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# C00-NTAH-20070827-008

## Peak-to-Average-Power Ratio Reduction

for OFDM

Shu Wang
LG Electronics Mobile Research, USA
C00-NTAH-20070827-008

Introduction
• Understanding the PAPR (Peak-to-Average-Power Ratio) of OFDM from
• a signal processing perspective,
• a coding perspective, and
• an implementation perspective.
• PAPR reduction in research and standards.
• Known techniques: clipping, coding, PTS, SLM, dynamic PA backoff,
single-carrier modulation, etc.
• Relevant standards: GSM, WCDMA, UMB, LTE, etc.
• Two PAPR reduction techniques are investigated for regular OFDM.
1) PAPR reduction with group-based cyclic delays
2) PAPR reduction with subcarrier remapping
• Three PAPR reduction schemes are investigated for layer-modulated
OFDM
1) Rotated Layer Modulation
2) PAPR Reduction with Layer-Based Cyclic Delay
3) PAPR Reduction with Group-Based Cyclic Delay

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0.25

max s( t )
PAPR = ≈ O( L )
E s( t ) 0.2

## Probability Density Function

2
0.15
1.5

3.01dB
1
0.1
Imaginary Part of OFDM Signal

0.5

0
0.05
­0.5

­1
0
2 4 6 8 10 12 14 16
Peak-to-Average-Power Ratio (dB)
­1.5 6.53dB

­2
­2 ­1.5 ­1 ­0.5 0 0.5 1 1.5 2
8PSK, L=128
Real Part of OFDM Signal

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## PAPR: A Signal Processing Perspective

•The statistic properties of PAPR can be CCDF ( γ ) = Pr ( PAPR > γ )
described by CCDF (complementary
cumulative distribution function). = 1 − Pr ( PAPR ≤ γ )
•And let’s do something a little bit
heuristic.
[
= 1 − Pr CG ( p ≤ γ ) ] L

## • Assume the frequency-domain ≥≈ 1 − 1 − e( −γ L

)
symbol is complex Gaussian
distributed.
• When the number of subcarriers,
L, become large, the instantaneous
power of each OFDM signal chip
can be modeled by a chi-
distributed signal with two degree
of freedom.
high PAPR sounds like rare event,
can we just ignore it? N=64, oversampling factor 4, Thompson, et al 2005

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## Peak-to-Mean Envelope Power Ratio (PMEPR)

(L-1)-sphere cap with c
max Euclid distance r

max S ( t ) s( t )
2 2
1
max C ( z ) z = e jθ
2
PAPR = ≤ max =
E S(t)
2 2 2
c c
(L-1)-sphere

c0 + c1 z +  + c L −1 z L −1
= C ( z ) = c ∗ w( z ) z = e jθ

## What is the achievable region of triplets (R, d, PMEPR)?

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## Rapp’s SSPA Model

•AM/AM characteristics of the Rapp SSPA model, P=2

## PA output voltage PA input voltage

vin
vout = 1
 | vin | 2 P  2P
1 + ( ) 
 Vsat 
PA output Knee factor. Typically
saturation level P=2~3

•The knee factor P controls the smoothness of the SSPA characteristic. When P = 2,
it is known to be a good representation of the HPA’s in the sub-10 GHz
frequency range.

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## PAPR: An Implementation Perspective

OFDM, P0=2, N1=256, 8*ovs, alpha=.125
10
BO=5 dB
BO=7 dB
0 BO=10 dB

­10

Upper half of power spectrum (dB)
­20

­30

­40

­50

Source: Intersil
­60

­70

­80
0 0.5 1 1.5 2 2.5 3 3.5
frequency normalized to symbol rate

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## Challenges Brought By High PAPR

• Peak transmit power is limited by
• Regulations
• Interference. both in-band and out-of-band interference are
concerned.
• Hardware Limitations, especially when the bill of materials and
power consumption are among the major concerns.
• High PAPR of OFDM signals, especially at the high carrier
frequency, e.g. 2-5GHz, and with high-order modulations, brings
new challenges for the implementations.
• It demands the HPA with large backoff.
• It demands the high power amplifier with better efficiency.
• It requires the up-converter with high linearity.
• It requires the ADC with large dynamic range.
• It requires the LO with low phase noise level.

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## PAPR Reduction in Standards

• GSM: The modulation is GMSK, which has a constant envelope and is
optimized for amplifier PAPR requirement.
• WCDMA: DPDCH and DPCCH are I-Q/code multiplexed and complex
scrambled. The complex scrambling codes are formed in such a way that
the rotations between consecutive chips within one symbol period are
limited to ±90o. The full 180 rotation can happen only between
consecutive symbols.
• UMB: The scheduler adapts assignments of different ATs based on their
PA characteristics and power limitation and schedule power-limited users
away from the edge of spectrum allocation and other users on the
remaining spectrum with taking into account user’s power limitation as well
as channel selectivity across subbands.
• LTE: SC-FDMA, which has low PAPR in time domain but high PAPR in
2.5dB for QPSK in PAPR gain but less frequency diversity gain.

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## Some Popular PAPR Reduction Technologies

• Clipping: In-band distortion mostly is negligible. But out-of-band distortion is more
serious.
• Filtering and Signal Processing :
• time-invariant linear filter results in less peak regrowth and lower PAPR than DFT
filter in general, if there is no spectral masking.
• Partial Transmit Signaling (PTS): divide/Group into clusters and each of them is done
with a smaller IFFT. [Muller and Huber, 97 ]
• Tone Reservation (TR): inserting anti-peak signals in unused or reserved subcarriers.
The objective is to find the time-domain signal to be added into the original time-
domain signal such that PAPR is reduced. [Tellado, 00]
• Coding: The idea is to select a codeword with less PAPR. it still is an open problem to
construct codes with both low PAPR and short Hamming distance.
• Selected Mapping (SLM): it is based on selecting one of the transformed blocks for each
data block, which has the lowest PAPR. [Bauml, Fisher and Huber, 96]
• Constellation Optimization
• Tone Injection (TI): the basic idea is to increase the constellation size so that each of
the points in the original basic constellation can be mapped into several equivalent
points in the expanded constellation.
• Active constellation extension (ACE): similar to TI. [Krongold and Jones, 03]

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## •Partial Transmit Signaling (PTS)

• Input is divided into M clusters,
• Each cluster is converted into time-domain with shorter IFFT
• Combine the M output sequence to minimize the PAPR
•Selective Mapping (SLM)
• This method is based on generating M statistically independent transformed
blocks for each data block and transmitting the one with the lowest PAPR.
• Multiple data streams by M different sequences
• Converted them independently into time domain with IFFT
• Select the best sequence for transmission.
•In general, both of them require transmitting some side information about the identity
of the selected block.

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## Rotation and Delay (1/2)

e j 2πnT∆ f
F ( f ) ⇔ f t − nT∆ ( )
Time-domain shifting is equal
to frequency-domain rotating

F ( f − nf ∆ ) ⇔ e j 2πnf ∆ t
f (t)
Frequency-domain shifting is
equal to time-domain rotating

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## Rotation and Delay (2/2)

• Frequency-domain subcarrier remapping brings time-domain
rotation on OFDM subcarriers.
• From a time-domain perspective, it is similar to PTS.
• With PTS, however, the direct rotation of subcarriers in time
domain may change frequency-domain pilot pattern.
• Time-domain cyclic delays of subcarriers brings the rotation of
subcarriers in frequency domain.
• From a frequency-domain perspective, it is similar to SLM.
• With SLM, however, the rotation of subcarrier with SLM is done
in frequency domain, which is separated from the PAPR
detection by IFFT. This results in high calculation complexity
and/or processing delay.

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## The Proposed PAPR Reduction Schemes

• PAPR Reduction with Subcarrier Remapping
• Multiple OFDM signals are generated based on different
symbol-to-subcarriers mapping rule
• The OFDM signal of the lowest PAPR is selected for
transmission.
• PAPR Reduction with Group-Based Cyclic Delay
• The input subcarriers are partitioned into multiple groups.
• The PAPR of the sum output can be reduced with properly
adjusting the delay of each group’s IFFT output.

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## PAPR Reduction with Subcarrier Remapping (1/2)

Tx and/or
Symbol-to- Parallel to
Serial and
Subcarrier IFFT
Cyclic
Mapping Prefix
Format 1

Tx and/or
Symbol-to- Parallel to
Serial , and
Subcarrier IFFT
Cyclic
Select the
one with
Mapping Prefix lowest
Format 2 PAPR

Tx and/or
Symbol-to- Parallel to
Serial and
Subcarrier IFFT
Cyclic
Mapping Prefix
Format N

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## PAPR Reduction with Subcarrier Remapping (2/2)

0
10

­1
10

Gaussian Approx
CCDF

10
­2
with No Cyclic Delay
with Tx Format Selection, G=2

10
­3 QPSK/OFDM, L=128

­4
10
0 2 4 6 8 10 12
Peak-to-Average Power Ratio (dB)

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## PAPR Reduction with Group-Based Cyclic Delay (1/2)

Cyclic delay
IFFT and Cyclic/
Zero Prefix
Dividing,
Decomposition ,
Grouping or Combining
Clustering , or and PAPR
amplitude calculation
necessary
Cyclic delay
IFFT and Cyclic/
Zero Prefix

PAPR control

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## PAPR0 Reduction with Group-Based Cyclic Delay (2/2)

10

­1
10

QPSK/OFDM, L=128
CCDF

­2
10

­3
10 Guassian approximation
with no PAPR reduction
with group-based cyclic delay, G=2
with partial transmit signaling, G=2
­4
10
0 2 4 6 8 10 12
Peak-to-Average Power Ratio (dB)

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01 00
0011 0000
0001
0010

b1b0 θ
α 0111

10
0110
2β 0100
11 0101

1111 1100
00 1101
01 β 1110

θ
e1e0 2α
10 1011 1000
1010 1001
11

## Enhancement Layer : rotated QPSK

QPSK/QPSK Hierarchical Modulation b1e1b0e0

## •Optimal broadcast channel capacity is achievable by superposing two users’ signal

together.
•Superposition precoding with interference cancellation outperforms TDM and FDM
schemes in most time.
•Layer modulation is one of the popular implementations of superposition
precoding.

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## •UMB/MediaFLO supports layered transmission of

base/enhancement layers
• Extends coverage with layered source coding
• Provides a more graceful degradation of reception.
•Besides using a dedicated DVB-H network, DVB-H service can
also be embedded into DVB-T network using layered modulation.
• DVB-H service use the HP input while DVB-T services use LP.
• The HP input can offer increased robustness in mobile environment
over the LP input
• The LP input can serve higher bit-rate for fixed reception service

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## PAPR Reduction for Layer-Modulated OFDM

• The enhanced layer modulation with rotating enhancement layer
• The signal constellation of the enhancement layer is rotated for
• lowering PAPR,
• lowering symbol error rate, and
• Increasing achievable throughput.
• PAPR reduction with layer-based cyclic delay
• The input two layers are individually processing with IFFT.
• The enhancement layer is cyclic delayed and added into the based layer
in time domain.
• With proper adjusting the delay, the PAPR can be reduced.
• PAPR reduction with group-based cyclic delay
• The input subcarriers are partitioned into at least two groups.
• The output PAPR can be reduced with properly adjusting the delay of
each group’s IFFT output.

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## Hierarchical Modulation with Rotation (1/2)

Power and/
Layer 1 or Phase

Parallel to
Superpostion Serial and
and IFFT PAPR
calculation

Power and /
Layer 1 or Phase

## PAPR detection and control

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## Hierarchical Modulation with Rotation (2/2)

0
10

­1
10
CCDF

­2 Gaussian Approximation, L=128
10
Regular QPSK/QPSK, P2/P1=0.01, L=128
Regular QPSK/QPSK, P2/P1=0.09, L=128
Regular QPSK/QPSK, P2/P1=0.25, L=128
Enhanced QPSK/QPSK, P2/P1=0.01, L=128
­3
10 Enhanced QPSK/QPSK, P2/P1=0.04, L=128
Enhanced QPSK/QPSK, P2/P1=0.09, L=128
Enhanced QPSK/QPSK, P2/P1=0.16, L=128
Enhanced QPSK/QPSK, P2/P1=0.25, L=128
­4
10
0 2 4 6 8 10 12
Peak-to-Average Power Ratio (dB)

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## PAPR Reduction with Layer-Based Cyclic Delay (1/2)

Layer-1
IFFT Cyclic
Symbols Delay

Combining
and PAPR
calculation

Layer-2
IFFT Cyclic
Symbols Delay

PAPR control

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## PAPR Reduction with Layer-Based Cyclic Delay (2/2)

0
10

­1
10
Regular Hierarch.
Cyclically Delayed Modulations
Hierarch. Modulations
CCDF

­2
10
Gaussian Approximation, L=128
Regular QPSK/QPSK, P2/P1=0.01, L=128
Regular QPSK/QPSK, P2/P1=0.09, L=128
Regular QPSK/QPSK, P2/P1=0.25, L=128
­3
10 Cyc. Del. QPSK/QPSK, P2/P1=0.01, L=128
Cyc. Del. QPSK/QPSK, P2/P1=0.04, L=128
Cyc. Del. QPSK/QPSK, P2/P1=0.09, L=128
Cyc. Del. QPSK/QPSK, P /P =0.16, L=128
2 1
Cyc. Del. QPSK/QPSK, P2/P1=0.25, L=128
­4
10
0 2 4 6 8 10 12
Peak-to-Average Power Ratio (dB)

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## The input IFFT Cyclic

layered- Delay
modulated
symbols are Combining
divided into and PAPR
multiple smaller calculation
groups of
layered-
modulated Cyclic
symbols IFFT Delay

PAPR control

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## PAPR Reduction with Group-Based Cyclic Delay (2/2)

0
10

­1
10
CCDF

­2
10
Gaussian Approximation, L=128
Regular QPSK/QPSK, P2/P1=0.01, L=128
Regular QPSK/QPSK, P2/P1=0.09, L=128
Regular QPSK/QPSK, P2/P1=0.25, L=128
­3
10 with PAPR Reduction, P2/P1=0.01, L=128, G=2
with PAPR Reduction, P2/P1=0.04, L=128,G=2
with PAPR Reduction, P2/P1=0.09, L=128, G=2
with PAPR Reduction, P2/P1=0.16, L=128, G=2
with PAPR Reduction, P2/P1=0.25, L=128, G=2
­4
10
0 2 4
Peak-to-Average 6Power Ratio
8 (dB) 10 12

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Conclusions (1/2)
• PAPR reduction is a historic issue existing with the development of
wireless communication systems.
• The high PAPR of OFDM bring higher requirements and more
challenges on the system implementation, which limit the actual
performance of OFDM systems.
• It brings higher requirements on HPA, ADC, heat dissipation,
signal processing, etc.
• Two new PAPR reduction technologies are proposed.
• PAPR reduction with transmission format selection
• Low processing delay
• High complexity
• PAPR reduction with cyclic delay diversity
• Simple and seamless PAPR reduction.  No additional
• Better demodulation.  More diversity
• Compatible with any modulation and coding scheme.

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Conclusions (2/2)
• Rotational layer modulation has lower PAPR than regular layer modulation,
providing properly rotating the enhancement layer.
• It has PAPR reduction gain, though it is not significant.
• The PAPR reduction gain depends on the power splitting between layers.
• With cyclic delays, additional PAPR reduction is achievable
• The performance of layer-based approach depends on the power splitting
between layers, while the group-based approach doesn’t.
• In general, the group-based approach has a constant better performance
than the layer-based approach.
• The group-based approach has the best performance of the three proposed
approaches.
• Simple and seamless PAPR reduction.  No additional