5GNOW D3.2 Final

The 5GNOW Project Consortium groups the following organizations:
Partner Name Short name Country

FRAUNHOFER-GESELLSCHAFT ZUR FOERDERUNG DER ANGEWANDTEN
FORSCHUNG E.V. HHI Germany
ALCATEL LUCENT DEUTSCHLAND AG ALUD Germany
COMMISSARIAT A L ENERGIE ATOMIQUE ET AUX ENERGIES
ALTERNATIVES CEA France
IS-WIRELESS ISW Poland
NATIONAL INSTRUMENTS NI Hungary
TECHNISCHE UNIVERSITT DRESDEN TUD Germany
Abstract:
5G Waveform Candidate Selection
The screening process of T3.1 will generate a candidate list of waveforms and signal formats,
described in this IR3.1.
D3.2
5GNOW_D3.2_v1.3.docx
Version: 1.3
Last Update: 08.04.2014
Distribution Level: PU
Distribution level
PU = Public,
RE = Restricted to a group of the specified Consortium,
PP = Restricted to other program participants (including Commission Services),
CO= Confidential, only for members of the 5GNOW Consortium (including the Commission Services)
D3.2
The 5GNOW Project Consortium groups the following organizations:
Partner Name Short name Country

FRAUNHOFER-GESELLSCHAFT ZUR FOERDERUNG DER ANGEWANDTEN
FORSCHUNG E.V. HHI Germany
ALCATEL LUCENT DEUTSCHLAND AG ALUD Germany
COMMISSARIAT LENERGIE ATOMIQUE ET AUX ENERGIES
ALTERNATIVES CEA France
IS-WIRELESS ISW Poland
NATIONAL INSTRUMENTS NI Hungary
TECHNISCHE UNIVERSITT DRESDEN TUD Germany
Abstract:
Based on the waveform candidates in D3.1, D3.2 will contain intermediate 5GNOW Transceiver and
frame structure concept.
Partner Author name

HHI Martin Kasparick, Gerhard Wunder, Peter Jung
ALUD Yejian Chen, Frank Schaich, Thorsten Wild
CEA Jean-Baptiste Dor, Nicolas Cassiau, Vincent Berg and Dimitri Ktnas
ISW Marcin Dryjaski, Slawomir Pietrzyk
TUD Ivan Simes Gaspar, Nicola Michailow, Maximilian Matte, Luciano Leonel Mendes
5GNOW Page: 2 of 100

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The research leading to these results has received funding from the European Community's Seventh
Framework Programme (FP7/2007-2013) under grant agreement n 318555

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Document Identity
Title: 5G Waveform Candidate Selection

WP: WP3 Physical layer design
WP Leader ALUD
Main Editors Ivan Simoes Gaspar/Nicola Michailow/Luciano Leonel Mendes
Number: D3.2
File name: 5GNOW_D3.2_v1.3.docx
Last Update: Monday, May 04, 2015
Revision History
No. Version Edition Author(s) Date

1 0.1 Ivan Simes Gaspar (TUD) 28.06.13
Comments: Providing initial template and skeleton
2 0.2 Nicola Michailow (TUD)
Comments: Updated Skeleton
3 0 Ivan Simes Gaspar (TUD) 17.02.14
Comments: Added contributions from partners
4 1.0 Nicola Michailow (TUD) 14.03.14
Comments: Final merged version
5 1.3 Nicola Michailow/Ivan Gaspar (TUD) 26.03.14
Comments: Comments incorporated
6 1.3 Martin Kasparick / Gerhard Wunder 07.04.14
Comments: Final Review
7 Gerhard Wunder 08.04.14
Comments:
8
Comments:
9
Comments:
10
Comments:
11
Comments:
12
Comments:
13
Comments:
14
Comments:
15
Comments:

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Table of Contents
1 INTRODUCTION ....................................................................................................................................... 7
2 INTERMEDIATE TRANSCEIVER AND FRAME STRUCTURE CONCEPT OF THE CONSIDERED WAVEFORMS .. 8
2.1 GFDM ................................................................................................................................................... 8
2.1.1 GFDM Principles .............................................................................................................................. 8
2.1.2 Waveform engineering .................................................................................................................. 11
2.1.3 Performance analysis .................................................................................................................... 16
2.1.4 MIMO-GFDM aiming diversity ...................................................................................................... 20
2.1.5 Synchronization ............................................................................................................................. 22
2.1.6 Advanced receivers ........................................................................................................................ 23
2.1.7 Application requirements and Frame Design ................................................................................ 25
2.1.8 Summary for GFDM ....................................................................................................................... 28
2.2 UFMC & IDMA .................................................................................................................................... 29
2.2.1 UFMC principles and frame structure aspects ............................................................................... 29
2.2.2 Synchronization, channel estimation and equalization ................................................................. 31
2.2.3 Support of Autonomous Timing Advance ...................................................................................... 33
2.2.4 Performance in scenarios with relaxed synchronism .................................................................... 34
2.2.5 UFMC with multiple signal layers .................................................................................................. 48
2.2.6 UFMC with flexible single carrier support ..................................................................................... 55
2.2.7 Summary for UFMC ....................................................................................................................... 56
2.3 FBMC .................................................................................................................................................. 57
2.3.1 FBMC principles ............................................................................................................................. 57
2.3.2 Frame design ................................................................................................................................. 59
2.3.3 Receiver architecture overview ..................................................................................................... 60
2.3.4 Time synchronization .................................................................................................................... 62
2.3.5 Carrier frequency offset compensation ......................................................................................... 65
2.3.6 Channel estimation and interpolation ........................................................................................... 69
2.3.7 Equalizer ........................................................................................................................................ 77
2.3.8 Summary for FBMC ....................................................................................................................... 81
2.4 BFDM.................................................................................................................................................. 82
2.4.1 BFDM Principles and Frame Design ............................................................................................... 82
2.4.2 Summary of Transmitter and Receiver Structure .......................................................................... 83
2.4.3 Pulse shaped PRACH ...................................................................................................................... 85
2.4.4 Synchronization and Equalization ................................................................................................. 88
2.4.5 Performance Analysis .................................................................................................................... 90
2.4.6 Application Requirements ............................................................................................................. 93
2.4.7 Summary for BFDM ....................................................................................................................... 94
3 CONCLUSION......................................................................................................................................... 95
4 ABBREVIATIONS AND REFERENCES ....................................................................................................... 96

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Executive Summary
This document is part of the efforts in T3.2 Transceiver Algorithm Design. Based on the selected
waveform types from D3.1, the intermediate 5GNOW transceiver and frame structure concepts are
described for the individual candidates. Initial performance results, e.g. based on simulations, are
presented, along with a detailed description of the required signal processing in the respective
transmitters and receivers. Building blocks like modulation, synchronization and channel estimation
for the candidate transmitters and receivers are presented. With the considered techniques,
orthogonal, non-orthogonal, synchronous, and asynchronous user classes are taken into account.

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1 Introduction
This report re-captures the waveform candidates introduced in D3.1 and extends their concepts
towards the intermediate transceiver and frame structure concept according to the goals and
roadmap of 5GNOW.
The main contribution of the document is concentrated in section 2, where GFDM, UFMC, FBMC and
BFDM are presented and their initial performance results based on simulations are discussed.
Particularly aspects like spectrum emission characteristics, time and frequency synchronization
performance, MIMO and asynchronous multiple access are considered.
The focus of section 2.1 is GFDM. After presenting the basic principles of this modulation technique,
its capabilities to engineer specific waveform properties are discussed. The performance of the
scheme is analysed in terms of bit and symbol error rates with simulations as well as with analytical
expressions. Multi-antenna techniques are investigated in order to potentially increase diversity in
the system. The question of how to achieve synchronization in time and frequency is treated and
finally the requirements of different application scenarios like Internet of Things (IoT), machine-type-
communication (MTC), and Tactile Internet are brought into the context of GFDM parameterization.
Section 2.2 develops the principles of UFMC together with IDMA multiple access concepts.
Synchronization, channel estimation and equalization are addressed as well as the support of
autonomous timing advance. The performance evaluation highlights specific scenarios with relaxed
synchronism requirements. Finally, multiple signal layers with the help of IDMA are considered and a
flexible way to support flexible communication modes ranging from single-carrier to different
multicarrier transmission schemes is presented.
The details of FBMC are addressed in section 2.3. First, the basic concepts of this modulation scheme
are shortly outlined and aspects of FBMC frame design are discussed. Then, the building blocks for an
appropriate transceiver design are presented. Time synchronization as well as carrier frequency
offset compensation are addressed, channel estimation and equalization conclude this section.
At last, section 2.4 deals with BFDM, where basic principles and frame design are addressed. An
appropriate transceiver structure is presented and advantageous properties such as pulse shaping
are discussed which is particularly suited in a random access scenario. Synchronization and channel
equalization concepts are addressed and the performance of this scheme is analysed through
simulation. Finally, application requirements for the IoT and MTC are presented.

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2 Intermediate Transceiver and Frame Structure Concept of the

Considered Waveforms
This section presents a detailed description of the four 5G waveforms that are being considered in
the scope of 5GNOW. Technical transceiver aspects like time and frequency synchronization or
channel equalization are discussed, while also a view on the improvement over OFDM is presented.
The feasibility and the performance of the individual approaches are supported with a selection of
simulation results.
2.1 GFDM
2.1.1 GFDM Principles
Consider the block diagram depicted in Figure 2.1.1.1.
Figure 2.1.1.1: Block diagram of the transceiver.
A data source provides the binary data vector b , which is encoded to obtain b c . A mapper, e.g.
quadrature amplitude modulation (QAM), maps sequences of encoded bits to symbols d of a 2-
valued complex constellation. The resulting vector d denotes a GFDM data block that
contains N elements, which can be decomposed into K groups of M symbols according
to d d 0 , , d K 1
T
and d k d k , 0 , , d k , M 1 with N = KM.
T
T T
Therein, the individual
elements d k , m correspond to the data transmitted on the kth subcarrier and in the mth subsymbol of
the block. In the GFDM modulator, each d k , m is transmitted with the corresponding pulse shape
n
j 2 k
g k , m [ n ] g n m K m o d N e K (2.1.1.1)
with n denoting the sampling index. Each g k , m [ n ] is a time and frequency shifted version of a
prototype filter g[n] , where the modulo operation makes g k , m [ n ] a circularly shifted version
of g k , 0 [ n ] and the complex exponential performs the shifting operation in frequency. The transmit
samples x x [ n ] are obtained by superposition of all transmit symbols
T
K 1 M 1
(2.1.1.2)
x[ n ] g k ,m [ n ]d k ,m , n 0, , N 1.
k 0 m0
Collecting the filter samples in a vector g k , m g k , m [ n ] allows to formulate (2.1.1.2) as

T

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x Ad , (2.1.1.3)
where A is a KM KM transmitter matrix [MKL+12] with a structure according to

A g 0 ,0
g K 1,0 g 0 ,1 g K 1 ,1 g 0,M 1
g K 1, M 1 . (2.1.1.4)
Figure 2.1.1.2 shows three columns of an example transmitter matrix. As one can see,
g 1 , 0 [ A ] n , 2 and g 0 ,1 [ A ] n , K 1 are circularly frequency and time shifted versions of g 0 , 0 [ A ] n ,1 .
At this point, x contains the transmit samples that correspond to the GFDM data block d . Lastly, on
the transmitter side a cyclic prefix of N CP samples is added to produce x .
Transmission through a wireless channel is modelled by y H x w , where y is the received
counterpart of x . Here, H is a convolution matrix with band-diagonal structure based on a channel
impulse response h which is a realization of a Rayleigh multipath fading channel. Lastly,
w ~ N 0, 2
w
IN N
CP
denotes additive white Gaussian noise. At the receiver, time and frequency
synchronization is performed, yielding y s . Then the cyclic prefix is removed. Under the assumption
of perfect synchronization, i.e. y s y , the cyclic prefix can be utilized to simplify the model of the
wireless channel to
y Hx w (2.1.1.5)
by replacing the matrix H with the corresponding circular convolution matrix H . This allows
employing zero-forcing channel equalization as efficiently used in OFDM [Bin90]. The overall
transceiver equation can be written as y H A d w . Introducing z H 1 H A d H 1 w A d w
as the received signal after channel equalization, linear demodulation of the signal can be expressed
as
d B z , (2.1.1.6)
where B is a KM KM receiver matrix. Several standard receiver options for the GFDM demodulator
are readily available in literature: The matched filter (MF) receiver B M F A maximizes the signal-
H
to-noise ratio (SNR) per subcarrier, but with the effect of introducing self-interference when a non-
orthogonal transmit pulse is applied, i.e. the scalar product g 0 , 0 , g k , m N
0 ,k 0 ,m with Kronecker
delta i,j.

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(a) A transmitter matrix.
(b) Three columns in detail.
Figure 2.1.1.2: Illustration of the GFDM transmitter matrix for N = 28, K = 4, M = 7, using a raised cosine (RC) filter with
parameter 0.4.

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1
The zero-forcing (ZF) receiver B Z F A on the contrary completely removes any self-interference
at the cost of enhancing the noise. Also, there are cases in which A is ill-conditioned and thus the
inverse does not exist. The linear minimum mean square error (MMSE) receiver
1
B M M S E ( w I A
2 H H
A) A makes a trade-off between self-interference and noise enhancement.
(a) OFDM (b) SC-FDE (c) SC-FDM and GFDM
Figure 2.1.1.3: Partitioning of time and frequency, where data occupies different resources depending on the chosen
scheme. (a) with K = N subcarriers and M = 1 subsymbols, (b) with K = 1 subcarriers and M = N subsymbols and (c)
with K = 4, M = 3 and N = 12.
Finally, the received symbols d are demapped to produce a sequence of bits bc at the receiver,
which are then passed to a decoder to obtain b .

From the description of the transmitter and receiver, it is clear that GFDM falls into the category of
filtered multicarrier systems. The name derives from the fact that the scheme offers more degrees of
freedom than traditional OFDM or single carrier with frequency domain equalization (SC-FDE). GFDM
turns into OFDM when M 1 , A F N and B F N , where F N is a N N Fourier matrix. SC-FDE
H
is obtained when K 1 and SC-FDM - a frequency division multiplexing of several SC-FDE signals - is
obtained when g is a Dirichlet pulse [MF13]. However, the important property that distinguishes the
proposed scheme from OFDM and SC-FDE is that, like SC-FDM, it allows dividing a given time-
frequency resource into K subcarriers and M subsymbols as depicted in Figure 2.1.1.3. Therefore, it is
possible to engineer the spectrum according to given requirements and enables pulse shaping on a
per subcarrier basis.
As a consequence, without changing the sampling rate, GFDM can be configured to cover a portion
of bandwidth either with a large number of narrow band subcarriers like in OFDM or with a small
number of subcarriers of large individual bandwidth like in SC-FDM. Further it is important to note
that although filters are introduced, GFDM is still a block based approach. These aspects are relevant
for the scheduling of users in a multiple access scenario [WJK+14] and also when targeting low
latency transmissions [Fet14]. Within each block, the signal is designed such that it exhibits a circular
structure in time and frequency domain. In combination with a cyclic prefix at the beginning of each
GFDM block, this property helps to keep transmitter and receiver complexity low [GMC+13] and
eases synchronization and equalization.
2.1.2 Waveform engineering

The flexibility of GFDM allows designing a signal that has a very low out-of-band (OOB) radiation. A
detailed theoretical analysis of the OOB radiation of GFDM is shown in this section.

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The choice of the pulse shaping filters strongly influences the spectral properties of the GFDM signal
and the symbol error rate. The frequency responses of candidate filters employed are summarized in
Table 2.1.2.1(a), whereas the respective impulse responses are calculated by inverse discrete Fourier
transform (IDFT). In Table 2.1.2.1(a), lin(x) is a truncated linear function with

lin ( x ) m in 1, m a x 0 , 12
|x|
(2.1.2.1)
that is used to systematically describe the roll-off area defined by in the frequency domain.
Further, p 4 ( x ) x 4 (3 5 8 4 x 7 0 x 2 2 0 x 3 ) is a polynomial that maps the range (0,1) onto itself.
TABLE 2.1.2.1: Pulse shaping filters and window functions. (a) Investigated pulse shaping filters. (b) Window functions for
block pinching.
(a)
Name Frequency response
RC 1
1 c o s ( lin ( M ))
f
G RC [ f ]
2
Root RC G RRC [ f ] G RC [ f ]
1st Xia [X97] 1
f
j lin ( ) s ig n ( f )
G X ia [ f ] 1 e M
2
4th Xia [X97] 1
4 f
j p ( lin ( )) s ig n ( f )
G X ia 4 [ f ] 1 e M
(b)
Window Time domain
Rect w R ect [ n ] 1
Ramp
N W KM N 2n
w R [ n ] lin 1
W

KM 2KM K M N CP
RC 1
wRC [n ] 1 c o s w R [ n ]
2
4th RC
1 c o s
1
wRC4[n ] p ( w R [ n ])
4

2
In GFDM, the kth subcarrier is centered at the normalized frequency k / K and hence, describes
the overlap of the subcarriers in the frequency domain. In particular, for = 0 all functions in
Table 2.1.2.1(a) reduce to a rect and are denoted the Dirichlet filter, since the impulse response is
the Mth Dirichlet kernel of the discrete Fourier transform (DFT) of length MK. Figure 2.1.2.2 shows
exemplary impulse and frequency responses of the described pulse shaping filters.

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Figure 2.1.2.1: Impulse and frequency response of employed pulse shaping filters. Roll-off is set to 0.5 except for the
Dirichlet filter ( = 0). Solid and dashed lines denote real and imaginary part, respectively
To measure the out-of-band radiation, the power spectral density (PSD) of the baseband signal can
be formulated as [WND+10]
1 2 (2.1.2.2)
P ( f ) lim E { | F { xT (t )} | } ,
T
T
where x T ( t ) is the transmit signal that is truncated to the interval (-T2,T2). In GFDM, xT ( t ) is the
concatenation of multiple GFDM blocks
j 2 k
t
xT (t ) d vm k g 0 m ( t v M T s ) e (2.1.2.3)
Ts
v ,m ,k
with respective Fourier transform given by

k j 2 vM Ts f (2.1.2.4)
XT( f ) d vm k G m f e
Ts
v ,m ,k
Where Ts is the time duration of one subsymbol, v is the block index that ranges from
T to
2 M Ts

T , and k,m range over all allocated subcarriers and subsymbols. When assuming i.i.d. data
2 M Ts
symbols with unit variance, inserting (2.1.2.4) into (2.1.2.2) yields the PSD of the GFDM system as
2
1 k (2.1.2.5)
P( f )
M Ts
Gm f .
Ts
k ,m
The OOB radiation of the GFDM signal is defined as the ratio between the amount of energy that is
emitted into the frequency range O O B and the amount of energy within the allocated
bandwidth B by
|B | f O O B
P ( f )df (2.1.2.6)
O .
|O O B |
f B
P ( f )df
Between B and O O B a number of guard carriers is inserted. Figure 2.1.2.2(a) illustrates the
concept of guard carriers for OOB measurement and shows a comparison of the PSD of OFDM and
GFDM. By default, due to the abrupt changes of the signal value between GFDM blocks, the OOB
radiation of GFDM is not far below OFDM. In order to make the pulse shaping effectively reduce the
OOB radiation two suitable techniques are discussed:
1) Inserting Guard Symbols (GS): When using an ISI-free transmission filter (e.g. the RC or Xia filters)
and CP with length of rK,r samples, it is possible to keep the signal value constant at the block
boundaries by setting the 0th and (M -r)th subsymbol to a fixed value. Figure 2.1.2.2(a) shows the
strongly attenuated OOB radiation of GFDM, when the GS value is set to zero, denoted by GS-GFDM.
For high M the reduction of the spectral efficiency by MM 2 due to the GS insertion can be neglected
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and furthermore, these subsymbols are free for inserting synchronization signals and pilots.
2) Pinching the Block Boundary: The insertion of the CP of NCP samples introduces redundancy in the
transmitted data. In windowed GFDM (W-GFDM) this is exploited at the transmitter side by
multiplying each GFDM block with a window function w[n] in the time domain to provide a smooth
fade-in and fade-out as illustrated in Figure 2.1.2.2(c). Different window functions are given in
Table 2.1.2.1(b), where NW is the number of samples that are included in the linear part of the
ramp wR[n]. At the receiver side, the data is recovered from the received W-GFDM block by summing
the parts of the CP that were modified by the window. As a result, a noise enhancement
1 0 lo g 1 0 1 N W / ( K M ) dB occurs because of the summation of two redundant parts of the signal.
This noise enhancement can be mitigated by using the square root of the block window at the
transmitter and at the receiver which resembles the matched filter approach.
Calculations of the OOB power have been carried out with the parameters in Table 2.1.3.1, where
different CP lengths have been employed. The results for one and six guard carriers are shown in
Figure 2.1.2.2(b). Obviously, any of the presented GFDM configurations has a lower OOB radiation
than OFDM. GS-GFDM efficiently reduces the OOB radiation to 32 dB below OFDM with a CP
of K samples. For a CP length of K4, GS-GFDM performs 20 dB below OFDM. Pinching is most
effective in combination with a higher number of guard carriers, since the multiplication with a block
window spreads the spectrum of the GFDM signal. The wRC4-window attenuates the OOB radiation
with six guard carriers most, but has the least suppression with one guard carrier due to its wide
mainlobe in the frequency domain. It can attenuate the OOB radiation to below -100 dB as is shown
in Figure 2.1.2.2(b) in the solid blue line. When tolerating six guard carriers, the pinching technique
can supress the OOB radiation below -70 dB with a ramp length of only a quarter subsymbol and an
RC window.

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(a) PSD of OFDM and GFDM. GFDM employs a CP of length of one subsymbol and the pinching is done with a RC window
with W = K4. Regions that are considered in-band and out-of-band are marked with B and O O B , respectively and in
between both ranges a number of guard carriers is considered.
(b) OOB radiation of different GFDM configurations
(c) Pinching the block boundary yields W-GFDM.
Figure 2.1.2.2: Waveform engineering results.

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2.1.3 Performance analysis

In this section we analyze the performance of the GFDM system in terms of symbol error rate (SER)
versus E s / N 0 assuming that a ZF receiver is employed. This means that self-generated interference
is removed on the receiver side but noise enhancement can be introduced, depending on the pulse
shape.
The SER performance is evaluated considering different scenarios: additive white Gaussian noise
(AWGN), static frequency selective channels (FSC) and flat time-variant channels (TVC). We also
present a trade-off analysis between noise enhancement and OOB emissions for different pulse
shapes. The system parameters used for the simulation are presented in Table 2.1.3.1.
TABLE 2.1.3.1: Simulation parameters.
Parameter Value
Mapping 16-QAM
Transmit Filter RC
Roll-off () 0.1 or 0.9
Number of subcarriers (K) 64
Number of subsymbols (M) 9
CP length (NCP) 16 samples
CS length (NCS) 0 samples
The ZF receiver removes the self-generated interference at the cost of enhancing the noise since the
receiver filter collects noise outside the desired bandwidth. Figure 2.1.3.1(a) shows the receive filter
impulse response for ZF and MF receivers assuming the parameters presented in
Table 2.1.3.1 with = 0.9 to highlight the noise enhancement. Figure 2.1.3.1(b) shows the
corresponding frequency response of both filters. As visible, the ZF filter collects noise outside the
desired bandwidth, affecting the SER performance of the system.
(a) (b)
Figure 2.1.3.1: (a) Time and (b) frequency characteristics of the ZF and MF receiving filters.
Over flat channels, the noise enhancement factor (NEF) determines the signal-to-noise ratio
reduction when using the ZF receiver. It is defined as
M K 1 2
(2.1.3.1)
B ZF k ,n
,
n0
which is equal for every k.
1) AWGN Channel: The NEF adjusts the equivalent SNR for GFDM at the receiver side. Consequently,
GFDM and OFDM SER performance under AWGN [S01] only differs in the equivalent SNR. Therefore,
GFDM SER under AWGN is given by
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1 1
p AW GN (e ) 2 e rfc e rfc
2
, (2.1.3.2)

where
3 RT Es KM (2.1.3.3)

and RT ,
2(2 1) N 0 K M N CP N CS

is the number of bits per QAM symbol, 2 , NCP and NCS are the CP and CS lengths,
respectively, Es is the average energy per symbol, and N0 is the noise power density.
Figure 2.1.3.2(a) compares the SER performance of GFDM and OFDM under AWGN taking the CP
length into account. The figure shows that the pulse shape and, consequently the NEF, plays an
important role in the GFDM performance. The noise enhancement can be neglected when a RC filter
with = 0.1 is used and, in this case, the GFDM and OFDM SER curves match. For this reason, only
the theoretical OFDM curve has been plotted in Figure 2.1.3.2(a). On the other hand, the GFDM SER
performance is severely degraded due the noise enhancement when a RC filter with = 0.9 is used.
The prototype pulse shape must be properly chosen in order to avoid prohibitive performance loss
due to noise enhancement.
Figure 2.1.3.2(a) also shows that GFDM suffers a smaller performance penalty due to the CP insertion
when compared with OFDM. The GFDM performance gain over OFDM is given by
M ( K N CP N CS ) (2.1.3.4)
1 0 lo g dB .
M K N CP N CS
Hence, a large M must be chosen if spectrum efficiency is an important requirement in the system
design.
2) Frequency-selective channel: A low SER performance over FSCs is an important requirement for
multicarrier modulations. Following the block diagram presented in Figure 2.1.1.1, the signal at the
input of the demapper when the ZF receiver is employed is given by
d d w e q , (2.1.3.5)
where
1 W (2.1.3.6)
w eq B F
H
is the equivalent noise, W is the noise vector in the frequency domain, and H is the vector of the
channel frequency response. The variance of the equivalent noise for the lth subcarrier can be
evaluated from (18) and leads to
2
1
M K 1 GR [ k ] N0 (2.1.3.7)
l l l
2 l ,m 2 2
n n
,
MK k 0 H [k ] 2
Where G R [ k ] is the frequency response of the filter for the lth subcarrier and mth subsymbol and
l ,m
l is the corresponding NEF. Notice that l2 is the same for every m. Therefore, the position of the
filter in the frequency domain changes the NEF because the channel frequency response is not flat
for multipath channels.
Hence, the GFDM SER over FSCs is given by
2
K 1 K 1
L 1 1 1 (2.1.3.8)
p FSC (e ) 2 e rfc l e rfc
2
l ,
K l0 K l0
where
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3 RT Es (2.1.3.9)
l
.
2(2 1) l N 0
GFDM has M times more samples per subcarrier when compared to OFDM, which provides a higher
spectrum resolution for equalization, allowing GFDM to better mitigate the frequency selectivity per
subcarrier.
Figure 2.1.3.2(b) compares the performance of GFDM and OFDM over FSC considering a channel
delay profile with 16 taps that decay linearly in the logarithm scale from 0 dB to -10 dB. Again, GFDM
uses the CP more efficiently when compared to OFDM. Notice that the channel delay profile leads to
a coherence bandwidth of B c f s / 2 5 9 and the bandwidth of each subcarrier is B s c f s / 6 4 ,
which means that this channel is frequency-selective per subcarrier. In this scenario, the larger
number of samples per subcarriers allows GFDM to present a better performance than OFDM, as
shown in Figure 2.1.3.2(b). In fact, even a GFDM system employing a RC filter with = 0.9, which
results in a large NEF, presents a SER performance similar to OFDM in this situation.
3) Time-variant channel: In a time-variant channel both instantaneous SNR and instantaneous SER
are random variables. Thus, the average symbol error probability over a time-variant channels is an
important tool to analyse the system performance. Consider that a time-variant channel can be
modelled as multiplicative channel where the amplitude gain is a Rayleigh random variable with
parameter r and phase uniformly distributed between - and . It is assumed that the channel
remains static during the transmission of one GFDM symbol. In this case, the GFDM SER follows the
OFDM SER with the penalty of the noise enhancement when a ZF receiver is employed. It is
important to notice that the NEF is constant for all subcarriers. Therefore, the SER of GFDM over
time-variant channels is given by
1 1 r
2
1 r 4 r (2.1.3.10)
pTVC (e ) 2 1 1 a ta n
r
1 r 1 r
where
3 r R T
2
Es (2.1.3.11)
r .
2
1 N 0
Figure 2.1.3.2(c) shows the GFDM and OFDM SER performance assuming a Rayleigh channel with
parameter r2 =1/2. Once again, we can observe that the NEF resulting from the chosen pulse shape
is neglectable when compared with OFDM for = 0.1. GFDM benefits from using only one CP
for M subsymbols, which results in a better power and spectral efficiency.
Closed-form solutions for the SER performance under AWGN of the matched filter receiver are
available in [MMG+14]. The MF receiver outperforms the ZF receiver in low SNR regions due to the
significant influence of the noise enhancement. However, since the MF receiver suffers from self-
interference, it cannot reach the performance of the ZF approach at high SNR values. The MMSE
receiver balances the noise enhancement and self-interference so that it converges to the MF
receiver for low SNR and to the ZF receiver for high SNR regions. However, no closed form solutions
for the SER in Rayleigh fading channels do exist. Simulated SER curves for the MMSE receiver are
provided in [MKL+12].

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Figure 2.1.3.2: GFDM and OFDM SER performance in different channels
Figure 2.1.3.3: NEF and OOB for various GFDM filters. OOB radiation was measured with 6 guard carriers. The W-GFDM
system uses a RC window with a ramp length of K4. The increases in the direction of the arrows from 0 to 1 in steps
of 0.1.
Figure 2.1.3.3 shows the OOB radiation and NEF of different filters and different roll-off factors for
W-GFDM and GS-GFDM assuming the system parameters presented in Table 2.1.3.1. The choice of
the pulse shaping filter significantly influences the NEF and, in case of GS-GFDM, also the OOB
radiation. For W-GFDM the OOB radiation is nearly independent of the employed filter. The NEF
increases with the roll-off factor due to the wider overlapping of the subcarriers. The ZF receiver
needs to put more effort into ICI cancellation which is bought for an increased NEF in the range
from 0 dB for the Dirichlet filter up to3.5 dB for full roll-off RRC and 1st order Xia filters. The 4th
order Xia filter shows the lowest NEF of 1.25 dB with full roll-off. However, for applications, the RC
and 4th order Xia filter with lower in the range of 0 0.2 are preferable.

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2.1.4 MIMO-GFDM aiming diversity
Transmission diversity [Ala98] is a crucial feature for future wireless networks to achieve the
required reliability and robustness under frequency-selective and time-variant channels. The block-
structure of GFDM enables the application of time-reversal STC, which has been developed for single
carrier systems to achieve diversity under frequency-selective channels [Dha01].
Figure 2.1.4.1 presents the block diagrams of the STC-GFDM transmitter and receiver.
Figure 2.1.4.1: Transceiver block diagram of the STC-GFDM.
In this approach, two data vectors d 1 and d 2 are independently modulated leading to
x1 A d 1 and x2 A d 2 . (2.1.4.1)
The modulated signals are delivered to the space-time encoder to produce the signals that will be
transmitted by the two antennas in two successive time frames, which are presented in
Table 2.1.4.1.
TABLE 2.1.4.1: STC signals.

Antenna 1 Antenna 2
Time frame 1 x1 1 [ n ] x1 [ n ] x 2 1 [ n ] x 2 [ n m o d ( M K )]
*
Time frame 2 x1 2 [ n ] x 2 [ n ] x 2 2 [ n ] x 1 [ n m o d ( M K )]
*
A CP is appended to each signal before transmission. On the receiver side, the signals at the ith
receiving antenna on time frames 1 and 2 are given by
y i1 h 1 i x1 1 h 2 i x 2 1 w i1 (2.1.4.2)
y i 2 h 1 i x1 2 h 2 i x 2 2 w i 2
where h ji
is the circulant matrix with the impulse response of the channel between the jth
transmitting antenna and the ith receiving antenna, and w i 1 and w i 2 are the noise vectors received
by ith receiving antenna in the time frames 1 and 2, respectively. It is assumed that the channel
coherence time is larger than two GFDM symbols.
The space-time maximum ratio combining is carried out in the frequency domain to achieve
diversity. The combined signals in the frequency domain are given by

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I I
(2.1.4.3)
H 1 iY i1 H 2 iY i 2 H 1 iW i 1 H 2 iW i 2
* * * *
i 1 i 1
X1 I
X1 I
X 1 W eq
1
H 1i H 1i H H 1i H 1i H
* * * *
2i
H 2i 2i
H 2i
i 1 i 1
I I
H 1 i Y i 2 H 2 iY i1 H 1 iW i 2 H 2 iW i 1
* * * *
i 1 i 1
X2 I
X 2
I
X 2
W eq
2
H 1i H 1i H H 1i H 1i H
* * * *
2i
H 2i 2i
H 2i
i 1 i 1
1
where I is the number of receiving antennas, H ji
F h ji F and Y i 1 and Y i 2 are the discrete Fourier
transform of y i 1 and y i 2 , respectively.
The estimated data vectors can be obtained from the combined signals presented in (2.1.4.2),
therefore
1 (2.1.4.4)
d j BF X j.
Figure 2.1.4.2 compares the SER performance of classical STC-OFDM [LW00] with STC-GFDM
considering the system parameters from Table 2.1.3.1 and the frequency selective channel delay
profile from Section 2.1.3. However, each tap of the channel impulse response is multiplied by a
Rayleigh random variable with parameter r2 =1/2. Also, the total transmitting power is kept
constant, which means that each antenna transmits with half of the available power. Two
transmitting antennas and two receiving antennas have been used in this simulation.
Figure 2.1.4.2 shows that STC-GFDM and STC-OFDM have the same diversity gain. In a system
setup, shall be chosen small because the NEF can be neglected. Again, STC-GFDM uses the CP more
efficiently which leads to a better performance than STC-OFDM when small is used. The NEF
becomes significant for high values of , resulting in a performance loss. Nevertheless, the diversity
gain of 2I is achieved by STC-GFDM for both transmit pulses analyzed in this section
Figure 2.1.4.2: SER performance of the 2x2 STC-OFDM and STC-GFDM under frequency-selective and time-variant
channel.

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2.1.5 Synchronization
Synchronization is a key element in the performance of the signal processing carried out on receivers
and can be achieved in GFDM on a block basis. The block structure with its CP allows adaptation of
fundamental OFDM solutions to estimate symbol time offset (STO) and carrier frequency offset (CFO)
[BSB97] [SC97], but low OOB is a factor to be considered.
The algorithm proposed in [AKE08] will be evaluated in this section to achieve one-shot
synchronization using a straightforward proposal of a separated W-GFDM preamble, which is defined
with M = 2 and the transmitted data in the kth subcarriers of both subsymbols d k , 0 and d k ,1 are
filled with the same pseudo-noise (PN) sequence, resulting in a signal composed with two identical
halves.
Low OOB is obtained by pinching the block boundary and Figure 2.1.5.1 illustrates this configuration,
where a W-GFDM preamble precedes another W-GFDM, containing only data, and forms a burst with
a double pinching pattern. As described in the Sec. III, different pinching lengths N W p and N W d can
be applied respectively to the preamble and data blocks in order to achieve a desired emission mask.
Figure 2.1.5.1: W-GFDM preamble preceding a W-GFDM data block.
Given that r[n] is a set of received samples containing at least one complete W-GFDM preamble, the
two identical halves are identified with an autocorrelation metric integrated along the CP and CS
length to remove plateau effects [SC97] [MZB00], leading to
0 N 1
N (2.1.5.1)
r n k
*
[n ] r n k .

N CP k 0 2
The argument that maximizes the absolute value of the metric [n] is taken as a coarse STO
n c a rg m a x | [ n ] |, (2.1.5.2)
n
while the angle of [ n c ] is used to estimate the CFO as given bellow

[ n c ] (2.1.5.3)
.

The value is employed to correct the CFO in the received sequence and a cross-correlation
operation is then explored as
N 1
1 j 2 (nk ) (2.1.5.4)
c[ n ] r[n k ] e
* N
p [ k ],
N k 0
where p[k ] represents the known GFDM preamble.
To suppress side peaks that arise from the two halves and the CP and CS parts, c[n] is combined
with [n] and an optimized estimation of the STO is obtained by searching the peak value in the
range around the coarse STO estimation n c N / 2 , n c N / 2 that is
n o a rg m a x | c [ n ] || [ n ] | . (2.1.5.5)
n
This synchronization procedure is robust for single path channels, but in a time-variant FSC, the
primary echo can be lower than other echoes and the strongest peak will not represent the correct
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STO. Thus, an additional search before n o can reveal if there is another yet undetected peak to be
considered as the primary one. For samples that do not belong to the preamble, the output of the
cross-correlation can be interpreted as a complex gaussian random sequence and a threshold
criteria, depending on an acceptable probability of false alarm pFA, can reveal the presence of
multipaths before n o .
Considering that the first peak of (2.1.5.4) is within the range ( n o , n o ] , where < NCP is an
adjustable parameter, the threshold is defined as
(2.1.5.6)
4 1

TTh

ln ( p F A )
N
|c [ n o k ] |
2 k
N

2 2

and the fine STO estimation for the first multipath is finally given by
n f a rg firs t | c [ n ] | T T h . (2.1.5.7)
n o n n o
The performance evaluation in terms of variance of normalized STO and CFO estimations is
presented in Figure 2.1.5.2 for the W-GFDM preamble following the parameters presented in
Table 2.1.3.1 but with M = 2. A wRC[n] window function with NW = 16 is used, = 16, pFA = 10-4 and the
FSC is set as described in Section 2.1.3. For a SNR range higher than 5 dB the variance of the STO
estimation stabilizes within tenths of a sample due the time variant fading effect in the multipath
channel. The variance of the CFO estimation starts from thousandths of the subcarrier bandwidth
and gets linearly better (in log scale) with increasing SNR.
The results obtained with the double pinching configuration shows that burst synchronization can be
achieved without penalties when compared to the performance range presented in [AKE08] and
without increasing the OOB emission. More advanced schemes can be reached in future
investigations combining the subsymbols and the CP to form special pilot sequences, allowing the
construction of embedded synchronization sequence in the GFDM block.
Figure 2.1.5.2: Performance evaluation of variance of the fine STO estimation and CFO estimation for the GFDM
preamble in a multipath channel
2.1.6 Advanced receivers

In this section, the previously presented basic matched filter approach is extended by successive
interference cancellation (SIC), yielding the MF-SIC receiver. We investigate its performance
compared to the ZF receiver in terms of bit error rates (BER) in a setup with error control coding.
Although ZF can severely enhance the noise in the system, it can be a reasonable alternative to the
iterative approach in some cases, mainly when small values of and M are employed.
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A non-orthogonal waveform like GFDM inherently introduces correlation across all subcarriers and
subsymbols within a block, which can result in unwanted self-interference among the elements of d ,
when the MF receiver is employed. Supposed is the iteration index, the main idea is to first detect
all data symbols d ,
( )
0 , based on the received signal z . In the first iteration 1, these are
then fed back to calculate a cancellation signal u k , m A d
( 1)
g k , m d k , m for each pair of (k,m), which
( )
is based on all but the (k,m)th element of d

( 1)
. The received signal is partially cleaned of
interference, producing z k , m z u k , m . Lastly, the (k,m)th data symbol is detected again to obtain
( ) ( )
d . The
( )
th iteration is complete once all pairs of (k,m) are run through. The total number of SIC
iterations shall be denoted by J S IC .
This method has been shown to be effective, even for high order of QAM mapping [GMC+13].
However, for large K and M this can significantly increase the computational complexity of the
receiver. In that case, using a Nyquist filter allows to elimininate self-intersymbol-interference and
thus requires to iterate only through the subcarriers in the system. Another option is to define a
H
threshold for g k ,m , g k ,m with kk and mm, below which d k ', m ' is considered not to have
influence on d k , m .
Additionally, an interesting question is, to what degree can coding help to overcome the impairments
of the non-orthogonal waveform. To investigate this, encoder and decoder are introduced in the
transmission chain. The parallel concatenated convolutional code (PC-CC) from [TGP] with R 1 / 3
is considered for this section. On the receiver side, a turbo decoder [BGT93] with J T D iterations is
employed.
In the following, the two configurations depicted in Figure 2.1.6.1 shall be considered. In the first
setup, a ZF receiver is utilized in combination with the turbo decoder, while in the second setup MF
with several SIC iterations is employed prior to decoding. As a reference, an orthogonal SC-FDM
transmission is used. The performance is compared in terms of bit error rates in AWGN, frequency-
selective and time-variant channels and the configuration of the GFDM system is based on
Table 2.1.3.1. Results can be found in Figure 2.1.6.2.
(a) ZF receiver configuration

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(b) MF-SIC receiver configuration
Figure 2.1.6.1: The considered receiver configurations.
The main objective here is to evaluate the penalty of using a non-orthogonal waveform. Generally,
when the transmit filter exhibits little self-interference ( = 0.1), for either of MF and ZF, the PC-CC
alone is able to close the gap to the orthogonal system. In a situation where the interference
becomes severe ( = 0.9), MF and ZF can strongly deviate from the performance of the orthogonal
system. Looking at the AWGN case, noise enhancement appears to have a more severe impact than
the self-interference as MF outperforms ZF. However, with increasing E b / N 0 in the frequency
selective channel, the MF can only outperform the ZF, when combined with SIC. This behavior is
similar in the time-variant channel, however here a waterfall region is absent.
Overall, it can be concluded that when operating with little self-interference, ZF should be favored as
ZF and MF-SIC show nearly identical performance, but ZF does not the entail the complexity
overhead of the SIC iterations. When self-interference is severe, MF-SIC outperforms at the cost of
more computational effort.
Figure 2.1.6.2: BER simulation results for a coded system with JTD = 10 and JSIC = 1.
2.1.7 Application requirements and Frame Design

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New scenarios are being foreseen for 5G networks with requirements that cannot be addressed only
with throughput increment. The waveform must be flexible enough to address the following
scenarios:
1) Bitpipe communication: Currently broadcasting services are experiencing a media shift, where
television and radio content are being delivered to the public through Internet protocol. People
demand their favorite shows anywhere and smartphones and tablets are major platforms to access
these contents. With resolutions on mobile devices beyond high definition, videos and 3D contends
will require several tens of Mbps to achieve a good Quality of Experience (QoE). Therefore, next
generation networks must rely on advanced digital communication techniques, such as
MIMO [Big10] for diversity and multiplexing, highly efficient channel coding, small cell coverage with
inter-cell interference management and efficient dynamic spectrum allocation. For waveform
engineering, low out-of-band emission is a crucial requirement to allow fragmented and
opportunistic spectrum allocation with cognitive radios (CR) [LCL+11]. Orthogonal Frequency Division
Multiplexing (OFDM) [Bin90] with -35 dBc OOB emissions will hardly be able to attend the emission
mask without additional filtering, which renders the deployment of OFDM questionable in the next
generation standards.
2) IoT: Objects are becoming equipped with sensors and increasingly gain the ability to communicate
without human interaction. The market and application for IoT is not clear defined yet, but this is
being considered one of the biggest breakthrough applications for future wireless networks. There
are two major markets foreseen for IoT. The first considers the "Things" as complete systems with
only an interface that allows for controlling it using the Internet. The other considers the "Things" as
sensors and actuators and all the control system is moved to the cloud. Although the first approach
can be implemented shortly, the second one is being seen as the most interesting for large
corporations because the more capillarity connected sensors will provide accurate information for
Big Data processing, allowing for pattern identification and service offers according with these
patterns. Consider a scenario, where sensors are spread out in an environment measuring low time-
variant parameters and send the information to a central server. These sensors are typically low cost
devices with limited power source, but require a lifetime of several years. The duty cycle is very low,
throughput and latency represent less important requirements, while power saving is mandatory. If
IoT devices connect to todays cellular networks, they cannot pass through all the synchronization
steps, because this process would consume a large amount of energy. IoT devices must be able to
achieve reliable communication with a loose synchronization or even asynchronous. Cyclic prefix and
suffix can be used to allow for loose time domain synchronization in a random access channel. OFDM
cannot use this solution efficiently since it requires one CP and CS per symbol.
3) Tactile Internet: This is a new application scenario, first envisioned in [Fet14], where the 5G
network is used for real-time control applications with at most 1 ms round-trip latency requirements.
The low latency requirement is determined by the typical interaction latency for tactile steering and
control of real and virtual objects. In fact, most of todays mobile devices use a touch screen as input
interface and future devices will integrate various interfaces for haptic, visual and auditory input and
feedback. These new interface devices are also going to be used to interact with the online
environment for virtual and augmented reality, health monitoring, smart house controlling, gaming
and many different applications. If too large, the round-trip delays between the command insertion,
the action in the online environment and the feedback can result in a poor QoE or even
cybersickness. Since the overall round-trip system delay cannot be larger than 1 ms, the time budget
for the physical layer will be of no more than hundreds of s. The current frame structure of Long
Term Evolution (LTE), based on 70 s OFDM symbols, has a latency that is at least one order of
magnitude above the target for the Tactile Internet.

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4) WRAN: Despite the fact that reasonable Internet access is available in cities, sparsely populated
areas suffer from low data rate and unreliable solutions. Wired technologies have limited coverage.
Todays wireless networks have relatively small cell size and operate in licensed frequencies, which
makes them economical unfeasible in low populated areas. CR technology addresses this problem by
dynamically and opportunistically accessing vacant UHF TV bands. When using OFDM as the air
interface, it is a challenge to attend the emission mask imposed by spectrum regulation. Besides this,
large cell coverage leads to high delay spread and the conventional OFDM with a CP for every symbol
will result in a low spectral efficiency. The next generation network shall address large coverage
areas using dynamic channel allocation based on CR with low OOB emissions and efficiently deal with
the multipath effects by reducing the impact of the CP in the overall data rate.
GFDM flexibility can address the requirements of these application scenarios by configuring the
number of subcarriers and subsymbols. However, the channel characteristics, such as coherence
time ( T c ) and coherence bandwidth ( B c ), impose a general restriction to the number of subsymbols
and subcarriers. The coherence time defines an upper boundary for MK, while the coherence
bandwidth defines a lower boundary. In other words,
Rs (2.1.7.1)
(1 ) M K T c R s ,
Bc
where Rs is the overall symbol rate.
Different approaches can be used to establish the adequate values of K and M based on these
restrictions and the scenario requirements. Table 2.1.7.1 present the typical channel parameters and
a suggested GFDM configuration for the scenarios described in this section.
TABLE 2.1.7.1: Channel and system parameters for the different scenarios.
Parameters Bitpipe Tactile Internet IoT WRAN
Cell size [km] 4 1 4 100

Delay Spread [s] 5 1 5 50
B c [kHz] 40 200 40 4
Doppler shift [Hz] 100 10 100 10
T c [ms] 5 50 5 50
Subcarriers K 20,1,2,...,8 64 or 128 1 20,1,...,4
Subsymbols M 1023 ... 5 5 7 1023 ... 127
Receiver type MF-SIC ZF ZF MF-SIC
TC P 7 2 7 80
Symbol duration [s] 5000 5 500 50000
Modulation order 2, 4, 6 or 8 2 or 4 2 2, 4, 6 or 8
B W [MHz] 20 100 (fragmented) 1 5, 10 or 20
Bitpipe communication demands high throughput and high spectrum efficiency. A large M can
reduce the impact of the CP length in the overall throughput. Small cell size combined with
Coordianted Multipoint transmission [LKL+12] can increase the spectrum re-use without increasing
the interference between cells.

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Low latency is the major requirement for Tactile Internet. Short signal duration with large bandwidth
can be used to reduce the impact of the PHY layer in the overall system latency, therefore a
small MK product is mandatory.
The main requirement for the IoT devices is low energy consumption. Throughput is not an
important demand, since the devices duty cycles are low. It means that the Peak to Average Power
Ratio (PAPR) [RM13] must be as low as possible allowing a more efficient use of the power
amplifiers. The number of subcarriers cannot be high, unless some PAPR reduction technique is
employed. Also, energy cannot be wasted on tight synchronization procedures, which means that the
devices must be loosely synchronized with the network. Therefore, random access [BMA11] with
tolerable timing misalignment shall be allowed. A larger CP (and CS) can loose the time
synchronization for multiuser without decreasing the system performance [VWS+13]. Figure 2.1.7.1
illustrates how one LTE resource block could be organized using GFDM to provide a CP and a CS large
enough to accommodate timing misalignment. Notice that GFDM is able to increase the size of the
CP and introduce a CS without consuming further resources when compared with the LTE approach.
WRAN requires large cell sizes, which leads to spread out channel delay profiles. Thus, a long CP is
requested to avoid ISI. On the other hand, the user terminals are typically static and Doppler effect
plays a small role in this scenario. Slow time-variant channels allow for large M and CP and CS can be
efficiently used to avoid ISI.
Figure 2.1.7.1: GFDM and OFDM frame comparison for the IoT scenario.
2.1.8 Summary for GFDM

A novel modulation proposal for a 5G physical layer needs to address the specific requirements.
GFDM has been introduced as a candidate waveform modulation scheme for the air interface of 5G
networks. It has been shown how the modulation scheme can address the requirements imposed by
the different scenarios with a flexible block structure and subcarrier filtering and a suitable
parameter configurations for these envisioned application scenarios has been presented. Various
configurations with which the error rate performance is not compromised when compared to OFDM
and SC-FDE have been found and MIMO has been presented as a mean to obtain diversity in the
system. Synchronization was achieved without affecting the spectral properties of the waveform.
Certainly, many more issues still need to be resolved. Nevertheless, GFDM is a novel modulation
technology with the potential to fulfil the requirements of the next generation of mobile wireless
networks.

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2.2 UFMC & IDMA
2.2.1 UFMC principles and frame structure aspects

UFMC is a multi-carrier signal format with orthogonal subcarriers, which can deal very well with loss
of orthogonality at the receiver side, e.g. introduced by timing and frequency misalignments
[VWS+13]. This is due to improved spectral properties over OFDM. Figure 2.2.1.1 shows the
transceiver block diagram with the receiver applying FFT based detection (for the sake of simplicity
we leave out the time index).
Figure 2.2.1.1: UFMC transceiver architecture (UL).
Compared to OFDM, additional per sub-band filters are introduced, reducing the spectral side-lobe
levels outside this sub-band. This will increase the robustness against any sources of inter-carrier
interference and improve the suitability for fragmented spectrum. Related to the Unified Frame
Structure vision of 5GNOW, introduced in [D3.1] and [D4.1], those UFMC properties open up the
possibilities to handle synchronous traffic and transmissions with relaxed synchronicity within the
same band in neighbored frequencies. Note that relaxed synchronicity does not necessarily mean
completely asynchronous, as an open-loop synchronization based on downlink signals is always
possible, see section 2.2.3 on the concept of Autonomous Timing Advance (ATA).
Compared to OFDM, the cyclic prefix is dropped and its additional symbol duration overhead is used
to introduce sub-band filters. Note that those filters are much shorter than the per-subcarrier filters
of an FBMC system UFMC filters are in the order of an OFDM cyclic prefix. This property also
improves the suitability for communicating in short bursts, compared to FBMC [SWC14].

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So, UFMC can, roughly speaking, be interpreted as a generalization of FBMC and filtered OFDM
(though, being more closely related to the latter) [SW14].
The transmit signal can be mathematically described as follows: The time-domain transmit vector xk
for a particular multi-carrier symbol of user k is the superposition of the sub-band-wise filtered
components, with filter length L and FFT length N:
B
x k
F ik
V ik s ik (2.2.1.1)
( N L 1 ) 1 i 1 ( N L 1) N N n i n i 1
For each of the B sub-bands, indexed i, the ni complex QAM symbols collected in the transmit vector
sik are transformed to time-domain by the IDFT-matrix Vik with dimensions [Nni]. Vik includes the
relevant columns of the inverse Fourier matrix according to the respective sub-band position within
the overall available frequency range. Fik is a Toeplitz matrix with dimensions [(N+L-1)xN],
composed of the filter impulse response, performing the linear convolution.
At the receiver side, while OFDM discards the cyclic prefix and thus processes just N samples in an
FFT, UFMC uses the multi-carrier symbol duration of N+L-1 samples. Thus, for an FFT-based
processing, N-L+1 zeros have to be appended to reach the next larger power of 2. Then a 2N-point
FFT can be executed. Each second output can be discarded, containing frequency points in between
subcarriers. The remaining N outputs contain the demodulated subcarriers. Those frequency domain
complex symbols now can be processed, using all available knowledge from OFDM. Note that UFMC
is able to operate with QAM-modulation which allows to use all processing techniques e.g. known
from MIMO, while FBMC with offset-QAM is not that straightforward. Before performing the FFT, the
received time-domain signal can be weighted with a window wm, e.g. with raised-cosine shape,
corresponding to the areas A, B and C in figure 2.2.1.2:

1 m L
1 cos m 0, 1

2 L 2
1
2

L L (2.2.1.2)
wm 1 m , N

2 2

L
1 m N 1
L
1 cos 2 m N 1, L N 1

2 L 2
1
2
The following figure depicts an example for this window with N = 1024 and L = 80:

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RC shaped window, N=1024, L=80
B
0.8
A C
0.6
wm
A: ramp up area
B: main body of pulse
0.4 C: ramp down area
0.2
0
0 200 400 600 800 1000 1200
Time index m
Figure 2.2.1.2: Example time domain window (N = 1024, L = 80).
Two impacts are expected:

Windowing in time corresponds to a convolution in frequency domain, so the subcarriers of
the user of interest are broadened accordingly, introducing self-interference.
Out-of-band emissions of the interfering user within the passband of the user of interest are
attenuated.
So when applying the window, with a high degree of synchronization the overall interference is
worsened due to self-interference of the user of interest, due to loss of orthogonality between
subcarriers. However, with relaxed time synchronicity the reduction of the inter-traffic interference
is dominating, resulting in an overall improved performance as shown in section 2.2.4.
The FFT-based processing in Figure 2.2.1.1 is a much less complex solution than the time-domain-
based approaches which have been discussed in [D3.1].
Frame Structure Aspects

UFMC has been designed in order to enable the unified frame structure concept, depicted in [D3.1],
for supporting multiple service and device classes within a single radio frame. As mentioned above
UFMC supports a traffic mix of synchronous users and users with relaxed synchronicity.
Pilot resource elements may either be superimposed or can be based on classical inserted pilots.
Even the LTE-based pilot structure, depicted in Figure 2.2.2.1, can be reused in conjunction with
UFMC.
2.2.2 Synchronization, channel estimation and equalization

Note that UFMC is per se orthogonal in the complex-valued subcarrier domain and fully supports
QAM modulation and efficient frequency domain processing. This allows to re-use all the vast
knowledge gained from OFDM, as UFMC has a lot of similarities to OFDM (in fact classical OFDM is a
variant of UFMC with filter length L = 1).
Constant amplitude zero auto-correlation (CAZAC) sequences, like Zadoff-Chu sequences are used
already in the LTE system [3GPPTS36.211]. The CAZAC property brings along a lot of advantages for
synchronization, timing offset estimation and channel estimation. Note that CAZAC sequences are
complex-valued and thus cannot be used in FBMC-OQAM without losing their important properties.
It is suggested to use CAZAC-sequences in the UFMC uplink.

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subcarrier
Pilot Symbol Data Symbol
1 PRB
15 kHz
1/14 ms OFDM symbol

Slot 0 Slot 1
Subframe
Figure 2.2.2.1: Uplink pilot pattern of LTE can be reused for UFMC.
The inserted pilot symbols, as shown in Figure 2.2.2.1, can carry CAZAC sequences which can be used
for all synchronization and timing offset estimation purposes due to their advantageous auto-
correlation properties.
UFMC channel estimation can be executed in the frequency domain. After the FFT, scalar per-
subcarrier processing in the frequency domain can be done, which is low complex and can build upon
OFDM knowledge.
Looking at a particular subcarrier n, in (2.2.2.1) we obtain
S Pilot ( n ) H CTF ( n ) F FD ( n ) Y single (n) . (2.2.2.1)
So a raw channel estimate for a single resource element can be computed based on the known pilot
symbol SPilot(n), known filter frequency response FFD(n) and observed subcarrier received value
Ysingle(n) as :
H CTF ( n ) S Pilot ( n ) F FD
( n ) Y single (n) (2.2.2.2)
Compared to OFDM, the impact of the filtering is additionally taken into account.
After having achieved the raw channel estimate (2.2.2.2), every subsequent processing, as known
from OFDM can be applied. E.g. two-dimensional Wiener filtering in time- and frequency dimension
will be identical to OFDM [WNB13].
Using the estimated channel, a per-subcarrier scalar equalizer can be applied, performing an
element-wise multiplication of equalizing vector q and frequency response vector Ysingle
s q Y single (2.2.2.3)
where the circular symbol represents the Hadamard-product, carring out the element-wise
multiplication.
The equalizing vector takes care for all phase rotations caused by the frequency responses of the
respective per-subcarrier filters, including the filter delay phase shifts, as well as the frequency
response of the channel HCTF, the so-called channel transfer function. Note that this equalization is
similar to OFDM (with additional compensation of the filter).
A note on inter-symbol interference (ISI): OFDM, due to cyclic prefix (CP), has a protection against ISI,
as long as the delay spreads and timing offsets do not exceed the length of the CP. UFMC has a soft-
protection against ISI: As the filtered multi-carrier symbols are non-overlapping, the beginning and
end of the multi-carrier symbol, due to the convolution with the sub-band filter, starts with zero
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power. So there is a filter ramp-up and down which attenuates any ISI caused by delay spreads. This
property allows UFMC for low and medium delay spreads to operate with the symbol-wise
processing as the ISI is still negligible. For pathological ultra-high-delay spread cases, further research
has to be made, e.g. regarding multi-tap equalizers for UFMC.
2.2.3 Support of Autonomous Timing Advance

As outlined in general by 5GNOW, todays cellular networks, like LTE, operate strictly synchronous, at
least within each cell. A device wanting to transmit a few bits of data has to enter the network via the
random access procedure. This includes an ongoing closed-loop timing advance control. The 5th
generation of wireless systems, in order to support the upcoming internet of things, will include a
large fraction of machine-initiated communication. We will have a large number of devices, where
many of them only have sporadic traffic. In this case, the extensive random access procedures, like in
LTE, generate a painful signaling overhead. Furthermore, existing closed-loop time synchronization
consumes a notable amount of energy. This shortens the battery life time of e.g. cheap sensors.
On the other hand, completely giving up time alignment of signals is also not efficient. A simple
example [R75]: Slotted Aloha is by a factor of 2 more spectrally efficient than pure Aloha (completely
asynchronous). Furthermore, in cellular systems, due to transmission of synchronization and pilot
signals, there is already some timing information available. The only unknown here is the
propagation delay of the channel.
Our vision here is to use open-loop synchronization for devices which just have sporadic MTC traffic
(type III and IV in the Unified Frame Structure). Furthermore open-loop synchronization may also be
used for scheduled access (type II traffic) for energy and overhead saving reasons, multi-cell
scenarios applying UL CoMP mechanisms and in the light of user-centric instead of cell-centric
networking [BAD12]. The device listens to the downlink and synchronizes itself coarsely. Here, the
usage of a multi-carrier waveform helps: The division of the available bandwidth into smaller chunks
(sub-carriers) generates comparatively long symbols, improving robustness against delay spread but
also against timing misalignments. The symbol duration can be designed such that the misalignments
are just fractions of the multi-carrier symbols. Furthermore, the devices may apply some
autonomously derived timing advance. This we call Autonomous Timing Advance (ATA). Two variants
of ATA are possible.
On the one hand the single devices may estimate the round trip time their signals are
suffering (e.g. based upon GPS data or making use of pathloss estimations) and apply a
respective timing advance. When doing so, performance of the respective transmission is
improved.
Another simpler variant is for all type II/III devices to apply the same timing advance NOL,max/2
with NOL,max being the highest round trip time appearing within the cell (or alternatively e.g.
the 95%-tile of all existing round trip times). When using this technique, inter-traffic
interference at the frequency borders is reduced (in a later section results for the second
variant will be presented). Various means are available for the devices in order to get
knowledge on NOL,max. The most simple one is for the basestation to broadcast the value
based on measurements (e.g. during closed-loop synchronization of type I devices).
The performance for UFMC with ATA is discussed in the next section.

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2.2.4 Performance in scenarios with relaxed synchronism
As outlined earlier the inclusion of massive machine traffic (MMC) and the support of multi-point
transmissions (e.g. in the frame work of user-specific networking [BAD12]) can prevent a 5G system
from working as tightly synchronized as with LTE and LTE advanced. For once the intense time,
energy and transmission resource consuming closed loop procedure applied in LTE and LTE advanced
for achieving a tight synchronisation between user transmissions is unfeasible for low-end MMC
devices. Secondly, when devices are attached to multiple transmission points, it is impossible for
them to be synchronized to all of them, as typically the respective round trip delays are different.
With users being less tightly synchronized, multi-user interference occurs between users being
located adjacent in frequency in uplink. In the following we compare a system applying CP-OFDM
with a system applying UFMC in this respect.
Lets assume a cut out of the multi-service frame presented earlier (unified frame structure):
frequency
Type II/III burst, open-

loop synched
timing
Type II/III burst, open- offset
loop synched
frequency
Type I burst, offset
closed-loop synched
time
Figure 2.2.4.1: Multi-user scenario (FDMA).
Figure 2.2.4.1 depicts 3 user bursts being placed at the edge between type I transmissions (i.e.
transmissions tightly synchronized via the closed loop procedure) and type II or type III transmissions
(i.e. synchronized via open-loop mechanisms). The burst depicted in blue is perfectly time and
frequency aligned, while the bursts depicted in orange potentially are impaired by timing and
frequency offsets. Two major impacts are observable:
1. For the detection of type II and III transmissions more sophisticated mechanisms may be
required (depending on the actual magnitude of the offsets) at the base station to achieve
signal reception with high quality (e.g. phase compensation, interference suppression ...).
2. Multi-user interference occurs:
A. Inter-traffic interference: distortions from type II/III transmissions to type I
transmissions
B. Intra-traffic interference: distortions between type II/III transmissions
In the following we concentrate on the second distortion. More sophisticated receiver concepts are
future work.

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We start with evaluating the mean squared error (in dB) the user of interest is suffering (interference
power) due to an adjacent user being delayed relative to the user of interest (no channel). The
system settings are as follows:
Table 2.2.4.1: Simulation settings
Simulation Parameter Value

Subcarriers per sub-band 12
FFT size (N) 1024
No. of allocated sub-bands, 3/9, adjacent in frequency
(user of interest/interfering user)
Filter type Dolph-Chebyshev with
40 dB sidelobe attenuation
UFMC filter length L [80, 90, 100]
OFDM CP length LCP 79
Carrier Frequency Offset (CFO) in [0, 0.05, 0.1]
subcarrier spacings
Number of frequency guards [0, 1, 2, 5] subcarriers
Receiver type FFT based w/ and w/o time domain
windowing (for UFMC)
Power control ideal, i.e. all transmissions arrive at the
base station with unit energy
The following figures 2.2.4.2 2.2.4.7 depict the mean squared error (in dB) the user of interest is
suffering due to an adjacent user being delayed relative to the user of interest (x-axis) for various
system settings (black curves: CP-OFDM , blue/red/green curves: UFMC).
OFDM vs. UFMC, no CFO, no windowing

-18
-20
-22
-24
-26
MSE [dB]
-28
-30
-32
L = 80
continuous: no guards L = 90
-34 dashed: 1 subcarrier as guard
L = 100
dotted: 2 subcarriers as guard
-36 dash-dotted: 5 subcarriers as guard LCP = 79
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Ndelay/N
Figure 2.2.4.2: Interference power depending on the timing offset, no CFO, no time domain windowing (black: OFDM,
blue/red/green: UFMC).
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OFDM vs. UFMC, no CFO, RC shaped windowing (for UFMC)

-18
-20
-22
-24
-26
MSE [dB]
-28
-30
-32
L = 80
-34 continuous: no guards L = 90
dashed: 1 subcarrier as guard L = 100
dotted: 2 subcarriers as guard LCP = 79
-36 dash-dotted: 5 subcarriers as guard
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Ndelay/N
Figure 2.2.4.3: Interference power depending on the timing offset, no CFO, RC shaped time domain windowing (black:
OFDM, blue/red/green: UFMC).
OFDM vs. UFMC, CFO 5% , no windowing
-18
-20
-22
-24
-26
MSE [dB]
-28
-30
-32
L = 80
continuous: no guards L = 90
-34
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Ndelay/N
Figure 2.2.4.4: Interference power depending on the timing offset, 5% CFO, no time domain windowing (black: OFDM,

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OFDM vs. UFMC, CFO 5% , RC shaped windowing (for UFMC)

-18
-20
-22
-24
-26
MSE [dB]
-28
-30
-32
L = 80
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Ndelay/N
Figure 2.2.4.5: Interference power depending on the timing offset, 5% CFO, RC shaped time domain windowing (black:
OFDM vs. UFMC, CFO 10% , no windowing

-18
-20
-22
-24
-26
MSE [dB]
-28
-30
-32
L = 80
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Ndelay/N
Figure 2.2.4.6: Interference power depending on the timing offset, 10% CFO, no time domain windowing (black: OFDM,

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OFDM vs. UFMC, CFO 10% , RC shaped windowing (for UFMC)

-18
-20
-22
-24
-26
MSE [dB]
-28
-30
-32
L = 80
-36 dotted: 2 subcarriers as guard LCP = 79
dash-dotted: 5 subcarriers as guard
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Ndelay/N
Figure 2.2.4.7: Interference power depending on the timing offset, 10% CFO, RC shaped time domain windowing (black:
Obviously, UFMC outperforms CP-OFDM as soon as the cyclic prefix is exceeded. Additionally, UFMC
is less susceptible to CFO.
To transport the results given so far into a more tangible setting describing an actual cellular use
case, we evaluate in the following the mean squared error a user of interest is suffering in average
with the interfering user being delayed randomly between Nmin and Nmax. By doing so, we model the
type II/III device being placed randomly within the cell. To evaluate the average distortion due to
inter-traffic interference, we have to apply the following metric:
N delay
N max
E MSE inter
pN MSE
(2.2.4.1)
delay
N delay N min N
Ndelay is the actual delay of the interfering user relative to the detection window, pNdelay is the
probability density of the respective delays to occur within a given cellular setting (more on that
later) and MSE(Ndelay/N) are the measurements given within the figures above. If no ATA is applied
Nmin = 0 and Nmax = NOL,max (NOL,max is the highest occurring delay related to the highest occurring
round trip time) holds, if type 2 ATA is applied with NTA = 0.5NOL,max, we have Nmin = -0.5NOL,max and
Nmax = +0.5NOL,max.
To determine pNdelay, we assume a single cell being a sector of a circle with radius Rmax and opening
angle , as shown in figure 2.2.4.8.

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Rmax
Figure 2.2.4.8: Cell shape.
Assuming potential placements of type II/III devices being uniformly distributed within the cell, we
are able to derive the probability density function (PDF) pr of the distance of these placements to the
base station:
The PDF we are looking for is proportional to the arc of the circle at distance r:
pr r
(2.2.4.2)
p r r0 r
To calculate the proportionality coefficient r0, we make use of the fact, that the integral of any PDF
over its whole range equals 1:
R m ax R m ax R m ax

p r dr r rdr r0 r0 R max 1
2 2
0
r
0 0
2 0
2
(2.2.4.3)
2
r0
R max
2
So, we get:
2 r 2r
with r 0 , R max
pr R 2 2
R max (2.2.4.4)
max
otherwise
0
Figure 2.2.4.9 depicts the shape of this PDF.

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2.5 cell edge
2
pr
1.5
1 cell center
0.5
0
0 0.2 0.4 0.6 0.8 1
r/Rmax
Figure 2.2.4.9: PDF pr of a device to have distance r to the basestation.
Ultimately, we are interested in the PDF of the occurring delays Ndelay (pndelay). For simplicity we
assume a linear relation between the distance of the device and the delay of its transmission at the
basestation. This perfectly holds true, if we assume
1. the nodes to be able to perfectly synchronise themselves to the downlink synchronization

signal (i.e. perfect synch. at the device antennas is achieved)
2. line-of-sight transmissions.
If the first point does not hold, the actual delay inhibits an additional jitter due to estimation errors. If
the second point does not hold, the actual behaviour may be slightly deformed, as the effective de-
routing factor due to non-line-of-sight transmission may depend on the actual position of the device.
Assuming 1 and 2 are true, we get:
pN pr (2.2.4.5)
delay
The following figures 2.2.4.10 - 2.2.4.12 depict the average distortion the user of interest (type I
device) is suffering under the assumptions given above and with various system settings (0%, 5% and
10% CFO; w/ Type 2 ATA applying NTA=0.5NOL,max, w/ and w/o time domain windowing, FFT based
detection).

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OFDM vs. UFMC, no CFO, w/ type 2 ATA applying N TA=0.5N OL,max

-20
OFDM, L =79
CP
L = 80, no Guards
L = 80, 1 Subc. Guard
L = 80, 2 Subc. Guards
-25
E[MSEinter] [dB]
blue: UFMC w/ RC shaped windowing

red: UFMC w/o windowing
-30
-35
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
NOL,max/N
Figure 2.2.4.10: Inter-traffic interference, no CFO.
OFDM vs. UFMC, 5% CFO, w/ type 2 ATA applying N TA=0.5N OL,max

-20
OFDM, L =79
CP
L = 80, no Guards
-25
E[MSEinter] [dB]

-30
-35
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
NOL,max/N
Figure 2.2.4.11: Inter-traffic interference, 5% CFO.

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OFDM vs. UFMC, 10% CFO, w/ type 2 ATA applying N TA=0.5N OL,max
-20
OFDM, L =79
CP
L = 80, no Guards
-25
E[MSEinter] [dB]

-30
-35
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
NOL,max/N
Figure 2.2.4.12: Inter-traffic interference, 10% CFO.
UFMC is able to outperform CP-OFDM significantly. Especially, the use of ATA type 2 and the
application of time domain windowing (for NOL,max being above 10% of the overall symbol duration) is
recommended. Key take-away is the fact that UFMC is able to support both close-loop synchronized
traffic (e.g. smart phone traffic) and open-loop synchronized traffic (e.g. low-cost MMC
transmissions) within a single frame more efficiently than OFDM and with negligible distortions
enabling a highly scalable system.
Taking the shape of pNdelay into account it becomes obvious, that the higher delays (before ATA) are
more often occurring than the lower once (this is related to the fact that the arc of a circle grows
with its radius). This indicates that a slightly higher common timing advance would further reduce
the inter-traffic interference. The following figure 2.2.4.13 confirms this.

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UFMC, L=80, no CFO, RC shaped windowing, no Guards

-20
NTA=NOL,max
NTA=0.5N OL,max NOL,max = 20
-25
NOL,max = 40
NOL,max = 60
E[MSEinter] [dB]
-30 NTA=0 N = 80
OL,max
NOL,max = 100
NOL,max = 120
-35 N = 140
OL,max
NOL,max = 160
N = 180
OL,max
-40 NOL,max = 200
-45
-0.08 -0.06 -0.04 -0.02 0 0.02 0.04 0.06 0.08
(NTA+NOL,max/2)/N
Figure 2.2.4.13: Inter-traffic interference, depandance on NTA.
The higher NOL,max is, the higher the applied timing advance NTA is to be chosen indicated by the fact,
that the minima of the curves are shifted to the left. So, by choosing the appropriate timing advance
ATA type 2 is improving the system even more. If implemented into a real system, the basestation is
able to estimate the optimal value based upon prior measurements done during the adjustment of
type I devices and broadcast this value every once in a time.
As outlined earlier another relevant aspect to evaluate is the intra-traffic interference. For doing so
we have to apply the following metric:
max

E MSE intra

p MSE (2.2.4.6)
min N
= (Ndelay,1- Ndelay,2) is the delay difference between the two type II/III users (user 1 being the user of
interest and user 2 being the interfering user). p is the probability density of these delay differences
to occur within the given cellular setting and MSE(/N) are again the measurements given within the
figures above. min equals to NOL,max and corresponds to the case of the user of interest being
located at the cell center (and thus having zero delay) and the interfering user being located at the
cell edge (and thus having delay NOL,max). Finally, max equals to NOL,max and corresponds the opposite
case.
To determine p we need to reformulate a bit:
N delay,1 N delay,2 N delay,1 N delay,2 (2.2.4.7)
With the right side of the equation, it becomes obvious, that p is easily determined as follows:
p pN p N pN p N pr pr (2.2.4.8)
delay,1 delay,2 delay delay
So, to determine p a simple convolution needs to be carried out, as shown in figure 2.2.4.14.

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0.06
both users are colocated
0.05
0.04

0.03
p
0.02
0.01 user 1 at cell center user 2 at cell center

user 2 at cell edge user 1 at cell edge
0
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1

Figure 2.2.4.14: PDF p of two devices to have delay difference .
The following figures 2.2.4.15 - 2.2.4.20 depict the average distortion the user of interest (type II/III
device) is suffering under the assumptions given above and with various system settings (0%, 5% and
10% CFO; w/ Type 2 ATA applying NTA=0.5NOL,max, w/ and w/o time domain windowing, FFT based
detection).
OFDM vs. UFMC, no CFO, no windowing

-20
L = 80
L = 90
L = 100
LCP = 79
-25
E[MSEintra] [dB]
-30
continuous: no guards
dashed: 1 subcarrier as guard
-35
0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2 0.22
NOL,max/N
Figure 2.2.4.151: Intra-traffic interference, no CFO, no time domain windowing (black: OFDM, blue/red/green: UFMC).

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OFDM vs. UFMC, no CFO, RC shaped windowing

-20
L = 80
L = 90
L = 100
LCP = 79
-25
E[MSEintra] [dB]
-30
-35
0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2 0.22
NOL,max/N
Figure 2.2.4.16: Intra-traffic interference, no CFO, RC shaped time domain windowing (black: OFDM, blue/red/green:
UFMC).
OFDM vs. UFMC, 5% CFO, no windowing

-20
L = 80
L = 90
L = 100
LCP = 79
-25
E[MSEintra] [dB]
-30
-35
0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2 0.22
NOL,max/N
Figure 2.2.4.17: Intra-traffic interference, 5% CFO, no time domain windowing (black: OFDM, blue/red/green: UFMC).

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OFDM vs. UFMC, 5% CFO, RC shaped windowing

-20
L = 80
L = 90
L = 100
LCP = 79
-25
E[MSEintra] [dB]
-30
-35
0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2 0.22
NOL,max/N
Figure 2.2.4.18: Intra-traffic interference, 5% CFO, RC shaped time domain windowing (black: OFDM, blue/red/green:
UFMC).
OFDM vs. UFMC, 10% CFO, no windowing

-20
L = 80
L = 90
L = 100
LCP = 79
-25
E[MSEintra] [dB]
-30
-35
0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2 0.22
NOL,max/N
Figure 2.2.4.19: Intra-traffic interference, 10% CFO, no time domain windowing (black: OFDM, blue/red/green: UFMC).

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OFDM vs. UFMC, 10% CFO, RC shaped windowing

-20
L = 80
L = 90
L = 100
LCP = 79
-25
E[MSEintra] [dB]
-30
-35
0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2 0.22
NOL,max/N
Figure 2.2.4.20: Intra-traffic interference, 10% CFO, RC shaped time domain windowing (black: OFDM, blue/red/green:
UFMC).
Again UFMC is outperforming OFDM significantly.

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2.2.5 UFMC with multiple signal layers

In this section, we consider an uplink scenario, in which the users with Relaxed Synchronicity (RS) are
embedded into a large frame with synchronous users, and produce Inter-Carrier Interference (ICI).
We investigate the capability of the UFMC system to support multiple signal layers, by adopting
Interleave-Division Multiple Access (IDMA), which is able to separate and detect the superimposed
signals of individual RS users [CSW14]. As being a reference solution, the conventional multi-carrier
waveform, Orthogonal Frequency Division Multiplexing (OFDM), is supported by Frequency Division
Multiple Access (FDMA) to separate the RS users in a classical way. This allows us to study the coded
Bit Error Rate (BER) behaviour of UFMC-IDMA and OFDM-FDMA system, if the Forward Error
Correction (FEC), e.g. Low-Density Parity-Check (LDPC) channel decoder, is considered. (On the other
side, we have the degrees of freedom, to investigate the performance of UFMC-FDMA or OFDM-
IDMA, as well.)
Figure 2.2.5.1: A generic UFMC-IDMA transceiver structure
In Figure 2.2.5.1, the basic UFMC modulator and IDMA transceiver structure are presented. The
multiple user uplink scenario is the information-theoretic Multiple Access Channel (MAC) problem.
The capacity can be described in a two-user rate region [COV06]. A classical and simple approach is
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FDMA. While FDMA can achieve the single-user corner points of this rate region, its hull can in
general only be achieved when both users transmit simultaneously using joint decoding. In order to
exploit this point, a multiple access scheme different to FDMA is required, e.g. Interleave-Division
Multiple Access (IDMA). In [PLW06], this new concept was proposed by Li Ping et al., which originally
targeted to the performance enhancement for asynchronous Code Division Multiple Access (CDMA).
Further studies in [KBU12] revealed the different characteristics of IDMA and CDMA with respect to
complexity of the receiver, robustness against asynchronicity and tolerance upon users overloading.
Being recognized by both [PLW06] and [KBU12], the receiver, denoted as Elementary Signal
Estimator (ESE) by Li Ping et al. or denoted as soft rake detector by Kusume et al., turns out to be
simple and effective.
Firstly, lets depict the IDMA concept in conjunction with UFMC modulation. For a particular user k
the data bits dk are encoded, obtaining coded bits ck. Each user uses its own interleaver k. After
interleaving, the M-QAM modulated data symbols rk can be segmented to the per sub-band input
vector si,k of the UFMC modulator. This provides
Yn H k ,n
F k , n rk , n H l ,n
F l , n rl , n z (2.2.5.1)
lk
where rk,n denotes the QAM symbol of user k at subcarrier n after user-specific interleaving, Hk,n
denotes the channel transfer function, Fk,n stands for the subband filter frequency response and z
models Additive White Gaussian Noise (AWGN) with power spectral density N0. At the receiver side,
the ESE is able to deliver the Log-Likelihood-Ratio (LLR) for the m-th bit of the transmit symbol rk,n
with
Y H
2

F k ,n a

k ,n
exp
a A m
0
NI N0

( r k , n ) ln
( out ) (m )
L ESE (2.2.5.2)

,k
Y H
2
F k ,n a

k ,n
exp
a A m
1
NI N0

where A m0 and A m1 denote the subsets of the QAM constellation candidates, whose m-th bit is 0 and
1, respectively. Notation NI denotes the variance of the interference from other IDMA users. Further,
it holds
Y Y H l ,n
F l , n E rl , n (2.2.5.3)
lk
Y
( out ) ( out )
H l ,n
F l , n Q ( L DEC , l ,1
, ... , L DEC ,l , M
)
lk
where operator Q ( ) represents to a soft QAM-mapper for symbol rl,n based on the LLRs from the
decoder. For the output of ESE, the user-specific de-interleaver k-1 and FEC decoder basically collect
the diversity and coding gain, which can significantly improve the reliability and coding gain, which
can improve the reliability of cancellation in (2.2.5.3). Furthermore, the ESE performance (2.2.5.2) is
as well improved, by introducing several IDMA iterations. The user signal layers 1 to k can be
successfully separated even within, e.g. 5 IDMA iterations.

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Figure 2.2.5.2: A scenario for performance comparison
In Figure 2.2.5.2, a scenario for performance comparison between FDMA and IDMA is provided. In
FDMA, each user is allocated to a relatively narrow frequency bandwidth F/K, considering an FEC
rate Rc, frame-length T, and modulation order MF. The achievable throughput per user is
RcMF(TF/K). In IDMA, all of the users are allowed to share the complete bandwidth F. Those
increased number of multi-carrier resource elements can be used in various manners, e.g. either by
reducing the FEC rate to Rc/K, or by reducing the modulation order (in MI bits per symbol) or by using
a repetition code with rate Rr, or any combination of those possible parameters. The achievable
throughput per user is thus (Rc/K)MIRr(FT).
Notice that we have the degrees of freedom to adjust the parameters Rc, MF, MI, K and Rr. In our
investigations, we chose the parameters such that the achievable throughput is identical for both
FDMA and IDMA, which provides a fair comparison. On the other side, the framing design can
significantly benefit the IDMA scheme, due to the high potential of frequency diversity and low ICI
introduced by adjacent users. Especially, the reduced FEC rate can guarantee a robust IDMA
performance. Throughout this section, each user is exactly assigned one layer. The users of interest
are assumed to have identical time offsets relative to the fully synchronized user, namely
1=2=...=k 0. In future work, a much more sophisticated model could be considered.
Then, lets exploit uplink link level simulations for two users of interest, in order to compare different
combinations of multi-carrier waveform solutions and multiple access schemes, such as OFDM-
FDMA, OFDM-IDMA, UFMC-FDMA and UFMC-IDMA. In Table 2.2.5.1, the simulation parameters are
summarized.

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Table 2.2.5.1: Link level simulation parameters

Simulation Parameter Value
Multi-carrier symbols per TTI (Transmission Time Interval) 9
FFT size (N) 1024
Subcarrier spacing 15 kHz
UFMC filter length L 80
Filter type Dolph-Chebyshev with
40 dB sidelobe attenuation
Subcarriers per sub-band 12
Nr. of allocated sub-bands for user of interest 5/10
(FDMA/IDMA)
Nr. of allocated sub-bands for interfering users 9
Receiver type FFT based
w/o time domain pre-processing
Carrier frequency 2 GHz
Carrier Frequency Offset (CFO) in subcarrier spacings 0
Relative delays between adjacent users N delay
( 0 , 0 . 45 )
N
Channel model i.i.d. Rayleigh (blockfading)
Pedestrian B, 3 km/h
Power control ideal, i.e. all transmissions arrive
at the base station with unit energy
Subcarrier modulation schemes BPSK, QPSK, 16QAM
Number of IDMA iterations 5
Number of FDMA/IDMA users 2
Repetition rate Rr 1
FEC DVD-S2, LDPC code
FEC rate Rc 1/4, 3/4
Iterations in LDPC decoder 50

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(a)
(b)
Figure 2.2.5.3: Performance comparison: OFDM-FDMA with QPSK vs. OFDM-IDMA with BPSK for 2 layers (a), and UFMC-
FDMA with QPSK vs. UFMC-IDMAwith BPSK for 2 layers (b)
We adopt the LDPC code specified in the second generation satellite Digital Video Broadcasting (DVB-
S2) [ETS04] to enhance the channel coding for IDMA. In Figure 2.2.5.3, the FDMA and IDMA related

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schemes are QPSK and BPSK modulated, respectively, so that the two-user overall achievable
throughput is equivalent for both schemes. And for the same reason, the FDMA and IDMA related
schemes are 16QAM and QPSK modulated in Figure 2.2.5.4 similarly. In order to consider the
influence by delay, we specify a definition relative delay Ndelay/N with Ndelay being the delay in time
domain with respect to the number of samples. It can be observed that IDMA turns out to be the
better solution for lower code rates (e.g. 1/4), and outperforms FDMA by roughly 1-2 dB (at coded
BER 10-3). One of the most important reasons to understand the gain is that IDMA can potentially
exploit frequency diversity due to wider frequency allocation size, as depicted in Figure 2.2.5.2, and
suffers less ICI from adjacent users. Notice that the loss of FDMA scheme user Pedestrian B channel is
bigger than that of IDMA scheme. This is an indirect evidence that IDMA scheme is capable of better
collecting frequency diversity gain. Due to the computational limitation for the numerical simulation,
we do not consider the framing for K>2 users. Nevertheless, significant performance enhancement
can be expected, if more users are involved in the framing, so that the potential frequency diversity
will further increase the performance gain between IDMA and FDMA.
(a)

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(b)
Figure 2.2.5.4: Performance comparison: OFDM-FDMA with 16QAM vs. OFDM-IDMA with QPSK for 2 layers (a), and
UFMC-FDMA with 16QAM vs.UFMC-IDMA with QPSK for 2 layers (b)
On the other side, expected by us, as well concluded in the pioneer works, e.g. [PLW06], IDMA can
only enhance the performance within systems applying low rate codes. Thus, FDMA shows better
performance for higher code rates. For this reason, we do not provide the IDMA performance in
Figure 2.2.5.4 for FEC rate 3/4.
Additionally, for low code rates in both multiple access schemes, UFMC slightly outperforms OFDM.
Furthermore, in high Eb/N0 areas (e.g. in the higher Eb/N0 operation points for 16QAM with code rate
3/4), especially in the presence of timing delays, the performance gain of UFMC exceeds 1.5dB over
OFDM, with respect to Eb/N0 at BER 10-3. This is due to the higher robustness of UFMC to time delay
as shown in section 2.2.4.
From these results it seems that UFMC is a candidate scheme potentially capable of replacing OFDM.
For users transmitting with low code rates, IDMA is preferable over FDMA and can be combined well
with UFMC. Even when users are in low-rate operation points, where distortions due to multi-user
interference are far beyond the noise floor, the filters help to protect neighbour users from ICI and
provide additional benefits, like increased suitability to fragmented spectrum.
Throughout this section, equal power per user is assumed, which is the best case for ICI and cannot
always be guaranteed for contention-based access. In unbalanced power situation, ICI robustness
becomes more important, thus UFMC gain will be much stronger.

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2.2.6 UFMC with flexible single carrier support

This section discusses a hybrid signal structure with multi-carrier and single-carrier building blocks,
embedded into the UFMC signal format. The basic idea consists of constructing filtered signal
modules, which either contain filtered single carrier transmissions or (e.g. block-wise) filtered multi-
carrier signals. Depending on the traffic mix the available subband slots may be dedicated to either of
those transmission types. For energy-efficient communication, required in e.g. low-end MTC devices,
the single carrier signal format, due to its improved PAPR properties is more power amplifier friendly.
UFMC consists of a modular structure with filtered subband-blocks, see Figure 2.2.6.1. The
embedded filtering functionality of UFMC applied similarly to the single-carrier modules enables a
highly flexible and scalable air interface with high resource efficiency. When applying this approach
we are able to dynamically replace UFMC multi-carrier subband modules and instead embed single-
carrier signals, optionally with spreading, e.g. spread spectrum or time-spreading, see Figure 2.2.6.2.
The embedded single carrier signals are spectrally shaped (preferably already when constructing the
digital baseband signal) with filters which align to the UFMC signal structure, e.g. using the same
prototype filters of UFMC in a frequency-shifted manner.
The single carrier signals can (but do not have to) be constructed using DFT-precoded UFMC (thus SC-
FDMA based on UFMC), similar as DFT-precoded OFDM in the LTE uplink.
Figure 2.2.6.1: Embedded into UFMC: Hybrid single-carrier / multi-carrier transmitter, where single carrier is used in its
pure form.
Figure 2.2.6.2: Embedded into UFMC: Hybrid single-carrier / multi-carrier transmitter, where the single carrier contains a
spread spectrum signal. The Serial-to-parallel conversion before spreading allows using multi-code transmission (the
usage of several superimposed spread signals)
Naturally, in the uplink low-rate devices can now use single carrier signals, high-rate devices can use
multi-carrier signals, all under the umbrella of the UFMC signal structure, e.g. using the same

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subband-filters, both for SC or MC. The system can dynamically adapt the resource blocks to the
different SC/MC formats via control signalling.
2.2.7 Summary for UFMC

We have described the basic signal properties of UFMC in section 2.2.1. Its spectral properties are
clearly advantageous over OFDM and thus increased robustness against sources of inter-carrier
interference are provided. Additionally UFMC subcarriers are orthogonal in the complex domain.
Section 2.2.2 shows that, due to the fact that UFMC is very closely related to OFDM, equalization and
channel estimation have low complexity and can built upon the vast knowledge base of OFDM.
Section 2.2.3 introduces an open-loop timing advance method which is tailored to UFMC.
Performance results of this Autonomous Timing Advance (ATA) are demonstrated in section 2.2.4,
showing that UFMC is able to operate with relaxed synchronicity very well.
Section 2.2.5 introduces the usage of multiple signal layers in conjunction with UFMC, based upon
IDMA. This exploits the rate region of the multiple access channel and thus leads to higher
throughputs, which was demonstrated by simulations for low code rates. It was also shown that
IDMA and UFMC complement each other well. While IDMA especially brings benefits with low code
rates, thus in the low Eb/N0 region outperforming FDMA, UFMC brings benefits in higher modulation
and coding schemes, always being superior over OFDM.
Section 2.2.6 illustrates that UFMC, due to its subband-filtering structure, can easily embed single-
carrier signals (either SC-FDMA or a GSM-like true single carrier signal) within its multi-carrier
signal format. This is especially beneficial in the uplink, when low-end devices require a specially low
PAPR, while high-rate devices benefit from the multi-carrier modulation.

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2.3 FBMC
In this chapter, bold letters denote vectors and matrices. Upper-case and lower-case letters denote
frequency domain and time domain variables respectively. The following notations are used:
- (.)
T
Transpose
H
- (.) Hermitian transform
- E [ . ] Expectation operator
- tr [ . ] Trace operator
- || . || l -norm
F stands for the N N -DFT (Discrete Fourier transform) matrix defined as:
1 1 1 1
2 N 1
1 wN wN wN
1
F =
N N 1 2( N 1) ( N 1)( N 1)
1 wN wN wN

2
j
where w N = e N
. Matlab notation was used to index the matrix. Therefore A = B (:,1 : U ) means
that A is built with the first U columns and all the rows of B .
2.3.1 FBMC principles

A multicarrier system can be described by a synthesis-analysis filter bank, i.e. a transmultiplexer
structure. The synthesis filter bank is composed of all the parallel transmit filters and the analysis
filter bank consists in all the matched receive filters, as shown in Figure 2.3.1.1 where () and
() are respectively the transmit and receive prototype filters. For subcarrier , the filter is the
prototype filter phase shifted by 2 . This phase shift in the time domain implies a frequency
shift of in the frequency domain. In this figure, the data signal is defined by Eq. (2.3.1):

sk t sk n t nT (2.3.1)
n
with [] the data symbols for subcarrier , the symbol period, the symbol number and Nc the
number of subchannels.
s0 t pTx t e j 2 f0t pRx t e j 2 f0t s0 n
s1 t pTx t e j 2 f1t pRx t e j 2 f1t s1 n

+ Channel
sNc 1 t pTx t e j 2 f Nc1t pRx t e j 2 f Nc1t sNc 1 n
transmitter receiver
Figure 2.3.1.1: Block diagram of a multicarrier transceiver.
The most widely used multicarrier technique is CP-OFDM, based on the use of inverse and forward
DFT for the analysis and the synthesis filter banks. The prototype filter is a rectangular window
whose size is equal to the Fourier Transform. At the receiver, perfect signal recovery is possible
under ideal channel conditions thanks to the orthogonality of the subchannel filters. Nevertheless
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under real multipath channels a data rate loss is induced by the mandatory use of a Cyclic Prefix (CP),
longer than the impulse response of the channel. With FBMC, the CP can be removed and subcarriers
can be better localized, thanks to more advanced prototype filter design.
The FBMC prototype filter can be designed in many ways, trying to satisfy different constraints. In
general, it is chosen to be:
- complex modulated for good spectral efficiency
- uniform to equally divide the available channel bandwidth
- with finite Impulse Response for ease of design and implementation
- orthogonal, to have a single prototype filter
- with Nearly Perfect Reconstruction (NPR) : certain amount of filter bank distortions can be
tolerated as long as they are negligible compared to those caused by the transmission
channel
In this document the prototype filter is designed using the frequency sampling technique. This
technique provides the advantage of reducing the number of filter coefficients. In other words, the
prototype filter coefficients should be given using a closed-form representation that includes only a
few adjustable design parameters. The coefficients of the prototype filter for an overlapping factor K
equal to 4 are [Bel10]:
P0 :3 1, 0 .9 7 1 9 5 9 8 3 ,1 2 , 1 P1
2
(2.3.2)

The KNc-1 length time response of this filter is computed thanks to:
K 1
2 k
p m P0 2 1 m 1 , m 0 : K N c 2
k
Pk c o s (2.3.3)
k 1 KNc
The stopband attenuation exceeds 60 dB for the frequency range above 10 channel subcarriers
spacings (Figure 2.3.1.2).
Figure 2.3.1.2: FBMC - filters for subcarriers 0 (blue) and 1 (red), = , =
As shown in Figure 2.3.1.2, adjacent carriers significantly overlap. In order to keep adjacent carriers
and symbols orthogonal, real and pure imaginary values alternate on carriers and on symbols at the
transmitter side. This so-called OQAM (Offset QAM) modulation implies a rate loss of a factor of 2.
This efficiency loss of OQAM modulation is compensated by doubling the symbol period .
is frequently called the overlapping factor: indeed the symbol period is /2 and the symbol length
is 1 samples; each FBMC symbol at the channel input is then overlapped with 2(2 1) other
FBMC symbols.
The transmitter of FBMC can be represented by Figure 2.3.1.3, with the filtering operation (block
frequency spreading) done in the frequency domain. In this figure:
1 is the vector containing the data to transmit for the th FBMC symbol.
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= , 1 is the vector of data for the th FBMC symbol filtered in the

frequency domain.
is the matrix of filtering vectors given by Eq. (2.3.4), with 121 , the

filtering vector, i.e. the frequency response of the filter given by Eq. (2.3.2):
(2.3.4)
1 is the vector of data for the th FBMC in the time domain.

The IFFT has a size of samples. The transmit signal is composed of the overlapping of symbols
with a factor of /2.
Figure 2.3.1.3: FBMC transmitter with filtering in the frequency domain
The frequency spreading operation is further described by Figure 2.3.1.4 where each carrier of is
spread on 2 1 carriers on . Here = 4. As can be seen from Figure 2.3.1.3, FBMC symbols
overlap in the time domain and as Figure 2.3.1.4 shows, adjacent carriers in the vector
significantly overlap in the vector .
Figure 2.3.1.4: Frequency spreading
The FBMC waveform with its spectrally well shaped prototype filters and overlapped time symbols
has some inherent features which makes it a natural choice for some of the anticipated 5G
application scenarios. First of all it does not require a cyclic prefix and has an almost perfect
separation of frequency subbands without the need for strict synchronization. Consequently its
properties make it especially suited for fragmented spectrum and Coordinated Multi Point (CoMP)
Transmission/Reception.
2.3.2 Frame design

In order to keep a flexible frequency and time resource block allocation, a preamble based burst
approach is considered. Synchronization and channel estimation is performed using the training
sequence. Its structure has been defined and is given in Figure 2.3.2.1.

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Figure 2.3.2.1: FBMC burst structure
It is composed of a preamble of duration P-FBMC symbols (P is set to 4 in Figure 2.3.2.1). The

preamble has been designed to accurately detect the start of the burst and give an estimate of the
channel frequency response while preserving the localization properties of the FBMC signal.
It is mainly composed of pilot carriers spaced every D active carriers for the whole duration of the
preamble (D is set to 4 in the Figure 2.3.2.1). The pilot carriers are designed so that the signal
transmitted on each pilot carrier is constant for the duration of the preamble. Synchronization
carriers are added on the first multicarrier symbol but are more sparsely distributed than pilot
carriers. These are designed to accurately estimate the start of burst.
2.3.3 Receiver architecture overview

A flexible architecture for multiuser asynchronous reception on fragmented spectrum is able to
exploit the advantages of FBMC if the signal is efficiently demodulated in the frequency domain
without a priori knowledge of the FFT timing alignment (i.e. the location of the FFT block, this
property is called asynchronous FFT).
A receiver architecture based on this assumption is depicted in Figure 2.3.3.1. An asynchronous FFT
of size KN is processed every block of N /2 samples generating KN points, i.e. if r m is the m th
received vector, a KN -point FFT is computed for samples k = ( n m N /2) with
n = 0,1, , NK 1 . These successive KN points are stored in a memory unit. The position of the
FFT window is not aligned with the received multi-carrier symbols of the user.

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Figure 2.3.3.1: Block diagram of the proposed receiver
The detection of a start of burst is then realized on the frequency domain (i.e. at the output of the
FFT) using a priori information from the preamble. CFO is first estimated using the pilot subcarrier
information of the preamble by computing the phase of the product between two consecutive FBMC
symbols at the location of the pilot subcarriers. The propagation channel is assumed static for the
duration of the burst. As described in [CDK13], when large CFO correction is required, a first step in
the estimation process consists of scanning the subcarriers around the pilot subcarrier locations to
determine the subcarrier with the highest energy. A tracking algorithm of the CFO may complete the
synchronization process when the duration of the burst is large and the accuracy of the preamble
based detection algorithm does not meet the required level [AF10]. CFO compensation is then
performed in the frequency domain using a feed-forward approach.
The channel coefficients may be estimated on the pilot subcarriers of the preamble. [FPT09][Bel10]
have already considered a similar approach by introducing a phase term to correct the CFO. In
section 2.3.5, this technique is completed by an efficient algorithm that compensates inter-carrier
interference. The channel is then estimated on the pilot subcarriers before being interpolated on
every active subcarrier. The use of a KN -point FFT makes the interpolation particularly specific to
this receiver and a description of the proposed algorithm is detailed in section 2.3.6.
Once the channel is estimated on all the active subcarriers, a one-tap per subcarrier equalizer is
applied before filtering by the FBMC prototype filter (section 2.3.7). Then down-sampling by a factor
of K is done and O-QAM inverse transform is processed. Demapping and Log-Likelihood Ratio (LLR)
computation complete the inner receiver architecture. A soft-input Forward Error Correction (FEC)
decoder recovers finally the original message.
The asynchronous frequency domain processing of the receiver combined with the high stop-band
attenuation of the FBMC prototype filter provides a receiver architecture that allows for multiuser
asynchronous reception (considering a frequency guard band of only one carrier). FFT and Memory
Unit are common modules, while the remaining of the receiver should be duplicated as many times
the number of parallel asynchronous users the system may tolerate in the uplink. In the downlink,
the same receiver may be used but without duplicating the blocks at the output of the FFT.

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2.3.4 Time synchronization
2.3.4.1 Introduction
As described previously all the synchronization processes are done in the frequency domain. The
main synchronization parameters to be estimated are:
- a flag indicating the presence of the signal since an asynchronous burst mode transmission is
considered
- the starting time of the burst. The case of the KN-FFT architecture is a bit specific compared
to time domain synchronization algorithms. While for time domain algorithms the start time
controls the FFT processor, in the proposed scheme the start time indicates which output FFT
block corresponds to the beginning of the burst.
The scheme proposed for symbol-timing synchronization is depicted in Figure 2.3.4.1.1 where a
specifically designed training symbol is used (see section 2.3.2).
Figure 2.3.4.1.1: Proposed synchronization scheme
First, coarse timing estimation is performed based on a metric computed from pilot carriers and an
appropriate threshold. The decision on the presence of the signal is also performed by analyzing this
metric. It should be mentioned that the signal detection can be helped by an AGC (automatic gain
control) metric. This feature is not in the scope of this deliverable. Consequently we assume that no
information about the presence of the signal is available at the coarse time step of the
synchronization scheme.
The fine synchronization procedure is performed based on a new metric calculated from the
synchronization carriers. An accurate estimation of the beginning of the burst is provided.
Information about the position of the FFT window over the FBMC symbol of interest is extracted. This
information helps for the channel interpolation by positioning correctly the channel impulse
response on the middle of the interpolation filter.
Hence the frequency offset is estimated based on pilots. Channel estimation on corrected pilots is
then realized.

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2.3.4.2 Coarse time synchronization

The first step in the coarse time synchronization process is to determine the presence of a signal in
the frequency band allocated to the desired users. In the frequency domain, energy detection is
performed. The false alarm probability target is intentionally set to a high level. Consequently the
probability of missed detection is low. Indeed a second algorithm was designed to detect the
preamble and check the energy detection results.
A schematic overview of the proposed algorithm for energy detection is depicted in Figure 2.3.4.2.1.
The optimization of the threshold T is for further study and will be described in the next WP3
deliverable.
Figure 2.3.4.2.1: Architecture of user detection module
The confirmation of the detection is realized by an analysis of a new metric based on pilot carriers
denoted coarse time metric. The coarse time metric is computed from the distributed pilot of the
preamble as depicted in Figure 2.3.4.1.1. First, subcarriers are filtered in the frequency domain by the
prototype filter to form N carriers. Then, resource block demultiplexing is performed to separate the
users orthogonally distributed over the carriers. Pilot carriers are then extracted. The architecture of
the multiuser coarse time synchronization algorithm is depicted in Figure 2.3.4.2.2.
Figure 2.3.4.2.2: Architecture of the multi-user coarse time synchronization algorithm
The signal at the output of the pilot carrier demultiplexing can be expressed as (assuming Additive
white Gaussian noise (AWGN) channel):
rp ( k , m , u ) p ( k , m , u ) n ( k , m ) i ( k , m ) (2.3.4.1)
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Where:
o k is the index of the pilot carrier
o m is the index of the FFT block
o u is the index of the user
o rp(k,m,u) is the received kth pilot carrier for user u
o p(k,m,u) is the emitted kth pilot carrier for user u
o n(k,m) is the AWGN noise
o i(k,m) is the interference term due to built-in OQAM interference term and
due to synchronization mismatch between TX and RX FFT.
The decision metric is computed as follows:

2
d (m ,u ) r p ( k , m , u )r p ( k , m 1, u ) (2.3.4.2)
*
The pilot pattern was designed in such a way that d(m,u) is constant during the preamble duration.
As an example, the decision variable is depicted in Figure 2.3.4.2.3 for various timing offsets between
TX and RX FFT, , expressed in number of samples. The decision metric is plotted in decibel.
Preamble, payload and noise can be, in that case, easily distinguished each other. It should be
mentioned that it exists a margin of 18dB between preamble decision term and payload decision
term.
time samples
Figure 2.3.4.2.3 Illustration of the decision metric (dB) for various time offsets (). is expressed in number of samples.
The time axis corresponds to the number of FFT output blocks
When a signal is detected by the energy detection module, the coarse time metric is computed on a
window centered on the position derived from the energy detection module. The optimization of the
decision threshold is for further study and will be described in the next WP3 deliverable.
2.3.4.3 Fine time synchronization

Once the coarse time synchronization is acquired a fine time synchronization metric is computed to
detect the beginning of the preamble. The fine time metric is computed from the synchronization
carrier of the preamble as depicted in Figure 2.3.4.2.1. First, subcarriers are filtered in the frequency
domain by the prototype filter to form N carriers. Then, resource block demultiplexing is performed
to separate the users orthogonally distributed over the carriers. Synchronization carriers are then
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extracted. Synchronization carriers are located on the first preamble symbol. Consequently, power
estimation at synchronization carrier location gives an accurate estimation of the beginning of the
burst.
As an example, the decision variable is depicted in Figure 2.3.4.3.1 for various timing offsets between
TX and RX FFT, , expressed in number of samples.
time samples
Figure 2.3.4.3.1: Illustration of the fine time decision metric for various time offsets (). is expressed in number of
samples. The time axis corresponds to the number of FFT output blocks
The architecture of the multiuser fine time synchronization algorithm is depicted in Figure 2.3.4.3.2.
Figure 2.3.4.3.2: Architecture of the fine time synchronization algorithm
The optimization of the decision threshold is for further study and will be described in the next WP3
deliverable.
2.3.5 Carrier frequency offset compensation
2.3.5.1 Problem formulation

C FO C FO
When the received symbol rm is affected by CFO, the signal rm can be written as:
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rm
CFO
= d
i i
rm e
j (2
i i
m )
z m
(2.3.5.1)
i
KN 1 KN 1
rm C
i
where C
CFO
rm is the received time domain vectors, is the time domain vector
associated with user i , is the CFO for user i relative to the carrier spacing (assuming N carriers),
i
KN KN
is a random phase for user i , z m the noise vector d C
i i
a diagonal matrix defined for
user i by:
i
k
j 2
i
d [k , k ] = e N
(2.3.5.2)
The considered scenario is an uplink asynchronous access with multiple different CFOs. Since CFOs
associated with different users are different, correction must be performed separatly for each user.
The correction of the CFO for one given user cannot then be realized in the time domain with
reasonable complexity as described by the authors of [CLL0]. For this reason we propose a frequency
domain processing that can be also applied in the downlink. Thanks to the very good frequency
localization of the FBMC carriers, the asynchronous time reception of users does not cause any
frequency interference between users (providing a frequency guard band of only one carrier). Thus,
after FFT, the correction of the CFO in the frequency domain is described without loss of generality
for one user. In the following, subscript index i is dropped. After KN fast Fourier transform,
(2.3.5.1) becomes:
R
j (2 m )
m
= CR m
e Zm (2.3.5.3)
KN 1 KN KN
where Z m C is the additive white Gaussian noise vector and CC is a Toeplitz matrix
defined by:
H
C = FdF (2.3.5.4)
The coefficients of C measure the level of Inter-Carrier Interference (ICI) and may be written as:
( N 1)( K ( i k ))
sinc ( K ( i k )) j
C [i, k ] = e N
(2.3.5.5)
K (i k )
sinc ( )
N
From equation (2.3.5.5), it can be noted that when K = q , q Z ,C is a subdiagonal matrix. q is
denoted interger part of the CFO. The fractional part is labeled . The parameter may then be
decomposed into its integer and its fractional part:
q
= (2.3.5.6)
K
q Z and R with [ 1/(2 K );1/(2 K )[ . Regardless of the integer part, q , ICI is only present
when 0 . Assuming q is known, the required range of detection for may be very small. For
instance, in the case of FBMC with a prototype filter of duration K = 4 , the maximum level of ICI is
introduced when = 12.5% .
2.3.5.2 Proposed correction scheme

As described in the previous section, CFO may be decomposed into integer and fractional parts. The
integer part is easily corrected by a shift of q subcarriers at the output of the KN -point FFT. The
phase term should then be compensated by a phase correction factor. A simple and efficient way to
reduce ICI introduced by the factional part of the CFO, , may be realized by complex filtering of the
received sequence. In order to derive the complex coefficients of filter W that mitigates ICI, two
criteria are considered:

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Zero-Forcing criterion (ZF): using Equation (2.3.5.3), and omitting the phase term, which
has been corrected, we define W such as:
WC = I (2.3.5.7)
By substituting C with the expression in (2.3.5.4), (2.3.5.7) may be rewritten as:
H
WFdF = I (2.3.5.8)
H H H
As FF = F F = I and dd = I , the filter W may be derived by:
H H
W = Fd F (2.3.5.9)
Minimum Mean Square Error criterion (MMSE): the filter may also be optimized to
minimize the Mean Square Error (MSE), taking the noise level at the receiver into account:
2
W est = argmin W
W R m
R m (2.3.5.10)
By taking the derivative of the expectation of the trace, the minimization problem becomes:

E tr WCR m
R m
H
C
H
W
H
WZ m
Zm
H
W
H
(2.3.5.11)
W
WCR m
R m
H
R m
R m
H
C
H
W
H
= 0
In presence of Additive White Gaussian Noise (AWGN), E Z m Z m =
H 2
n
I and if R is defined by

E R m
R m
H
= R
, (2.3.5.11) becomes:
C R
C
H
W
H

2
n
W
H
C R
= 0 (2.3.5.12)
R = RI
2
When , the solution is straightforward, and can be expressed by:

2
R H H
W = Fd F (2.3.5.13)

2 2
R n
For both cases, the matrix W is Toeplitz and is therefore characterized by only KN complex
coefficients. In general R is not a diagonal matrix but rather a band diagonal matrix and depends
on the FBMC prototype filter that is considered. A closed-form expression of W may be obtained if
and only if R is invertible. However W may be derived by a non-linear optimization process or by
a using a pseudo-inverse based for instance on singular value decomposition.
The correction of the fractional part of the CFO with either ZF or MMSE filters requires a KN
complex-tap filter. Nevertheless the complexity may be significantly reduced as ICI introduced by the
CFO rapidly decreases with the index of the interfering subcarriers (since | |< 1/(2 K ) ). In Figure
2.3.5.2.1, the power of the W coefficients for a 256-point FFT and a CFO of 10% is plotted. In that
example, almost all the power is located around the diagonal. We proposed to approximate matrix
W by a sparse band Toeplitz matrix with 2 Q 1 terms on each column and centred on the diagonal.
This is done by forcing all the other coefficients to 0. A trade-off between complexity and accuracy of
the frequency offset correction should be found for parameter Q . The 2 Q 1 coefficients may be
extracted from W through equation (2.3.5.11) or (2.3.5.13).

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Figure 2.3.5.2.1: Block power of matrix W coefficients normalized by the highest value (dB).
2.3.5.3 Performance of the CFO correction algorithm

The performance of the proposed algorithm is analysed in this section using the following FBMC
parameters: N = 1024 and K = 4 . Figure 2.3.5.2.2 gives the architecture of the proposed
implementation. The first step, performed by the Shift module, consists in correcting the integer part
q . The result is then filtered by the 2 Q 1 -tap filter W . A phase correction performed on each
FBMC symbol completes the CFO correction process.
Figure 2.3.5.2.2: Block diagram of the proposed CFO correction scheme
The Relative Mean Square Error (RMSE) for values from 1% to 12% and for different values of Q
is given in Figure 2.3.5.2.3 W is derived using the truncated ZF method, i.e. truncated (finite) length
approximation. RMSE has been defined by:

2
E W R R
m m

(2.3.5.14)

RMSE = 10 log 10 2
(dB)
E R m
RMSE is a measure of the signal to interference level as seen on the constellation. In the example, a
QPSK modulation has been considered and RMSE decreases as Q becomes larger.

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Figure 2.3.5.2.3: RMSE performance of the proposed filtering scheme.
When Q = 0 , the algorithm only performs phase correction. The benefit of ICI mitigation is clearly
demonstrated. Parameter Q could be chosen as a function of the system Signal to Noise Ratio (SNR)
so as to limit the system by thermal noise but not by interference.
In practice, the estimation of the CFO is never perfect. As illustrated in Figure 2.3.5.2.3, a residual
CFO of 1% generated by the correction mismatch exhibits a RMSE power level below 30 dB and
does not degrade performance significantly.
2.3.6 Channel estimation and interpolation

Another important function that should be performed in the frequency domain is to recover the
channel coefficients on each active subcarrier. This operation is realized after the channel
coefficients have been estimated on the pilot subcarrier location. For most interpolation schemes,
the channel is poorly interpolated on the carrier frequencies located at the edges of the frequency
band. This effect may be neglected when the number of carriers per contiguous frequency band is
large but may lead to significant performance degradation of the overall system when the
multicarrier modulation is applied to a fragmented spectrum. A robust interpolation scheme for the
complete spectrum, including the edges is therefore critical. A stable and robust scheme based on
interpolation filters in the frequency-domain is proposed in this sub-section. The interpolation is
performed by introducing different interpolation filters on the edges. A theoretical problem
description helps to derive a set of key optimization equations used for filter construction. The
potential gain of this new method is then simulated for Filterbank Multicarrier (FBMC) modulations.
2.3.6.1 Problem formulation

One of the main advantages of multicarrier modulation techniques over single carrier modulation is a
greatly simplified equalization process. In the case of OFDM, as long as the duration of the channel
impulse response is shorter than the guard interval and the channel is constant over the duration of
the OFDM symbol, a frequency-selective wideband channel converts to a number of subcarrier
channel with flat fading. For FBMC, Hirosaki [Hir81] showed that this property may be preserved if
the equalizer at each subcarrier channel is fractionally spaced.
Therefore under these assumptions the received vector R may be written after Fourier transform
as:
R = diag H X Z (2.3.6.1)

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where diag H is a N H N H diagonal matrix of the channel frequency response, X the N H 1

vector of symbols to transmit and Z the N H 1 vector of additive white Gaussian noise. N H is the
number of active subcarriers.
We labelled U P , the indices of the pilots (located at the central location, as a KN -points FFT is
considered at the front end of the receiver) and U H , the indices of the active subcarriers. N p
is the
number of pilot subcarriers. The LS channel estimation of P , the pilot vector, at indices U P is given
by [BES+95]:
t
R ( U [0]) R ( U [1]) R ( U P [ N p 1])
P = (2.3.6.2)
P P

P [0] P [1] P [ N p 1]
Accurate estimation, H , of the channel coefficients H may be derived from the observation of P
using an interpolation filter W of size N H N p .
H = W P (2.3.6.3)
To construct the filter W , the following minimization problem should be solved:

2
W est = arg min E W P H (2.3.6.4)

W
Let be defined as:

2
= E W P H

(2.3.6.5)
Then, since P is a least square estimate of P , the following equation may be written:
P = P Z P
(2.3.6.6)
where Z p
is a N p
1 noise vector. Equation (22) may then be rewritten as:
=
E W (P Z P ) H
2

= W ( P Z
E tr P
) H W ( P ZP) H
H
(2.3.6.7)
=
E tr WPP
H
W
H
WPH
H
HP
H
W
H

HH
H
WZ P
ZP
H
W
H

Then, if h is the N 1 vector of the channel impulse response, H and P may be expressed as:
P = F(U P
, :)h = F U h (2.3.6.8)
P
H = F(U H
, :)h = F U h (2.3.6.9)
H
Finally (2.3.6.5) may be rewritten as:

=
tr WF U
P
h FU
P
H
W
H
WF U
P
h FU
H
H
H H
FU h FU W
H
FU h FU (2.3.6.10)

H P H H

2 H
Z
WW
p
where h is the time domain channel autocorrelation matrix of size N N and Z2 the noise
P
power. By taking the partial derivative of with respect to W and making it equal to zero,
(2.3.6.9) becomes:

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= 0
W
H H (2.3.6.11)
I FU h FU
2 H
0 = (FU h FU Z
)W
P P p P H

where I is the identity matrix of size N p

N p
. In many cases, the matrix is ill-conditioned and
impossible to invert. However, a pseudo inverse using a Singular Value Decomposition (SVD) may be
computed to derive W but this method may lead to an unstable result. The power distribution of
matrix W coefficients is given in Figure 2.3.6.1.1 for a channel distribution with a square delay
profile in the time domain ( N H = 256 and N p = 64 ). The matrix was derived using (2.3.6.11). A
pseudo-inverse matrix inversion based on SVD has been computed.
Figure 2.3.6.1.1: Power of matrix W coefficients (dB).
In this example, the power distribution of matrix W coefficients is mainly located around the
diagonal. It should be noted that the coefficients located at the center of the matrix have very similar
values. On the contrary, at the edges of the matrix, the coefficients are significantly different. This
property has been exploited to construct a new optimization criterion. The criterion imposes
complexity constraints on matrix W coefficients as a function of their location within the matrix.
From a practical point of view, implementing a complex filter with a large set of complex coefficients
may be extremely costly. The overall complexity should often be kept under control in order to fit
implementation area constraints. The following constraints have thus been added to the
minimization problem:
W is a matrix with real Q coefficients per row instead of complex N p coefficients per
row

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The pilot carrier distribution follows a regular pattern, i.e. the sampling of the channel is
uniform1
At least Q pilots are active per set of contiguous subcarriers
The structure of matrix W is divided into three sub-filter blocks, a left sub-filter block, a middle sub-
filter block, and a right sub-filter block, so that matrix W may be rewritten as:
W l |0 |

W |0 | 0
m
0 | Wm |0

| | | |
W = |0 | Wm |0 |
(2.3.6.12)
|0 | Wm |0 |
0 |0 | Wm |

|0 | Wr |

where W l is the Nl Q matrix representing the left sub-filter block, W m is the Nm Q matrix
representing the middle sub-filter block and W r is the N r Q matrix representing the right sub-
filter block.
The minimization problem of (2.3.6.9) may then be decomposed into three constraint minimization
problems function of the three sub-filter blocks W l , W m and W r . Further constraints on the
coefficients may be added on the minimization algorithm to guarantee stability. This optimization
process may be computationally demanding but allows for a control of the complexity of the
implemented interpolation process. Filters W l , W m and W r are obtained through the following
minimization problem by using a priori knowledge of and Z2 :
minimize E W l P (1 : Q ) H (1 : N l )
2
minimize E W m P ( Q 1 : N p Q ) H ( N l 1 : N H N r )
2
(2.3.6.13)

minimize E W r P ( N p Q 1 : N p ) H ( N H N r 1 : N H )
2

By applying (2.3.6.10) into (2.3.6.13), the minimization may be realized considering an a priori
knowledge of the autocorrelation matrix of the time domain channel impulse response. By applying
this constraint, the level of implementation complexity may be traded off against the target
performance of the channel estimation module. The optimization process is not necessarily
implemented on the real time system. A stable and efficient interpolation scheme adapted to the
channel conditions is provided while complexity is kept under control.
1
The proposed method also applies to non-uniform sampling, but the problem is more complex to formulate.
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2.3.6.2 Application to the proposed preamble structure

The estimation of the channel coefficients is performed before applying the FBMC prototype
filtering. The LS estimates of the channel coefficients are computed by applying a CFO phase
correction on the received signal according to the location of the pilot symbol on the prototype filter.
Performance may be further improved by considering all the positions of the prototype filter and by
applying a maximum ratio combining algorithm after interpolation.
Therefore, by considering LS estimates at the center of the FBMC prototype filter, the structure of
the pilot pattern is depicted in Figure 2.3.6.2.1. A pilot subcarrier is located every KD active
subcarriers (a blue box corresponds to the location of a pilot subcarrier). The first pilot is located on
subcarrier K 1 . No pilot subcarrier is active on the right edge of the spectrum, therefore K 1 D
channel coefficients should be derived. The number of active subcarriers is equal to
N H = 2( K 1) N p KD where N p is the number of active pilots.
Figure 2.3.6.2.1: Structure of the considered pilot pattern.
Under these assumptions, and considering Q is even, N r , Nm and N l

may be expressed as follows:
KDQ KD 1
Nl = K 1

2 2
N m
= KD (2.3.6.14)
KDQ KD 1
N = K 1
r
2 2
The channel taps are assumed to be uncorrelated and as a consequence h is a diagonal matrix. The
most difficult task of the problem formulation consists in defining the a priori time domain channel
autocorrelation delay profile. Different profiles may be considered and Figure 2.3.6.2.2 gives
examples of possible distributions. For instance, an a priori autocorrelation h profile adapted to
single frequency network is characterized by a 0 dB echo channel and is given in Figure 2.3.6.2.2 (d).
The most conservative shape, the rectangular distribution (see Figure 2.3.6.2.2 (a)), has been
considered in the following of the paper.

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Figure 2.3.6.2.2: Examples of considered autocorrelation channel delay profiles. (a) square (b) low decay (c)
exponential decay (d) 0 dB echo.
The optimization process is computationally intensive making it difficult for a real time
implementation. In order to maximize the interpolation performance while maintaining a reasonable
level of complexity, the interpolation architecture depicted in Figure 2.3.6.2.3 has been considered. A
set of x filters is optimized according to a target SNR, time domain channel duration, time domain
profile, etc... The choice of the filter to apply is controlled by an entity that estimates the received
channel conditions and decides which filter is the most suitable to the channel conditions measured
at the receiver. Estimated pilot subcarriers are fed through the three filter blocks and generate three
interpolated channel estimates. The choice of the channel estimate is controlled by a multiplexer
according to the subcarrier index.
Figure 2.3.6.2.3: Proposed architecture for adaptive frequency domain channel interpolation.
2.3.6.3 Performance results

The following parameters have been taken for a numerical evaluation:
K = 4
D = 4
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N = 1024
The RMSE of the channel frequency response versus the channel delay spread expressed in time
samples for a SNR of 15 dB is given in Figure 2.3.6.3.1. The filter blocks were designed for a channel
delay spread of length 64 time samples, a SNR of 15 dB and for Q = 10 . Channel length in the figure
stands for the channel dealy spread expressed in time samples. The RMSE is defined by:

2
E W P H

(2.3.6.15)

RMSE = 10 log 10 2
(dB)
E H
The performance is estimated using a Monte-Carlo simulation based on the draw of 1000 randomly
generated channels with rectangular time profiles.
Figure 2.3.6.3.1: RMSE versus channel delay spread for a SNR of 15 dB.
The RMSE is below the noise level for the three filter blocks. However, only a marginal gain is
achieved for the right filter block. This is explained by the pattern considered in the pilot scheme; on
the right edge, KD K 1 channel coefficients have to be interpolated while no pilot subcarriers
are located at the edge.
From a practical point of view, it is interesting to determine the number of coefficients required
depending on the channel delay spread. In Figure 2.3.6.3.2, the variation of RMSE versus channel
delay spread for filter block designed for a channel delay spread of length 64 time samples, SNR
= 15 dB and for various interpolation length Q is given. When filter interpolation length Q is
increased, performance improves. Right filter blocks designed with Q = 4 and Q = 6 exhibit poor
performance due to the channel delay spread. On the other hand, for left filter blocks, the variation
on performance is much smaller and less than 1 dB between the case Q = 4 and the case Q = 10 .
Increasing interpolation length Q also increases the number of coefficients to store. This number of
2
coefficient exhibits polynomial complexity in O (Q ) making large numbers of Q costly for
implementation.

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Figure 2.3.6.3.2: RMSE versus channel delay spread for a SNR of 15 dB for various interpolation filter lengths
Q from 4 to 10 .
The influence of the SNR on the channel estimation is given in Figure 2.3.6.3.3. Three filter blocks
have been designed for a channel delay spread of length 16 time samples and SNR values of 15 , 25
and 60 dB. The distance between the thermal noise and RMSE is given as a function of the SNR. For
low SNR of 0dB, a gain of 5 dB is given by a filter block optimized for a SNR of 15 dB. As the noise
level is increased, the filter blocks optimized for a SNR of 25 dB become more optimal up to around
36 dB, when the filter blocks optimized for 60 dB become more appropriate. These results showed
the importance of using filter blocks with key characteristics designed around the actual working SNR
in order to maximize channel estimation performance.
Figure 2.3.6.3.3: Filtering gain versus SNR for different filter blocks.
To conclude this section, a set of filter blocks for a channel delay spread of length 16 , 32 and 64
time samples at a SNR= 15 dB and with Q = 8 has been optimized. The RMSE across the active
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subcarrier band (this includes the left and right edges) as a function of the channel delay spread for a
fragment of 262 active subcarriers has been plotted in Figure 2.3.6.3.4. When the channel delay
spread is short, the use of an adequate filter block improves the RMSE of the interpolated channel.
This figure illustrates the gain offered by the filtering approach if the channel delay spread is known
and/or estimated. A comparison between an interpolation structure based on the state of the art
and the proposed filter block structure adapted to the edges of the active spectrum is also given. The
proposed method gives a performance improvement of up to 7 dB on the RMSE of the estimated
channel. Interpolation errors at the edge of the fragment dominate the RMSE. For large frequency
fragment the gain becomes negligible. Performance improvement is mainly due to the small number
of pilot subcarriers located in the frequency fragment making the proposed approach particularly
adapted to multiuser asynchronous fragmented spectrum usage.
Figure 2.3.6.3.4: RMSE as a function of the channel delay spread for a SNR of 15 dB and for different
interpolation filter blocks.
2.3.7 Equalizer
The proposed equalizer is realized directly after the FFT but before the FBMC prototype filtering. This
strategy enables for asynchronous processing of multiuser in the frequency domain using a shared
FFT processor. Assuming the channel delay spread, L , small compared to the KN -point FFT, the
symbols at the output of the FFT may be written as follows:
R (k , p ) = H (k ) X (k , p ) Z (k , p ) Z I (k , p ) (2.3.7.1)
where k is the subcarrier index, p the index of the FBMC symbol, H (k ) the complex channel
coefficients for subcarrier k , Z ( k , p ) the AWGN sample and Z I ( k , p ) the inter-symbol
interference (ISI) contribution. The channel is here again assumed static for the duration of the burst.
When the matrix is diagonal, the ISI term can be omitted. This assumption is a good approximation
when the delay spread of the channel is small compare to size of the FFT. To illustrate the validity of
this assumption, we depicted in Figure 2.3.7.1 the power of the channel matrix coefficients in dB for
a channel delay spread of size KN /64 and KN /16 time samples ( KN is set to 512 ). An average
over 1000 channel realizations was done, each tap following a Rayleigh process.

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Figure 2.3.7.1: Average power of the channel matrix coefficients for different channel delay spread.
When the channel is short, the power is located on the diagonal term validating the proposed
assumption. When the channel is longer, power spreads over the diagonal term of the matrix and as
a result performance of the one-tap equalizer starts showing its limitations.
The goal of the equalizer is to recover X ( k , p ) from the observation R ( k , p ) and the estimated
channel coefficient H ( k ) . Zero forcing (ZF) or Minimum Mean Square Error (MMSE) criteria are
classically used and may be expressed as followed:
*
H (k )
X ( k , p ) = R (k , p ) (2.3.7.2)
Q (k )
where Q (k ) is the optimized factor according to the ZF or MMSE criterion:
2
Q ZF ( k ) =| H ( k ) | (2.3.7.3)
Z (k )
2
Q MMSE ( k ) =| H ( k ) |
2
(2.3.7.4)

2
X
(k )
where X2 ( k ) is the expectation of the power of X on subcarrier k and Z2 is the expectation of
the power of Z on subcarrier k . For the following, noise power is assumed to be constant over all
the subcarriers.
The proposed equalization scheme has been evaluated by simulation using the parameters derived
from the LTE mode 10 MHz parameters and can be found in 2.3.7.1.

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Table 2.3.7.1: Simulated System Parameters.
Prototype filter K = 4
G = {0.235147, 2 /2,0.97196 ,1
0.97196, 2 /2,0.23514 7,0}
N 1024
Fe 15.36 MHz
Active Carriers 601 ( 9 MHz)
Modulation QPSK
FEC CC 1/2 , k = 7
N FEC = 1944 bits
R = 2/3
SOVA algorithm
Channel estimation Q = 8
First, the effects of timing offset (i.e. location of the FFT) on the proposed equalizer has been
simulated. The MSE of a QPSK constellation with ZF equalization has been estimated using the
proposed equalization technique for various time offset of the KN -point FFT location. The following
channel has thus been considered:
k
hk (t ) = (t ) (2.3.7.5)
Fe
where parameter k is the timing offset introduced by the FFT processor. An interpolation filter
optimized for a SNR of 15 dB and a delay spread of 32 1/ F e was considered for channel estimation.
The simulation results are depicted in Figure 2.3.7.2.
Figure 2.3.7.2: Effects of the timing offset on the RMSE on a QPSK modulation.
The MSE on the constellation depends on the timing offset. The worst-case MSE is found when k is
equal to N /4 ; in this case the receiver is affected the most by the interference from the previous or
next multicarrier symbols. The best-case comes as expected when the FFT is perfectly aligned, i.e.
timing offset is close to p N /2 p . This confirms that the proposed frequency domain equalizer

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scheme combined with channel estimation does not require FFT synchronization and is therefore
adapted to asynchronous multiuser reception.
The combined performance of the proposed receiver algorithm is then evaluated. A working SNR of
5 dB has been considered and the Bit Error Rate (BER) after Viterbi decoding for various channel
delay spread of length L time samples has been measured. The channel impulse response has been
defined as:
L2
i
h L (t ) = 1 i
(t
Fe
) (2.3.7.6)
i
where L is the number of taps in the channel impulse response and i are complex coefficients
following a Rayleigh distribution. With these assumptions, the delay spread of the channel is equal to
L / F e . The resulting BER at the output of the receiver has been evaluated and averaged for 10000
channel realizations. Figure 2.3.7.3 gives the simulated performance of the receiver for various channel
interpolation filters as a function of the channel delay spread. Interpolation filters were optimized for
a SNR of 15 dB and a channel delay spread of respectively N /(32 F e ) , 9 N /(128 F e ) , N /(8 F e ) and
N /(4 F e ) . Equivalent CP durations (Guard Interval, GI) have been added for reference.
Figure 2.3.7.3: Performance of the proposed receiver for various interpolation filters as a function of channel
delay spread.
The performance obtained with the interpolation filter optimized for a channel delay spread of
length N /(4 F e ) time samples is of particular interest as it demonstrated the limitations of the
proposed scheme. When the delay spread of the channel is greater than 0.15 N / F e performance is
limited by the proposed equalization scheme rather than the channel estimation processing as the
one-tap equalizer becomes inefficient. On the other hand, for channel delay spread below
0.15 N / F e , one-tap equalization is sufficient and channel estimation performs beyond requirement
when an appropriate interpolation filter is considered. These results compare with the performance
of an OFDM receiver with a guard interval length of at least 1/8 N . In Figure 2.3.6.2.2, the guard
interval length for an equivalent OFDM system with a FFT size of N is given. Performance of the
receiver may be further improved by considering multi-tap equalization.
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The choice of the interpolation filter also impacted on performance. When a filter optimized for a
channel exhibiting a large delay spread is applied to a channel with a short delay spread, a significant
amount of noise is not filtered. Performance is then better if the interpolation filter is adapted to the
actual channel delay spread.
The proposed frequency domain receiver architecture seems very attractive for asynchronous
multiuser processing. Fair performance has been obtained by the proposed equalizer scheme; the
receiver is robust for large delay spread environment. As a comparison the normal LTE guard interval
is set to 4.69 s or approximately 1/14 N .
2.3.8 Summary for FBMC

This chapter presented the architecture and algorithms for the considered FBMC transceiver. All the
baseband signal processing functions at the receiver are implemented in the frequency domain and
no strict synchronization requirement on the FFT, the first element of the receiver, is required. This
asynchronous frequency domain processing of the receiver combined with the high stop-band
asynchronous reception.
Particular attention has been paid to CFO compensation in order to relax synchronism requirements
beyond one carrier spacing. An algorithm to mitigate ICI has been proposed and simulated.
Depending on the receiver target SNR, complexity may be traded-off to keep RMSE introduced by
CFO below thermal noise. Channel interpolation has also been carefully considered. As multiuser
asynchronous FDMA generates heavily fragmented spectrum blocks, channel estimation should be
optimized for the edges of the receiver active carrier bands. A performance improvement of up to
7dB on the RMSE of the estimated channel may result on some simulated scenarios. Finally, a new
equalizer scheme has been thoroughly presented. Its complexity is contained while good
performance for channel exhibiting large delay spread is achieved. As a comparison, using the
10 MHz LTE parameters, the receiver performs well for channels with delay spread of up to 8.3 s .
This compares with standard LTE that been design for channels with delay spread of up to 4.7 s .
Moreover, we have demonstrated that the proposed equalizer does not required FFT
synchronization and is therefore adapted to asynchronous multiuser reception.
Further work should consider implementation performance and complexity estimation with a
comparison to similar flexible systems using traditional OFDM techniques. Eventual cost overhead of
FBMC implementation and finite precision effects in this context would further complete the study.
An analysis in terms of signalling reduction with respect to OFDM will be also conducted and
performance comparison between OFDM and FBMC will be performed with respect to asynchronicity
(carrier frequency offset and timing misalignement).

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2.4 BFDM
The material presented in this section is largely based on [KWJ+14].
2.4.1 BFDM Principles and Frame Design
In the following we describe a waveform design approach based on bi-orthogonal frequency division
multiplexing (BFDM). In this approach, we replace orthogonality of the set of transmit and receive
pulses with bi-orthogonality, which is a weaker form of orthogonality. In particular, time--frequency
representations of the transmit and receive pulses are pairwise (not individually) orthogonal. Thus,
there is more flexibility in designing a transmit prototype, e.g., in terms of side-lobe suppression. The
BFDM approach is well suited to sporadic traffic, since the PRACH symbols are relatively long so that
i.) transmission is very robust to (even negative) time offsets and, b.) side effects such as spectral
regrowth due to periodic setting when calculating the bi-orthogonal pulses are negligible. In addition,
BFDM is also more robust to frequency offsets in the transmission which, as well-known, typically
sets a limit to the symbol duration in OFDM transmission. Finally, the concatenation of BFDM and
several OFDM symbols together requires a good tail behavior of the transmit pulse in order to keep
the distortion to the payload carrying subcarriers in PUSCH small. Conversely, the dual pulse which
accounts for the distortion of PUSCH onto PRACH can be controlled by iterative interference
cancellation (if necessary). This alleviates the typical problem of controlling time/spectral localization
of pulse and dual pulse. The excellent and controllable tradeoff between performance degradation
due to time and frequency offsets is the main advantage of BFDM.
To illustrate the advantages of BFDM, we consider a simple uplink model of a single cell network,
where each mobile station and the base station are equipped with a single antenna. We assume
there exist two channels--in LTE terminology--the PUSCH and the PRACH. On the PUSCH, the data
bearing signals are transmitted from synchronized users to the base station using Single Carrier
Frequency Division Multiple Access (SC-FDMA). A small part of the resources is reserved for PRACH,
in which, at the first step of the RACH procedure, users send preambles that contain unique
signatures. (The percentage of resources for PRACH depends on the overall bandwidth, i.e., since
PRACH always uses 6 PRBs, e.g., for 1.4 MHz it occupies 100% of the particular subframe carrying
PRACH, and for 20MHz it occupies 6% of the resources of the particular subframe.) Our goal is not
only to design suitable waveforms for asynchronous PRACH operations, but also to leave PUSCH
operations as unaffected as possible.
The general frame structure that we consider, more precisely, the time-frequency resource grid for
the described channels is illustrated schematically in Figure 2.4.2. To minimize the interference
between the channels, several subcarriers on both sides of the PRACH are usually left zeros as a
guard band. The specific PRACH structure and dimensions in LTE are illustrated in Figure 2.4.1.
Figure 2.4.1 LTE PRACH Time/Frequency structure and comparison to PUSCH subframe of 6PRBs.

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In this paper, however, we will exploit the PRACH to carry some data on the guard bands. These
users, however, may be completely asynchronous which can be a serious challenge. Specific system
parameters can be found in Table 2.4.1 or in LTE specifications [STB09].
Assuming an AWGN channel and one user transmitting its preamble signal on the PRACH, the
base station obtains the superposition of data bearing signals, preamble signal, and noise as
[] = [] + [] + 0 [], (2.4.1)
where is the PUSCH data transmit signals, is the PRACH preamble transmit signal, and 0 is
Gaussian noise.
1
In the following, let denote the sampling period, which is equal to , with being the sampling

frequency. Moreover, denotes the subcarrier spacing. Furthermore, we use to denote the
symbol duration and to denote its discrete counterpart. Let be the FFT-length in PRACH.
Figure 2.4.2: PRACH (blue) and PUSCH (red) regions. A guard interval (GI) separates PUSCH from PRACH in LTE (gray). A
part of this area is used to support data transmission of asynchronous users (green) in a novel D-PRACH. The D-PRACH
size can be variably determined by MAC.
2.4.2 Summary of Transmitter and Receiver Structure
2.4.2.1 Transmitter
For the pulse shaped PRACH, additional processing is needed, compared to standard OFDM.
In contrast to standard processing, we process more than one symbol interval, even if we use only
one symbol to carry the preamble. We refer to [SMH02] for implementation details. A pulse is
used to shape the spectrum of the preamble signal, e.g., to allow the use of PRACH guard bands with
acceptable interference. Let be the length of pulse . We extend the output signal [] after the
IFFT stage by repeating it and taking modulo to get the same length as the pulse . Given
symbols, we stack each symbol []] as rows in a matrix

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0 []
= 1 []

(1 [])
Each of these vectors is pointwise multiplied by the shifted pulse and superimposed by overlap
add, such that we get the base band pulse shaped PRACH transmit signal
1

[] = [][ ].
=0
In greater detail, this can be also written as
2

[] = , [ ] ,
where , is the Fourier transformed ZC-sequence of length at the th symbol and th

subcarrier, is the guard band subcarriers occupied by messages, and is an amplitude scaling
factor for customizing the transmit power. The BFDM-based transmitter structure is illustrated
schematically in Figure 2.4.3.
Figure 2.4.3 BFDM based pulse shaped PRACH transmitter
2.4.2.2 Receiver
The only difference to the standard PRACH receiver is the processing before the FFT. In standard
PRACH processing, the cyclic prefix is first removed from the received signal [] and then the FFT
is performed. In the pulse shaped PRACH, an operation to invert the (transmitter side) pulse shaping
has to be carried out first. To be more precise, first the symbols of the received signal [] are
arranged as row vectors in matrix

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0 []
= 1 []

(1 [])
Second, each row is pointwise multiplied by the shifted biorthogonal pulse , such that we have

[] = [][ ].

Subsequently, we perform a kind of prealiasing operation to each windowed []
/ 1

[] = [ ],
=0
such that we obtain the Fourier transformed preamble sequence at the th symbol and th
subcarrier after the FFT operation
1 2

, = [] .
=0
Although we do not employ a cyclic prefix as in standard PRACH, the time--frequency product of
= 1.25 allows the signal to have temporal and frequency guard regions as well. This time-
frequency guard regions and the overlapping of the pulses evoke the received signal to be
cyclostationary [Bol01], which gives the same benefit as the cyclostationarity made by cyclic prefix.
Furthermore, it is also shown in [Bol01], that the biorthogonality condition of the pulses is sufficient
for the cyclostationarity and makes it possible to estimate the symbol timing offset from its
correlation function. The BFDM-based PRACH receiver is illustrated schematically in Figure 2.4.4.
Figure 2.4.4 BFDM based pulse shaped PRACH receiver
2.4.3 Pulse shaped PRACH

We adopt a pulse shaping Biorthogonal Frequency Division Multiplexing (BFDM) scheme for PRACH
transmissions. The underlying principle is to transmit the symbols according to a set of shifted pulses
on time-frequency lattice points (, ), where is the time shift period and is the frequency
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shift period and , . As stated in [KM98], the only requirement of perfect symbol reconstruction
is that the set of transmit pulses , and the set of receive pulses , form biorthogonal Riesz
bases. The determining factors to meet that condition are, first, the properties of the pulses itself,
and second, the time-frequency product being greater than one. We choose = 1.25.
As mentioned before, the used pulses and play a key role and should therefore be carefully
designed. Since we consider here the BFDM approach, we setup the transmit pulse according to
system requirements and compute from the receive pulse as the canonical dual (biorthogonal)
pulse. For this computation we follow here the method already used, for example, in [JW07] (see
also the further references cited therein). Briefly explained, biorthogonality in a stable sense means
that should generate a Gabor Riesz basis and generates the corresponding dual Gabor Riesz
basis. From the Ron--Shen duality principle [RS97] follows that has the desired property if it
generates on the so called adjoint time--frequency lattice a Gabor (Weyl--Heisenberg) frame which is
dual to the frame generated by . However, this can be achieved with the 1--trick explained in
[Dau92].
As a rough and well--known guideline for well-conditioning of this procedure, the ratio of the time
and frequency pulse widths (variances) and should be approximately matched to the time
frequency grid ratio:

, (2.4.2)

and this should also be in the order of the channel's dispersion ratio [JW07]. However, here we
consider only the first part (2.4.2) of this rule since we focus on a design being close to the
conventional LTE PUSCH and PRACH.
We propose to construct the pulse based on the -splines in the frequency domain. -splines have
been investigated in the Gabor (Weyl--Heisenberg) setting for example in [Pre99]. The main reason
for using the -spline pulses is that convolution of such pulses have excellent tail properties with
respect to the 1 -norm, which is beneficial with respect to the overlap of PRACH to the PUSCH
symbols. We also believe that they trade off well the time offset for the frequency offset
performance degradation but this is part of further on-going investigations and beyond the
conceptional approach here.
Because of its fast decay in time, we choose a second order -spline (the ''tent''--function) in
frequency domain given by
2 () = 1 () 1 (), where
1 () 1 1 ()
[ , ]
22
It has been shown in [Pre99] that 2 () generates a Gabor frame for the (, )-grid (translating 2
1
on and its Fourier transform on ) if (due to its compact support) < 2 and 2 and fails to be
frame in the region:
{ 2, > 0} { > 0,1 < }.
Recall, that by Ron--Shen duality [RS97] it follows that the same pulse prototype 2 () generates a
1 1
Riesz basis on the adjoint ( , ) -grid. In our setting we will effectively translate the frequency
1 3 1 1 5
domain pulse 2 () by half of its support which corresponds to = and we will use = =
2 4
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6
1.25 (see here also Table 2.4.1) such that = . It follows therefore that our operation point
5
6 2
(, ) = ( , )is not in any of two explicit (, )-regions given above. But for 1.1 1.95 a
5 3
further estimate has been computed explicitly for 2 () [Table 2.3 on p.560, Pre99] ensuring the
1 1
Gabor frame property up to . Finally, we like to mention that for 2 the dual prototypes
can be expressed again as finite linear combinations of -splines, i.e. explicit formulas exists in
[Lau09].
However, in practice has to be of finite duration, i.e. the transmit pulse in time domain will be
smoothly truncated:
sin() 2
() = ( ) (), (2.4.3)

where is chosen equal to . Theoretically, a (smooth) truncation in (2.4.3) would imply again a
limitation on the maximal frequency spacing [CKK12]. Although the finite setting is used in our
application, the frame condition (and therefore the Riesz-basis condition) is a desired feature since it
will asymptotically ensure the stability of the computation of the dual pulse and its smoothness
properties.
To observe the pulse's properties regarding time-frequency distortions we depict in Figure 2.4.5 the
discrete cross-ambiguity function between pulse and which is given as:
(, ) = [] [ ] 2 .


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Figure 2.4.5 The cross-ambiguity function (, ).
It can be observed, that the value at the neighboring symbol is already far below 103. Obviously,
the bi-orthogonality condition states (, ) = ,0 ,0 and ensures perfect symbol recovery in
the absence of channel and noise. However, the sensibility with respect time-frequency distortions is
related to the slope shape of around the grid points. Depending on the loading strategies for
these grid points it is possible to obtain numerically performance estimates using, for example, the
integration methods presented in [JW07].
2.4.4 Synchronization and Equalization

Due to the Random Access Scenario that we consider, exact synchronizsation is not needed. In fact, a
major design target is to enable asynchronous access and data transmission. Nevertheless, we of
course have at least a course synchronization due to the reference signals of the base station in
downlink.
For the discussion of channel estimation and equalization, we first summarize the user detection
procedure in PRACH.
2.4.4.1 User Detection

User detection in PRACH is based on suitably chosen preamble sequences, which are generated as
follows.
The preamble is constructed from a Zadoff-Chu (ZC) sequence [Chu72], which is defined as
( + 1)
[] = exp { } , 0 1,

where is the root index and is the length of the sequence. We consider here the case of
contention-based RACH, where every user wanting to send a preamble chooses a signature randomly
from the set of available signatures = {1, ,64 }, with being a given number of reserved
signatures for contention free RACH. Every element of is assigned to index (, ), such that the
preamble for each user is obtained by cyclic shifting the th Zadoff-Chu sequence according to
, [] = [( + ) ],

where = 1, , is the cyclic shift index, is the cyclic shift size and is the preamble

length which is fixed for all users. Since there can only exist preambles that can be generated

from the root , the assignment from to (, ) depends on and the size of set .
The signatures of different users can be detected as follows. Given the received signal (2.4.1), the
PRACH receiver observes the fraction that lies in the PRACH region to obtain the preamble. The
receiver stores all available Zadoff--Chu roots as a reference. These root sequences are transformed
to frequency domain and each of them is multiplied with the received preamble. The result is
[] = [] [],
where [] is the received preamble and [] is the th ZC sequence in frequency domain

respectively. Using the convolution property of the Fourier transform it is easy to show that [] is
equal to the inverse Fourier transform of any cross correlation function [] at lag . Because the

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preamble is constructed by cyclic shifting the Zadoff--Chu sequence, ideally we can detect the
signature by observing a peak from the power delay profile, given by
2
| []|2 = | 1
=0 [ + ] []| . (2.4.4)

Let = be the maximum number of preambles which can be generated from one root. Then

64
the number of roots that we require to generate 64 preambles will be = . The
signature and the delay of user , denoted by and , respectively, are obtained by the following
operation

= + , 0 ,

= ( ) ,

where is the location of the largest peak in (2.4.4).
2.4.4.2 Channel Estimation
The question remains how to obtain an estimation for the channel also on the new D-PRACH
subcarriers. Assume the received preamble signal can be written as
=
.

Thereby, is a diagonal matrix constructed from the coefficients of the Fourier transformed
preamble and = ( , ). The matrix is a FFT-matrix, the set {1, , } contains
the indices of the first columns, and = {1, , } contains the indices of the central rows
of . Furthermore, is the length of the subframe without CP and guard interval, and we assume a
maximum length of the channel .
For simplicity, we consider simple least-squares channel estimation, i.e., we have to solve the
estimation (normal) equation = . To handle cases where is ill-conditioned, we use
Tikhonov regularization. This popular method replaces the general problem of minx 2 by
min 2 + 2 , with the regularization matrix . In particular, in place of the pseudo-
inverse, we use
= ( + )1 ,
where is a multiple of the identity matrix.
The idea is, that the estimated channel is also valid for subcarriers that are adjacent to the region for
which we actually estimate the channel. Numerical experiments indicate that the estimator is an
unbiased estimator (with MSE smaller then 104) for up to 200 subcarriers outside the region .

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2.4.5 Performance Analysis

In this section we verify, using numerical experiments, that using the PRACH guard bands to carry
messages is indeed practicable. We compare the standard (LTE) PRACH implementation to our
proposed spline pulse shaped PRACH.
2.4.5.1 Simulation Setup
The simulation parameters, chosen according to LTE specifications, are provided in Table 2.4.1. For
the computation of we use the LTFAT toolbox which implements an efficient algorithm [Son12].
Due to the properties of the pulses, and to fit the strict LTE frequency specification, we allow a small
spillover effect from PRACH to PUSCH in time. Due to the PRACH pulse length of 4 ms, as depicted in
Figure 2.4.2, we simulate the PUSCH over this time interval. Furthermore we use the maximal
available LTE bandwidth of 20 MHz.
Table 2.4.1: System Specification

PUSCH Std. PRACH Pulse-Shaped
PRACH
Bandwidth 20 MHz 1.08 MHz 1.08 MHz
Symbol duration 0.67 s 800 s 1 ms
Subcarrier spacing 15 kHz 1.25 kHz 1.25 Khz
Sampling frequency 30.72 MHz 30.72 MHz 20.72 MHz
Length of FFT 2048 24576 24576
Number of subcarrier 1200 839 839
Cyclic prefix length 160 (1st) 3168 0
144 (else)
Guard time 0 2976 0
Pulse length - - 4 ms
Number of symbols 14 1 1
Time-freq. product 1.073 1.25 1.25
In the LTE standard, the power of PRACH is variable and is incrementally increased according to a
complicated procedure. To allow a meaningful comparison without having to implement to complete
PRACH procedure, we choose the power of the PRACH such that approximately the same power
spectral density as in PUSCH is achieved, as depicted in Figure 2.4.6. We simulate multipath channels
with a fixed number of three channel taps. Moreover, we assume a maximum length of = 300,
which corresponds to a delay spread of roughly 5 , and which implies a maximum cell radius of 1.5
km.

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Figure 2.4.6: Power spectral density. The power of the PRACH is chosen to achieve a similar PSD as PUSCH.
2.4.5.2 Data transmission in PRACH
Naturally, using the guard bands for data transmission causes an increased interference level in
PUSCH. In Figure 2.4.7, we show the effect on PUSCH symbol error rate caused by data transmission
on a variable number of D-PRACH subcarriers, given the standard LTE PRACH and the new BFDM-
based PRACH approach.
Figure 2.4.7: Symbol error rate in PUSCH (averaged over all (1200) subcarriers) plotted over the number of D-PRACH
subcarriers. The BFDM-based approach slightly reduces the symbol error rate. This effect is stronger when no DFT
spreading is performed in PUSCH.

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Clearly, the performance of PUSCH does not deteriorate due to the proposed BFDM-based PRACH.
By contrast, it can be observed that irrespective of the actual number of subcarriers used for data
transmission, the BFDM-based approach leads to a slightly reduced interference level in PUSCH. Due
to the strong influence of the D-PRACH on neighboring subcarriers in PUSCH, this effect is stronger
when no DFT-spreading is used in PUSCH. The reason why larger gains, which could be expected from
Figure 2.4.6, cannot be realized is the PUSCH receiver procedure, which cuts out individual OFDM
symbols from the received data.
2.4.5.3 Asynchronous users

Asynchronous data transmission is a major challenge that comes with MTC and the Internet of
Things. Therefore, we now consider a second, completely asynchronous, user that transmits data in
the PRACH. Thereby we assign half of the subcarriers available for PRACH data transmission to this
second user. However, we still evaluate only the performance of the original ``user of interest'' (and
consequently we carry out channel estimation and decoding only for this user), which is assumed to
transmit at the ``inner'' subcarriers close to the control PRACH. Thereby, we compare two
waveforms, OFDM and the proposed spline approach. Figure 2.4.8shows the results.
Figure 2.4.8: Symbol error rate using 16-QAM in PRACH averaged over 10 out of 20 data subcarriers vs. the time offset of
a second user. The other subcarriers are used by the second (asynchronous) user. The black line shows the CP length in
LTE PRACH.
It can be observed, that for completely asynchronous users, i.e., offsets larger than the CP (in which
case OFDM loses its orthogonality property), the new pulse shaped approach reduced the symbol
error rate up to a factor of almost one half. Nevertheless, the resulting symbol error rate may still
seem excessive. However, as Figure 2.4.9 shows, this effect can be compensated by allowing small
guard bands (GB) in between the users. Figure 2.4.9 compares the performance of no GB and a GB of
only two subcarriers, which already drastically reduces the symbol error rate.

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Figure 2.4.9: Symbol error rate using 16-QAM in PRACH over SNR with presence of a second asynchronous user. Here, the
second user has a time offset of 200 s. The spline based approach outperforms OFDM with or without a small guard
band of two subcarriers.
2.4.6 Application Requirements

The IoT is expected to foster the development of 5G wireless networks and requires efficient access
of sporadic traffic generating devices. Such devices are most of the time inactive but regularly access
the Internet for minor/incremental updates with no human interaction, e.g. MTC. Sporadic traffic will
dramatically increase in the 5G market and, obviously, cannot be handled with the bulky 4G random
access procedures [WJK+14].
Our new, conceptional, approach is to use an extended physical layer random access channel
(PRACH) which achieves device acquisition and (possibly small) payload transmission "in one shot".
Similar to the implementation in UMTS, the goal is to transmit small user data packets using the
PRACH, without maintaining a continuous connection. So far, this is not possible in LTE, where data is
only carried using the physical uplink shared channel (PUSCH) so that the resulting control signaling
effort renders scalable sporadic traffic (e.g., several hundred nodes in the cell) infeasible. By contrast,
in our design a data section is introduced between synchronous PUSCH and standard PRACH, called
D-PRACH (data PRACH) supporting asynchronous data transmission. E.g., in the simplest approach
the D-PRACH uses the guard bands between PRACH and PUSCH. Clearly, by doing so, sporadic traffic
is removed from standard uplink data pipes resulting in drastically reduced signaling overhead.
Another issue that is closely related to the signaling overhead is the complexity and power
consumption of the devices. We show that waveform design in such a setting is necessary since LTE
OFDM waveform cannot handle the highly asynchronous access of different devices with possible
negative delays or delays beyond the cyclic prefix (CP). Clearly, guards could be introduced between
the individual (small) data sections which, though, makes the approach again very inefficient.
Moreover, giving up guard bands for transmitting data will naturally lead to increased interference
for PUSCH users which must be also handled with waveform design.

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2.4.7 Summary for BFDM

We proposed and evaluated a novel pulse shaped random access scheme based on BFDM, which is
especially suited in random access scenarios due to very long symbol lengths. It turns out, that the
proposed approach is well suited to support data transmission within a 5G PRACH. In particular,
numerical results indicate that the BFDM-based approach does not interfere with PUSCH operations,
in fact, it even leads to a slightly reduced interference in PUSCH when using (previously unused)
guard bands for data transmission, irrespective of the number of subcarriers used for data
transmission. Even more importantly, completely asynchronous users, with time offsets larger than
the cyclic prefix duration in standard PRACH, can be far better supported using the BFDM based
approach than using standard OFDM/SCFDMA. The presented results will help to cope with the
upcoming challenges of 5G wireless networks and the Internet of Things such as sporadic traffic.

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3 Conclusion
This report presents intermediate 5NOW transceiver and frame structure concept. The principles of
GFDM, UFDC, FBMC and BFDM are described as well the mechanism for basic synchronization,
channel estimation and equalization. Initial performance results, e.g. based on simulations, are
presented and a detailed summary is provided for each candidate waveform in its own subsection.
GFDM has been introduced as a candidate waveform for the air interface of 5G networks and it has
been shown how the modulation scheme can address the requirements imposed by the different
scenarios. Various configurations with which the error rate performance is not compromised when
compared to OFDM and SC-FDE have been found and MIMO has been presented as a mean to obtain
diversity in the system. Synchronization was achieved without affecting the spectral properties of the
waveform.
The basic signal properties of UFMC have been described. Its spectral properties are clearly
advantageous over OFDM and thus increase robustness against sources of inter-carrier interference.
Additionally, UFMC subcarriers are orthogonal in the complex domain. Equalization and channel
estimation have low complexity and can build upon OFDM techniques. Further, an open-loop timing
advance method is tailored to UFMC. Performance results show that UFMC is able to operate with
relaxed synchronicity. The usage of multiple signal layers in conjunction with UFMC is possible based
upon IDMA. The waveform can also easily embed single-carrier signals within its multi-carrier signal
format.
All the baseband signal processing functions at the receiver of FBMC have been implemented in the
frequency domain where no strict synchronization requirement on the FFT is required. This
asynchronous frequency domain processing of the receiver combined with the high stop-band
asynchronous reception. Particular attention has been paid to CFO compensation in order to relax
synchronism requirements beyond one carrier spacing. An algorithm to mitigate ICI has been
proposed. Channel interpolation has also been carefully considered and a new equalizer scheme with
contained complexity and good performance has been presented.
Finally, a novel pulse shaped random access scheme based on BFDM was proposed, which is
especially suited in random access scenarios due to very long symbol lengths. In particular, numerical
results indicate that this approach does not interfere with PUSCH operations. Even more importantly,
completely asynchronous users, with time offsets larger than the cyclic prefix duration in standard
PRACH, can be far better supported using the BFDM based approach than using standard
OFDM/SCFDMA. The presented results will help to cope with the upcoming challenges of 5G wireless
networks and the Internet of Things such as sporadic traffic.

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4 Abbreviations and References
3GPP 3rd Generation Partnership Project

4G Fourth Generation
5G Fifth Generation
5GNOW 5th Generation Non-orthogonal Waveforms for Asynchronous
Signaling
ADC Analog-to-Digital Converter
BER Bit Error Rate
BS Base Station
CoMP Coordinated Multipoint
DAC Digital-to-Analog Converter
EXALTED Expanding LTE for Devices
FBMC Filter Bank Multi-Carrier
FP7 7th Framework Programme
GFDM Generalized Frequency Division Multiplexing
GSM Global System for Mobile Communications
H2H Human-to-Human
ICI Inter-Carrier Interference
KPI Key Performance Indicato
LTE Long Term Evolution
LTE-A Long Term Evolution Advanced
MAC Medium Access (layer)
MTC Machine Type Communication
IoT Internet of Things

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Title: 5G Waveform Candidate Selection

Last Update: Monday, May 04, 2015

No. Version Edition Author(s) Date

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2 Intermediate Transceiver and Frame Structure Concept of the

2.1.1 GFDM Principles

Consider the block diagram depicted in Figure 2.1.1.1.

Figure 2.1.1.1: Block diagram of the transceiver.

Collecting the filter samples in a vector g k , m g k , m [ n ] allows to formulate (2.1.1.2) as

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where A is a KM KM transmitter matrix [MKL+12] with a structure according to

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(a) A transmitter matrix.

(b) Three columns in detail.

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(a) OFDM (b) SC-FDE (c) SC-FDM and GFDM

which are then passed to a decoder to obtain b .

2.1.2 Waveform engineering

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Name Frequency response

Window Time domain

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with respective Fourier transform given by

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(b) OOB radiation of different GFDM configurations

(c) Pinching the block boundary yields W-GFDM.

Figure 2.1.2.2: Waveform engineering results.

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2.1.3 Performance analysis

TABLE 2.1.3.1: Simulation parameters.

which is equal for every k.

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Figure 2.1.3.2: GFDM and OFDM SER performance in different channels

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2.1.4 MIMO-GFDM aiming diversity

Figure 2.1.4.1: Transceiver block diagram of the STC-GFDM.

TABLE 2.1.4.1: STC signals.

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Figure 2.1.5.1: W-GFDM preamble preceding a W-GFDM data block.

while the angle of [ n c ] is used to estimate the CFO as given bellow

where p[k ] represents the known GFDM preamble.

2.1.6 Advanced receivers

is based on all but the (k,m)th element of d

(a) ZF receiver configuration

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(b) MF-SIC receiver configuration

Figure 2.1.6.1: The considered receiver configurations.

2.1.7 Application requirements and Frame Design

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Cell size [km] 4 1 4 100

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