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7, JULY 2018
Abstract— In this paper, we propose a linearly processed FBMC (FBMC-OQAM) system, which transmits real and
filter-bank multicarrier (LP-FBMC) system which employs imaginary samples with a shift of half a symbol duration.
faster than Nyquist signaling to remove residual intrinsic OQAM transmission satisfies orthogonality conditions in
interferences. We represent the FBMC transceiver in a matrix
form and then apply singular value decomposition-based linear the real field, since the intrinsic interference terms are
transformation in order to convert the overlapped FBMC imaginary-valued [2]. However, these imaginary-valued
data into parallel independent interference-free data. This intrinsic interferences represent a major obstacle, preventing
interference-free characteristic of the proposed LP-FBMC the FBMC-OQAM system from using conventional multiple-
system enables the use of conventional multiple antenna input multiple-output (MIMO) techniques.
configurations. Performance evaluations show that out-of-band
emission performance of the proposed LP-FBMC system is Zakaria et al. [3], Zakaria and Ruyet [4], and
superior to those of conventional quadrature amplitude-based Renfors et al. [5] have proposed a number of approaches
FBMC (FBMC-QAM) and orthogonal frequency division to enable FBMC systems to use MIMO techniques.
multiplexing systems. Furthermore, the proposed LP-FBMC Zakaria et al. [3] proposed an interference cancellation
system outperforms the conventional FBMC-QAM in terms of bit method which is a combination of the minimum mean square
error rate performance when high order modulation is employed
under time-varying channel and multiuser uplink environment. error (MMSE) and maximum likelihood (ML) techniques.
Zakaria et al. [3] again proposed a new interference-free
Index Terms— FBMC, MIMO, singular value decomposition, FBMC system, called FFT-FBMC. Renfors et al. [5] proposed
faster than Nyquist.
a block-wise Alamouti scheme to obtain transmit antenna
diversity. However, the bit error rate (BER) performance
I. I NTRODUCTION of conventional interference cancellation method in [3] is
degraded due to the residual interferences. In addition,
T HE filter-bank multicarrier (FBMC) system has been
investigated as one of the alternative waveforms to
orthogonal frequency division multiplexing (OFDM) for future
spectral efficiency (SE) of the FFT-FBMC and block-wise
Alamouti schemes in [4] and [5] is decreased due to the
use of guard intervals. In summary, these approaches result
wireless communication systems [1]. There are three advan-
in performance degradation in terms of BER and SE, even
tages typically associated with the FBMC system: i) low
though they enable the application of the MIMO scheme.
out-of-band emission (OOBE), ii) CP-free transmission, and
Recently, quadrature amplitude modulation (QAM)-based
iii) robustness to the asynchronous environment.
FBMC (FBMC-QAM) systems were proposed in [6], [7],
Among the various FBMC systems, the most thoroughly
and [8], which support QAM symbol transmission and enable
studied is the offset quadrature amplitude modulation-based
MIMO transmission. These systems utilize two different filters
Manuscript received November 18, 2017; revised February 24, 2018; for the even- and odd-numbered subcarriers, respectively,
accepted April 22, 2018. Date of publication May 16, 2018; date of current in order to avoid intrinsic interferences caused by imaginary
version July 10, 2018. This work was supported in part by the National terms. However, due to the poor spectrum confinement of
Research Foundation of Korea (NRF) through the Korea Government (MSIT)
under Grant NRF-2018R1A2A1A05021029 and in part by the Institute for the filters, these methods show degraded OOBE performance
Information and Communications Technology Promotion through the Korea compared to the FBMC-OQAM system. Since an essential
Government–Ministry of Science, ICT and Future Planning (MSIP) (Devel- advantage of FBMC systems is excellent OOBE performance
opment on the core technologies of transmission, modulation, and coding
with low-power and low-complexity for massive connectivity in the IoT compared with other multicarrier systems, the result is the
environment) under Grant 2016-0-00181. The associate editor coordinating loss of one of the inherent strengths of the FBMC system.
the review of this paper and approving it for publication was L. Lai. Furthermore, the FBMC-QAM systems employ artificially
(Corresponding author: Daesik Hong.)
J. Kim, S. Weon, J. Jeong, S. Choi, and D. Hong are with the School designed filters, where the filters are not perfectly orthogonal
of Electrical and Electronic Engineering, Yonsei University, Seoul 120-749, to other filters. Therefore, they show inferior BER perfor-
South Korea (e-mail: in3614@yonsei.ac.kr; again@yonsei.ac.kr; mance compared to FBMC-OQAM systems, especially in
uranus0917@yonsei.ac.kr; csyong@yonsei.ac.kr; daesikh@yonsei.ac.kr).
Y. Park is with the Autonomous Machine Laboratory, AI Center, Samsung cases where high order modulation is supported.
Research, Samsung Electronics Company, Seoul 06765, South Korea (e-mail: Therefore, in this paper, we propose a new interference-free
pyosub.park@samsung.com). FBMC system, called linearly processed FBMC (LP-FBMC)
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org. system, which retains the typical advantages of the FBMC
Digital Object Identifier 10.1109/TWC.2018.2832646 system. The key contributions of this paper are as follows:
1536-1276 © 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
KIM et al.: NEW FILTER-BANK MULTICARRIER SYSTEM: LINEARLY PROCESSED FBMC SYSTEM 4889
TABLE I
D EFINITION OF M AIN PARAMETERS
where tn is a M/2 × 1 column vector which is composed overlapped data is converted into parallel independent data.
of input data from the even-numbered subcarriers at the n-th Therefore, the proposed system enables QAM data to be
symbol. employed without any effect from residual intrinsic interfer-
As shown in Fig. 5, the vector tn is then inserted into the ences being caused by the data at the other subcarriers or at
FBMC transceiver which is formulated as F. After the data the other symbols.
vector tn passes the FBMC transceiver F, the received data
can be obtained as
T C. Effective SNR and Power Allocation Strategy
even even even
rn = y0,n y1,n · · · yM/2−1,n , (22) As shown in (24), the transmitted signal power, effective
even
signal power, and effective noise power are not the same
where ym,n is the output data of the FBMC transceiver as other systems due to the pre-/post-processing. Therefore,
at the m-th subcarrier of the n-th symbol. The N column in this subsection, we will show the effective signal-to-noise
even
vectors composed of ym,n are also stacked from left to right ratio (SNR) of the LP-FBMC system. Furthermore, from the
as shown in Fig. 5. The m-th 1 × N row vector of the effective SNR, we will describe a power allocation strategy
stacked matrix is converted to an N × 1 column
even
T vector, which which maximizes the capacity of the LP-FBMC system.
even Δ even
is defined as ym = ym,0 , . . . , ym,N −1 , by serial-to- Let us calculate the effective SNR which is a ratio of the
even
parallel conversion. Then, the N × 1 column vector ym is effective signal power and effective noise power. The post-
H
multiplied by the post-processing matrix U , expressed as processed noise can be obtained by
ypost = UH ym even
m ∈ {0, 1, · · · , M/2 − 1} , (23) M/2−1
2
m
H −j 2πml
T U z̃m = UH GHl zl e
M/2 , (25)
where ym post Δ
= ym,0post post
, . . . , ym,N is the post-processed M
−1 l=0
data vector.
where the sum of the complex Gaussian noise is multiplied
After the pre-processing V and post-processing UH based
by the PPN matrix at the receiver GH l and post-processing
on the SVD of the FBMC transceiver model in (19),
matrix UH . Therefore, the power of the post-processed noise
the received data vector in (17) can be equivalently converted
can be calculated as
into
M/2−1
post
ym = UH ym
even H
2
E U z̃m z̃H
mU = E UH GH H H
l zl wl wl zl Gl U
M
= UH (hm · Fxpre + z̃m ) l=0
m H M/2−1
= hm · U UΛV (Vxeven
H H
m ) + U z̃m 2N0 H H
= U Gl Gl U
= hm · Λxeven
m
H
+ U z̃m . (24) M
l=0
⎛ ⎞
M/2−1
Since the matrix Λ is a diagonal matrix, we can say that 2N0 H ⎝ ⎠U
the FBMC transceiver matrix F is diagonalized by the pre-/ = U GH
l Gl
M
post-processing. Comparing (18) and (24), we can see that l=0
since the unitary matrices U and V are the same. The equa-
tion (26) stands for that the post-processed noise is N0 Λ (i.e.,
CN (0, N0 λn ) for post-processed noise of the n-th symbol).
Therefore, from (24) and (26), we can formulate the equivalent
representation of the post-processed data ym,n as
post
ym,n = hm λn xeven
m,n + λn zm,n , (27)
where λn is the n-th diagonal element of the coefficient
matrix Λ. Fig. 6. Equivalent interference-free parallel model of the proposed LP-FBMC
system.
The effective SNR of the proposed LP-FBMC system at the
n-th symbol of the m-th subcarrier can be obtained as
TABLE II
2
|hm | p2n λn S IMULATION PARAMETERS
SNRn = , (28)
N0
where p2n is the allocated power for the n-th symbol.
From the (28), we can calculate the capacity of the
LP-FBMC as
N −1
1
2
|hm | p2n λn
C= log2 1 + , (29)
N n=0 N0
which is an average of the capacity at the n-th symbol, In summary, the proposed LP-FBMC system exploits a
since the SNRs for the different symbols are different from half of the available spectrum in order to avoid ICI which
each other. Furthermore, since the transmitted power must be results in a half of the total data rate compared to OFDM
normalized to 1, there is a constraint given by and FBMC-OQAM systems. To compensate the reduced data
N −1
rate, transmission rate in time domain is doubled, which
1 2 is faster than Nyquist rate. Without additional processing,
p λn = 1, (30)
N n=0 n the ISI causes severe BER performance degradation due
to the symbol overlapping in time domain. However, since
which is proved in Appendix. By the theorem of inequality of
the proposed LP-FBMC system employs SVD-based linear
arithmetic and geometric means, all capacities of the different
pre- and post-processing, the ISI is removed. As a result,
symbols need to be the same. Therefore, in order to maximize
the proposed LP-FBMC can transform the overlapped FBMC
the capacity, the allocated power at the n-th symbol must be
data into interference-free domain from the SVD-based linear
obtained by
processing.
1
p2n = . (31)
λn IV. P ERFORMANCE E VALUATIONS
By applying the power allocation to the input data, the equiv- In this section, we compare the performance of the proposed
alent representation of the proposed LP-FBMC system at the LP-FBMC system with that of the CP-OFDM and FBMC-
n-th symbol of the m-th subcarrier in (27) can be rewritten as QAM systems in [6] in terms of OOBE performance, BER per-
formance under time-varying channel, and BER performance
post
ym,n = hm λn pn xeven
m,n + λn zm,n ,
in an asynchronous multi-user uplink environment. Further-
even
= hm λn xm,n + λn zm,n , (32) more, this section contains the computational complexities of
the multi-carrier systems.
when power of the input data xeven
m,n is normalized as 1. As a In the conventional FBMC-OQAM and proposed LP-FBMC
result, by allocating power as (30), the SNR of the proposed
systems, a PHYDYAS prototype filter with K = 4 is used [1].
LP-FBMC system at the n-th symbol of the m-th subcarrier
We considered an AWGN channel model, the Extended
becomes
Pedestrian-A (EPA) 5 Hz and Extended Vehicular-A 70 Hz
2 2 2
|hm | p2n λn |hm | λn |hm | channel models certified by the 3rd Generation Partnership
SNRn = = = , (33)
N0 N0 λn N0 Project (3GPP) LTE standard in [11]. In the case of the
and the total transmission power becomes 1, which is the same 3GPP EPA and EVA channel models, a time-variant channel
as with other interference-free systems. during transmission with 5 Hz and 70 Hz maximum Doppler
Fig. 6 shows the equivalent parallelized model of frequency is assumed. Perfect channel estimation with MMSE
the proposed LP-FBMC system, where the vector channel equalization is also assumed. The simulation parame-
A Δ
A
ters are summarized in Table II.
xPm = xP PA
m,0 , · · · , xm,N −1 is a input vector applying
power allocation, and matrix P is a power allocation matrix
whose n-th diagonal entry is pn . By using pre-/post-processing A. Out-of-Band Emission Performances
and power allocation, the LP-FBMC system can employ One of the fundamental advantages of the FBMC system is
QAM data without interference and noise enhancement. excellent OOBE performance compared to the other multicar-
4894 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 17, NO. 7, JULY 2018
Fig. 10. 2×1 MISO BER performances of the conventional FBMC-QAM [8]
and LP-FBMC systems in the 3GPP EPA 5 Hz channel model.
TABLE III
C OMPUTATIONAL C OMPLEXITIES OF THE M ULTICARRIER S YSTEMS
the users, the signal of the desired user (user 1) appears non-
orthogonally to the signal of the interference user (user 2). This
non-orthogonality causes out-of-band leakage and degrades the
BER performance. The best OOBE performance results in the
lowest out-of-band leakage for the proposed LP-FBMC and
FBMC-OQAM. Therefore, since the proposed LP-FBMC has
the same OOBE as FBMC-OQAM, it can be utilized for the
asynchronous multiuser uplink scenario.
Conversely, the BER performances of the conventional
FBMC-QAM and CP-OFDM are inferior to the proposed
LP-FBMC and FBMC-OQAM. In particular, CP-OFDM
shows the worst BER performance in the asynchronous multi-
user uplink environment. The reason for this is that their
OOBE performances, as shown in Fig. 7, are relatively lower
than the those of the proposed LP-FBMC and FBMC-OQAM.
Fig. 13. BER performances of the CP-OFDM, FBMC-OQAM, conventional Contrary to the proposed LP-FBMC, they are relatively weak
FBMC-QAM [8] and LP-FBMC systems for asynchronous two-user uplink
environment. to the asynchronous multiuser uplink environment.
D. Practical Implementations
ISI caused by time-varying channel affects a performance This subsection presents the computational complexity
of SVD-based linear pre-/post-processing for high Eb /N0 . and system overhead of the proposed LP-FBMC system
Compared to the results of conventional FBMC-QAM compared with conventional CP-OFDM, FBMC-OQAM,
system, however, the performance degradation caused by the and FBMC-QAM systems. The computational complexity is
time-varying channel is extremely low. evaluated by computing the number of real multiplications of
the transmitter per QAM data transmission. The computational
C. Performance in Asynchronous Multi-user Environment complexities of the conventional CP-OFDM, FBMC-OQAM,
and FBMC-QAM systems are summarized in III from [8],
One of the key advantages of the FBMC system is its [12], and [13].
robustness to the asynchronous multiuser uplink environment. The proposed LP-FBMC system possesses an on-line com-
Let us compare the BER performance of the proposed putational complexity due to the additional matrix multiplica-
LP-FBMC system with that of conventional multicarrier tion from the linear processing for each subcarrier. Since the
systems under this environment. As shown in Fig. 12, M/2 QAM data are transmitted for each symbol, 2M N 2 num-
we consider an asynchronous uplink environment with two bers of multiplications are needed in the linear processing to
users. In the considered environment, we assume that both transmit M N/2 QAM data. In addition, instead of multiplying
users employ adjacent frequency bands without a guard band. the power allocation matrix P and the pre-processing matrix V
Furthermore, we assume that the signals of both users arrive separately, we can obtain the pre-processed data vector xpre
n
asynchronously with timing offset τ and that the timing by multiplying the matrix VP. Therefore, since the power
offset τ is a uniform random variable in the interval [0, T /2], allocation and pre-processing can be performed concurrently,
where T is the time duration of transmission symbol. the total computational complexity from the power allocation
Fig. 13 shows the BER performances of the multicarrier and pre-processing is 4N . Therefore, the total computational
systems when the symbols of two users are received asyn- complexity of the proposed FBMC-QAM for each piece fo
chronously in the time domain. The proposed LP-FBMC QAM data is given by
shows the best BER performance, as does the FBMC-OQAM.
M
The reason they obtain the best BER performance in the cprop = log 2 − 3 + 8/M +
4K + 4N .
asynchronous uplink environment is that their OOBE perfor-
LP-FBMC
2
PPN Pre-processing
mances are excellent compared to the CP-OFDM and conven- IFFT
tional FBMC-QAM. Due to the timing misalignment between (34)
KIM et al.: NEW FILTER-BANK MULTICARRIER SYSTEM: LINEARLY PROCESSED FBMC SYSTEM 4897
Contrary to the other multicarrier systems, the complexity of and BER performance is the same with the FBMC-QAM
the LP-FBMC system increases when the number of symbols system. Thanks to this superior OOBE performance, the BER
increases. The reason for this is that size of the linear process- performance of the proposed LP-FBMC system outperforms
ing matrices V and UH increase as the number of symbols the CP-OFDM and conventional FBMC-QAM systems under
increases. high order modulation and asynchronous uplink multiuser
The LP-FBMC system requires off-line system overhead environments. Possible topics for the future include extending
in order to calculate the pre-processing matrix V and our work to cover reducing the computational complexity of
post-processing matrix UH from SVD operation. In addition, the LP-FBMC system.
power allocation must be performed for each symbol.
However, the kind of system overhead is not the same as A PPENDIX
on-line or real-time system overhead, since the pre-/post- P ROOF OF THE C APACITY C ONSTRAINT
processing and power allocation do not depend on the input
data but depend only on the prototype filter. Therefore, From (11), the average power of the transmission signal
the LP-FBMC system requires off-line system overhead only sm,n can be calculated by
once, when the LP-FBMC system is initially set. 2 H
In addition to the computational complexity, there is E tr XP P N XP P N
MN
additional system latency from the post-processing. Post- M/2−1
2 P P N H
processing should be performed after all the symbols are = E tr xP m
PN
xm
received. The reason is that such linear processing is burst M N m=0
level processing, while the CP-OFDM and FBMC-OQAM M/2−1
2
systems are symbol level processing. Receiver need to wait = {E[tr(Gm VXeven wm
for all the symbols in order to decode data, even if the data M N m=0
is involved in the first symbol. Therefore, the system latency
H H
· wm (Xeven ) VH GH
m
should be twice the total symbol length than CP-OFDM and
M/2−1
FBMC-OQAM systems. In the actual communication system, 2 H
however, there is an interleaving technique which also needs = E tr (Xeven ) VH GH
m Gm VX
even
M N m=0
to wait for all the symbols in the receiver. Such interleaving
1 even H N −1
technique is also performed after all symbols are received. 1 2
Therefore, since the post-processing can be simultaneously = E tr (X ) ΛXeven = p λn . (35)
N N n=0 n
applied with an interleaving technique, system latency from
the burst level processing is reasonable. Therefore, since the average power of the transmission signal
Contrary to the computational complexity and system sm,n must be normalized to 1, the constraint of the capac-
latency, peak-to-average power ratio (PAPR) of the proposed ity (30) is satisfied.
LP-FBMC does not increase. The proposed LP-FBMC
exploits QAM data which doubles the power compared to
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