Multi-Carrier Transmission

over Mobile Radio Channels

Jean-Paul M.G. Linnartz
Philips Research and TU/e
Outline

• Introduction to OFDM
• Discussion of receivers for OFDM and MC-CDMA
• Intercarrier Interference, FFT Leakage
• New receiver designs
• Simulation of Performance
• Conclusions
OFDM

OFDM: a form of MultiCarrier Modulation.

• Different symbols are transmitted over different subcarriers
• Spectra overlap, but signals are orthogonal.
• Example: Rectangular waveform -> Sinc spectrum
Applications

Fixed / Wireline:
• ADSL Asymmetric Digital Subscriber Line

Mobile / Radio:
• Digital Audio Broadcasting (DAB)
• Digital Video Broadcasting - Terrestrial (DVB-T)
• Hiperlan II
• Wireless 1394
• 4G (?)
I-FFT: OFDM Transmission

Transmission of QAM symbols on parallel subcarriers

Overlapping, yet orthogonal subcarriers

User cos(ωct)
symbols

cos(ωct+ ωst)

Parallel-to-
Serial-to-

I-FFT
Serial-to-
parallel

Parallel

Serial
cos(ωct+ iωst)

cos(ωct+ (N-1)ωst)
I-FFT: OFDM Transmission

Transmission of QAM symbols on parallel subcarriers

Overlapping, yet orthogonal subcarriers

 1 jωk t
 e t ∈ [0, Ts ]
ψ k (t ) =  Ts
0 otherwise

with ωk = ω0 + kωs ; k = 0,1,...,Nc −1

Although the subchannels overlap, they do not interfere with each other
at f = fk; (k = 0, 1,...,Nc-1). Indeed, they are orthogonal:
Ts

∫ k l (t )dt = δ (k − l )
ψ ψ *
(t )
0
 OFDM Subcarrier Spectra

Symbol duration : inverse of

subcarrier spacing plus cyclic
prefix

Sampling rate : inverse of

transmit bandwidth
Frequency

Pulse shape in time domain: rectangle Π(t / NTs)

N −1   F N −1 sin ( f (N + N cp )Ts )
s (t ) = ∑ an Π
t  ←→ S(f) = ∑ ansinc( f (N + N cp )Ts ) =
 (N + N )T  f (N + N cp )Ts
n =0  cp s  n =0
OFDM Subcarrier Spectra

OFDM signal strength versus

frequency.

Rectangle <- FFT -> Sinc

before channel

after channel

Frequency
Cyclic Prefic / Cyclix postfix

CP OFDM SYMBOL

Tcp Ts
T

The length of the cyclic prefix should be made longer than the
experienced impulse response to avoid ISI and ICI. However,
the transmitted energy increases with the length of the cyclic
prefix. The SNR loss due to the insertion of the CP is given by

 Tcp 
SNR loss = − 10 log 10  1 − 
 T 
where Tcp denotes the length of the cyclic prefix and T=Tcp+Ts is
the length of the transmitted symbol.
 Static Environment
Coded OFDM
Received signal at a subcarrier is not affected by transmitted symbols in
any other subcarrier

 y0   H 0 0   a0   n0 
 M = O  M  +  M 
      
 y N −1   0    
H N −1  a N −1  nN −1 
Ave BER curves:
slope ~ degree of
Symbol data can be recovered using simple single tap data estimation diversity on fading
channel
Hm = ∑ l
h
l
e − j 2 π ( mf s )τ l

Viterbi decoder helps recover bits from subcarriers in deep fade

 aˆ0   H 0 0   y0 
−1

 M = O

M 
    

aˆ N −1   0 −1 
H N −1   y N −1 
Single Frequency Networks

OFDM is robust against delay

spread
We can “mis”use this by transmitting
a synchronous signal from two
transmit sites
The Wireless Multipath Channel
OFDM and MC-CDMA in a
rapidly time-varying channel

Doppler spread is the Fourier-dual of a delay spread

Mobile Multipath Channel

Collection of reflected waves, each

with
• random angle of arrival
• random delay

Angle of arrival is uniform

Doppler shift is cos(angle)

U-shaped power density spectrum

Doppler Spectrum
 Crosstalk β caused by Doppler
0
10

P0

Power or variance of ICI

-1
10

P1 P2 P3

Power, Variance of ICI

-2
10

Y = [y0, y1, .., yN−1]T, with ym = Σnanβm,nTs

3rd tier subcarrier
-3
10

2nd tier subcarrier

βm,n is the ‘transfer’ for a signal transmitted at subcarrier n 10
-4
Neighboring subcarrier
and received at subcarrier m,
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Normalized Doppler [fm/fsub]

Doppler spread / Subcarrier Spacing

I w −1 D  ω 
β m ,n = ∑ i
sinc n − m + i 
i =0 2  ωs 
exp{− j (ω c + ω i + nω s )Ti − 1
2
jω i Ts + jπ ( n − m )}

For uniform angles of arrivals of waves, ICI power spilled from transmit
subcarrier n into received subcarrier m = n + ∆ equals

2 f 
sinc  ∆ + ∆ x dx
PT 1  fs 
P∆ = E ch β n + ∆ ,n β *n + ∆ ,n = ∫
8π −1 (1 − x2)
where
f∆ is the maximum Doppler shift, and
PT the local mean received power, per subcarrier
ICI caused by Doppler
0
10

Power or variance of ICI

P0

-1
10

P1 P2 P3
Power, Variance of ICI

-2
10

-3
3rd tier subcarrier
10
2nd tier subcarrier
Neighboring subcarrier
-4
10
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Normalized Doppler [fm/fsub]

Doppler spread / Subcarrier Spacing

Maximum attainable speed
 BER in a mobile channel

• Local-mean BER for BPSK,

versus antenna speed.
0
10

-1
• Local mean SNR of 10, 20
10
and 30 dB.
OFDM, 10 dB

-2
• Comparison between MC-
10
MC-CDMA, 10 dB
CDMA and uncoded OFDM for
OFDM, 20 dB fc = 4 GHz
Local-Mean BER for BPSK

-3
10
• Frame durationTs= 896µs
10
-4
OFDM, 30 dB
• FFT size: N = 8192.
•Sub. spacing fs = 1.17 kHz
MC-CDMA, 20 dB 30 dB

•Data rate 9.14 Msymbol/s.

-5
10

-6
10

-7
10
0 5 10 15 20 25 30 35 40
Antenna Speed (m/s)

Antenna Speed [m/s]

Mobile OFDM weakness: InterCarrier Interference

An effective description of ICI

y = [H + Ξ H’] a + n
self-interference
desired

where:
• H is a diagonal matrix with the complex transfer function per subcarrier
• H’ is the temporal derivative of H: H’ = dH/dt
• Ξ is the ICI spreading matrix: a system value, fixed!
• a is a vector of transmitted data
• n is vector of white Gaussian noise
Random Complex-Gaussian Amplitude

It can be shown that for p + q is even

( p + q − 1)!! (−1) q j p + q
(
E H n( p ) H m*( q ) = 2πf D ) p+q

( p + q )!! 1 + j (n − m)Trmsω s

and 0 for p + q is odd.

• This defines the covariance matrix of subcarrier amplitudes and

derivatives,
• allows system modeling and simulation between the input of the
transmit I-FFT and output of the receive FFT.
Channel estimation DVB-T

H estimation based on pilots in frequency domain

pilots
data carriers empty carriers

time OFDM symbol

frequency
Estimation of H

DVB-T pilots
pilots
data carriers empty carriers

time OFDM symbol

frequency

In every OFDM symbol, initial estimates of H at every pilot subcarriers can

be obtained.

In every OFDM symbol, estimate of H at each subcarrier is obtained:

– Spectral Wiener Filtering
– Input: Initial estimates of H at several (scattered) pilot positions .
Wiener Filtering for OFDM
Achievable car speeds with BB signal processing

120
Single antenna CoSyS result

50

On the market
Receiver 1: MMSE Matrix Inversion

Receiver sees Y = Q A + N, with Q=DIAG(H)+ Ξ DIAG(H(1))

• Calculate matrix Q = DIAG(H)+ Ξ DIAG(H(1))

• Compute MMSE filter W = QH [Q QH + σn2 IN]-1.

Performance evaluation:

• Signal power per subcarrier

• Residual ICI and Noise enhancement from W
ICI Handling: Brute force Matrix Inversion

SNR of decision variable. Simulation for N = 64, MMSE Wiener filtering to

cancel ICI

30
Conventional OFDM
MMSE equalization

25

MMSE ICI canceller

20
Output SINR

15

Conventional OFDM
10

5
Doppler Diversity

0
0 10 20 30 40 50 60 70
Subcarrier number
 Performance of (Blocked Band) Matrix Inversion

30

MMSE
Output SINR
25
k=4
20
Conv
15 OFDM

10

5 Conventional OFDM
MMSE equalization
simplified MMSE

0
5 10 15 20 25 30
Input SNR
N = 64, v = 200 km/h, fc = 17 GHz, TRMS = 1 µs, sampling at T = 1µs.
fDoppler = 3.15 kHz, Subc. spacing fsr = 31.25 kHz:
Compare to DVB-T: v = 140 km/h, fc = 800MHz: fdoppler = 100 Hz while fsr = 1.17 kHz
 ICI Cancellation
ICI cancellation
Cancel
Doppler
Y0
+
+
-
ICI

If H’n and an are known for all n, ICI can be removed FFT
almost completely from any subcarrier.
Ξ weigh
N −1
y 'm = ym − ∑ Ξ m ,n H ' n a n = H m a m + n k FFT
n =0

H’A

Implement Ξ as “FFT - Ramp - FFT”

 ICI Cancellation
ICI cancellation

However, H’ and a are not known to

the receiver: They have to be
estimated

– Full cancellation

N −1
y ' m = ym − ∑ Ξm,n Hˆ 'n aˆn
n =0 On average:
Canceling ICI originating from 4
closest subcarriers reduced the ICI
– Partial cancellation: ân is used power by 6 dB
only to cancel interference it Canceling ICI originating from 10
caused to p closest closest subcarriers reduced the ICI
subcarriers power by 10 dB
m+ p / 2
y ' m = ym − ∑ Ξm,n Hˆ 'n aˆn
n =m − p / 2
Receiver 1: Matrix Inversion

10

0
Amplitudes
-10

-20
Determined by speed of antenna,
and carrier frequency
Magnitude in dB

-30

-40 First derivatives

-50

-60

-70
Amplitudes
Derivatives

-80
0 10 20 30 40 50 60 70
Subcarrier number

Simulation of channel for N = 64, v = 200 km/h fc = 17 GHz, TRMS =

1 µs, sampling at T = 1µs. fDoppler = 3.14 kHz, Subcarrier spacing
fsr = 31.25 kHz, signal-to-ICI = 18 dB
Receiver 1: Matrix Inversion

SNR of decision variable. Simulation for N = 64, MMSE Wiener filtering to

cancel ICI

30
Conventional OFDM
MMSE equalization

25

MMSE ICI canceller

20
Output SINR

15

Conventional OFDM
10

0
0 10 20 30 40 50 60 70
Subcarrier number
Simplified Matrix Inversion

Rationale
• ICI diminishes with increasing subcarrier difference
• Approximate Ξ by band matrix with 2k+1 non-zero diagonals
• Matrix Q is approximately Q = [I + ∆] Λ
– ∆ small, ∆ ~ Ξ diag(V(1) ./ V)
– Λ diagonal of amplitudes V
• Approximate Q-1 = [I - ∆] Λ−1

Complexity ~2kN
 Performance of (Simplified) Matrix Inversion

30

MMSE
Output SINR
25
k=4
20
Conv
15 OFDM

10

5 Conventional OFDM
MMSE equalization
simplified MMSE

0
5 10 15 20 25 30
Input SNR
N = 64, v = 200 km/h, fc = 17 GHz, TRMS = 1 µs, sampling at T = 1µs.
fDoppler = 3.15 kHz, Subc. spacing fsr = 31.25 kHz:
Compare to DVB-T: v = 140 km/h, fc = 800MHz: fdoppler = 100 Hz while fsr = 1.17 kHz
Multi-Carrier CDMA
Multi-Carrier CDMA

Various different proposals.

• (1) DS-CDMA followed by OFDM
• (2) OFDM followed by DS-CDMA
• (3) DS-CDMA on multiple parallel carriers

First research papers on system (1) in 1993:

– Fettweis, Linnartz, Yee (U.C. Berkeley)
– Fazel (Germany)
– Chouly (Philips LEP)
System (2): Vandendorpe (LLN)
System (3): Milstein (UCSD); Sourour and Nakagawa
Multi-Carrier CDM Transmitter

Code
S/P N N N P/S
Matrix I-FFT
B C A

What is MC-CDMA (System 1)?

• a form of Direct Sequence CDMA, but after spreading a Fourier
Transform (FFT) is performed.
• a form of Orthogonal Frequency Division Multiplexing (OFDM),
but with an orthogonal matrix operation on the bits.
• a form of Direct Sequence CDMA, but the code sequence is the
Fourier Transform of the code.
• a form of frequency diversity. Each bit is transmitted
simultaneously (in parallel) on many different subcarriers.
MC-CDM (Code Division Multiplexing) in Downlink

In the ‘forward’ or downlink (base-to-mobile): all signals originate at the

base station and travel over the same path.

One can easily exploit orthogonality of user signals. It is fairly simple to

reduce mutual interference from users within the same cell, by
assigning orthogonal Walsh-Hadamard codes.

BS

MS 1
MS 2
Synchronous MC-CDM receiver

W eigh N I-Code
S/P N N N P/S
FFT Matrix Matrix
Y W A C-1

The MC-CDM receiver

• separates the various subcarrier signals (FFT)
• weights these subcarriers in W, and
• does a code despreading in C-1:
(linear matrix over the complex numbers)

Compare to C-OFDM:
W := equalization or AGC per subcarrier
C-1 := Error correction decoder (non-linear operation)
Synchronous MC-CDM receiver

W eigh N I-Code
S/P N N N P/S
FFT Matrix Matrix
Y W A C-1

Receiver strategies (How to pick W ?)

• equalization (MUI reduction) w = 1/β
• maximum ratio combining (noise reduction) w = β
• Wiener Filtering (joint optimization) w = β/(β2 + c)

Next step: W can be reduced to an automatic gain control, per subcarrier,

if no ICI occurs
Synchronous MC-CDM receiver

Weigh I-Code
S/P N N N N P/S
FFT Matrix Matrix
Y W A C-1 B

• Optimum estimate per symbol B is obtained from B = EB|Y

= C-1EA|Y = C-1A.
• Thus: optimum linear receiver can implement FFT - W - C-1
• Orthogonality Principle: E(A-A)YH = 0N, where A = WYH
• Wiener Filtering: W = E AYH (EYYH)-1
• EAYH diagonal matrix of signal power β*
• EYYH diagonal matrix of signal plus noise power w =
N
β β* + 0
• W can be reduced to an AGC, per subcarrier Ts
MC-CDM BER analysis

Rayleigh fading channel

– Exponential delay spread
– Doppler spread with uniform angle of arrival
Perfect synchronisation
Perfect channel estimation, no estimation of ICI
Orthogonal codes

Pseudo MMSE (no cancellation of ICI)

Composite received signal

Wanted signal

T  N −1 N −1 
x 0 = b0 s  ∑ β n ,n w n ,n + ∑ ∑ β m ,n w n ,n c 0 [ n ]c 0 [ n − m ]
N  n = 0 m ≠0 n =0 
Multi-user Interference (MUI)
N −1 N −1 
x MUI = Ts ∑ bk  ∑ β n ,n wn ,n c0 [n ]ck [n ]
k =1  n =0 
Intercarrier interference (ICI)

N −1
x ICI = Ts ∑ a n ∑ β n + ∆,n wn + ∆,n + ∆ c0 [n + ∆ ]
n =0 ∆ ≠0
Composite received signal

Wanted signal

T N −1
x0 = b0 s ∑ βn,n wn,n
N n =0

Multi-User Interference (MUI)

2
2 Ts2 N −1  
σ MUI = E ch E x MUI x *MUI = E ∑ bk2 E ch  ∑ β n ,n wn ,n − ∑ β n ,n wn ,n 
N2 k =1 n∈A+ n∈A− 
Intercarrier interference (ICI)

1 N −1 2  N −1 N −1 2
E  ∑ [c0 ( n )ck ( n − m )] E ch ∑ β m,n E ch ∑ wn ,n 
2 2 2
σ ICI = E ∑ bk
N k =1  ∆ ≠0 n =0 n =0 
 BER for MC-CDMA

Avg. BER

10-1 (4) BER for BPSK versus Eb/N0

10-2 OFDM
(1) 8 subcarriers
(5)
10-3 (1)
(2) 64 subcarriers
(3) infinitely many subcarriers
10-4 (2)
(4) 8 subc., short delay spread
10-5
(5) 8 subc., typical delay spread
(3)
AWGN
5 10 15
Local-mean En/N0

Local-mean Eb/N0
 Capacity
relative to non-fading channel

Coded-OFDM MC-CDM
Data Processing Theorem:
same as N fading channels COFDM = CMC-CDM

∞
N  N 
In practise, we loose a little.
COFDM = 2 ∫ 0 exp − 0 x  1 log
2 2 (1 + 2 x )dx In fact, for infinitely many
0 P0Ts  P0Ts 
subcarriers,
1  N0   N0 
COFDM = exp  E1  
ln 2  2 P0Ts   2 P0Ts  CMC-CDM = ½ log2(1 + ςP0Ts/N0).

For large P0Ts/N0 on a Rayleigh

fading channel, OFDM has 0.4 bit where ς is MC-CDM figure of merit,
less capacity per dimension than a typically -4 .. -6 dB.
non-fading channel.
Capacity

6
Non-fading,
LTI
5
Rayleigh
Capacity: Bits per Subcarrier

MC-CDM
3

1 -* : Rayleigh

* : MC-CDMA

- : LTI
0
-5 0 5 10 15 20 25 30 35 40
Local-mean En/N0 (dB)

• Capacity per dimension versus local-mean EN/N0,

no Doppler.
Advantages

Simpler user separation than with DS-CDMA

Higher capacity than DS-CDMA in downlink: elegant frame work for

doing simultaneous anti-multipath and interference rejection

FFT instead of rake: simpler training of receiver

MC-CDMA in uplink

In the ‘reverse’ or uplink (mobile-to-base), it is technically difficult to ensure

that all signals arrive with perfect time alignment at the base station.

Frame mis-alignments cause severe interference

Different Doppler spectra for each signal
Different channels for different signals
Power control needed

BS

MS 1
MS 2