal
Equalization processing
2.2FromOFDMtoOFDMA Discussionnotes2.4Block
2.2.1Basicprinciples frontendprocessingatthe
2.2.2Comparison: basestation
OFDMA,CDMA,andFDMA Discussionnotes2.5

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Discussionnotes2.5 LTE
Widebandprocessingatthe 2.4Realworldimpairments
user 2.4.1Carrierfrequency
2.3PeaktoaveragepowerratioandSC offsetandDopplereffect
FDMA 2.4.2Arrivaltimebeyond
2.3.1PAPRproblem thecyclicprefix
2.3.2PAPRofOFDMA 2.4.3Samplingrate
2.3.3SCFDMAandPAPR mismatch
reduction 2.4.4I/Qimbalance
2.3.4Frequencydomain 2.4.5Poweramplifier
equalizationattheSCFDMA nonlineardistortion
receiver Discussionnotes2.7
Discussionnotes2.6SINR DeterminationofOFDMA
degradationinSCFDMA parameters
2.3.5Systemaspectsof 2.5Crossinterferenceandselfnoise
SCFDMA models
Practicalexample2.2Uplink 2.5.1Crossinterference
dataandcontrolchannelsin andselfnoiseduetoICI
LTE 2.6Selfnoiseduetoimperfectchannel

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2.6Selfnoiseduetoimperfectchannel 3.4.2Universalversus
estimation fractionalfrequencyreuse
2.6.1Selfnoise 3.5Multipleantennatechniques
measurementvianullpilot 3.5.1Systembenefits
2.7Summaryofkeyideas 3.5.2OFDMAadvantages
3.6Scheduling
3Systemdesignprinciples 3.7Networkarchitectureandairlink
support
3.1SystembenefitsofOFDMA
3.7.1Unplanned
3.2Fadingchannelmitigationand
deploymentofbasestations
exploitation
3.7.2MobileIPbased
3.2.1Fadingmitigation
handoff
3.2.2Fadingexploitation
3.8Summaryofkeyideas:evolutionof
3.2.3Mitigationor
systemdesignprinciples
exploitation?
3.3Intracellusermultiplexing 4Mitigationandexploitationof
3.4Intercellinterferencemanagement multipathfading
3.4.1Interference
averagingandactivecontrol 4.1Multipathfadingchannel

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4.1.1Impulseresponse 4.2.3Mitigationoffading
model viadiversity
4.1.2Amplitudestatistics Discussionnotes4.2
4.1.3Channelvariationin Tradeoffconsiderationsfor
time achievingdiversity
4.1.4Channelvariationin 4.2.4Feedbackordiversity
frequency 4.3Communicationsoverafading
4.1.5GaussianMarkov channel:themultiusercase
model 4.3.1Fadingchanneland
4.2Communicationsoverafading multiuserdiversity
channel:thesingleusercase Practicalexample4.1
4.2.1Performancepenalty Multiuserdiversityinthe
duetomultipathfading downlink:EVDO
4.2.2Mitigationoffading Practicalexample4.2
viachannelstatefeedback Multiuserdiversityinthe
Discussionnotes4.1 uplink:FlashOFDMand
Practicalconsiderationof LTE
feedbackbasedapproaches 4.3.2Exploringmultiuser
4.2.3Mitigationoffading diversityinfrequencyand

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diversityinfrequencyand 5.1.2Orthogonal
space multiplexinginthecross
4.3.3Multiuserorsingle interferencemodel
userdiversity Discussionnotes5.2An
4.4Summaryofkeyideas analysisofoptimalpower
andbandwidthallocationfor
5Intracellusermultiplexing orthogonaluplink
multiplexingwithcross
5.1Orthogonalmultiplexing
interferenceinthepower
5.1.1Orthogonal
limitedregime
multiplexingintheperfect
5.1.3Orthogonal
model
multiplexingintheselfnoise
Discussionnotes5.1An
model
analysisofoptimalpower
5.2Nonorthogonalmultiplexing
andbandwidthallocationin
5.2.1Nonorthogonal
acellulardownlink
multiplexingintheperfect
Practicalexample5.1
model
Downlinkusermultiplexing:
5.2.2Nonorthogonal
EVDO,HSDPA,andLTE
multiplexinginthecross

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multiplexinginthecross stations
interferenceandselfnoise 6.1.2UplinkSIR
models 6.2UplinkpowercontrolandSINR
5.2.3Superpositionby assignmentinOFDMA
positioncoding 6.2.1SINRfeasibility
5.3Intersectorinterference region
management 6.2.2Distributedpower
5.3.1Sectorization control
5.3.2Synchronizedsectors 6.2.3SINRassignment
5.3.3Usersatsectoredge 6.2.4Jointbandwidthand
5.4Summaryofkeyideas SINRassignment
6.2.5Utilitymaximization
6Intercellinterferencemanagement inSINRassignment
Practicalexample6.1Uplink
6.1AnalysisofSIRdistributions
powercontrolinLTE
6.1.1DownlinkSIR
6.3Fractionalfrequencyreuse
Discussionnotes6.1Analysis
6.3.1Atwocellanalysis
ofC/Idistributionwith
Discussionnotes6.2
randomlyplacedbase
Motivationoffractional

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Motivationoffractional 7.2.1Channelstate
frequencyreusefroma informationatboth
differentangle transmitterandreceiver
6.3.2StaticFFRinamulti 7.2.2Channelstate
cellscenario informationonlyatreceiver
6.3.3Breathingcells:FFR 7.2.3Multiplexingwith
inthetimedomain polarizedantennas
6.3.4AdaptiveFFR 7.3MultiuserMIMOtechniques
Practicalexample6.2Inter 7.3.1UplinkSDMA
cellinterference 7.3.2Downlink
coordinationinLTE beamforming
6.4Summaryofkeyideas 7.4MulticellMIMOtechniques
7.4.1Coordinated
7Useofmultipleantennas beamforming
7.4.2Intersector
7.1MIMOchannelmodeling
beamforming
7.1.1Linearantennaarrays
7.4.3Intercell
7.1.2Polarizedantennas
interferenceavoidancewith
7.2SUMIMOtechniques
polarizedantennas

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polarizedantennas 8.3Schedulingforinelastictraffic
Practicalexample7.1 8.3.1Throughputoptimal
Multipleantennatechniques scheduling
inLTE 8.3.2Tradeoffbetween
7.5Summaryofkeyideas queueawarenessand
channelawareness
8Scheduling 8.3.3Admissioncontrol
8.4Multiclassscheduling
8.1Schedulingforinfinitelybacklogged
8.5Flowlevelscheduling
traffic
8.6Signalingforscheduling
8.1.1Fairnessbasedon
8.6.1Dynamicpacket
utilityfunctions
scheduling
8.1.2Gradientbased
Practicalexample8.1
schedulingschemes
Signalingforschedulingin
8.2Schedulingforelastictraffic
LTE
8.2.1Congestioncontrol
8.6.2Semipersistent
andscheduling
scheduling
Discussionnotes8.1TCP
Practicalexample8.2Semi
performanceoverwireless
persistentschedulinginLTE

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persistentschedulinginLTE 9.2SofthandoffinCDMA
forVoIP 9.3Makebeforebreakhandoffin
8.6.3MACstate OFDMA
scheduling 9.3.1Parallelindependent
Practicalexample8.3LTE linkstomultiplebase
DRXmodeandFlashOFDM stations
HOLDstate 9.3.2MobileIPbased
8.7Summaryofkeyideas MBBhandoffprocedure
9.3.3Uplinkmacro
9HandoffinIPbasednetwork diversity
architecture 9.3.4Downlinkmacro
diversity
9.1IPbasedcellularnetwork
9.3.5MBBhandoffinan
architecture
FFRormulticarrier
9.1.1MotivationforIP
scenario
basedcellularnetwork
9.4Breakbeforemakehandoffin
architecture
OFDMA
9.1.2DescriptionofIP
9.4.1BBMhandoffinan
basedcellularnetworks
FFRormulticarrier

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9.4.1BBMhandoffinan searchandrandomaccessin
FFRormulticarrier LTEhandoff
scenario 9.7Summaryofkeyideas
9.4.2ExpeditedBBM
handoff 10Beyondconventionalcellular
9.5Handoffinitiation frameworks
9.5.1Theuniversal
10.1Heterogeneoustopology
frequencyreusecase
10.1.1Relays
Practicalexample9.1Flash
10.1.2Femtocells
signalinginFlashOFDM
10.1.3Devicetodevice
Practicalexample9.2
communications
HandoffinarailwayFlash
Discussionnotes10.1
OFDMnetwork
Gaussianinterference
9.5.2Thenonuniversal
channelcapacity
frequencyreusecases
10.2Cooperativecommunication
9.6Mobilecontrolledversusnetwork
10.2.1Usercooperation
controlledhandoff
10.2.2Network
Practicalexample9.3Cell
cooperation
searchandrandomaccessin

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10.3Cognitiveradio BOFDMpointtopointcommunications
10.3.1Spectrumsensing
10.3.2Spectrumsharing B.1Signalpresencedetection
Practicalexample10.1LTE B.2Synchronization
Advanced B.3Channelestimation
Practicalexample10.2 B.4Errorcorrection
CognitiveradioRANinTV
CBriefreviewofchannelcapacity
whitespaces(IEEE802.22)
10.4Summaryofkeyideas C.1AWGNchannel
C.2Flatfadingchannel
AOverviewofsystemoperations
C.2.1Channelside
A.1Cellsearch,synchronization,and informationonlyatreceiver
identification C.2.2Channelside
A.2Linkestablishment informationatbothreceiver
A.3Trafficcontrolandtransmission andtransmitter
A.4Sleepstate C.3Frequencyselectivefadingchannel
A.5Handoff C.4Multiusercapacity

BOFDMpointtopointcommunications References

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References
Foreword
Index
Foreword

Itisnotsolong ago that links in a wired network


werenotabletocooperatefreelybutweresubjectto
Itisnotsolong ago that links in a wired network central control by ISDN and ATM protocols. We
werenotabletocooperatefreelybutweresubjectto nowlive in a world where Internet protocols have
central control by ISDN and ATM protocols. We made it possible for networks to grow like weeds.
nowlive in a world where Internet protocols have We take it for granted that links should regulate
made it possible for networks to grow like weeds. their own use by generating prices that reflect
We take it for granted that links should regulate congestionandthat users adjust rates in response
their own use by generating prices that reflect tothecostoftraversingthenetwork.
congestionandthat users adjust rates in response The IP revolution that has transformed the
tothecostoftraversingthenetwork. wireline world is coming to wireless. Migration
The IP revolution that has transformed the from cellphones to smartphones has created
wireline world is coming to wireless. Migration demandforcapacitythatsimplycannot be met by
from cellphones to smartphones has created circuit switched networks engineered to provide
demandforcapacitythatsimplycannot be met by

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worstcasecoverageatthecell boundary. This is a even to a new selfnoise model for the wireless
monograph written by revolutionaries that maps channel.Thereisalsoafinalchapterthatlooksout
the new world of what is possible when wireless beyond the Flarion OFDMA system to a world in
resourcesareproperlyshared. which relays and femtocells work in wireless
The monograph is remarkable for starting with harmony.
services,withmediumaccess,andthenaskinghow It is an extraordinary book by an extraordinary
toengineerthephysicallayerthatthehigherlayers team,andIrecommendithighly.
want to see. The authors answered this question
themselves by making a journey from concept to
working system and then staging field trials. This
RobertCalderbank
monograph is the result of a virtuous cycle where Dean of Natural Sciences and Professor of
engineering challenges led to theoretical insights Computer Science, Electrical Engineering, and
andnewtheorywasprovedoutinworkingsystems. MathematicsatDukeUniversity.
The authors know all about the strengths and ProfessorofElectricalEngineering,Mathematics
weaknessesofdifferentwirelesssystemslikeCDMA and Applied and Computational Mathematics at
andLTEandareabletomotivatethedesignchoices PrincetonUniversity.
that informed OFDMA. There are some beautiful
newideas,fromfractionalreuse,todumbantennas, Preface
even to a new selfnoise model for the wireless

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configurations, and frequency bands. As arguably


Preface
the first commercially deployed OFDMA/IPbased
cellular system, FlashOFDM helped make those
two ideas the key enabling features in 4G mobile
broadbandLTE.
Whywewrotethis
From the remarkable journey of designing,
book developing, and deploying FlashOFDM, we have
learned, and in some cases unlearned, a few
Back in the late 1990s, when CDMA was widely
importantlessons:
consideredthedominanttechnologyforcellular3G,
two of the authors and a few colleagues in Bell Whileearlycellularwireless
Laboratories designed an alternative technology communicationsdesignfocuses
calledFlashOFDMwithtwobasicyetfundamental predominantlyonthephysicallayer,
ideas: OFDMAbased airlink and all IPbased mobilebroadbandrequiresmore
networkarchitecture.Inearly2000,wefoundeda systemlevelthinkingacrossdifferent
startup company, Flarion Technologies, to prove protocollayersthanjustthephysical
FlashOFDM in the market by building terminals layer.Forexample,OFDMA,in
and base stations, and testing and deploying the comparisonwithCDMA,morereadily
networks in a wide variety of locations, facilitatesasimplifiedIPbased

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facilitatesasimplifiedIPbased conventionallyconsideredthemost
networkarchitecturedesign,where spectrallyefficientwefoundthatfor
airinterfacespecifictechnology data,fractionalfrequencyreuse
functionsandprocessingare improvesbothcelledgeandcell
collapsedintoabasestationandIP averageperformance.
layerprotocolsareusedforhandoff.
Conventionalwisdomdevelopedin The writing of this book was motivated by a
earlycellularwireless desiretoshareourfirsthandexperience. The book
communicationsneedstobe is somewhat unorthodox in the sense that it does
reexaminedfromfirstprinciples.For not follow a pedagogic treatment of wireless
example,thewirelesschannelis communicationstheoryordescribethedetailsofa
conventionallymodeledwithadditive specific standard (e.g., LTE). Rather, we take a
noiseandmultiplicativechannel systemsapproachto explain the design principles
responsewefoundthatselfnoise ofOFDMAmobilebroadbandcommunications.We
shouldalsobeincludedwhen believe that such an approach will benefit the
multiplexinguserswithlargesignal readers to appreciate design rationales, maximize
dynamicrangeinOFDMA.Asanother the performance of present 4G systems, and
example,universalfrequencyreuseis developnewideasforfutureevolution.
conventionallyconsideredthemost

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Whowillbenefit thoroughlyunderstandthesystem
fromthisbook? issuesandtolookfornewideasto
improvetheperformanceoftheir
Graduateorseniorundergraduate products.
studentsinelectricalengineering.It R&Dstaffofwirelessoperators,
canbeusedasatextorreference whoneedtoappreciatedesign
bookinanadvancedcourseon tradeoffsandtooptimizethe
wirelesscommunicationsand performanceofdeployedsystems.
systems.
The book consists of three parts. The first part
Professorsandresearchers
interestedinadvancedresearch (Chapters2and3)describesthebasicsandsalient
features of OFDMA, and outlines qualitatively the
topics,whomaywishtobroadentheir
researchscopeortogainnewinsights high level system design principles of OFDMA
mobile broadband communications. The second
byunderstandingthesystemlevel
part (Chapters 4 to 9) addresses various system
picture.
Systemsengineersofwireless issues: wireless channels, power/bandwidth
allocation,interferencemanagement,spatialsignal
communicationsequipmentand
semiconductorvendors,whoneedto processing, scheduling, handoff, and interaction
thoroughlyunderstandthesystem between the airlink and the network architecture.

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between the airlink and the network architecture. communications, and familiarity with CDMA and
The third part (Chapter 10) expands beyond the FDMA/TDMA cellular technologies [61, 159] are
conventional cellular framework and covers the excellent textbooks that cover the required
latest research topics of femtocells, relays, device knowledge. To help the readers to appreciate the
todevice communications, cooperative context of systemlevel issues, Appendix A
communications, and cognitive radio. To bridge describestypicaloperationsinamobilebroadband
theoryandpractice,anumberofdiscussionnotes airlink system. Appendix B reviews a few basic
and practical examples are included throughout pointtopoint communications techniques as the
the book in which we share real world system buildingblocksofthesystemoperations.Appendix
experience.Mostofthepracticalexamplesarefrom Csummarizesasmallsetofcapacityresultsusedin
the OFDMAbased systems (LTE and Flash the book no additional information theory
OFDM), although we also consider the CDMA backgroundisrequired.
basedsystems(e.g.,IS95, EVDO, and HSPA) for
comparison. [32, 58, 138] provide excellent
description of the LTE standards and related
Acknowledgments
techniques. OurexplorationofOFDMAwasoriginallyinspired
The prerequisites of the book are a solid by the late Aaron Wyners visionary work in the
understanding of signal processing and digital early 1990s at Bell Labs. We own an tremendous
communications, and familiarity with CDMA and debt to our colleagues at Flarion Technologies

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debt to our colleagues at Flarion Technologies For the realization of this book, we are
(which became Qualcomm Flarion Technologies particularly indebted to Pramod Viswanath, who
after the acquisition in 2006), for developing, advised us on the structure of the book. Special
implementing, testing, and relentlessly improving thanks go to Robert Calderbank for writing the
FlashOFDM.Collectivelytheyprovedtotheworld Foreword.WeappreciateJeffreyAndrews,Yingbin
that the OFDMAbased airlink and the IPbased Liang,VincePark, Sanjay Shakkottai, Ness Shroff,
networkarchitecturearetherightchoiceformobile R.Srikant,DavidTse,GeorgeTsirtsis,andLeiYing
broadband communications. Among the major for reviewing the final text and providing
contributors are Pablo Anigstein, Scott Corson, constructive comments. We thank Fredric Ridder
Arnab Das, Mike DiMare, Hui Jin, Samir Kapoor, for careful copy editing. Finally, at Cambridge
Frank Lane, Vladimir Parizhsky, Vince Park, UniversityPress,PhilMeylerhasprovidedconstant
Sundeep Rangan, Tom Richardson, Murari encouragement to our book project from the very
Srinivasan, Chuck Stanski, George Tsirtsis, Sathya beginning, and Sarah Matthews and Elizabeth
Uppala,and Michaela Vanderveen. We would also Horne have given us lots of detailed support to
like to thank the members of Technical Advisory bringtheprojecttoitscompletion.
Board of Flarion, including Robert Calderbank,
Notation
SharadMalik,Jan Rabaey, Shlomo Shamai, David
Tse,SergioVerdu,AndrewViterbi,andJacobZiv.
For the realization of this book, we are

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H(t, Frequencydomainbasebandchannelgain
Notation f) atfrequencyfattimet
h(t,) Timedomainimpulsechannelresponseat
timettoaninputattimet
j
Variables K Frequencyreusefactor
Kr Numberofreceiveantennas
C Capacity KS Numberofsubbands
ci Indexoftheservingbasestationindexof Kt Numberoftransmitantennas
useri Ku Numberofusersmultiplexedinmultiuser
f[k] Frequencyoftonek MIMOinacell
G Channelpowergain li Loadofuseri
H Channelcomplexgain(amplitudeand Lb Aggregateloadofbasestationb
phase)
H[k] Frequencydomainbasebandchannelgain LD Diversityorder
attonek M Numberofusersinacell
H(f) Frequencydomainbasebandchannelgain MR Numberofrelaysinacell
atfrequencyf Nc Numberofsubcarriers
H[s, Frequencydomainbasebandchannelgain P Transmitpower
k] attonekatOFDMsymbols Pm Maximumtransmitpower
H(t, Frequencydomainbasebandchannelgain
f) atfrequencyfattimet R Datarate
Q Intercellinterferencebudget

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qi Totalintercellinterferenceplusnoise Y[k] Receivedcomplexsymbolattonek


poweratbasestationservinguseri y[l] Receivedcomplexsymbolatdiscretetimel
Si,j Channelgainratioofuserjbetweenbase y(t) Receivedcomplexsignalattimet
stationscjandci z Relativechannelgainvariationdueto
si Spillageofuseri fading,equaltotheratioofinstantaneous
Tcp OFDMsymbolcyclicprefix(CP)duration andaveragechannelgains
i Fractionofbandwidthassignedtouseri
Ti[t] Empiricalthroughputofuseriattimet
i Fractionofpowerorintercellinterference
Tp Sensingperiodincognitivespectrum
budgetassignedtouseri
sensing
OperatingSNRorSINRwithgivenpower
Tq Quietperiodincognitivespectrumsensing
andbandwidthallocation
Ts OFDMsymboldurationexcludingCP NominalSNRorSINRwhentheentire
U Utilityfunctioninscheduling powerandbandwidthareassignedtothe
ui Receivepowerofuseriintheuplink user
W[k], Frequencydomainandtimedomainnoise
[k] Functions
Frequencybandwidth
X[k] Transmittedcomplexsymbolattonek 1{x} Indicatorfunction,equalto1ifxistrue
orequalto0otherwise
x[l] Transmittedcomplexsymbolatdiscrete
timel CircularlysymmetriccomplexGaussian
x(t) Transmittedcomplexsignalattimet randomvariablewithzeromeanand
Y[k] Receivedcomplexsymbolattonek variance2
(k) Deltafunction,equalto1ifk=0,or

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(k) Deltafunction,equalto1ifk=0,or
equalto0ifk=0 Abbreviations
H* ComplexconjugatetransposeofH
HT TransposeofH
(x) Expectationofarandomvariablex
X(x) Cumulativeprobabilitydensityfunction General
(CDF)ofarandomvariableX,evaluated
atx ARQ AutomaticRetransmissionRequest
log(x) Naturallogarithm BBM BreakbeforeMake
(X) Therealcomponentofx CDM CodeDivisionMultiplexing
sinc(x) CDMA CodeDivisionMultipleAccess
RealGaussianrandomvariablewithzero C/I CarriertoInterferenceRatio
meanandvariance2 D2D DevicetoDevice
ProbabilityofaneventX DFT/IDFT DiscreteFourierTransform/Inverse
(x) DiscreteFourierTransform
xmodN xmodularN EVDO EvolutionDataOptimizedor
(x)+ Equaltoxifx>0,orequalto0 EvolutionDataOnly
otherwise FDM FrequencyDivisionMultiplexing
Abbreviations FDMA FrequencyDivisionMultipleAccess
FFR FractionalFrequencyReuse
FFT/IFFT FastFourierTransform/InverseFast
FourierTransform

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FFT/IFFT FastFourierTransform/InverseFast QoS QualityofService


FourierTransform RF RadioFrequency
HARQ HybridARQ SCFDMA SingleCarrierFDMA
HSDPA HighSpeedDownlinkPacketAccess SDMA SpatialDivisionMultipleAccess
HSUPA HighSpeedUplinkPacketAccess SINR SignaltoInterferenceplusNoiseRatio
ICI InterCarrierInterference SNR SignaltoNoiseRatio
INR InterferencetoNoiseRatio SUMIMO SingleUserMIMO
IP InternetProtocol SVD SingularValueDecomposition
ISI InterSymbolInterference TCP TransmissionControlProtocol
LOS LineofSight TDM TimeDivisionMultiplexing
LTE LongTermEvolution TDMA TimeDivisionMultipleAccess
MBB MakebeforeBreak UMTS UniversalMobileTelephoneService
MIMO MultipleInputMultipleOutput WCDMA WidebandCDMA
MMSE MinimumMeanSquareError WWAN WirelessWideAreaNetwork
MU MultiuserMIMO XPD Crosspolarizationdiscrimination
MIMO
OFDM OrthogonalFrequencyDivision LTEspecific
Multiplexing
OFDMA OrthogonalFrequencyDivision CCE ControlChannelElements
MultipleAccess CQI ChannelQualityIndicator
PAPR PeaktoAveragePowerRatio CSRS CellSpecificReferenceSignal
QoS QualityofService CSIRS ChannelStateInformationReference

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CSIRS ChannelStateInformationReference RBG ResourceBlockGroup


Signal RE ResourceElement
DMRS DemodulationReferenceSignal RI RankInformation
eNB eNodeB,basestation RNTP RelativeNarrowbandTransmitPower
HARQ HybridARQAcknowledgment SR SchedulingRequest
ACK SRS SoundingReferenceSignal
HII HighInterferenceIndicator SSS SecondarySynchronizationSignal
OI OverloadIndicator UE UserEquipment
PBCH PhysicalBroadcastChannel VRB VirtualResourceBlock
PCFICH PhysicalControlFormatIndicator
Channel 1Introduction
PDCCH PhysicalDownlinkControlChannel
PDSCH PhysicalDownlinkSharedChannel
PMI PrecodingMatrixIndicator
PHICH PhysicalHybridARQIndicator 1.1Evolution
Channel
PUCCH PhysicalUplinkControlChannel
towardsmobile
PUSCH PhysicalUplinkSharedChannel broadband
PRACH PhysicalRandomAccessChannel communications
PRB PhysicalResourceBlock
PSS PrimarySynchronizationSignal Explosive growth of wireless communications
RBG ResourceBlockGroup
servicesandproductsin the past three decades or

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naturalresource.Spectrumaccessisageneralterm
1Introduction
ofthetechnologiesbywhichusersutilizetheradio

spectrum. Cellular telephony uses a cellular
concept, which provides an effective spectrum
1.1Evolution access solution to improve the efficiency of radio
towardsmobile spectrumutilization.
In a cellular system, many base stations are
broadband
deployedtocover a large service area. The service
communications areaisdividedintoanumber of cells, each served
by a base station, as shown in Figure 1.1. When a
Explosive growth of wireless communications
usermakesacall,itisconnectedtothebasestation
servicesandproductsin the past three decades or
sohasfundamentallychangedthewaybywhichthe withthebestRFpropagation.1Thebasestationsare
connected to the operators core networks via
majority of the worlds population exchange,
distribute and access information. As a strong backhaul connections such as T1 or fiber optics.
driver of the growth, cellular telephony has so far Spectrumisreusedamongthecells.Thisispossible
becauseasignaldecaysfastasittravelsthroughthe
been the most successful application of wireless
communications. All forms of wireless wireless channel. If a signal utilizing some
communicationsutilizetheradiospectrum,ascarce spectrum in a cell is sufficiently attenuated in
anothercell,thenthesamespectrumcanbereused.

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anothercell,thenthesamespectrumcanbereused. marketplace.Itseemsthatamajortechnologyshift
Two technical issues arise when the cellular occurseverytenyearsorso.
concept is applied in practice. The first issue is To ensure interoperability among operators and
interference management. To maximize the equipment vendors and to build ecosystems to
spectrumutilization,spectrumshouldbereusedas fostertechnologyadoption,thosesystemsarebased
tightlyaspossible,therebyresultingininterference on technologies developed in national or
between signals sharing the same spectrum to be international standards organizations. The latest
managed.Figure1.1showsthatinterferencecomes trendisthatunlikethepreviousgenerationswhere
from intercell or intracell. The second issue is multipletechnologies compete in the marketplace,
handoff.Whenamobile user moves from one cell 4G will likely be dominated by a single standard
to another, it switches to a different base station. called LTE (LongTerm Evolution). LTE was
Handoffshouldbeseamlesstoavoiddroppingcalls. developedby3GPP,apartnershipprojectinwhich
Cellular systems have evolved through several operating partners (regional standards developing
generations. Figure 1.2 lists major commercially organizations) have de facto surrendered
deployed cellular systems and their main services responsibilityto3GPPforallareasunderitsscope.
and spectrum access technologies, where the time On the one hand, a single dominant standard
line roughly represents the time periods during facilitates global adoption of the technology and
which those systems were introduced to the helps penetrate into new device markets beyond
marketplace.Itseemsthatamajortechnologyshift traditional cellular phones, such as consumer

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traditional cellular phones, such as consumer


electronics, tablet computers, gaming devices, and
machinetomachine communications devices. On
the other hand, getting the maximum mileage out
of the same standard, as opposed to competing
among different technologies, is now of great
importance to gain a competitive edge among
differentoperatorsandvendors.

Figure1.1Illustrationofthecellconcept.BasestationAservesusers
1and2incellA,andbasestationCservesuser3incellC.CellsA
andCreusethesamespectrumandthereforeinterferewitheach
other(intercellinterference).IncellA,users1and2mayinterfere
witheachother(intracellinterference)iftheysharethesame
spectrum.Handoffoccurswhenuser2movesfromcellAandB.

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latency, and reliability are the most important


performance metrics of interest. However, new
requirementswilllikelyariseasnewusagesemerge.
For example, when locationbased services and
social networking applications grow popular, it is
desirable to efficiently transport short, chatty
messages for a large user population. Below are
Figure1.2Evolutionofcellulartechnologies. some general system design considerations to
address everevolving requirements of mobile
Whataretherequirementsof4Gcellularmobile
broadband.
broadband?Simplyput,theperformanceshouldbe
onpar with wired broadband even when a user is Performanceshouldbeconsistent
mobile. The demand side drivers of mobile throughoutacellinordertodeliver
broadband come from hardware (smart mobile predictableservices.Notonlypeakor
devices) and software (highbandwidth averagebutalsocelledge
applications). A conventional set of exemplary performanceisimportant.
applications includes web access, file transferring, Costpermegabyteshouldbe
video streaming, gaming, instant messaging, and sufficientlylowtostimulatemobile
voice over IP. For those applications throughput, broadbandusage.Thisrequiresnot

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broadbandusage.Thisrequiresnot reducingbatterypowerconsumption
onlyhighspectralefficiencyofthe aremuchdesirable.
airlink,butalsolowcostofdeploying
andoperatingthenetworksand
utilizingtheavailablespectrum.
1.2Systemdesign
Devicesarebecomingincreasingly principlesof
intelligent(e.g.,multimodeand wireless
multibanddevices)andcanplaya communications
significantroleinsystemoperations.
Forexample,devicescanchoose Mobile broadband exhibits very different
betweenavailableaccessinterfaces requirements, challenges, and characteristics from
(LTEversusWiFi)orsearchfor cellulartelephony.
availablebandwidthdependingon Traditionally, the dominant traffic in cellular
policy,channel,interference,and telephony has been circuitswitched voice. Voice
congestionconditions.Asanother trafficistransportedataconstantandlowdatarate
example,becausebatterytechnologies (on the order of 10 kbps), delay sensitive (a voice
havenotprogressedasrapidlyas frame missing its deadline becomes useless), but
microelectronics,systemsolutionsof errortolerant(ourearsaretoleranttoafewpercent
reducingbatterypowerconsumption ofvoiceframeerrors).

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ofvoiceframeerrors). Table1.1.Abriefcomparisonofthesystemdesignideasbetweenthe
cellulartelephonyandmobilebroadbandsystems.
Ontheotherhand,mobilebroadbanddealswith
a variety of traffic among which voice is just one Cellulartelephony[168] Mobilebroadband
type. A significant portion of the traffic is bursty Universalfrequencyreuse Fractionalfrequency
and requires a very high burst data rate (on the reuse
order of a few Mbps). Moreover, it can tolerate Powercontrol Powercontrolandrate
control
some delays but is in general sensitive to packet Softhandoff Makebeforebreak
errors. The reason is that upper layer protocols handoff
employed in broadband networks, such as Forwarderrorcorrection Forwardandfeedback
TransmissionControlProtocol(TCP),areoriginally errorcorrection
Voiceactivityand Packetswitched
designed for the wired environment. In the wired
interferenceaveraging scheduling
networks, the dominant source of packet loss is
congestion congestion control algorithms in TCP The epilog section of [168] lists a few system
are largely based on packet loss. However, in the designprinciplesofcellulartelephonyintheCDMA
wirelessnetworks,packeterrorscanalsobecaused context. We summarize these principles in left
by channel fading or interference, and therefore column of Table 1.1. In particular, note that with
usingTCPcongestioncontrolcanhaveundesirable tightdelayconstraint,forwarderrorcorrectionand
consequencesathigherlayers. power control are required for link reliability
against channel fading and interference. Soft

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against channel fading and interference. Soft linkreliability.Sincethedataratedoesnothaveto


handoff introduces macrodiversity to further beconstant,ratecontrolworksinconjunctionwith
improve link reliability when a user is between power control to take advantage of channel
multiple base stations. Interference averaging fluctuationratherthanjustmitigatingit. As traffic
makes universal frequency reuse possible, thereby becomesbursty,simplestatisticalmultiplexingwith
increasingthesystemcapacityintermsofthetotal voice activity no longer suffices packetswitched
number of voice users and making CDMA an scheduling is required to meet rapidly changing
interferencelimited system. Any reduction in traffic needs. Furthermore, makebeforebreak
interference, such as by exploiting voice activity, handoffreplacessofthandofftobettersupport IP
directlytranslatesintocapacityincrease. based network architecture, and fractional
Ascellularsystemsmigratetomobilebroadband, frequencyreusereplacesuniversalfrequencyreuse
the system design ideas also evolve. For inparticulartoenhancecelledgeperformance.
comparison, we contrast the design principles of
mobile broadband versus cellular telephony in
Table1.1wewillexpandthelistandpresentdetails
1.3WhyOFDMA
inChapter3.Notethatbecauseofdelaytolerance, formobile
feedback error correction using packet broadband?
retransmissioncanbeadditionallyusedtoimprove
linkreliability.Sincethedataratedoesnothaveto Orthogonal FrequencyDivision Multiple Access

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Orthogonal FrequencyDivision Multiple Access Thevalueofdependsonthewirelesschanneland


(OFDMA) was chosen as the spectrum access how a user is connected to the base stations. In a
technologyofthe4Gcellularsystems.Whatarethe typical scenario, 0.5 to 1, thereby translating
fundamental advantages of OFDMA over CDMA, intoafactorof2to3capacityincrease.
thedominanttechnologyof3G? Itshouldbepointedoutthatthecapacityanalysis
A simple answer is that OFDMA offers higher in [168] is for voice traffic. OFDMA furthermore
capacitybecauseitsorthogonalityeliminatesintra possesses salient features for mobile broadband.
cellinterference.Recallfrom[168]thatthecapacity Wehighlightafewmajoronesinthefollowingand
of a CDMA system, CCDMA, is limited by the total leavedetailstoChapter3.
interference, which consists of intracell Thefirstsalientfeatureisthat the orthogonality
interferenceandintercellinterference.Denoteby enables OFDMA to multiplex users with large
the relative intercell interference factor equal to signaldynamicrange.Becauseofthenatureofthe
the ratio of mean intercell and intracell wirelesschannel,ausernearbyabasestationhasa
interference powers. Since the intracell muchhigherchannelgainthanafarawayuserdoes.
interference is eliminated in OFDMA, as a first In OFDMA, the received uplink signal from the
orderapproximation,2thecapacityisincreasedto nearby user can be much stronger than that from
thefarawayuser,therebyachievingahighdatarate
without costing much system resource. However,
without the orthogonality, the received signals are

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without the orthogonality, the received signals are latency for delay sensitive applications and
power controlled to arrive at the same level, multiuser diversity that harnesses, rather than
becauseotherwisethestrongsignalfromthenearby averaging out, channel fading. Fast ARQ is also
user would overwhelm the weak one from the facilitated to improve link reliability. This is
farawayuser.Asaresult,theperformanceislimited particularly important to ensure upper layer
by the worstcase channel. A similar observation protocols, such as TCP originally designed for the
canbemadeinthedownlinkwherethebasestation wiredworld,towork transparently over the error
can allocate only a small transmit power to the pronewirelesschannel.
nearby user without the concern that it would be Third,OFDMAdecomposesthewirelesschannel
overwhelmedbyalargetransmitpowerallocatedto into a number of parallel flat subchannels in
thefarawayuser. frequency, each of which is characterized by a
Second, the fine granularity of bandwidth singletap channel response. This simplifies the
resource enables OFDMA to allocate and utilize implementations of advanced signal processing
bandwidth resource flexibly. The bandwidth techniques, such as MIMO, and also helps exploit
resourceunitisatone in an OFDMA symbol. The frequency selectivity of both channel and
flexibility allows packetswitched scheduling to interference.Inaddition,asingletonesignalcanbe
quickly respond to timevarying traffic needs and easily detected without finegrained time and
channelfluctuation.Theresultant benefits are low frequency synchronization, and thereby facilitate
latency for delay sensitive applications and handoffinitiationandsystemdetermination.

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handoffinitiationandsystemdetermination. tounderstandthethoughtprocess
andrationalethatledtotheevolution
from3Gto4G,ratherthanaccepting
1.4Systems
theexistingLTEdesignasgospel.
approachand Pointtopointcommunicationsare
outlineofthebook relativelywellunderstoodinthe
literature.Thisbookemphasizes
This book focuses on the airlink system design of designchoicesinamultiusermulticell
OFDMA mobile broadband communications with environment.
an emphasis on a systems approach. By systems Aperformancegainusuallycomes
approach,wemeanthefollowing: withacost,forexample,signaling
overheadorprocessingcomplexity.
Differentdesignobjectivesand
Animportantaspectofsystemdesign
choicesoftengreatlyaffecteachother.
istounderstandthecostbenefit
Thisbookhighlightsthose
tradeoff.
interactionssoastoappreciatethe
systemasawhole.Crosslayerdesign This book attempts to answer the following
isonesuchexample. questions:
Thisbookstartswithfirstprinciples
tounderstandthethoughtprocess

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Whatarestrategiestodealwith Chapter2introducesthebasicconceptsofOFDM
channelfadingandinterferencein andOFDMA,andpresentsaspecialvariationcalled
mobilebroadband? SCFDMA,whichis designed to address the peak
WhydoesOFDMAfitwellwith toaverage power ratio problem, a well known
mobilebroadbandandhoware drawbackofOFDM.Thekeyfeature of OFDMA is
OFDMAadvantagesbestutilizedto its orthogonality. To study the robustness of that
maximizesystemperformance? feature,wequantifytheleveloforthogonalityunder
WhyisIPbasednetwork a variety of real world impairments. This study
architectureadesiredchoicefor leads to the cross interference and selfnoise
mobilebroadbandandhowdoesthe models, which explain the reason that in the real
networkarchitecturechoiceaffectthe world the SINR is saturated even when C/I is
airlinksystemdesign? sufficientlyhigh.
Howcancommunicationstheorybe With the basic OFDMA concepts in place,
appliedtopracticebytakinginto Chapter3presents qualitatively the system design
accountrealworldimpairments? principles of OFDMA mobile broadband
communications. We first outline the system
Tothisend,theremainingchaptersofthisbookare benefitsofOFDMA,andthen elaborate on how to
organizedasfollows. apply them to a number of system operations.
Chapter2introducesthebasicconceptsofOFDM Chapter 3 serves as a high level preview of the

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Chapter 3 serves as a high level preview of the large dynamic range of channel gains. Next, we
insightstobedevelopedinChapters 4 to 9, which study capacityachieving nonorthogonal
quantitativelystudythoseapplications. multiplexing with superposition coding we find
Chapters 4 to 7 aim to create a big data pipe. thattheperformancedropsquicklyinthepresence
Chapter 4 studies the wireless channel and of selfnoise. To achieve robust nonorthogonal
characterizes multipath fading. The specific multiplexing, we then present superpositionby
communications strategies presented are to position coding. Finally, we extend our study to a
mitigatefadingviafeedbackordiversitytoimprove sectorized cell and investigate intersector
reliability in the singleuser case, and to interferencemanagement.Therealworldchallenge
opportunistically exploit fading via multiuser issectorantennaleakage,whichwouldsignificantly
diversityinthemultiusercase.Finally,wecombine reducetheusermultiplexinggainif not dealt with
those two ideas and discuss the notion of reliable appropriately.
opportunisticcommunications. Chapter6studiesinterferencebetweencells.We
Chapter 5 studies power and bandwidth present stochastic geometry as a tool to compare
allocation of user multiplexing within a cell. We theSINRdistributionsofdifferentspectrumaccess
start with an intrasector problem in OFDMA, schemes (FDMA, CDMA, and OFDMA). Focusing
orthogonal multiplexing is an obvious choice, and onOFDMA,wefirstassume intercell interference
we present the benefit of multiplexing users with tobeaveragedovertheentirebandwidth.Intercell
large dynamic range of channel gains. Next, we interferencemanagementisrelativelysimpleinthe

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interferencemanagementisrelativelysimpleinthe andmulticellcases.
downlink, but more complex in the uplink as it is Chapter8studiesschedulingtechniquestoshare
tied closely with power control and SINR target the data pipe among users in a cell. Scheduling
setting for which neighboring cells are coupled. takes place in two distinct time scales. In the fast
Next, we present a scheme, called fractional time scale (of the order of milliseconds), the base
frequency reuse, to coordinate, rather than to stationschedulesuserstrafficinapacketswitched
simply average, intercell interference so as to manner.Westudyscheduling algorithms designed
improve cell edge SINR as well as overall spectral for different traffic types including infinitely
efficiency. backlogged traffic, elastic traffic, inelastic traffic,
Chapter7studiestheuseofmultipleantennasin andflowleveltraffic.Intheslowtimescale(ofthe
the OFDMA mobile broadband system, in order of seconds), the base station manages the
particular the benefit of multiplexing gain with usersMACstatessoastoallow power saving and
MIMO,whichdependsontherank of the wireless lowlatency contentionfree access to a large user
channel matrix. We model both linear antenna population.Thekeyidea of MAC states lies in the
arrays and polarized antennas and find that the very different time scale requirements of power
channel environment in which they achieve the control and timing control in OFDMA. Semi
maximummultiplexinggainiscomplementary.We persistent scheduling is another slow time scale
studytheMIMOgaininthesingleuser,multiuser, schedulingmechanismthathandlesperiodictraffic
andmulticellcases. suchasVoiceoverIP.

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suchasVoiceoverIP. network. We focus on relays, small cells such as


Chapter9arguesthatthenetworkarchitectureof femtocells, and as an extreme, direct deviceto
mobile broadband should be IPbased, and shows device path without going through a base station.
how such an architecture is supported with the Thesecondistotreat concurrent transmissions as
OFDMA airlink. We focus on handoff. First, we partofadistributednetworkMIMOsystem rather
present makebeforebreak handoff as an thaninterference. We investigate user cooperation
alternativeway of replacing soft handoff to obtain assisted with relays and network cooperation with
macrodiversity. Makebeforebreak handoff fits multicell processing. The third is to access
well with IPbased networks. We present spectrum cognitively and opportunistically rather
(expedited)breakbeforemakehandoffasabackup thanfollowingastaticallocationrule.Wefocuson
when makebeforebreak handoff is not feasible. two communications aspects of spectrum sensing
Second, we propose a singletone signal, called andsharing.
beacon, to significantly reduce the complexity for 1
Othercriteria,suchasnetworkloading,canalso
beusedforbasestationselection.
userstosearchhandoffcandidatebasestations. 2
Theanalysisin[168]isfora2G(IS95)CDMA
Finally, Chapter 10 explores ideas beyond the system.MoreadvancedCDMAsystemsattemptto
conventional cellular framework. There are three reduceoreliminateintracellinterferenceby
employingsophisticatedreceiverssuchas
main ideas. The first idea is to change
multiuserdetectorsintheuplinkandequalizersin
communications topology and get a much denser thedownlink,orusingCDMA/TDMAinthe
network. We focus on relays, small cells such as downlink.Acomprehensivecapacitycomparisonis

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downlink.Acomprehensivecapacitycomparisonis
outsideofthescopeofthisbook. 2Elementsof
2Elementsof OFDMA
OFDMA

2.1OFDM
2.1OFDM
2.1.1Tonesignals
2.1.1Tonesignals OFDM (Orthogonal Frequency Division
Multiplexing) is a multicarrier communication
OFDM (Orthogonal Frequency Division
scheme where the entire system bandwidth is
Multiplexing) is a multicarrier communication
dividedintoNcequallyspacedtones.Denoteby
scheme where the entire system bandwidth is
dividedintoNcequallyspacedtones.Denoteby the frequency spacing between two adjacent tones
and[k]thebasebandtonefrequencygivenby[k]
the frequency spacing between two adjacent tones
=k,fork=0,,Nc1.InoneOFDMsymbol
and[k]thebasebandtonefrequencygivenby[k]
=k,fork=0,,Nc1.InoneOFDMsymbol duration, a block of complex symbols X[0], ,
X[Nc1]aremodulatedontones[0],,[Nc
duration, a block of complex symbols X[0], ,

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1],respectively.ThecomplexsymbolscanbeQPSK
or QAM symbols obtained from coding and
modulation.Inthiscase, the complex symbols are
Itiseasytoseethatthetimeintervaloft[0,Ts)
alsoreferredtoasmodulationsymbols.Inthetime
domain, the baseband OFDM signal x(t) in one containsanintegernumberofperiodsforeachtone
signal.
OFDMsymboldurationcanbedescribedby
Notethattwotonesignalswithdistinct[k1]and
[k2]areorthogonalbecause

where , and Ts is the OFDM symbol


duration.EachcomplexsinusoidX[k]exp(j2[k]t)
in(2.1)iscalledatonesignalatfrequency[k].The
OFDMsignalx(t)isthesumofthosetonesignals. Sinusoids are special because they are the only
Let eigenfunctions of linear timeinvariant systems. If
the OFDM symbol duration Ts is sufficiently
shorter, that is, much shorter than the coherence
timeintimeselectivefading,forpracticalpurposes
(2.1)becomes
thewirelesschannelcanbetreatedasalineartime

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invariant system. Denote by h() the impulse


response of the wireless channel, which
characterizes one or multiple propagation paths is the channel response coefficient at tone
fromthetransmittertothereceiver.Inamultipath frequency[k].
channel, the delays of those paths may not be all InEquation(2.4),thereceivedsignaly(t)reaches
identicalandthedifferenceresultsindelayspread. the steady state after the tone signal has been
Assumeh()=0when>Tmax,whereTmaxisthe transmitted for at least as long as Tmax. We make
maximum delay spread. For a tone signal the following two observations about the steady
exp(j2[k]t) transmitted over the wireless statey(t).
channel,thereceivedsignalisgivenby
Aftertwoorthogonaltonesignals
traveloverthewirelesschannel,the
receivedsignalsarealsosinusoidsat
theexactlysametonefrequenciesand
thereforestillorthogonal.This
propertyiscallednoICI(intercarrier
wherecomplexnumber
interference).Whilemanyorthogonal
functionfamiliescanbepossiblyused
asthebasisforsignalmultiplexing,

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asthebasisforsignalmultiplexing, 2.1.2Cyclicprefix
onlysinusoidsaretheeigenfunctions,
therebymakingOFDMaunique Now let us consider the transient response of the
multiplexingschemethatpreserves received signal. Since the maximum channel
signalorthogonalityinthewireless responseisTmax,thereceivedsignaly(t)takesupto
channel. Tmax before it reaches the steady state
Thechannelresponseatanytone exp(j2[k]t)H[k].In order for the received signal
frequencyisjustacomplex tofurtherstayatthesteadystateforatimeinterval
coefficient,whichmayvarywithtone of Ts, the transmitted tone signal needs to be at
inafrequencyselectivechannel.In leastaslongasTs+Tmax.Thismotivatestheuseof
OFDMthewidebandchannelisin a cyclic prefix: the transmitted OFDM signal x(t)
effectconvertedintoanumberof shouldbeextendedtotimeintervalt[Tcp,Ts),a
parallelflatchannels.Thisfeaturecan
little longer than t [0, Ts) originally defined in
beusedtoexploitfrequency
Equation (2.1), where Tcp represents the length of
selectivityandtosimplifysignal
processinginOFDM. thecyclicprefix:

2.1.2Cyclicprefix

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laterinthischapter.FornowweassumeTcp=Tmax.
Instead of just one OFDM symbol shown in
Figure2.1,nowsupposethatasequence of OFDM
symbols are transmitted backtoback. In the
wireless channel delay spread causes interference
betweensuccessivesymbols,knownasintersymbol
interference (ISI). As illustrated in Figure 2.2, the
cyclic prefix acts as a guard interval and in effect
eliminates the ISI between two successive OFDM
symbols.
Figure2.1IllustrationofOFDMmodulationinthetimeand
frequencydomains.
Wemakethefollowingcommentsontheuseofa
cyclicprefix:
Figure 2.1 illustrates the OFDM modulation
scheme where the total OFDM symbol duration is AcyclicprefixallowsanOFDM
now Ts + Tcp. Note that the extended portion, symboltoreachitssteadystatewhen
obtainedbycyclicallyextendingx(t)intot[Tcp, itpassesthroughthewirelesschannel
suchthatthereceiveronlyneedsto
0),istheexactcopyoftheportionint[TsTcp,
dealwiththesteadystateresponse.
Ts). We will discuss the choice of parameter Tcp
Acyclicprefixallowsthechannel

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Acyclicprefixallowsthechannel overheadTcp/TsforagivenTcp.
responseofthepreviousOFDM
symboltodiedownandthusnotto
interferewiththesteadystateperiod
ofthepresentsymbol.Thisproperty
iscallednoISI.
Acyclicprefixisanoverheadtothe
system,andismeanttobediscarded
atthereceiverbeforefurther
processing.Thesystemcostisafactor
ofTcp/Tsreductioninthebandwidth
efficiency.BecauseablockofNcdata
symbolsaretransmitted
simultaneouslyinOFDM,thesymbol
durationTsisNctimeslongerthan
whatwouldbeinsinglecarrier
communicationswiththesametotal
bandwidth.AlongerTsreduces

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Figure2.2Illustrationofacyclicprefix.Atransmittedtonesignal
oftwosuccessiveOFDMsymbolsisshownin(a)andthechannel
responsesofthetwoOFDMsymbolsareshownin(b)asdottedand
solidcurves,respectively.Theactualreceivedsignalisthesumofthe
twocurves.ThereceivedsignalinthepresentOFDMsymbol
durationconsistsoftwoportions:thetransientportioninwhichthe
previousOFDMsymboldiesdownandthepresentOFDMreachesits
steadystate,andthesteadystateportionthatcontainsonlythe
steadystatechannelresponseofthepresentOFDMsymbol.

Figure2.2Illustrationofacyclicprefix.Atransmittedtonesignal

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case, the receiver in effect uses a rectangular


window of size Ts in the time domain to take the
appropriateportionoutofthetotalreceivedsignal.
Thefrequencydomainrepresentationis

The resultant signal is thus the sum of Nc sinc


functions in the frequency domain, as shown in
Figure 2.3. The sinc function associated with tone
[k]reachesitspeakattone[k]andcrosseszeroat
allothertones.Thisis another way of viewing the
OFDMorthogonality.
Figure2.3FrequencydomainillustrationofOFDMdemodulation.
Ignoringthephasefactor,thefigureshowsH[k]X[k]sinc(Tsk)of
variousk.
2.1.3Timefrequency
The receiver can discard the transient response resource
anduseonlythesteadystateportiontorecoverthe
ThebandwidthresourceinOFDMcanbeviewedin
original data symbols X[0], , X[Nc 1]. In this
atimefrequencygridas shown in Figure 2.4. The
case, the receiver in effect uses a rectangular

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atimefrequencygridas shown in Figure 2.4. The


yaxis represents frequency tones and the xaxis
OFDM symbols. Each small square represents the
basic unit of bandwidth resource, referred to as
tonesymbol,whichisatoneinanOFDMsymbol.
In summary, the property of no ISI and ICI
means that the tonesymbols are orthogonal with
eachother.Atanytonesymbolthewirelesschannel
is constant, and the channel response is
representedbyamultiplicativecomplexcoefficient.
The coefficient varies over time and frequency
Figure2.4IllustrationofbandwidthresourcesinOFDM.
characterizingthetimeandfrequencyselectivityof
thewirelesschannel.
2.1.4Blocksignal
processing

In a practical communications system, the


continuous OFDM signal x(t) is generated with a
chain of digital and analog signal processing

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chain of digital and analog signal processing coding and modulation generates a block of
modules. The specific design of those modules complexsymbolsX[0],,X[Nc1]tobesent.The
depends on implementation choices. We next IDFTmoduletransformsthemtox[0],,x[Nc1]
provideageneraldescription.
asablock. samplesofthecyclicprefixarethen
At the 1 Nyquist sampling rate with the
added. The total baseband complex
samplingfrequencyequal to = Nc, x(t) of
samples are filtered to control the outofband
Equation (2.3) at discrete time instant is spectrum emission. The filtered time domain
givenby samples are subsequently converted to the analog
domain, mixed up to the carrier frequency, and
transmitted through the transmit antenna. At the
receiver,ineveryOFDMsymbolthereceivedsignal
Equation(2.8) says that x[0], , x[Nc 1] is the fromthereceiveantennaisdownconvertedto the
inversediscreteFouriertransform (IDFT) of X[0], basebanddigitalandfilteredtoremovetheadjacent
,X[Nc1].Thustheblockprocessingshown in
bandinterference. samplesofthecyclic prefix
Figure2.5isamuchmoreefficientimplementation are removed. The DFT module transforms the
thancalculatingx[l]samplebysample. remainingNctimedomainsamplesy[0],,y[Nc
At the transmitter, in every OFDM symbol,
1]to a block of complex symbols in the frequency
coding and modulation generates a block of domain.TheoutputoftheDFTmoduleis

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domain.TheoutputoftheDFTmoduleis transmitter and the receiver. The demodulated


symbols Y[0], , Y[Nc 1] are then passed to
demodulationanddecodingforfurtherprocessing.
We next highlight a few notes on digital signal
processing of the diagram in Figure 2.5 that are
important in practical implementation. Firsttime
readers can skip these notes and return to them
laterifsodesired.

Discussionnotes2.1FFT/IFFT

Figure2.5Simplifiedblockdiagramofsignalprocessingmodules If Nc is a power of 2, then the DFT and IDFT


inOFDMorOFDMAtransmitterandreceiver.Theuser modulescanbeveryefficientlyimplementedusing
multiplexinganduserdemultiplexingmodulesareonlyusedin
Fast Fourier Transform (FFT) and inverse Fast
OFDMA.
Fourier Transform (IFFT). Otherwise, we can
whereW[k]representsanadditivenoise.Similarto chooseanotherinteger thatisapowerof2and
(2.5),H[k]isthefrequency response coefficient of greater than Nc. Now the 1 sampling rate is
thewirelesschannelaswellasthefiltersusedinthe
transmitter and the receiver. The demodulated increased to . The time domain

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samplestobegeneratedare
domain samples with an FFT
module:

One way of viewing the time domain sample


calculation in Equation (2.10) is to pretend that
thereare tonesexcept that the symbols carried The receiver simply discards the symbols in the
onthetop Nc tones are all equal to zero. To frequencydomaincorrespondingtothetop Nc
calculatex[l],l=0,, 1,thetransmitterfirst tones .
pads Nczerostotheendoftheoriginalblock Thistechniquemakes use of efficient FFT/IFFT
of complex data symbols to form a new symbol and yet allows the system parameter Nc to be
flexible.
block of size An IFFT
moduleofsize transformsitto .The
numberofthecyclicprefixsamples now becomes
Discussionnotes2.2Filtering
.
Thereceiverusesasimilarapproachtocalculate While the FFT/IFFT modules run at the 1
a block of complex symbols from the time sampling rate, the filtering modules in both the
transmitter and the receiver often operate at a

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transmitter and the receiver often operate at a response. In the frequency domain, a sharper
higherrate,forexample,4or8samplingrate, transition rolloff means more usable spectrum to
tobemoreeffectiveinrejectingaliasing.Thisbook packtones.However,inthetimedomain,alonger
does not address multirate signal processing and filter response requires a larger cyclic prefix to
filterdesign.However,acloselookatthefrequency cover.Therefore,wehavetotradeofftheefficiency
andtimeresponsesof a typical filter, as shown in between the frequency domain and the time
Figure 2.6, helps us to understand the system domain.Itisnotedthatforagiventransitionroll
impactofthefilteringmodules. off,asthetotalbandwidthincreases,the length of
First, note that the time response of the the time response decreases proportionally.
transmitter and the receiver filters are cascaded Thereforetheefficiency tradeoff is more favorable
with the wireless channel response. The total withlargerbandwidth.
effective delay spread to be covered by a cyclic Third, note that the inband ripple in the
prefixincludesthedelayspreadduetothewireless passband adds fluctuation to the frequency
channelandthatintroducedwiththefilters.Thus, selectivity of the steady state wireless response
evenifthewirelesschannelitselfisflat,the filters H[k]. The receiver has to track the fluctuation as
stillcausedelayspread. part of channel estimation. On the other hand,
Second,thesharperthefiltertransitionfromthe sincethefilter response is known, the transmitter
passband to the stopband, the longer the time caneasilycompensateforit(oratleastthephase):
response. In the frequency domain, a sharper the block of complex symbols to be sent is

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the block of complex symbols to be sent is


X[0]/B[0],,X[Nc1]/B[Nc1]insteadofX[0],
, X[Nc 1], where B[k] is the filter frequency
response at tone [k]. From the waterfilling
principle, such a preemphasis scheme is
suboptimal.However,aslongastheinbandripple
issmall,thelossofoptimalityisminor.

Figure2.6Frequencyandtimeresponsesofabasebandlinear

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Figure2.6Frequencyandtimeresponsesofabasebandlinear channel,forexample,
phaseFIRfilter.Thesystembandwidthis5MHz(from2.5to2.5
MHz).Thefilteroperatesat8samplingrate.Thepassbandofthe
filterisupto2.15MHzwith1.5dBinbandripple.Therefore,the
usablespectrumN c =2.152MHz.Thefilterrejectionis44dB
atabout2.7MHz.Thetimeresponsespansabout3s. withzeroforceequalization,or

Discussionnotes2.3Equalization withMMSEequalizationwhere2istheestimated
power of noise W[k] and P the signal transmit
Suppose that X[0], , X[Nc 1] are the
power,andthenfeed to a decoder to recover
modulation symbols of a code block. How do we the original code block. Sometimes this linear
recovertheoriginalcodeblock from the output of equalizationmayenhancenoisebecause Y[k] with
the DFT module Y[k]? From Equation (2.9), Y[k]
smaller causes larger boost in the decoding
differsfrom X[k] by channel coefficient H[k]. The
metric. In effect, this rewards less reliable tones
receiver first estimates H[k] (see Section B.3 for
andpenalizesmorereliabletones.
channel estimation). Once the channel estimate
An alternative strategy is to add weights to the
is known, the receiver can equalize the receivedsymbolsinthedecodingmetricaccording
channel,forexample, totheirreliability.Anoftenuseddecodingmetricis

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totheirreliability.Anoftenuseddecodingmetricis channel fades at one tone, the loss to decoding is


the socalled loglikelihood ratio [127], which localized to that tone. In the extreme case where
measurestheratiooflikelihoodsofaninformation = 0, the corresponding symbol Y[k] is in
bitbeing1versus0.InEquation(2.9),supposethat effecterasedbutthedamagedoesnotspreadtothe
W[k]iswhiteGaussianandX[k]isaBPSKsymbol entirecodeblock.
withX[k]=+1or1ofequalprobability.Thenthe
loglikelihoodratiois
2.2FromOFDMto
OFDMA

2.2.1Basicprinciples
where representstherealpartof
Y[k]. ineffectactsasareliabilityweightsuch OFDM is a pointtopoint modulation scheme
betweenatransmitterandareceiver.Applyingthe
that L(X[k]|Y[k]) associated with smaller
concepts of tone signals and cyclic prefixes to the
contributes less to the decoding metric based on
multiuserscenarioresultsinanewmultipleaccess
which the entire code block is to be decoded. A
scheme, namely OFDMA (Orthogonal Frequency
benefit of this scheme is that when the wireless
DivisionMultipleAccess).Thebasicideaistoshare
channel fades at one tone, the loss to decoding is
the timefrequency resource, namely the tone

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the timefrequency resource, namely the tone BeforewegetintothedetailsofOFDMA,wefirst


symbols shown in Figure 2.4, among multiple reviewafewbasicconceptsinthecellularsystem.A
users. Let us focus on OFDMA in the cellular typical cellular deployment is shown in Figure 2.7
system,althoughtheOFDMA scheme can be used whereabasestationisplacedinthecenterofeach
inothertypesofsystems,suchasadhocones. hexagon.Ahexagonrepresentsthecoverageareaof
abasestation and is usually referred as a cell. An
economic way to boost the network capacity
withoutincurringtoomuchadditionaldeployment
costistointroducesectorizationbyusingmultiple
directional antennas in a cell. As shown in Figure
2.7(b),onehexagonalcellcanbedividedintothree
nonoverlapping sectors which are covered by
differentdirectionalantennas.
Adownlinktransmissionisa transmission from
abasestationtoauser,andanuplinktransmission
Figure2.7Illustrationoftypicalcellulardeployments.(a)and(b)
showahexagonaldeploymentwithoutandwithsectorization,
is from a user to a base station. In the multiuser
respectively. scenario,abasestationtransmitstomultipleusers
in the downlink, and multiple users transmit to a
BeforewegetintothedetailsofOFDMA,wefirst base station in the uplink. A signal transmission

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base station in the uplink. A signal transmission differentusersaredifferentto


may interfere with another signal transmission eliminateintrasectorinterference.In
within the same sector, in different sectors of the asectorizedcell,alltonesymbolsare
same cell, or in neighboring cells, when the two reusedineverysectorofthecell.If
transmissions use the same timefrequency sectorizationisperfect,intersector
bandwidth resource. We refer to those types of interferenceiszero.
interferenceasintrasector,intersector,andinter Averagedintercellinterference.
cell interference, respectively. Combined intra Withuniversalfrequencyreuse,the
sectorandintersectorinterferenceis called intra samesetoftonesymbolsarereused
cellinterference. amongallthecells.Thismaximizes
We next study how the OFDMA bandwidth theusablespectrumavailableinevery
resourcesaresharedinthecellularsystem.Westart cell,butmeanwhileresultsininter
withtwo simple principles in this section and will cellinterference.Asdescribedlaterin
refine them as we address various interference thissection,randomizedresource
issuesinChapters5and6. allocationsuchastonehopping
ensuresintercellinterferenceis
Zerointracellinterference.Within
averaged.1
asector,thetonesymbolsallocatedto
differentusersaredifferentto

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Tone hopping means that the tonesymbols


allocated to a given user hop across different
frequency tones over time, thereby providing
frequency diversity. In the example shown in
Figure2.8,auserineithercell A or B is allocated
one tonesymbol in every OFDM symbol, and the
frequencytoneofthe allocated tonesymbol varies
Figure2.8OFDMAtonehoppingincellsAandB.Inthetime
fromoneOFDMsymboltoanother.Inagivencell,
frequencygrid,thexaxisrepresentsOFDMsymbolsandtheyaxis the tonesymbols allocated to two different users
representsfrequencytones.Asmallsquarerepresentsatonesymbol. nevercollide.Moreover,cellsAandBusesdistinct
Asequenceofsmallsquareswiththesamefillingpatternrepresentsa
subsetoftonesymbolsallocatedtoauserineithercellAorB.There
tone hopping patterns such that a user in cell A
arefiveusersincellAandanotherfiveincellB. interfereswithdifferentusersincellBin different
OFDMsymbols.Thisisanexampleofinterference
The allocation of tonesymbols in OFDMA is diversityorinterferenceaveraging.Asaresult,the
flexible. For example, all the tones of an OFDM intercell interference seen by the user is not
symboloronetoneofasequenceofOFDMsymbols limitedbytheworstcasecochannelinterfererbut
can be allocated to a given user. In general, any dependsontheaverage.
subset of tonesymbols can be allocated to a user. Tonehoppingovertime is one way of achieving
Tone hopping means that the tonesymbols frequency diversity and interference averaging.

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frequency diversity and interference averaging. 2.2.2Comparison:


When a number of tones are allocated to a user OFDMA,CDMA,and
simultaneously,thosetonescanspreadoveralarge
FDMA
frequencybandwidthinapseudorandommanner,
thereby achieving the same goal. In the following A brief comparison of OFDMA with CDMA and
discussion,weusethetermtonehoppingtomean narrowbandFDMAprovidesinterestinginsights.
randomized resource allocation in general, over InFDMA,theentiresystembandwidthisdivided
timeand/orfrequency,forfrequencydiversityand intoanumberofnarrowbandcarriers.A carrier is
interferenceaveraging. allocatedtooneuserinacellandreusedinanother
Table2.1.AbriefcomparisonofFDMA,CDMAandOFDMA.
cell that is a minimum reuse distance apart. The
minimumreusedistance determines that a carrier
FDMA CDMA OFDMA isreusedin one out of every K cells, and K > 1 is
Intracell Zero Nonzero Zero called frequency reuse factor. Within a given cell,
interference
differentnarrowbandcarriersdonotinterferewith
Intercell Not Averaged Averaged
interference averaged eachother.Cochannelinterferenceoccursbetween
Frequencyreuse >1 1 1 two users in the cells that reuse the same carrier,
factor and is not averaged among many users in those
cells.Thevalueoffrequencyreusefactorisusually
2.2.2Comparison: determined based on the worst case cochannel

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determined based on the worst case cochannel total bandwidth, a receiver sees averaged
scenario where the interfering users are located interference from all other transmitters. Universal
mostdisadvantageously with each other (i.e., near frequency reuse is an important advantage of
celledges). CDMAoverFDMAbecausetheavailable spectrum
InCDMA,atransmitterusesauniquespreading per cell is increased by a factor of K. In CDMA,
code to spread its signal over the entire system interferenceaveragingiscrucial to make universal
bandwidth.Differentusers use different spreading frequencyreusepossible,becausenowtheintercell
codes and their signals all occupy the same total interference is not limited by the worstcase co
bandwidth to achieve universal frequency reuse. channelinterferencescenarios.Ontheotherhand,
Knowing the spreading code used by the desired because spreading codes are not completely
transmitter, the intended receiver despreads the orthogonalinthemultipathwirelesschannel,users
receivedsignaltorecovertheoriginalsignal.Ifthe withinthesamecellinterferewitheachother.
cross correlations between the spreading code of WesummarizetheabovecomparisoninTable2.1
thedesireduserandthoseofothers are small, the and show that OFDMA combines the salient
interferencefromothertransmittersissignificantly featuresofbothFDMAandCDMA.
rejected after despreading, by a factor equal to a
spreading gain that depends on the length of the
spreadingcode.Sinceallthesignalssharethesame
2.2.3Intercell
total bandwidth, a receiver sees averaged interferenceaveraging:

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interferenceaveraging: averagedovertheentireblock.However,foragiven
OFDMAversusCDMA modulationsymbol,theinterferenceiscausedbya
smallnumber of users in adjacent cells that share
As we have just presented, both CDMA and the same tonesymbol, and therefore the power
OFDMA are designed to average out the intercell may vary drastically from one modulation symbol
interference. However, there is a subtle yet to another. For a given modulation symbol, we
important difference. CDMA uses code spreading cannot apply the Central Limit Theorem here and
whileOFDMAusestonehopping,therebyresulting the interference may be nonGaussian and heavy
in different statistical characteristics of intercell tailed.
interference. To elaborate, consider a basic InCDMA,amodulationsymbolis spread to the
communicationscenariowhereatransmittersends entire bandwidth according to a spreading code,
a block of modulation symbols. For the sake of and the intercell interference from other
comparison,weignoreintracellinterferenceinthe transmissions in an adjacent cell depends on the
CDMAcase. crosscorrelationsbetweenthatspreadingcodeand
InOFDMA, a modulation symbol is sent in one theonesusedbytheinterferingtransmissions.For
tonesymbol. The intercell interference is caused agivenmodulationsymbol,everyuserinothercells
bytransmissionsinothercellsthatsharethesame contributesafractiontothetotalinterference,and
tonesymbol.Withtonehopping,theinterferenceis therefore the power fluctuation between
averagedovertheentireblock.However,foragiven modulationsymbolstendstobelessdrastic.When

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modulationsymbolstendstobelessdrastic.When basestation0asfollows:
the number of users in other cells is large, the
CentralLimitTheoremappliesandtheinterference
can be reasonably approximated by a complex
Gaussian. wheremistheindexofaneighboringcell,andiis
To get a quantitative sense, consider an uplink theindexofauser.|Hm,i|and|Hm,i,0|representthe
exampleinthesectorizedcellularsystemshownin channelamplitudegainfromuseriin neighboring
Figure 2.7. Suppose Nc users are distributed in cellmtoitsownbasestationmandtobasestation
everysector.InOFDMA,eachuserisallocatedone 0, respectively, and m,i is a phase parameter
tonesymbol in every OFDM symbol. In CDMA, assumedtoberandomuniformlyin[0,2).m,iis
eachuserisallocatedaspreadingcodeoflengthNc
the cross correlation coefficient between the
in every CDMA symbol. An OFDM symbol and a intended modulation symbol and an interfering
CDMA symbol have the same duration. Suppose modulationsymboltransmittedbyuseriincellm.
that in CDMA or OFDMA, the transmit power of InOFDMA,
any user is set so that the received power is
constantatitsservingbasestationforallusers.
Let us model the intercell interference for an
intendedmodulationsymbolreceivedatareference Because only one user in cell m occupies a given
basestation0asfollows:

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tonesymbol, m,i = 0 for all i except for the user


sharing the same tonesymbol as the intended
modulationsymbol.InCDMA,m,iismodeledas

Figure2.9Comparisonofdistributionsofintercellinterference:
OFDMAversusCDMA.Bothsystemshave128usersineachsectorin
awraparound,tworing,57sectordeployment.Usersareuniformly
droppedoverthenetwork.Theinterferencestrengthisnormalizedto
thereceivedpowerofthesignalfromtheintendeduser.

withcj= 1 with equal probability. Thus, m,i is a

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withcj= 1 with equal probability. Thus, m,i is a Gaussian assumption about the intercell
randomvariabledistributedin[1,1]. interference in OFDMA. Take decoding for
Figure2.9showsthedistributionoftheintercell example.ConsideraverysimplemodelY=X+W
interference power. We observe that while the whereYisthereceivedmodulationsymbol,Xisthe
intercellinterferenceinCDMAis fairly accurately transmittedBPSKsymbolofacodeblockwithX=
modeledasGaussian,the intercell interference in 1withequalprobability,andWtheinterferenceof
OFDMAisclearly nonGaussian and indeed heavy unit power. If we assume W to be Gaussian, then
tailed. theloglikelihoodratiois
It should be pointed out that if time and
frequency are not completely aligned between the
usersincellmandthebasestationreceiveratcell
0,thenmorethanonemodulationsymbolfromthe
usersincellmmayleakintothetonesymbolofthe
intended modulation symbol. In that case, the
distributionislessheavytailedthanwhatisshown
inFigure2.9.
A practical implication of the above observation Figure2.10Illustrationofdecodingmetricswhentheinterference
isthatweshould be very careful when we make a isGaussian(a)orheavytailednonGaussian(b).In(a),L(X|Y)
Gaussian assumption about the intercell increaseslinearlywith .In(b),L(X|Y)initiallyincreases,but

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increaseslinearlywith .In(b),L(X|Y)initiallyincreases,but andmodulationstrategymayalsobedifferentfrom


thensaturatesandevendropsforlarge inordertodiscount the Gaussian interference scenario. For example,
theimpulsiveimpactofinterferenceoutliers.
rate 1/4 coding with 16QAM modulation can
where represents the real part of Y. In other tolerate more erasure on modulation symbols and
words,when 1,theprobabilityofX= +1 is thusworkbetterthanrate1/2codingwithQPSKin
muchgreaterthanthatofX=1.However,ifWis such an interference environment, although the
heavytailed,thenalarge maysimplyindicate latterworksbetterintheAWGNchannel.
that Y has been hit by an interference outlier, in
which case there is not much information from Y
2.2.4Tonehopping:
abouttheprobabilityofX=+1versusX=1.One
averagingversus
simple algorithm for handling heavytailed
interferenceistosaturateL(X|Y)as growstoo peaking
largeorevendiscountitentirely,forexample,treat
Aswehaveseenearlierinthischapter,OFDMAcan
Yasanerasure.Figure2.10contraststhedecoding
be viewed as another spread spectrum technique
metricsusedwheninterference is Gaussian versus
similar to CDMA. Therefore the purpose of tone
heavytailnonGaussiandistributed.
hopping is to achieve interference averaging and
Moreover,nowthatweanticipatethatthe inter
frequency diversity, meaning that a user
cell interference may be nonGaussian, the coding
experiences averaged intercell interference and
andmodulationstrategymayalsobedifferentfrom

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experiences averaged intercell interference and balance between averaging and peaking. Tone
averaged wireless channel condition. Averaging hoppingmakesOFDMAmore flexible than CDMA
improves link reliability and thus is desirable for toachievesuchagoal.
circuitswitchedvoice.
Ontheotherhand,becauseofaveraging,thebest
opportunitiesforcommunicationsmayalsobelost
whentheinterferenceislowand/orthechannel is
good.Withoutaveraging,thoseopportunitieswould
have occurred because of the statistical nature of
channel fluctuation or careful interference
coordination of base stations. We will study
opportunistic or coordinated communications in
Chapters 4 and 6 with the idea of exploiting that
selectivityofchannelorinterferenceandachieving
a peaking effect as opposed to averaging.
Peaking improves instantaneous SINR and thus
data rate. An important design goal of mobile
broadband communications is to strike a good Figure2.11Symbolratehoppingandblockhopping.Shadedtone
symbolsarethepilot.
balance between averaging and peaking. Tone

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symbolsarethepilot. isusuallybasedonpilots,whichareknownsignals
sent by the transmitter. From Section B.3, in
Tonehoppingdesignisquitedifferentifthegoal
OFDMAenoughpilotsshouldbe sent to cover the
is to achieve averaging versus peaking. Roughly
timefrequencyregion.Everythingelsebeingequal,
speaking, for averaging, tone hopping covers the
blockhoppingrequiresasmallernumberofpilots,
timefrequency grid as widely as possible in a
therebybeingmoreattractivetobeusedin MIMO
pseudo random manner. One such an example is
(wherethepilotoverheadisalreadyhighinorderto
showninFigure2.8. In this case, tones hop every
estimate the MIMO channel matrix) and uplink
OFDMsymbol(symbolrate hopping). In contrast,
(where unlike the downlink there are no common
for peaking, tones concentrate in a much smaller
pilotstobesharedamongusers).
footprint in the grid and usually hop as a block
(block hopping) or do not hop at all. Figure 2.11 Practicalexample2.1Physicalresourceblock
comparessymbolratehoppingandblockhopping. allocationandhoppinginLTEdatachannels
As a side note, from the viewpoint of pointto
point communications, concentrating tones in a We use the LTE system as real world system
block(asopposedtospreadingeverywhere)makes examples to illustrate various design principles
channel estimation more efficient, because the studiedinthisbook.Inthoseexamples,wewilluse
receiver only needs to estimate the channel in a theLTEterminology.Inparticular,eNBisabase
smallertimefrequencyregion.Channel estimation station,UEauser,andREatonesymbol. The

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station,UEauser,andREatonesymbol. The
3GPP LTE standards specify a variety of
deploymentscenariossuch as different bandwidth
(from1.4MHzto20MHz),FDDorTDDoperation,
and different cyclic prefix length (normal versus
extended).Tokeepthedescriptionsimpleand not
get lost in the details, we focus on a common
scenarioofFDD with the normal cyclic prefix. All
the LTE examples, except for Example 10.1, are
basedonLTERelease8.

Figure2.12LTEframestructureandphysicalresourceblock.

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Figure2.12LTEframestructureandphysicalresourceblock. system depends on the system bandwidth (from


Frametype1(FDD)andnormalcyclicprefix.
1.4MHz to 20 MHz) and ranges from 6 to 110. A
In LTE, most of the timefrequency resources PRB is the basic unit of resource allocation. A
(PRBs) are dynamically allocated to different UEs subframeconsistsoftwoslotsandistheminimum
using the downlink and uplink data channels, timeunitforscheduling. A UE is always allocated
calledPhysicalDownlinkSharedChannel(PDSCH) one or more pairs of PRBs over two slots of a
andPhysical Uplink Shared Channel (PUSCH). In subframe.Therefore,theLTEtimestructureallows
this example, we examine how LTE achieves blockhoppinginPDSCHandPUSCH.Symbolrate
frequency diversity and interference averaging in hopping is also employed in LTE for reference
those two channels with resource block allocation signals(seeFigure7.20).
andhopping. In PDSCH, there are three types of resource
Figure 2.12(a) depicts the frame structure (type allocation. In type 0, P PRBs consecutive in
1)inthetimedomain, which is the same for both frequencyaregroupedtobearesourceblockgroup
thedownlinkanduplink.Ablockof12contiguous (RBG),asshownin Figure 2.13(a), where P is the
tonesoveraslotiscalledaphysicalresourceblock RBG size and depends on and increases with the
(PRB) as shown in Figure 2.12(b). The basic tone system bandwidth. The basic unit of resource
spacing is 15 kHz. Thus a PRB occupies 180 kHz. allocation becomes an RBG instead of a PRB. A
The total number of PRBs available in a LTE resource allocation is expressed with a bitmap
system depends on the system bandwidth (from whereeachbitindicateswhetherthecorresponding

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whereeachbitindicateswhetherthecorresponding
RBGisallocatedtoagivenUEornot.Clearly,the
resource allocation is less granular in frequency
however, the benefit is the reduction in the
overhead of signaling a resource allocation. A
drawback of type 0 allocation is reduced
interferenceaveraging(assumingneighboringcells
usetype0aswell).Tosolvethisproblem,asshown
in Figure 2.13(b), type 1 allocation divides all the Figure2.13Illustrationoftypes0and1resourceallocationinthe
RBGsintoanumberofdispersedsubsetswith the downlinkPDSCHchannel.P=2.

number of subsets equal to P. Within a subset, a


Unlike type 0 or type 1, type 2 does not use a
bitmapindicateswhetheraPRBisallocated.
bitmapbutemploys the notion of virtual resource
blocks(VRBs).AVRBisofthesamesizeasaPRB.
The difference is that the frequency position of a
VRBisnotfixedbeforehandasinthecaseofaPRB,
butcanvaryaccordingtoamappingfunction.The
ideaistoallocateresources in terms of VRBs and
then map VRBs to PRBs for actual transmissions.

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Specifically,aresourceallocationindicatesthestart
position and the length of a set of consecutive
VRBs. Two types of VRBs are specified in LTE,
namely localized VRBs and distributed VRBs.
Localized VRBs are identical to PRBs and the
mappingisdirect.DistributedVRBsaremappedto
PRBs in two steps, as shown in Figure 2.14:
interleaving such that consecutive VRBs are
mappedtononconsecutivePRBsthatspreadover
a large frequency bandwidth, and splitting by
keeping the PRBs unchanged in the first slot and
modularly shifting the PRBs in the second slot to Figure2.14Illustrationoftype2resourceallocationinthe
downlinkPDSCHchannelwithdistributedVRBs.Thetotalnumber
differentfrequenciesby an offset. Splitting can be
ofPRBsis25andtheoffsetisequalto12.
seen as block hopping at the slot boundary. The
goal of distributed VRBs is to achieve frequency TheideaofVRBtoPRBmappingcanbeapplied
diversity and interference averaging, while local to the uplink. Similar to type 2 allocation in
VRBs are suitable for frequency selective PDSCH,resourcesofPUSCHareallocatedinterms
scheduling. of VRBs, which are then mapped to PRBs. Note
fromSection2.3thattheLTEuplinkuseslocalized

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fromSection2.3thattheLTEuplinkuseslocalized secondslot.
SCFDMAandthePUSCHsentbyaUEoccupiesa
setofPRBscontiguousinfrequency.Thusthestep
of interleaving in Figure 2.14 is skipped and only
slotbasedblockfrequencyhoppingtakesplace.
There are two types of hopping, as shown in
Figure2.15.The first type is cellspecific hopping.
The bandwidth of PUSCH is divided into a few
subbands. The VRBs are shifted by a number of
subbands to a set of PRBs according to a cell
specific hopping pattern. Different shifts can be
usedinthetwoslotsofasubframe. In addition, a
cellspecificmirroringpatterncanbeappliedtothe
secondslotsuchthatthePRBsineachsubbandare
numbered in a reverse order. The second type is
explicit offsetting. The PRBs in the first slot are
identicaltotheallocatedVRBsandmoveanoffset
of1/2,1/4,or1/4ofthePUSCHbandwidthinthe
secondslot.

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Figure2.15Illustrationofuplinkslotbasedfrequencyhopping.

In addition to slotbased (intrasubframe)


hopping, LTE also supports intersubframe
hoppingwherethePRBsallocatedtoaUE change
from one subframe to another. Intersubframe
hopping is applicable to multiple HARQ
transmissionstoachievefrequencydiversity.

2.2.5Timefrequency
synchronizationand
control

OFDMA involves multiple transmitters in the


uplinkandmultiplereceiversinthedownlink.This
leadsto an important issue of time and frequency
synchronization.
In a typical communications system, it is the
Figure2.15Illustrationofuplinkslotbasedfrequencyhopping. receivers responsibility to adjust its time and

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receivers responsibility to adjust its time and side. Specifically, the base station receiver uses
frequency to be synchronized with the received fixed symbol timing and carrier frequency to
signal (see Appendix B). The same idea is receivetonesignalsfromalltheusersinthesector.
applicable in the OFDMA downlink. In particular, Each user transmitter adjusts its time and
the base station transmitter uses fixed symbol frequency such that all the tone signals from
timingandcarrierfrequencytogenerateorthogonal different users arrive at the base station receiver
tonesignalstoalltheusersinthesector,andeach synchronouslyintimeandinfrequency.
user receiver carries out time and frequency Letusconsidertimesynchronizationfirst.Figure
synchronizationtothereceiveddownlinksignal. 2.16 illustrates the downlink and uplink time
However, the scenario is very different in the synchronizationwithinasectorwherebase station
uplink where multiple user transmitters are A communicates with users A1 and A2. In the
distributedinthesector.Itwouldbeimpossiblefor downlink,thebasestationsendstwotonesignalsto
thebasestationreceivertobesimultaneouslytime A1andA2,respectively,withthesamesymboltime.
synchronized to the received signals from all the After propagation delay, the signals arrive
usertransmitters,iftheusertransmissionsarenot synchronously at the nearby user A1 and the
carefully coordinated. In other words, faraway user A2, which adjust their respective
synchronizationisnolongersolelyareceiverissue
receiversymboltimes to be synchronized with the
acontrolmechanismisrequiredatthetransmitter
receivedsignals.Intheuplink,sinceA1andA2have
side. Specifically, the base station receiver uses

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differentpropagationdelaystothebasestation,the Figure 2.17 illustrates the concepts of openloop


farawayuserA2needsto transmit earlier than the andclosedlooptimingcontrolintheuplink.When
nearby user A1 such that their tone signals arrive the user moves, closedloop timing control
synchronouslyatthebasestationreceiver. (advance or delay transmitter symbol time) is
We next examine time synchronization in the needed periodically to compensate for changing
uplink.Auserfirstsynchronizesitsreceiversymbol propagationdelay.
timetothedownlinksignal.Withopenlooptiming
control,theusersetsits initial transmitter symbol
timeslavedtothereceiversymboltime.Theinitial
symbol time setting is not very accurate as the
arrivaltimeoftheuplinksignalatthebasestation
varies with the roundtrip propagation delay
between the user and the base station. The base
stationfurthercorrects the users transmit symbol
timeusingclosedlooptimingcontrolinwhichthe
basestationmeasuresthearrivaltimeofthesignal
fromtheuserandsendstimingcontrolinstructing
the user to advance its transmitter symbol time.
Figure 2.17 illustrates the concepts of openloop Figure2.16Illustrationoftimesynchronizationwithinasector.

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Figure2.16Illustrationoftimesynchronizationwithinasector. phase rotation between two tones 1 MHz apart,


whichisinadditiontothechannelresponseofthe
Note that because the cyclic prefix absorbs any
wirelesschannel.Thebasestationreceiverneedsto
residual timing misalignment, the accuracy
estimateandcompensateforsuchaphaserotation
requirement of closedloop timing control is
infrequencypriortodecodinganddemodulation.
somewhat relaxed. The arrival time of an uplink
signal does not have to be aligned with the base
stationreceiversymboltimewithinasinglesample.
Forexample,ina5MHzsystem,asampleduration
isonly0.2s.Supposethatthecyclicprefixisof10
s.Thenthecyclicprefixcanaccommodateafews
residual timing misalignment, assuming the delay
spreadof the wireless channel itself does not take
the whole 10 s. It should be pointed out that in
this case, while the use of the cyclic prefix helps
Figure2.17Illustrationofopenloopandclosedlooptiming
preserve orthogonality among the uplink signals,
control.Inopenlooptimingcontrol(a),theuplinktransmitter
the residual timing misalignment causes phase symboltimeisslavedtothedownlinkreceiversymboltimeatthe
rotation across tones of a given uplink signal a user.Thisresultsinmisalignmentofarrivaltimeoftheuplinksignal
equaltotheroundtrippropagationdelay.In(b),thebasestation
residual timing misalignment of 1 s causes a 2
usesclosedlooptimingcontroltoinstructtheusertoadvanceor

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usesclosedlooptimingcontroltoinstructtheusertoadvanceor to other tones. Closedloop frequency control may


delayitstransmittersymboltimesuchthatthearrivaltimeofthe
correct carrier frequency offset and Doppler shift,
uplinksignalisalignedwiththebasestationreceiversymboltime.
Thetotalamountofthetimingcorrectionisineffectequaltothe but cannot overcome multipath Doppler spread.
roundtrippropagationdelay. One way to reduce the ICI impact of multipath
Doppler spread is to make the tone spacing
Now let us consider frequency synchronization.
much greater than the maximum Doppler spread.
Similar to time synchronization, in the downlink,
Moreover, similar to the residual timing
the user receiver synchronizes to the frequency of
misalignment issue, any residual frequency
the dominant path of the received signal. In the
misalignment causes phase rotation across OFDM
uplink, the user may slave its transmit carrier
symbols of a given uplink signal. A residual
frequency to the synchronized receive frequency,
frequencymisalignmentof100Hzcausesthephase
similartoopenlooptimingcontrol.Inaddition,the
ofchannelcoefficientH[k]torotate2betweentwo
basestationmayfurtherinstructtheusertoadjust
OFDMsymbols10msapart,whichisinadditionto
its transmit frequency in a closedloop manner.
the channel response of the wireless channel. The
However, the key difference is that there are no
basestationreceiverneedstoestimateandcorrect
equivalent cyclic prefixes in frequency to absorb
suchaphaserotationintimepriortodecodingand
frequencymisalignment.Whenthefrequencyatthe
demodulation.
receiverisnotcompletelysynchronizedwiththatof
areceivedtonesignal,the tone signal power leaks

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demodulationmoduleofotherusersatthebasestationreceiver
(uplink)orbediscardedattheuserreceiver(downlink).

2.2.6Blocksignal
processing

Theblockdiagramofsignalprocessingof OFDMA
Figure2.18Blockdiagramsofusermultiplexingmoduleatthe
is similar to that of OFDM shown in Figure 2.5,
transmitter(a)anduserdemultiplexingmoduleatthereceiver(b).A exceptforanadditionalusermultiplexingmodule
userisallocatedNtonesymbols,indexedask[0],,k[N1],at at the transmitter and an user demultiplexing
anOFDMsymbol.TheusermultiplexingmoduletakesNmodulation
module at the receiver. Those two modules are
symbolsX[0],,X[N1]fromthecodingandmodulationmodule
oftheuserandinsertstheminthecorrespondingpositionsintheN c showninFigure2.18.
elementvectortotheIDFTmodule.Thegrayelementsrepresentthe In the downlink, when the base station
modulationsymbolsfromotherusersatthebasestationtransmitter transmitteristosendthesignalstomultipleusers,
(downlink)orzerosattheusertransmitter(uplink).Theuser
demultiplexingmoduletakesNmodulationsymbolsY[0],,Y[N the coding and modulation module generates
1],correspondingtok[0],,k[N1],oftheN c elementvector complexmodulationsymbolsseparatelyforeachof
fromtheDFTmoduleandprovidesthemtothedecodingand the users. It then multiplexes the modulation
demodulationmoduleoftheuser.Thegrayelementsrepresentthe
modulationsymbolstobeprovidedtothedecodingand
symbolsof those users to the corresponding tone
demodulationmoduleofotherusersatthebasestationreceiver symbols according to the OFDMA tonesymbol

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symbols according to the OFDMA tonesymbol fromtheoutputoftheDFTmodulethebasestation


allocation. Consider the tone hopping example demultiplexes symbols that belong to different
showninFigure2.8wherethebasestationsendsto users according to their corresponding tone
five users in any OFDM symbol. The base station symbols,and further processes them separately in
transmitter multiplexes one modulation symbol of thedecodinganddemodulationmodule.
eachusertothetonesymbolallocatedtothatuser Wenextaddafewshortnotesontheblocksignal
as the input to the IDFT module. At the receiver processinginFigure2.18.
side,fromtheoutputoftheDFTmoduleeachuser
demultiplexes one symbol in its allocated tone Discussionnotes2.4Blockfrontend
symbol, discards all other symbols, which are processingatthebasestation
intendedforotherusers,andfurtherprocessesthe
Whilethecoding and modulation module and the
demultiplexed symbol in the decoding and
decodinganddemodulation module are processed
demodulationmodule.
separately for individual users, the DFT/IDFT or
Similarly, in the uplink, a user transmitter
filtering module is implemented as one single
multiplexes the complex modulation symbols
block. Those frontend sample rate processing
generatedfromthecodingandmodulationmodule
modulesarenotdoneseparatelyfordifferentusers.
tothetonesymbolsallocatedtoit, and pads zeros
This helps simplify the base station
totheremainingtonesymbols.Atthereceiverside,
implementation. In contrast, the CDMA base
fromtheoutputoftheDFTmodulethebasestation

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implementation. In contrast, the CDMA base subset may change rapidly with the scheduling
station needs to carry out sample rate processing, needs. This wideband hopping is very different
such as RAKE finger tracking, individually for from narrowband FDMA hopping where a user
different users. As a result, the complexity of the onlyprocessesanarrowbandcarrierby employing
basestationsample rate signal processing linearly a narrowband analog filter at the frontend. In
increaseswiththenumberofusersconnectedwith FDMA,thecarriercan hop from one frequency to
thebasestation. another at a much slower rate than in wideband
OFDMAhopping.
Discussionnotes2.5Widebandprocessingat
theuser
2.3Peakto
Evenifauserisallocatedasubsetoftonesymbols, averagepowerratio
the frontend processing at the user transceiver
andSCFDMA
(DFT/IDFT and filtering) covers the entire
bandwidth. This allows fast tone hopping with 2.3.1PAPRproblem
which the allocated subset of tonesymbols can
change from OFDM symbol to another for Highpeaktoaveragepowerratio(PAPR)isa well
frequency and interference diversity as shown in known drawback for OFDM. What is PAPR and
Figure2.11(a).Inaddition,thesizeoftheallocated why is it important? Simply put, PAPR measures

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why is it important? Simply put, PAPR measures efficiencydefinedastheratioofthetransmitpower


thepowerfluctuationofasignalx(t)overtime.For to the total power consumed, and low average
anyOFDMsymbol2x(t),t[0,Ts),wedefine transmitpowergiventhelinearitydynamicrangeof
apoweramplifier.
HighPAPRismostlyaconcernintheuplinkasit
affectsthecostandefficiencyofthepoweramplifier
HighPAPRmeanslargepowerfluctuation. attheuser.
A signal with high PAPR requires large linear
dynamicrangeofthepoweramplifier.Ifthepower
2.3.2PAPRofOFDMA
of the signal exceeds the linear region, the signal
suffers from nonlinear distortion (e.g., clipping) Suppose that in an OFDM symbol a user is
andresultsin outofband spurious emissions and allocatedNtones[0], , [N 1] (N Nc) and
inband corruption of the signal. Therefore, the transmits N i.i.d. QAM modulation symbols.
operating point of the amplifier has to be set Equation(2.1)isrevisedtobe
conservatively in the sense that the average
transmitpowerismuchlowerthanthepeakpower
allowedbythemaximumlinearity.Thislargepower
backoff leads to two undesired results: low power
The OFDMA signal at any time instant t is the
efficiencydefinedastheratioofthetransmitpower

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sumofi.i.d.complexsymbols.WhenNislarge,the IntheOFDMAuplink,itismorelikelythat N <


Central Limit Theorem says that x(t) is Nc. In this case, the Nc samples are correlated.
approximately a complex Gaussian random Figure 2.19 shows the complementary cumulative
variable.ThenforagivenconstantPAPR0, distribution curve of the PAPR. We consider two
toneallocationschemes,withtheNallocatedtones
contiguous and with them randomly selected. We
observethatthePAPRinrandomtoneallocationis
WhenN=Nc,atthe1Nyquistsamplingrate,Nc strictly greater than that in contiguous tone
allocation.EvenwithN=16,thePAPRisabout10
samples , l = 0, , Nc 1 are i.i.d. dBwithprobability104to103.
Gaussian. Thus, (PAPR > PAPR0) is lower
boundedby
2.3.3SCFDMAand
PAPRreduction
becausethepeakmayoccurinbetweentwo1rate ThereasonthatOFDMhasalargePAPRisbecause
samples.Thedifferencebetween(PAPR>PAPR0) independentmodulation symbols X[0], , X[N
and the righthand side of this inequality is about 1]aremodulatedinthefrequencydomaintoNtone
0.5dB. signals,respectively.WhentheNindependenttone

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signals,respectively.WhentheNindependenttone
signalsareaddedtogether,thesignalattimet,x(t),
becomes a complex Gaussian random variable,
whichisknowntohavelargeamplitudefluctuation.
The idea of singlecarrier FDMA (SCFDMA) is to
modulatethesymbolsinthe time domain instead,
suchthattheresultantsignalisnolongerGaussian
andthereforehasmuchasmallerPAPR.

Figure2.19ComplementarycumulativedistributionofthePAPRof
OFDMA:comparisonwithdifferenttoneallocation.N c =512.The
groupofsolidcurvesisforcontiguoustoneallocation,andthegroup
ofdashedcurvesisforrandomtoneallocation.Ineachgroup,from
lefttoright,N=16,32,64,128,256,512.

TounderstandhowSCFDMAreducesthePAPR,

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firstconsidercontiguoustoneallocationwhere ThecyclicprefixinSCFDMAisconstructedinthe
samewayasdefinedinEquation(2.6).Tosimplify
the terminology, we treat SCFDMA as a special
formofOFDMAandstillrefertot[Tcp,Ts)asan
where [0] is the index of the starting tone. This
OFDMsymbol.
schemeisreferredtoaslocalizedSCFDMA. Itfollows:
DefineaDFTprecodedvector

where constant is added to ensure that when


where
X[m] is zero mean i.i.d., (|X[m]|2).
The transmitted signal in localized SCFDMA,
denoted by x1(t), is similar to Equation (2.20)
exceptthatX[k]isreplacedby [k]:

Figure2.20plots|zm(t)|form=0,1.z0(t)peaks
att = 0 and is equal to zero at .

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att = 0 and is equal to zero at . interval , x1(t) is dominated by


For m > 0, zm(t) is obtained by cyclically shifting zm(t)X[m]+z(m+1)modN(t)X[(m + 1)modN]. This is
z0(t)intimeby .zm(t)areorthogonalwitheach very different from the OFDM case where N
otherattimeinstants andthus independent tones are added to form x(t). As a
can be viewed as the basis pulse functions in SC result, x1(t) is not Gaussian and the PAPR is
FDMA. significantly smaller. Figure 2.21 compares the
Equation(2.26)showsthatX[m] are modulated complementary cumulative distribution of the
attimeinstants ,because PAPR of OFDMA and SCFDMA. At probability
103,SCFDMAreducesthePAPRby2.5to4dB.
Figure 2.22 compares the PAPR of different
modulation schemes. We observe that the
In between those time instants, the basis pulse
difference in the modulation schemes makes
functions smoothly connect between the symbols,
virtuallynochangeinthePAPRinOFDMA.InSC
and the amplitude of the transmitted signal x1(t)
FDMA,thePAPRincreasesbyabout1dBwhenthe
fluctuates a little (but not too much) for the
modulationschemechangesfromQPSKto16QAM
followingreason.Notethat|zm(t)|decaysquicklyas
or 64QAM. Although the PAPR of 64QAM
|t | increases. For any m = 0, , N 1, in symbolsisabout1dBhigherthanthat of 16QAM
interval , x1(t) is dominated by symbols, the difference of the corresponding SC

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symbols, the difference of the corresponding SC


FDMAsignalsismuchsmaller.

Figure2.21ComplementarycumulativedistributionofthePAPR:
comparisonbetweenOFDMAandSCFDMA.N c =512.QPSK
symbolsaremodulated.ThegroupofsolidcurvesisforSCFDMA,
andthegroupofdottedcurvesisforOFDMA.Ineachgroup,from
Figure2.20Amplitudeplotofbasispulsefunctionszm(t)ofSC lefttoright,N=16,32,64,128,256,512.
FDMA.N=16.
Table2.2.DualityofOFDMAandSCFDMA.

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Frequencydomain Timedomain solidcurvesisforSCFDMA,andthegroupofdottedcurvesisfor


OFDMA {X[k]} NIDFT{X[k]} OFDMA.Ineachgroup,themodulationschemesfromlefttoright
areQPSK,16QAM,and64QAM.
SCFDMA
DFT{X[k]}
It is interesting to note the timefrequency
duality of OFDMA and SCFDMA. Consider N
contiguousallocatedtones ,k=0,,N
1. Table 2.2 summarizes the complex symbols
modulated on frequency tones [k] and the signal
values at time instants , n = 0, , N 1 in
OFDMAandinSCFDMA.
SofarwehaveconsideredthelocalizedSCFDMA
scheme where the allocated tones are contiguous.
In another scheme referred to as distributed SC
FDMA,theuserisallocatedequallyspacedtones

Figure2.22ComplementarycumulativedistributionofthePAPR
withdifferentmodulationschemes.N c =512,N=64.Thegroupof whereQ>1isapositiveinteger.Usingthesame
solidcurvesisforSCFDMA,andthegroupofdottedcurvesisfor [k] as in (2.24), the distributed SCFDMA

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[k] as in (2.24), the distributed SCFDMA of the PAPR, there is no difference between the
transmittedsignal,denotedbyxQ(t),isgivenby localizedanddistributedSCFDMAschemes.
Is the SCFDMA idea only limited to the above
two tone allocation scenarios (contiguous and
equally spaced)? In principle, for any set of
allocatedtones[k],k=0,,N1,weselecttime
instantst[m][0,Ts),m=0,,N1,and [k]
aresolvedbymakingsurethattheresultantsignal
defined in Equation (2.25) is equal to modulation
Comparison of Equations (2.26) and (2.30) shows symbolX[m]att[m]:
that other than the phase rotation exp(j2[0]t),
xQ(t)isobtainedbycompressingx1(t)from t [0,
Ts) to t [0, Ts/Q) and then duplicating the
The PAPR depends on how the continuous signal
resultant waveform Q 1 times to fill up the
fluctuates between those time instants. One can
remainingintervalt[Ts/Q,Ts).Figure2.23shows
showthatift[m]issettot[m]= asbefore,the
an example of the localized and distributed SC
PAPR increases by about 2 dB with random tone
FDMAwaveforms.Therefore,fromtheperspective
allocationbutbyonly0.5dBiftheallocated tones
of the PAPR, there is no difference between the
consistoftwoequalsizecontiguoustoneblocks.In

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consistoftwoequalsizecontiguoustoneblocks.In does not have to linearly equalize the channel to


general,thefollowingquestionsarestillopen: avoid noise enhancement. In SCFDMA, when the
channel is frequency selective, ISI arises among
Whatistheoptimalselectionof symbols modulated at time instants
t[m]foranygiventoneallocation
within an OFDM symbol. Note
[k]?
that because of the cyclic prefix, there is no ISI
Whatistheessentialstructureof
between OFDM symbols. To deal with the ISI
toneallocation[k]tohavealow
within an OFDM symbol, the SCFDMA receiver
PAPR?
hastoequalizethechannel. Figure 2.24 illustrates
Inthefollowing,weonlyfocusonthelocalizedand theblockdiagramoftheSCFDMAtransmitterand
distributedSCFDMAschemes. receiver.

2.3.4Frequency
domainequalizationat
theSCFDMAreceiver

RecallfromSection2.1that in OFDM the receiver


does not have to linearly equalize the channel to

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thatint[0,0.5Ts)andisthesameas|x 1(t)|int[0,Ts)
compressedintimebyafactorof2.

Comparison with Figure 2.5 shows that the SC


FDMA transmitter uses an additional module of
sizeN DFT precoding as defined in Equation
(2.24). The SCFDMA receiver first equalizes the
channelinthefrequencydomain,andthenapplies
sizeNIDFTtorecoverX[0],,X[N1].Alinear
equalizer as in Equation (2.12) or (2.13) is often
usedforfrequencydomainequalization.Aswehave
pointedoutbefore,linearequalizationsuffersfrom
enhancednoise and/or residual ISI. The following
Figure2.23ComparisonoflocalizedSCFDMAx 1(t)and
discussion notes and analysis illustrate SINR
distributedSCFDMAx Q(t).Inthefigure,N=8,Q=2,QPSK degradation in SCFDMA when the channel is
modulation.TheupperportionshowslocalizedSCFDMA|x 1(t)| frequencyselective.
wherethecirclesrepresenttheQPSKsymbolsmodulatedattime
instantst=0, .Thelowerportionshowsdistributed
SCFDMA|x 2(t)|wherethewaveformint[0.5Ts,Ts)isidenticalto
thatint[0,0.5Ts)andisthesameas|x 1(t)|int[0,Ts)

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iscalculatedasfollows:

Figure2.24Simplifiedblockdiagramofsignalprocessingmodules
inSCFDMAtransmitterandreceiver.

Discussionnotes2.6SINRdegradationinSC
FDMA

Similar to Equation (2.9) Y[k] at the SCFDMA


receiverisgivenby Inthisequation, [n]consistsofthedesiredsignal
componentfromX[n],the ISI from X[m](m n),
and the noise W[k]. To calculate the SINR, we
DenotebyG[k] the weight of the linear frequency assumethefollowing:
domain equalizer. With frequency domain
equalizationandsizeNIDFT,theestimateofX[n] X[m]arei.i.d.: (X[m]X*[n])=
iscalculatedasfollows: P(nm),wherePisthepowerofa

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modulationsymbol. To completely eliminate the ISI in Equation


W[k]arei.i.d.: (W[k]W*[l])= (2.34), G[k] in zeroforce equalization is set as in
2(k1),where2isthepowerof (2.12)
noiseoneachreceivedtone.
X[m]andW[k]areuncorrelated:
(X[m]W*[k])=0.
Thus,Equation(2.35)reducesto
Hence,

where |H[k]|2 represents the SINR of tone k.


Equation (2.37) shows the effect of noise
enhancement: if |H[k]|2 on one of tones is much
smallerthantherest,thenSINRZFisdominatedby
where = P/2. Note that in Equation (2.35), the theSINRontheworsttone.
SINRdoesnotdependonn.Thisisbecauseunlike TobalancetheISIandthenoise,wecansetG[k]
OFDMA,SCFDMAspreadsX[n]uniformlyinallN accordingtotheMMSEcriterionmin (|X[n]
tones. [n]|2).TheoptimalG[k]isgivenby(2.13)

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The above inequality (2.40) shows that linear


equalization in the frequency selective channel
Thus,Equation(2.35)reducesto causeslossinSINRMMSE.
To quantify the loss, we consider a simple two
path channel model h() = h1() + h2( 0),
where|h1|=|h2|andthephasebetweenh1andh2
is uniformly distributed in [0, 2). For
normalization,weadjust|h1|,|h2|suchthat|H|2=
1.Inthiscase,wouldbetheSINRifthechannel
wereflat.Thus,SINRMMSEmeasurestheSINR
loss in SCFDMA. Figure 2.25 plots SINRMMSE
From the convexity of function , it can be
shownthat versusforavarietyofQ.

where

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For a given N, larger Q means that the allocated


tones spread over larger bandwidth and may
experience more severe frequency selectivity. The
lossismostsignificantwhenQincreasesfrom1to
4 and then saturates at Q = 16. From this
perspective, localized SCFDMA is superior to
distributedSCFDMA.

2.3.5Systemaspectsof
SCFDMA

SCFDMA is similar to OFDMA in the sense that


Figure2.25IllustrationofSINRlossofSCFDMAinthesimple
both are the sum of tone signals at the tones
twopathfrequencyselectivechannelmodel.Inthisfigure,N=16,0
=1s,f=10kHz. allocated to the user and employ the cyclic prefix.
SCFDMAhasnoISIbetweentwoOFDMsymbols.
WeobservethattheSINRlossisnegligibleatlow However,when the channel is frequency selective,
andincreaseswith.At=30dB,thelosscanbe ISI occurs among the symbols that are modulated
aslargeas12dB.TheSINRlossincreaseswith Q. inagivenOFDMsymbol.Furthermore,becauseof

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tone orthogonality, two SCFDMA signals in an isnotallowedinSCFDMA.


OFDMsymboldo not interfere with each other as Second, multiplexing control signaling and data
longasthe allocated tones do not overlap. Indeed trafficofagivenuserbecomescomplicated.Oftena
SCFDMA signals and OFDMA signals can be user needs to transmit control signaling such as
orthogonallymultiplexedusingdisjointtonesets. channel quality indicator (CQI) reports to support
Constraintonresourceallocation. The localized downlink traffic scheduling, in addition to traffic.
or distributed SCFDMA scheme imposes a strict Without the SCFDMA constraint, resource
constraintonresourceallocation:tonesallocatedto allocationforcontrolsignalingandtrafficcouldbe
a user have to be either contiguous or equally decoupled. For example, CQI reports are sent
spaced.So,whatarethelimitations? periodicallyandthereforeasetoftonesperiodicin
First, the flexibility of scheduling and timeis allocated for CQI, while traffic is generally
multiplexing users based on their frequency muchmoreburstyandthusscheduleddynamically
selective channel conditions is limited. For everyslot.Together,however,thetonesallocatedin
example, suppose the channel response of a user trafficschedulingandthoseallocated for CQI may
hasanullinthemiddleofthebandwidth.Without not satisfy the SCFDMA resource allocation
theSCFDMAconstraint,theschedulerallocatesto constraint.
theuserthetonesatbothbandwidthedgesbutnot Impactonintercellinterference.TheuseofSC
thoseinthemiddle.However,suchtoneallocation FDMA affects the characteristics of intercell
isnotallowedinSCFDMA. interference. Consider a simple scenario where

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interference. Consider a simple scenario where transmit power is the same on every tone in
every user in all cells is allocated N tones. In OFDMA, but varies according to the Gaussian
localized SCFDMA, N tones of any user are distributioninSCFDMA.Thisis evident from the
contiguous. Thus, intercell interference from an timefrequency duality of OFDMA and SCFDMA
adjacent cell seen by a given user mostly comes describedinTable2.2.
from one or two users in that cell. As a result, Localizedversusdistributedschemes.Finallywe
interferenceisnotwellaveragedascomparedwith briefly compare the localized and distributed SC
theOFDMAcasewheretheNtonesoftheusermay FDMAschemes.FromtheperspectiveofSINRloss
seeinterferencefromdifferentusersintheadjacent due to equalization in the frequency selective
cell. channel, the localized scheme is superior. In
Moreover, in a given SCFDMA signal, the addition,sincethedistributedschemecoverswider
transmitpowertendstovarysubstantiallyfromone bandwidth,itrequiresmorepilot overhead for the
tone to another. Equations (2.1) and (2.25) show receivertoestimatethechannel.
thatthecomplexsymbolmodulatedontone[k]is Byspreadingthesignal into a wider bandwidth,
X[k] in OFDMA or [k] in SCFDMA. From the distributed scheme has better frequency
Equation(2.24),ifX[0],,X[N1]arei.i.d.,then diversity.Onthe other hand, the localized scheme
[k] is Gaussian when N is large. Suppose concentrates the signal on a narrower bandwidth
modulation symbols X[k] are QPSK. Then the andmakesiteasiertoexploitfrequencyselectivity.
transmit power is the same on every tone in Specifically, the base station scheduler tracks

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Specifically, the base station scheduler tracks PUSCHis used to carry traffic data and control
frequency selective channel quality and schedules signalsforhigherlayers.PUCCHisusedtotransfer
the user in the most favorable portion of the physicallayercontrolinformationincluding:
bandwidth. We will further study frequency
diversityandselectiveschedulinginChapter4. Downlinkchannelqualityindicator
(CQI)toassistadaptivemodulation
Practicalexample2.2Uplinkdataandcontrol andcodingandchannelaware
channelsinLTE schedulinginPDSCH.
Downlinkprecodingmatrix
The LTE uplink supports the localized SCFDMA indicator(PMI)andRank
scheme.AnimportantconstraintisthataUEonly Information(RI)fordownlinkMIMO
transmits in a set of contiguous tones. We briefly transmissions.RIindicatesthe
describe three major channels in the LTE uplink, maximumnumberoflayersfor
namelyPUSCH(PhysicalUplinkSharedChannel), spatialmultiplexingandPMIthe
PUCCH (Physical Uplink Control Channel), and preferredprecodingmatrix.
SRS (Sounding Reference Signal), with the HARQacknowledgments(HARQ
emphasis on how that constraint is met. We will ACK)toindicatewhethera
not get into the details of physical channel correspondingPDSCHhasbeen
processingofthesechannels. receivedsuccessfully.

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receivedsuccessfully. PUSCH physical resource allocated to the UE.


Schedulingrequests(SR)torequest Example 2.1 describes the allocation and hopping
PUSCHchannelresource. of the PUSCH physical resource. In a slot, the
middle OFDM symbol is used to send DMRS,
Asshownin Figure 2.28 later, PUSCH occupies which is for coherent demodulation at the eNB
the PRBs in the middle of the total bandwidth. receiver.DMRSisdefinedbyacyclicshiftofsome
PUCCH takes both edges so as to maximize base sequence based on a ZadoffChu sequence
frequency diversity (when combined with (whenthenumberofPRBsisatleast3)oraspecial
frequencyhoppingseebelow)andnottofragment QPSKsequence (when the number is 1 or 2). The
the bandwidth (thereby making it easy to allocate complexsymbolsfromDFTprecodingaremapped
contiguousPRBstoPUSCH). to the remaining six OFDM symbols, as shown in
Let us first consider PUSCH. As described in Figure2.26.
Figure 2.24, information bits of a transport block
arechannelcoded,mappedtomodulationsymbols,
andprocessedwithDFTprecoding(ignoringother
steps such as CRC insertion, segmentation, and
scrambling). The output of DFT precoding is a
block of complex symbols to be mapped to the
PUSCH physical resource allocated to the UE.

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equalto10QPSKsymbols)aresentwithformat2.
Figure2.27showsthephysicalresourcemappingof
PUCCHformats1and2.
Informat1,themiddlethreeOFDM symbols in
eachsloareforDMRS.TheBPSK/QPSKsymbolof
a HARQACK or SR report is modulated in the
remaining four OFDM symbols. Clearly sending
only one BPSK/QPSK in a PRB is wasteful. To
utilize the resource efficiently, multiple format 1
BPSK/QPSKsymbolsofdifferentUEsorthogonally
Figure2.26IllustrationofPUSCHphysicalresourcemappingina sharethesamePRBinacodedivisionmultiplexing
subframe.ThisfigureshowsVRBsanddoesnotincludeslotbased (CDM) manner. Specifically, the BPSK/QPSK
hoppingshowninFigure2.15thatmapsVRBstoPRBsfor
symbol of a UE is multiplied by a length4
frequencydiversity.
orthogonalcoversequence,anditsreferencesignal
NextweconsiderPUCCH.Roughlyspeaking,H is also multiplied by a length3 orthogonal cover
ARQACK(1or2bits,equaltooneBPSKorQPSK sequence. Each of the seven resultant symbols is
symbol) and SR (ONOFF keying) are sent with thenmultipliedbyalength12sequencetogenerate
PUCCHformat1andCQI/PMI/RI(20coded bits, 12 symbols, which are sent in the 12 tones of the
equalto10QPSKsymbols)aresentwithformat2. PRBinacorrespondingOFDMsymbolintheslot.

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PRBinacorrespondingOFDMsymbolintheslot.
The length12 sequence is an orthogonal phase
rotationofaCSRSsequence.Thereareatmost12
orthogonalphaserotationsgiven12tonesinaPRB.
As long as two UEs are assigned different
orthogonal covers or phase rotations, their
BPSK/QPSK PUCCH signals are orthogonal.
Hence,upto312=36differentUEscanideallybe
multiplexedinthecodespace,althoughnotallthe
12 phase rotations are orthogonal in a frequency
selectivechannel.

Figure2.27IllustrationofPUCCHphysicalresourcemappingina
subframe.ThisfigureshowsVRBsanddoesnotincludeslotbased
hoppingshowninFigure2.28thatmapsVRBstoPRBsfor
frequencydiversity.

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frequencydiversity. PUCCH PRB, the phase rotations of the CSRS


sequencevaryfromoneOFDM symbol to another
In format 2, there is a total of four OFDM
accordingtoacellspecifichoppingsequencesoas
symbolsinasubframeforDMRS. Each of the 10
torandomizeintercellinterference.
QPSKsymbolsofaCQI/PMI/RIreportissentina
Furthermore, similar to Figure 2.15 shown for
remaining OFDM symbol. A QPSK symbol is
PUSCH, slotbased block hopping is used to
multipliedbyaphaserotatedlength12cellspecific
maximizefrequencydiversityforPUCCH,asshown
sequencetogenerate12symbols,whicharesentin
in Figure 2.28. Note that the number of PRBs
the12tonesofthePRBinacorrespondingOFDM
neededforPUCCH,particularlythe number of H
symbol.
ARQACKreports,mayvaryfromonesubframeto
Because both formats use phase rotated length
another. PRBs allocated for format 2 are at the
12 cellspecific sequences, format 1 and 2 PUCCH
bandwidth edge and for format 1 are next to
signalscanbemultiplexedin the same PRB using
PUSCH so that the PUSCH bandwidth can be
different orthogonal phase rotations. A phase
adjusteddynamicallytoabsorbsuchavariation.
rotationcanbeusedeitherbythreeformat1orone
format 2 PUCCH signals since format 2 does not
useorthogonalcoversequencestoseparateUEsof
thesamephaserotation.Inadditiontoorthogonal
multiplexing different UEs of the same cell in a

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scenariosinpractice.The first question is, how to


send more than one report in a subframe? The
PUCCH resource for CQI/PMI/RI and SR is
determined beforehand and occurs in a periodic
manner. In principle, the eNB can schedule the
PUCCHresourcesuchthataUE is never required
to send CQI/PMI/RI and SR reports
simultaneously. On the other hand, the PUCCH
resourceforHARQACKisslavedtoPDSCHinthe
sense that if a UE receives PDSCH, it should
transmit HARQACK in a corresponding
subframe.Thus,HARQACKmay overlap in time
withCQI/PMI/RIorSRforagivenUE.
Thegeneralprincipleofhandlingthissituationis
Figure2.28IllustrationofPUCCHslotbasedblockhopping. to transmit in only one PUCCH PRB to keep the
PAPRlow.Thespecificprocessingschemedepends
So far we have considered the basic case of a
onthesituationasexemplifiedbelow:
single control report (HARQACK, SR, or
CQI/PMI/RI). We next address more complex HARQACKandSR.NotethatSR

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HARQACKandSR.NotethatSR theUEtransmitsSR.
issignaledwithONOFFkeying.The HARQACKandCQI.Inthiscase,
UEdoesnottransmitanysignalifit thePUCCHresourceofHARQACK
hasnoSRtosend.Inthiscase,the isleftunusedandthePUCCHformat
UEtransmitstheHARQACKreport 2ismodifiedslightlyintheCQI
inthecorrespondingPUCCH resource.Specifically,ineachslotthe
resourceofHARQACK.However,if BPSK/QPSKsymbolofaHARQACK
theUEintendstosendanSRreport, reportissentinthesecondOFDM
itinsteadtransmitstheHARQACK symbolthatisreservedforDMRSin
reportinthePUCCHresourceofSR theoriginalformat2(seeFigure
withoutexplicitlysendingtheSR 2.27b).
report.ThePUCCHresourceofH
ARQACKisleftunused.By While the above processing schemes allow
comparingthereceivedenergyinthe multiple reports to be sent simultaneously, they
SRandHARQACKresource,the maydegradethedecodingperformanceandleadto
eNBreceiverisabletodetermine more subtle error events. For example, in the H
whichPUCCHresourceactually ARQACK and CQI case, using only one OFDM
carriesasignalandthereforewhether symbol for DMRS, as opposed to two, sacrifices
theUEtransmitsSR. the performance at high Doppler frequencies.

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the performance at high Doppler frequencies. ACK and the PUCCH resource scheduling of
Moreover,now it becomes hard to detect whether CQI/PMI/RIandSR.
theUEactuallysendsHARQACK.Notethatthere Theprincipleofhandlingthissituationistoleave
are indeed three states of a HARQACK report: thePUCCH resource unused and transmit control
ACK, NAK, or no report. NAK indicates failed symbolsinPUSCH.Together,thedataandcontrol
decodingofPDSCHwhilenoreportmeanstheUE symbolsaretimemultiplexed using the SCFDMA
misses the scheduling grant. Clearly the error scheme.
recovery mechanism is different for those two In general, control symbols need to be better
events. However, carrying the HARQACK protectedthandatasymbolsbecauseofthelackof
modulation symbol in the resource that would HARQ and short codeword lengths. This can be
otherwisebeusedforDMRSmakesithardforthe done by boosting the transmit power of a control
eNB receiver to detect which error event actually symbolascomparedwithadatasymbol.However,
takesplace. such a scheme leads to power fluctuation and a
Thenextquestionishowtosend both data and high PAPR. Alternatively, one can keep the
control in a subframe from a given UE? This can transmit power constant over the subframe and
happen since data transmission in PUSCH is increasethenumberofREsofcontrolsymbolsfor
determinedbytheuplinkscheduler,whichmaynot better coding protection. In LTE, the number of
always coordinate with the scheduling of HARQ REsforCQI/PMI,HARQACK,orRI depends on
ACK and the PUCCH resource scheduling of thecoding and modulation scheme of the PUSCH

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thecoding and modulation scheme of the PUSCH


and an offset parameter, which is used to control
the reliability of control symbols relative to data
symbols. Figure 2.29 illustrates the time
multiplexing of control and data symbols in
PUSCH. Note that the HARQACK symbols are
mapped near the reference signal to benefit from
betterchannelestimationattheeNBreceiver.
Finally,SRSisusedforthe eNB to estimate the
uplink channel quality. SRS is sent in the last
OFDM symbol of a subframe. The subset of Figure2.29Illustrationofmultiplexingcontrolanddatasymbols
subframesinwhichSRSmaybesentisspecifiedin inPUSCH.Eachcolumnrepresentstheblockofsymbolstobe
processedaccordingtotheSCFDMAscheme,namelywithDFT
adownlink broadcast message. To avoid collision,
precodingandIFFTinanOFDMsymbol.Althoughshownina2D
PUSCHisrestrained from transmitting in the last grid,thesymbolsinacolumndonotcorrespondtodifferenttones
OFDMsymbolsinthosesubframes. buttotimeinstantswithinanOFDMsymbol.

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modulationsymbols are concerned, an SRS signal


is similar to DMRS described in Example 2.2. In
particular, to generate orthogonal SRS signals,
different cyclic shifts can be applied to the same
base sequence derived as a cyclic extension of
primelengthZadoffChusequences.Thus,multiple
UEs can send their SRS signals in the physical
resourceshowninFigure 2.30 in a CDM manner.
Inaddition,otherUEs can share the same OFDM
symbolinanFDMmannerbyutilizingothertones,
particularly since an SRS occupies every other
tones.AgivenUEisscheduledtotransmitanSRS
signalperiodically,wheretheperiodrangesfrom2
Figure2.30IllustrationofanSRSsignal.
to320ms.
Figure 2.30 shows an example of an SRS. In The SRS signal is intended to cover a wide
frequency,itstartsfromsometonek0andoccupies bandwidth to facilitate a frequency selective
every other tones for some bandwidth, there by scheduler. The eNB scheduler measures the
creating a comblike spectrum. As far as channelqualityofdifferentportionsofthePUSCH
modulationsymbols are concerned, an SRS signal bandwidth and schedules a UE in favorable ones.

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bandwidth and schedules a UE in favorable ones. channel or implementation. The level of


Tothisend,theSRSsignalcanbewidebandinone orthogonality,measuredbytheinterferencepower
OFDMsymbolorbenarrowband(withthesmallest betweenthetonesignals,determines the extent to
bandwidthequalto4PRBs)buthopoverfrequency whichtheOFDMAsystemcanexploitorthogonality
inatimedurationofmultiplescheduledsubframes. in practice. In this section, we will model the ICI
causedbyavarietyofimpairments.Tosimplifythe
equations,weignoretheadditivethermalnoise.
2.4Realworld
impairments
2.4.1Carrierfrequency
So far we have assumed that, excluding the cyclic offsetandDoppler
prefix,thetonesignalsinOFDMA3areorthogonal. effect
AswillbeelaboratedinChapter3,orthogonalityis
a fundamental property of OFDMA, and a central First,considerfrequencyoffset f f betweenthe
theme of the OFDMA mobile broadband system transmitterandthereceiverwheref0.5.Iff >
design principles is to exploit orthogonality. 0.5, then most of the signal energy of tone k will
However,intherealworldnotwotonesignalsare showupinadifferenttonen,nk.Weignorethis
perfectly orthogonal because of imperfect wireless integertoneshiftscenario.Thefrequencyoffsetcan
channel or implementation. The level of be caused by carrier frequency mismatch between

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be caused by carrier frequency mismatch between


thetransmitterandreceiverorbyDoppler shift in
thechannel.
Consider a signal transmitted at tone k, X[k]
exp(j2[k]t), where X[k] is the complex symbol
with normalized signal power |X[k]|2 = 1. The
outputoftheDFTmoduleatthereceiveris

Figure2.31ICIpower|Y[n]|2versustoneindexknwith
frequencyoffsetf.

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Notethatthedesiredsignalcomponentattonekis Some commonly used models of r() are listed


below:
distortedby factor , which
isindependentofk.
Figure2.31plots|Y[n]|2,nkversustoneindex
k n. We observe that the ICI power drops
drastically as n moves away from k in a modular
wheredisthemaximumDopplershift,J0()isthe
sense, or more precisely as
zerothorderBesselfunctionofthefirstkind.
decreases.
TheoutputoftheDFTmoduleatthereceiveris
Now let us consider Doppler spread. For flat
fading,thereceivedsignalisgivenas

where g(t) is a widesense stationary stochastic where .Itfollows:


process with zero mean and unit variance. Define
correlationfunctionofg(t)tobe

Some commonly used models of r() are listed

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foravarietyof f = fdTs using the


models in Equations (2.45) (2.46) and (2.47). We
notethattheICIpowersofthetwopathmodeland
the frequency offset model are the same and are
moreseverethanthatoftheothertwomodels.
where . (|Y[k n]|2) drops quickly
withkn,similartowhatisshowninFigure2.31.
Furthermore,

Thelaststepassumesthatthecorrelationfunction
r()isrealandthusanevenfunction.
Figure 2.32 plots the total expected ICI power
foravarietyof f = fdTs using the

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Figure2.32TotalICIpower versusfusingthe receiver symbol 0 time. As shown in Figure 2.33,


frequencyoffsetmodelandtheJakes,uniform,andtwopath thefirstNGinputsamplesoftheDFTmodulecome
Dopplerspreadmodels.
fromthesymbol1signalandtheremainingNc
NGsamplesfromthesymbol0signal.
2.4.2Arrivaltime TheoutputoftheDFTmoduleatthereceiveris
beyondthecyclicprefix

A signal that arrives at the receiver beyond the


cyclic prefix interval will cause ISI and ICI. This
may occur because of symbol synchronization
mismatchbetween the transmitter and receiver or
delayspreadexceedingthecyclicprefix.
To study the effect of the time misalignment,
suppose that the transmitter sends X[1, k] and
X[0, k] on tone k during two successive OFDM
symbols, where X[1, k] and X[0, k] are i.i.d.
Figure2.33Illustrationofarrivaltimebeyondthecyclicprefix.
complexmodulationsymbols.Thesymbol0 signal
arrives beyond the cyclic prefix interval of the ThefirsttermofY[n]istheISIfromsymbol1.The
receiver symbol 0 time. As shown in Figure 2.33,

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second term of Y[n], n k, is the ICI from the the DFT module and the missing NG samples of
currentsymbol0.Itfollows symbol 0. Therefore we approximate the total
ICI/ISIpowertobe .Figure2.35showsthatthe
approximationisquiteclose.

2.4.3Samplingrate
mismatch
Figure2.34plots|Y[n]|2,nkversustoneindex
k n. We observe that similar to Figure 2.31 the Ingeneral,thesamplingclockisusuallydifferentat
ICI/ISI power drops drastically as n moves away theuserandatthebasestation.Toreducecost,the
fromk. crystalusedattheuserisusuallylessaccuratethan
The total ICI/ISI power is given by that used at the base station. When the user is
communicatingwithabasestation,itcandetectthe
.Thelastterm is the ISI on basestationsamplingratefromthedownlinksignal
tonekfromsymbol1.Figure2.35plotsthetotal anduseittoadjustitsownsamplingratefor both
ICI/ISIpowerversusNG/Nc.NotethattheICI/ISI the downlink and the uplink. This way, the base
iscausedbytheNGsamplesofsymbol1thatenter stationusesafixedsamplingrateanddoesnotneed
the DFT module and the missing NG samples of to explicitly control the user. In the following, we

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to explicitly control the user. In the following, we


study the interference from any residual sampling
ratemismatch.
SupposethatthereceiversamplingrateisNc/Ts,
as before, but the transmitter sampling rate is
Nc/(Ts(1 + s)). Consider a signal transmitted at
tonek,X[k]exp(j2[k]t(1+s)),whereX[k]isthe
complex symbol with normalized signal power
|X[k]|2=1.Thereceivedsignalsamples l are X[k]
exp . The output of the DFT module at
thereceiveris

Figure2.34ICI/ISIpower (|Y[n]|2)versustoneindexkn
whenarrivaltimeisnotcoveredbythecyclicprefix.N c =512.

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Note that Equations (2.49) and (2.52) depend


only on k n while Equation (2.54) depends on
both k n and tone index k. In the previous two
impairments,thetotalinterferencepowerdoesnot
depend on the tone index of which the signal is
sent. However, this is not the case with the
sampling rate mismatch impairment. Let the
transmittedsignaltobeX[k]ontonekfork=0,,
Nc1andX[k]arealli.i.d.DefineICIs(k)thetotal
ICIpoweron all tone ns (n k) where the ICI is
Figure2.35TotalICI/ISIpowerversusN G/N c whenarrivaltimeis
notcoveredbythecyclicprefix. causedbyasignalontonek,and ICId(n) the total
ICI power seen on the tone n where the ICI is
Itfollowsthat causedbysignalssentonalltoneks(kn).Figure
2.36plotsICIs(k)andICId(n).Weobservethatthey
areflatoveralargerangeofnork.

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Phasenoise

Phasenoiseiscausedbytheinstabilityofphaseina
local oscillator. Consider a baseband signal x(t).
Thesignalaffectedbyphasenoisecanbe modeled
as

where (t)isassumedtobesmall. (t)is modeled


as a stationary Gaussian process with zero mean,
and the power spectrum density L() is typically
givenasfollows:

Figure2.36ICIs(k)versuskandICId(n)versusninthepresenceof
samplingratemismatch.N c =512.
Defineautocorrelationfunction
Consider a signal transmitted at tone k, X[k]
exp(j2[k]t), where X[k] is the complex symbol

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exp(j2[k]t), where X[k] is the complex symbol


with normalized signal power |X[k]|2 = 1. The
outputoftheDFTmoduleatthereceiveris

where ,and

Figure2.37ICIpower (|Y[n]|2)versustoneindexkninthe
presenceofphasenoise.N c =512,Ts=100s.Phasenoise
parameters:a=6.5,b=4,c=10.5,f1=1kHz,andf2=10kHz.

Note that Y[k] = X[k][1 + j (0)], so the desired


signalcomponentattonekisdistortedbyfactor1+
j (0).Moreover,whennk,

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j (0).Moreover,whennk, with normalized signal power |X[k]|2 = 1. The


signalaffectedbyI/Qimbalancecanbemodeledas

Figure 2.37 plots (|Y[n]|2), n k versus tone


indexk n. Similar to Figure 2.31, the ICI power
dropsdrasticallyasnmovesawayfromk. Table2.3.TotalICIpowerinthephasenoisemodel.

Table 2.3 shows the total ICI power as we vary


a b c TotalICIpower(dB)
theparametersofthephasenoisemodel. 5.5 4 10.5 30
6.5 4 10.5 36
7.5 4 10.5 38
2.4.4I/Qimbalance 6.5 4 9.5 28
6.5 4 11.5 40
I/Q imbalance occurs when the gain/phase is
different along the inphase and the quadrature where g represents the imbalance in gain and
signal processing path. Consider a signal the imbalance in phase. Note that g and may
transmitted at tone k, A[k] exp(j(2[k]t + [k])), vary with tone when I/Q imbalance is frequency
whereX[k]=A[k]exp(j[k])isthecomplexsymbol selective.
with normalized signal power |X[k]|2 = 1. The

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Theimpactof I/Q imbalance is that a signal on While the adjacent channel interference can be
tonekleaksenergyinitsimagetonek,thatis,Nc mitigated with filtering, the inband noise will
k,wheretheleakagepowerisgivenby uniformlyaffectallthetones.

Discussionnotes2.7DeterminationofOFDMA
parameters
Figure2.38plots (|Y[Nck]|2)versus for a
fewvaluesofg. Two key design parameters in OFDMA are tone
spacing f and length of the cyclic prefix Tcp.
Recallthattheoverheadduetothecyclicprefixis
2.4.5Poweramplifier
nonlineardistortion

Whenatransmittedsignalexceedsthelinearregion
Clearly the smaller f Tcp, the smaller the
ofthepoweramplifier,thesignalsuffersnonlinear
overhead.Ontheother hand, larger f or Tcp in
distortion.Thiscanbemodeledasanimpulsenoise
addedattheclippingtimeinstant,whichleadstoa general helps mitigate the effect of the
fairly flat power spectrum density function of in impairments. In particular, from Section 2.4, we
band noise and interference to adjacent channels. learnthat
While the adjacent channel interference can be

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LargerTcpreducestheduration Figure2.35.However,itshouldbepointedoutthat
duringwhichasignalmayarrive the cyclic prefix needs to cover both delay spread
beyondthereceivercyclicprefix and potential time misalignment between the
interval. transmitter and the receiver. As described in
Largerfreducestherelative Section2.2,intheuplinkthebasestationcontrols
carrierfrequencyoffsetandDoppler the transmit symbol times of all the users within
effectaswellasreducingtheimpact the sector in a closedloop manner. Inaccuracy in
ofphasenoise. timing control reduces the margin of the cyclic
prefixtocoverdelayspread.
InLTE,f =15kHz,Tcp5s(normalmode)or NextconsidertheeffectofDopplerspread.Recall
17s(extendedmode). that at velocity and carrier frequency fc, the
Nowconsidertheeffectofdelayspread.Inmany Dopplershiftisgivenby wherec=3108meters
ITUchannelmodels,themaximumdelayspreadis persecondisthespeedoflight.Withatypical900
within5 s and can be completely covered by the MHz or 1.9 GHz carrier frequency for a cellular
cyclicprefix.Ifthemaximumdelayspreadis15s system,theDopplershiftislessthan200Hzat=
andthefractionofsignalenergybeyondthe cyclic 70milesperhour.Withthetonespacingof15kHz,
prefix interval is 25 dB, then the total ICI/ISI f < 0.02. Therefore, the total ICI power due to
power due to delay spread is about 35 dB from
Dopplerspreadisabout40to30dBfromFigure
Figure2.35.However,itshouldbepointedoutthat

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2.32,andthetotalICIpowerduetophasenoiseis
about36dBfromTable2.3.However,weshould
point out that in openloop frequency
synchronization (Section 2.2), after the user
synchronizesitsreceivecarrier frequency with the
downlink signal, the user applies the same
frequency correction to its transmit carrier
frequency.ThentheworstcaseDopplershiftinthe
uplink may be doubled and became 2, twice as
much as the previous estimate. The frequency
discrepancy can be reduced if the users transmit
frequencyiscontrolledinaclosedloopmannerby
the base station similar to closedloop timing
Figure2.38ICIpower (|Y[N c k]|2)versus inthepresenceof
control.
I/Qimbalance.

2.5Cross
interferenceand
selfnoisemodels

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selfnoisemodels interested in here is an abstraction model that


capturestheessenceofICIcharacteristicsandyetis
2.5.1Cross simpleenoughforsystemleveldesign.Tothisend,
interferenceandself weproposethefollowingtwoICImodels.Consider
a signal multiplexing scenario where two signals
noiseduetoICI
(Xi,i=1,2)arereceivedinanOFDM symbol and
So far we have studied a variety of real world occupy distinct tones. Denote by P the total
impairments.Whenatonesignalissent,theICIit receivedpower.SupposeXioccupiesafractioniof
generatesbelongstooneofthefollowingtwotypes: thetotaltones,withi[0,1],1+2=1, and is
receivedatpoweriP,withi[0,1],1+2=1.
nonuniformICI:theICIpower
The cross interference model assumes that the
mostlyconcentratesonnearbyor
ICIpowertoXiis
imagetones
uniformICI:theICIpower
uniformlydistributesamongallother
tones. and the selfnoise model assumes that the ICI
powertoXiis
The techniques of mitigating those impairments
are out of the scope of this book. What we are

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where , are small positive numbers. The cross


interferencemodel applies to uniform ICI or non
uniformICIwiththetonesofX1andX2verymuch
interleaved with each other. Thus, the ICI power
seenbyXiisroughlyproportionaltothefractionof
bandwidthitoccupies.Ontheotherhand,theself
noisemodel applies to nonuniform ICI with each
ofX1andX2occupyingacontiguoustoneblock.In
thiscase,sincetheICIisdominatedbytheleakage
from nearby tones, the ICI power between X1 and
X2 tone blocks is much smaller than that within
eithertoneblockitself.Thus,theICIpowerseenby
Xiisroughlyproportionaltothefractionofpowerit Figure2.39Illustrationofpilottonesymbolsanddatatone
symbols.
receives.
Qualitatively speaking, the leakage power of an
OFDMA signal is spilled evenly to all the tones of
the entire bandwidth in the cross interference
model but contaminates only the fraction of

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model but contaminates only the fraction of H[k] is a complex number that depends on the
bandwidththatthesignalitselfoccupiesintheself models and parameters of the impairments. For
noisemodel. example,inthephasenoisemodel,Equation(2.58)
says that . In general,
2.6Selfnoisedue H[k] also includes the wireless channel and filter
toimperfectchannel responsefromthetransmittertothereceiver.
In coherent demodulation, the receiver first
estimation
obtainsthechannelestimateofH[k],referredtoas
A similar phenomenon of the selfnoise model [k], and then demodulates X[k] from Y[k] and
(2.66) can also be caused by imperfect channel [k].selfnoiseariseswhenthechannelestimation
estimation. In this case, unlike the ICI, the self isimperfect.
noiseinatoneiscausedbythesignalpoweronthat First let us see how channel estimation is
toneitself. typically done in an OFDMA system. Section B.3
In Section 2.4, we see that under various real reviewschannelestimationtechniques.Asshownin
worldimpairments,theoutputofthe DFT module Figure 2.39, a subset of tonesymbols are used to
at tone k of a transmitted tone signal X[k] send known symbols, called pilots, and the
exp(j2[k]t) is given by Y[k] = H[k]X[k], where remaining ones carry informationbearing data
H[k] is a complex number that depends on the symbols.Atatonesymbol(s,k),wheresandkare

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OFDM symbol index and tone index, respectively, Thechannelestimationerroris


thereceivedsymbolisgivenby

We drop index (s, k) to simplify notation in the where 2 = (|Wp|2) is the power of the additive
following and use subscripts p, d to indicate pilot noise.
anddata. TheestimationofHdfrom Hp assumes they are
The receiver first estimates Hp at a pilot tone correlatedintime and frequency. Next we assume
symbolandthenHdatadatatonesymbolfromp. the Gaussian Markov model (see Section 4.1.5 for
Forsimplicity,hereweassumethatHdisestimated details) for channel correlation. Specifically,
fromone pilot. In reality, channel estimation uses suppose that the distance between the data and
severalpilots,buttheanalysis following still holds pilot tonesymbols are s0 OFDM symbols and k0
ingeneral. tones.Then
Denote by H = H the channel estimation
error.Supposethatthechannelestimateatthepilot
is whereHd,Hp,WHarezeromeancomplexGaussian
random variables with the same variance equal to
theexpectedchannelpowergain (|H|2),and

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theexpectedchannelpowergain (|H|2),and

withparameterst,fdefinedin(4.39)and(4.40).
Thisequationshowsthatthenoise consists of two
Theunbiasedestimateisgivenby
components.Thepowerofthesecondonedropsas
(|H|2) increases, while that of the first one
remainsunchanged.TheeffectiveSNRis
It can be shown that assuming t, f 1, the
channelestimationerroris

When the receiver demodulates data symbol Xd


from Yd and d, suppose we use zeroforce
equalization(2.12)

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selfnoise term, which exhibits very different


characteristics from the additive noise in the
traditional channel model Equation (2.67), as its
power is equal to (s0t + k0f) (|HX|2), which
grows with the signal power. To emphasize the
effect of the selfnoise, we modify the channel
model(2.67)tobe

where U[s, k] is zero mean unit variance complex


Gaussian random variable. Hence, the total noise
consistsofsignalindependentnoiseandselfnoise,
Figure2.40Illustrationofnoisecharacteristicline. which is signal dependent. From Equation (2.76),
the power of the selfnoise is equal to (|HX|2)
which states that even if goes to zero, SNR and grows linearly with the signal power. Figure
saturates at a value that depends on the inherent 2.40depictsthesignalpowerversusthetotalnoise
channeluncertaintycharacterizedbytandf. power,whichismodeledbyastraightline,referred
Thisresidualchannelestimationerrorleadstoa toasnoisecharacteristicline,withslopeequalto1/
selfnoise term, which exhibits very different andxaxisintercept2.

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andxaxisintercept2.
TheeffectiveSNRattonesymbol(s,k)isthus

Figure2.41IllustrationofSNRversusSNR 0.

where istheSNRintheabsenceofthe
selfnoise.AsshowninFigure2.41,athigh0,SNR
growssublinearlywith0andeventuallysaturates
at .

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measures the SNR at the pilot tonesymbols in


at .
Figure2.39,denotedby(P).Then,ifthetransmit
Nowconsiderthesignalmultiplexingscenariowe
powerofthedatasignalisQpertonesymbol,then
discussedpreviouslywheretwosignals(Xi,i=1,2)
theSNRislinearlypredictedtobe
are received in an OFDM symbol. Unlike ICI, the
selfnoiseduetoimperfectchannelestimationdoes
notspreadintoothertones,andthereforethenoise
powerisrepresentedbytheselfnoisemodel(2.66). However,inthepresenceofselfnoise,thislinear
prediction(2.78)maynotbeaccurate.Inparticular,
when(P)ishighandinthesublinearregionshown
2.6.1Selfnoise
inFigure2.41,areductionintransmitpowerfrom
measurementvianull Pto Q results in a smaller reduction in SNR than
pilot what is expected by the linear scaling (2.78). In
otherwords,whena user is very close to the base
In scheduling and resource allocation, we often
station such that its pilot SNR in the downlink is
need to predict the SNR for a given signal power.
saturatedbyselfnoise,thebasestationcanallocate
The usual approach, without taking into account
a smaller transmit power to the user without
selfnoise, is as follows. Suppose that the pilot is
hurtingitsSNRmuch.
sent at power P per tonesymbol. The receiver
Wecanusethenoisecharacteristic line to more
measures the SNR at the pilot tonesymbols in

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Wecanusethenoisecharacteristic line to more independentnoiseWatthenullpilottonesymbol.


accuratelypredicttheeffectiveSNR.InFigure2.40, Atthepilottonesymbol,thereceivermeasures(P)
(Q) is equal to the slope of the dotted line that and the total received power, denoted by R(P). It
connects the origin and the point on the noise followsthat:
characteristic line corresponding to the signal
power Q. Clearly, to fully define the noise
characteristic line, we need two measurement
pointsontheline.Thetwopointsshould be made
apart as much as possible to minimize the Aftersomealgebra,wehave
estimation error. The measurement at the pilot
power is an obvious one to be used, as usually a
pilotsymbolissentwithhigherpowerthana data
symbol. The other measurement can come from a
nullpilot,whichissimilartotheusualpilot,except
2.7Summaryof
that zero signal power is transmitted on the null keyideas
pilottonesymbol.Thetwomeasurementpointsare
Orthogonality,thatis,noISIand
illustratedinFigure2.40.
ICI,isthefundamentalfeatureof
The receiver measures 2, the power of signal
OFDM.Itisattributedtotwo
independentnoiseWatthenullpilottonesymbol.

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enablingideas,namely,sinusoidbasis roundtrippropagationdelaybetween
functionsandcyclicprefixes.OFDM auserandabasestation.Timing
canbeimplementedefficientlywith controlisnotrequiredinCDMA.
IFFTandFFT. Closedloopfrequencycontrolmay
ThebasicprinciplesofOFDMAina notberequiredifthetonespacingis
cellularsystemaretomultiplexintra sufficientlylarge.
celluserstodistincttonessoasto SCFDMAreducesthePAPRby
makethemorthogonalwitheach about2.54dBatthecostofresource
other,andtoreusethesametonesin allocationnotbeingflexible.Two
allcellstoachieveuniversalfrequency resourceallocationschemesare
reuse.Intercellinterferenceis possibletheallocatedtoneshaveto
averagedwithtonehopping.Inthis beeithercontiguousorequally
sense,hoppedOFDMA,similarto spaced.SCFDMAalsorequires
CDMA,belongstothefamilyof frequencydomainequalizationand
spreadspectrumtechnologies. incursalossinSNRinafrequency
Tomaintaintheorthogonalityin selectivechannel.
OFDMAuplink,closedlooptime TheorthogonalityinOFDMAisnot
controlisrequiredtocompensatefor perfectinpractice.ICIarisesinthe
roundtrippropagationdelaybetween presenceofrealworldimpairments.

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presenceofrealworldimpairments. 2
HerewefocusononeOFDMsymbol.Thecyclic
prefixisignoredasitdoesnotaffectPAPR.The
Inatypicalchannelenvironmentand
transitionbetweensuccessiveOFDMsymbolsdue
implementation,ICIisabout35to tofilteringisnottakenintoaccountinourPAPR
25dB.Forusermultiplexing,ICI analysis.
3
Thediscussioninthissectionisalsoapplicableto
leadstoselfnoiseandcross
SCFDMA.WeuseOFDMAasageneraltermto
interferencethatlimittheSNR. includebothOFDMAandSCFDMA.
Selfnoisealsoarisesfromimperfect
3Systemdesign
channelestimationwithitspower
proportionaltosignalpower.Self principles
noiseisinadditiontotheadditive
noiseinaconventionalchannel
model,andcausestheSNRto This chapter first summarizes the system level
saturateinthehighSNRregime.Self
benefits of using OFDMA as the underlying
noisedoesnotleaktoothertones. multiple access technology, and then qualitatively
1
Herewerelyonresourceallocationforintercell
interferenceaveraging.Chapter6willexpandthe
presents the basic system design principles of
ideatoactiveinterferencecontroland OFDMA mobile broadband communications in a
coordinationinthecontextoffractionalfrequency cellularnetwork.Thischapterservesasapreviewof
reuse.
2
HerewefocusononeOFDMsymbol.Thecyclic
many topics to be covered in the remaining
chapters of the book. We emphasize the concepts

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