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20th IEEE Symposium on Computers and Communication (ISCC)

PAPR Reduction in FBMC/OQAM systems Using Active Constellation Extension And Tone Reservation Approaches

Mounira Laabidi 1 , Rafik Zayani 1,2 , Daniel Roviras 2 and Ridha Bouallegue 1

1 Innov’Com, Sup’Com, Carthage University, Tunis, Tunisia

2 CEDRIC/LAETITIA, CNAM, Paris, France

AbstractFilter Bank based Multicarrier communication with Offset Quadrature Amplitude Modulation (FBMC/OQAM) has been gaining considerable interest as an important competitor to Orthogonal Frequency Division Multiplexing system (OFDM). However, FBMC/OQAM signal inherits the same drawback of High Peak to Average Power Ratio as OFDM signal. Because of the overlapping structure of FBMC/OQAM symbols, the direct application of the conventional PAPR reduction scheme originally proposed for OFDM is not effective. In this paper, we investigate the performance of Smart Gradient Project Active Constellation Extension (ACE-SGP) and Tone Reservation (TR) approaches in PAPR reduction for FBMC/OQAM signals. Indeed, we introduce three PAPR reduction schemes for FBMC/OQAM system based on ACE-SGP, TR and a hybrid one. The performance of the three schemes are presented and compared with those of the OFDM system.

Keywords—OFDM; FBMC/OQAM; PAPR; ACE-SGP; TR

I.

INTRODUCTION

Recently, Filter Bank Multicarrier with Offset Quadrature Amplitude Modulation system (FBMC/OQAM) has been considered by wireless communication systems as an interesting alternative to traditional OFDM. Characterized by a small sideband power leakage and high spectrum efficiency, the FBMC/OQAM is chosen as a suitable candidate for cognitive radio applications [1-3]. Having a pulse shape, which is well localized in time and frequency, guarantees more immunity to out-of-band radiation, inter symbol interference (ISI) and inter-carrier interference (ICI).

Like the OFDM system, one of the major downsides of the FBMC/OQAM system is the high PAPR of transmitted signal which causes a serious degradation in performance when a non-linear high power amplifier (HPA) is used. Many PAPR reduction schemes have been proposed for OFDM [4]. These techniques can reduce the PAPR of OFDM signal with mostly negligible Bit Error Rate (BER) degradation. Directly applying the PAPR reduction schemes originally proposed for the OFDM signal to the FBMC/OQAM one cannot be effective due to its overlapping structure.

There are some related works in the literature which have been concerned with the problem of PAPR reduction for the FBMC/OQAM systems [5-13]. Clipping-based PAPR

978-1-4673-7194-0/15/$31.00 ©2015 IEEE

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reduction approach is proposed in [5] and [6]. The finding seems promising; nevertheless, the performance needs to be proved in a realistic condition. In [7], authors have employed the sliding window algorithm to improve the Tone Reservation (TR) scheme and fit it for the PAPR reduction of FBMC/OQAM signal. The advanced scheme, called Sliding Window Tone Reservation (SW-TR), cancels the peaks of the FBMC/OQAM signal inside a window by using the Peak Reduction Tones (PRTs) of a number of successive data blocks. In [8-9], the Selective Mapping scheme (SLM) has been improved as the authors suggested an Overlapped SLM for the PAPR reduction of OFDM-OQAM signal. More recently, in [10] authors have proposed a dispersive SLM scheme that helps reduce the PAPR of FBMC/OQAM signal. The Multi-block Joint Optimization (MBJO) technique [11] is developed for the PAPR reduction in FBMC/OQAM system. Nevertheless, not only does the exploitation of the overlapping structure of FBMC/OQAM symbol leads to high system complexity, but also the BER performance is not elaborated in most of those investigations.

Based on these studies whose main goal was to reduce the PAPR of FBMC/OQAM, we take into account the TR [12] and ACE-SGP [13] schemes. These schemes are qualified as two of several techniques [4] which are recognized to highly reduce the PAPR for OFDM systems. Our choice of these schemes is motivated by the number of benefits they offer. Among these merits is the transparence to receiver since no side information is needed and that we do not predict any loss of data rate. Due to the overlapping signal structure of the FBMC/OQAM signal, it follows that the direct implementation of the ACE and TR schemes, originally conceived for OFDM to the FBMC/OQAM signal, is far from being efficient in light of the signal structure differential between the two Multi-Carrier Modulation (MCM) systems.

In this paper, we propose three PAPR reduction schemes for the FBMC/OQAM system. The first scheme improves the conventional ACE-SGP algorithm. The second scheme adapts the TR method to the overlapping structure of FBMC/OQAM. The third scheme is a mixture of TR and ACE-SGP PAPR reduction techniques. These proposed schemes take into account the overlapping naturally introduced by the FBMC/OQAM signal.

20th IEEE Symposium on Computers and Communication (ISCC)

The remainder of the paper is organized as follows. The second section describes the FBMC/OQAM signal model and some of its properties. The third section is devoted to describing the conventional ACE scheme in its SGP variant and the TR one. The fourth section sheds light on the two proposed PAPR reduction schemes for reducing the PAPR of the FBMC/OQAM signal. A subsection of this part will be dedicated to presenting the hybrid PAPR reduction scheme. The fifth section reports the simulation results with regard to the performances of the proposed schemes. This section includes discussion of the obtained results. Finally, conclusions and perspectives are drawn in the sixth section.

II. FBMC/OQAM SIGNAL MODEL

The basic processing blocks of the FBMC/OQAM transmitter side are the OQAM pre-processing and the synthesis filter bank. Consequently, instead of transmitting the QAM data, the FBMC/OQAM system transmits the OQAM ones, where the in-phase and the quadrature components are separated in time by half a symbol period .

the

FBMC/OQAM transmitted signal can be defined as follows:

(1)

With:

the impulse response of filter,

refers to the number of sub channels,

m refers to the sub channel index,

n refers to the time index for the OQAM symbol.

are real OQAM symbols.

is the phase term. The phase term is given by:

(2)

Equation (3) introduces the full expression of in time and frequency:

(3)

Thus,

the

baseband

continuous-time

model

of

frequency: (3) Thus, the baseband continuous-time model of Hence, equation (1) can be rewritten as follows:

Hence, equation (1) can be rewritten as follows:

(4)

of Hence, equation (1) can be rewritten as follows: (4) The essential parameters for filter bank

The essential parameters for filter bank designs are the number of sub-channels and the prototype filter lengths termed which is always computed as a function of and of the overlapping factor. If we take the PHYDYAS filter as example, then .

As FBMC/OQAM is an MCM scheme, it must suffer from high PAPR. In the OFDM case, the PAPR of the OFDM signal with subcarriers in discrete time version is defined in [4] as follows:

(5)

PAPR performance of the system can be analyzed using the Complementary Cumulative Distribution Function (CCDF)

658

given

threshold .

For the FBMC/OQAM signal and as illustrated in Fig.1, the duration of the impulse response of the PHYDYAS filter spans over . For this Curve, subcarriers. We can conclude from this figure that the overlapping factor termed is set to , thus an FBMC/OQAM symbol overlaps with four succeeding data blocks. If we take into consideration the transient state of the FBMC/OQAM signal, we can calculate the PAPR neither at the beginning of the FBMC/OQAM data signal, nor at its end.

which

gives

the

probability

that

PAPR

exceeds

a

at its end. which gives the probability that PAPR exceeds a Fig. 1. Impulse response of

Fig. 1. Impulse response of PHYDYAS filters.

Fig.2. presents the overlapping signal structure of eight FBMC/OQAM data symbols. The length of the output signal corresponding to the transmission of eight symbols after the filtering process is equal to Thus, the time domain data block spreads over the interval .

As we neglect the transient state of the signal, we can operate only on the stable state of the FBMC/OQAM signal which is delimited by the two green parallel lines in Fig.2 and calculate the PAPR, as illustrated in same figure.

and calculate the PAPR, as illustrated in same figure. Fig. 2. Overlapping structure of FBMC/OQAM signal

Fig. 2. Overlapping structure of FBMC/OQAM signal and PAPR calculation.

Quadrature

20th IEEE Symposium on Computers and Communication (ISCC)

If we consider as the number of transmitted FBMC/OQAM symbols, then the PAPR can be calculated for symbol as:

(6)

Where and

III. CONVENTIONAL PAPR REDUCTION SCHEMES

In this section, we will present the conventional ACE-SGP [13] and the TR [14-15] schemes originally proposed for the OFDM. Both schemes are based on adding a signal to reduce the high fluctuations of amplitude of OFDM system.

Fig.3. illustrates the principle of TR and ACE-SGP schemes. As it can be seen, if the data signal presents high peaks, the peaks cancellation magnitude should be high enough to fight against these peaks.

should be high enough to fight against these peaks. Fig.3. Magnitude of a 256 sub-channel QPSK

Fig.3. Magnitude of a 256 sub-channel QPSK FBMC-OQAM time domain signal and the additive signal magnitude.

A. ACE-SGPConventional Scheme

There is a huge number of methods which have been designed to reduce the peak power of the OFDM signal. Among these methods for PAPR reduction is the ACE advanced by Krongold and Jones in [13]. In its SGP (Smart Gradient Project) variant, ACE is claimed to be a simple and refined method with promising results even for a small number of iterations.

The ACE-SGP method operates on the data-bearing subcarriers. This method reduces the PAPR by changing the amplitude and phase of corner tones whose baseband modulation is an outer signal constellation without any degradation in BER. Moreover, this PAPR reduction scheme is transparent to receiver since no side information is required to recover transmitted data.

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8

6

4

2

0

-2

-4

-6

-8

Scatter plot

-5 0 5
-5
0
5

In-Phase

Fig.4. Illustration of Active Constellation Extension with 16 QAM encoding where the shaded region represents the corner-point extension regions.

Fig. 4 shows the active channel extension regions with 16 QAM encoding. The constellation points in the frequency domain are organized into three fractions as shown in Fig. 4:

the inner points (magenta circle), the edge points (black rectangle) and the corner points (red circle). The corner point extension regions are presented by the shaded regions, and the dotted lines correspond to the extension path for side points. The inner points are left unchanged.

B. Tone Reservation PAPR Reduction Scheme

TR was firstly proposed by José Tellado in [14-15]. In this method, the main idea is to reserve a small set of tones termed as PRTs for PAPR reduction. The TR method has the advantages of being less complex, having no special receiver operation, and not requiring any side information. This technique is based on adding a reduction time domain signal to the original multicarrier signal to reduce its peaks. This time domain signal can be easily computed at the transmitter and removed at the receiver.

If the frequency domain vector is added to the original frequency domain signal , the new time domain signal can be represented by:

(7)

Where is the time domain signal of . In TR, and are constrained to lie in disjoint frequency subspaces so that their additional signal causes no distortion on the data-bearing subcarriers. That is, if we consider as the size of data- bearing subcarriers, and as the size of reserved PRTs (non-data-bearing subcarriers), then:

(8)

(9)

20th IEEE Symposium on Computers and Communication (ISCC)

IV. PROPOSED PAPR REDUCTION SCHEMES FOR FBMC/OQAM

A. ACE-SGP Scheme For FBMC/OQAM

In order to fit the classical ACE-SGP method to the

FBMC/OQAM

signal

structure,

we

suggest

the

following

algorithm:

Start with the data signal , in frequency domain, use the FBMC modulator to obtain the discrete FBMC/OQAM baseband modulated signal

Considering only the interval [ ] where and is the number of FBMC/ OQAM symbols, clip any in magnitude to obtain :

Where:

(10)

, (11)

Another way to look at step 2 is to consider as follows:

(12)

Where :

(13)

With

Demodulate to obtain .

Enforce all ACE constraints on by projecting

exterior points into the region of increased margin while setting all remaining directions to zeros.The frequency-domain resulting signal is termed .

Modulate to get c.

Determine a step size μ according to some criterion, and compute the new time domain signal as indicated in (13).

and,

(14)

The following steps show how to determine the step size .

Given the time-domain signal , calculate the sample magnitudes and find the largest magnitude sample and its location .

For each sample, compute the projection of along the phase angle of

Where

and

(15)

660

For all the values of , compute the

approximate balancing step-size

indicated by equation (16) and then choose the minimum step-size that should be positive-valued. If is negative, stop the ACE-SGP algorithm.

vector

as

(16)

B. TR Scheme For FBMC/OQAM

The improved algorithm proposed for reducing the PAPR of FBMC/OQAM signal with TR method is very similar to the one proposed for ACE-SGP method.

Starting with the data signal in the frequency domain and after reserving a number of PRTs randomly chosen, use the FBMC modulator to obtain the discrete FBMC/OQAM baseband modulated signal

Clip

as previously presented to obtain ,and

then demodulate to obtain .

In the reserved PRTs, keep the values of and set the rest of subcarriers to zeros. The result of this step is termed

Modulate to get , then the new time- domain signal can be calculated as follows:

With

,

(17)

C. Hybrid Scheme For FBMC/OQAM

The main idea of the hybrid scheme is to combine the two proposed ACE-SGP and the TR PAPR reduction schemes. This combination is effective because of the different principles of the considered methods. While the ACE-SGP scheme performs a controlled signal distortion applied on data-bearing subcarriers, the TR method reduces the PAPR by changing the data-free subcarriers. The proposed scheme is a serialization of the ACE-SGP scheme and the TR one. For a better performance comparison of this hybrid scheme, we also take into consideration the hybrid scheme achieved by the serialization of the two conventional schemes (ACE-SGP and TR) for the OFDM signal.

V. SIMULATION RESULTS

In the following simulations, we set up critically sampled OFDM and FBMC/OQAM systems with subcarriers employing QPSK modulation per complex symbol. The number of reserved tones for the TR scheme is set to 32. The reserved tones are randomly selected as it is recognized that randomly selected PRTs perform better in terms of PAPR reduction capability than contiguous PRTs [16]. The number

20th IEEE Symposium on Computers and Communication (ISCC)

of data-bearing subcarriers is set to . For the FBMC/OQAM system, the PHYDYAS [17] prototype filter with an overlapping factor is used. The clipping ratio of is chosen and the number of iterations for all proposed method is set to 2 iterations. The proposed scheme will be evaluated through the CCDF and the power spectral density (PSD).

The CCDFs plot for the FBMC/OQAM and OFDM systems, with and without PAPR reduction, are illustrated in Fig. 5. The numerical values for PAPR are shown in Table I. With reference to Fig. 5 and Table I, we can discern that the proposed PAPR reduction methods considerably reduce the PAPR of the FBMC/OQAM signal.

considerably reduce the PAPR of the FBMC/OQAM signal. Fig.5. PAPR reduction performance comparison of the proposed

Fig.5. PAPR reduction performance comparison of the proposed schemes for , and 2 iterations.

We can also notice that the initial value of PAPR is very high of approximately at CCDF of . Thanks to the use of PAPR reduction schemes, as illustrated in Table.1, the PAPR is visibly reduced even with a small number of iterations. The proposed PAPR reduction schemes improve the PAPR of the FBMC/OQAM signal. It is clear that the ACE- SGP PAPR reduction scheme achieves a significant gain at a CCDF of for both MCM schemes. As to the TR scheme, we can observe a low PAPR reduction. The hybrid scheme provides better PAPR reduction since it combines the effects of the two schemes.

TABLE 1. PAPR REDUCTION CAPABILITY OF PROPOSED SCHEMES

PAPR reduction

gain

gain

OFDM

FBMC/OQAM

PAPR Reduction Scheme

PAPR Reduction Scheme

PAPR Reduction Scheme

ACE-SGP

5.4(dB)

6.6(dB)

TR

10.4(dB)

10.4(dB)

Hybrid

Scheme

5.3(dB)

6.3(dB)

The above mentioned results can be improved if we change the number of iterations for both ACE-SGP and TR methods or if the number and location of PRTs change.

661

methods or if the number and location of PRTs change. 661 Fig. 6. Power spectral density

Fig. 6. Power spectral density of the proposed PAPR reduction techniques.

Fig. 6 compares the power spectral density of the proposed PAPR reduction schemes for both MCM systems. We can notice a large decrease in OOB leakage when using the proposed PAPR reduction schemes for FBMC/OQAM signal.

VI. CONCLUSION

This paper improves both the ACE-SGP and TR PAPR reduction schemes and it fits them into the overlapping signal structure of FBMC/OQAM signal. The numerical results show that the proposed schemes can reduce the PAPR significantly even with a small number of iterations. In a critically sampled FBMC/OQAM system, an improvement of at CCDF of was achieved just in two iterations, when using the improved ACE-SGP approach. To increase the gain, we have suggested a hybrid scheme based on the combination of the two proposed schemes. This hybrid technique achieves a better performance than the two proposed schemes when used individually.

From the simulation results, we can find a justification for considering the FBMC/OQAM as an appropriate alternative to OFDM system for the upcoming wireless applications.

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Tellado,

“Peak

to

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for