FILTERBANK MULTICARRIER TECHNIQUES FOR

COGNITIVE RADIOS

by

Peiman Amini

A dissertation submitted to the faculty of

The University of Utah
in partial fulfillment of the requirements for the degree of

Doctor of Philosophy

Department of Electrical and Computer Engineering

The University of Utah

December 2009
Copyright
c Peiman Amini 2009

All Rights Reserved

 THE UNIVERSITY OF UTAH GRADUATE SCHOOL

SUPERVISORY COMMITTEE APPROVAL

of a dissertation submitted by

Peiman Amini

This dissertation has been read by each member of the following supervisory committee
and by majority vote has been found to be satisfactory.

Chair: Behrouz Farhang-Boroujeny

Cynthia Furse

Rong-Rong Chen

Keneth Stevens

Frederic Noo
 THE UNIVERSITY OF UTAH GRADUATE SCHOOL

FINAL READING APPROVAL

To the Graduate Council of the University of Utah:

I have read the dissertation of Peiman Amini in its final form

and have found that (1) its format, citations, and bibliographic style are consistent and
acceptable; (2) its illustrative materials including figures, tables, and charts are in place;
and (3) the final manuscript is satisfactory to the Supervisory Committee and is ready
for submission to The Graduate School.

Date Behrouz Farhang-Boroujeny

Chair, Supervisory Committee

Approved for the Major Department

Marc Bodson
Chair/Dean

Approved for the Graduate Council

David S. Chapman
Dean of The Graduate School
 ABSTRACT

The demand for wireless services is on the rise and the vast majority of the
spectral resources have already been licensed. Consequently, cognitive radio tech-
nology has been proposed to make secondary use of licensed spectrum. Multi-
carrier communication technology has been suggested to utilize the white spaces
in the spectrum. Orthogonal frequency-division multiplexing (OFDM) was the
first multicarrier technique proposed for cognitive radios. However, OFDM suffers
from significant leakage among the carriers of different users. On the other hand,
filterbank multicarrier (FBMC) communication can overcome the spectral leakage.
Therefore, FBMC has been suggested as an alternative to OFDM for cognitive
radios. In this dissertation, we investigate the implementation issues that need to
be addressed for an actual deployment of FBMC.
Efficient polyphase structures for implementation of FBMC are investigated.
A novel formulation for a family of polyphase structures for staggered modulated
multitone (SMT) is derived. Using our derivation, it is shown that some of the
SMT analysis structures in the literature are not applicable to frequency selective
channels.
A preamble design and related algorithms are proposed for FBMC systems. The
proposed preamble is used to detect the beginning of packet, to adjust an automatic
gain control, to synchronize the carrier frequency and timing phase, and to identify
the channel impulse response. Furthermore, decision directed carrier and timing
tracking algorithms are proposed to track residual timing and carrier offset after
the acquisition. In addition, a decision directed phase lock loop (PLL) is designed
to force any built up phase error to zero. Also, an algorithm is implemented to
track the best timing phase by minimizing a cost function.
This dissertation also reports implementation of a cognitive radio equipped with
filterbank spectrum sensing. The cognitive radio was implemented on a software
defined radio platform. The filterbank spectrum sensor is shown to exhibit superior
performance in terms of the spectral dynamic range when compared to the FFT
based techniques. The radio can detect the presence of interferers on the carrier
that is currently using and move to an unoccupied part of the spectrum.
FBMC is also applied to fault detection on live wires. Optimally designed
synthesis filterbanks are used to confine the test signal to the portion(s) of the
frequency band that are free of live signal. Moreover, optimal analysis filters are
designed which can separate the reflected test tones and minimize leakage from the
live wire signals.

v
I dedicated this work to my family: Masoud, Mahin, Payvand, and Pooyan.
 CONTENTS

ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x
ACKNOWLEDGMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

CHAPTERS
1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Multicarrier Communications
for Cognitive Radios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 OFDM/FFT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.3 Filterbank Spectrum Sensing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.4 Filterbank Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.4.1 Staggered Modulated Multitone, SMT . . . . . . . . . . . . . . . . . . . 12
1.4.2 Cosine Modulated Multitone, CMT . . . . . . . . . . . . . . . . . . . . . . 12
1.4.3 Filtered Multitone, FMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.4.4 A Comparison of FMT, SMT and CMT . . . . . . . . . . . . . . . . . . 13
1.5 Contribution of the Dissertation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.6 Organization of the Dissertation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
2. A REVIEW ON FILTERBANK MULTICARRIER
COMMUNICATION SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.1 Filterbank Multicarrier Communications . . . . . . . . . . . . . . . . . . . . . . 20
2.1.1 Staggered Modulated Multitone, SMT . . . . . . . . . . . . . . . . . . . 20
2.1.2 Cosine Modulated Multitone, CMT . . . . . . . . . . . . . . . . . . . . . . 25
2.1.3 Filtered Multitone, FMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2 FBMC Sensitivity to Synchronization Errors . . . . . . . . . . . . . . . . . . . 29
2.2.1 SMT Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.2.2 CMT Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.3 Sensitivity to Carrier Offset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.4 Sensitivity to Timing Offset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2.4.1 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
3. POLYPHASE IMPLEMENTATION OF FILTERBANK MULTICARRIER
COMMUNICATION SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.1 Polyphase Synthesis Filterbank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.2 Polyphase Analysis Filterbank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
3.3 SMT Polyphase Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
 3.3.1 Type-I SMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . . 51
3.3.2 Type-II SMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . 54
3.3.3 Type-III SMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . 57
3.3.4 Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
3.4 CMT Polyphase Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
3.4.1 Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
3.4.2 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
4. PREAMBLE DESIGN FOR FILTERBANK MULTICARRIER
SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
4.1 Preamble Design in OFDM Systems . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.2 FBMC Packet Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
4.3 Carrier Acquisition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
4.4 Timing Acquisition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
4.5 Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
4.6 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
4.6.1 Sensitivity Discussion for SMT and CMT . . . . . . . . . . . . . . . . . 90
4.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
5. CARRIER AND TIMING OFFSET TRACKING . . . . . . . . . . . 91
5.1 Literature Survey on FBMC Bind
Synchronization Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
5.2 Carrier Tracking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
5.2.1 SMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
5.2.2 CMT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
5.3 Timing Tracking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
5.4 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
5.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
6. COGNITIVE RADIO TESTBED . . . . . . . . . . . . . . . . . . . . . . . . . . 105
6.1 Problem Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
6.2 Technical Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
6.2.1 Channel Sensing and MAC Layer . . . . . . . . . . . . . . . . . . . . . . . 108
6.2.2 Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
6.2.3 Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
6.3 System Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
6.4 Implementation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
6.5 Spectrum Sensing Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
6.6 Test and Demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
6.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
7. FILTERBANK MULTICARRIER FOR
COGNITIVE LIVE WIRE TESTING . . . . . . . . . . . . . . . . . . . . . . 121
7.1 In-Band and Out-of-Band Interference . . . . . . . . . . . . . . . . . . . . . . . 122
7.2 Filterbank MCR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
7.2.1 Signal Generator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
viii
 7.2.1.1 An Analysis of the Raised-Cosine Window
Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
7.2.1.2 An Optimum Choice of the Window Function . . . . . . . . . 130
7.2.1.3 The Relationship Between Time-Domain
Windowing and Filterbank Synthesis . . . . . . . . . . . . . . . . 132
7.2.2 Analysis Filterbanks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
7.3 Cognitive Live Wire Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
7.3.1 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
8. CONCLUSIONS AND FUTURE RESEARCH . . . . . . . . . . . . . . 137
8.1 Outlook into Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
8.1.1 Mobile FBMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
8.1.2 MIMO FBMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
8.1.3 Pilot Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
8.1.4 Implementation of FBMC Communications . . . . . . . . . . . . . . . 142
8.1.5 Implementation of Filterbank Multicarrier Reflectometry . . . . . 142

APPENDICES
A. ACRONYMS AND ABBREVIATIONS . . . . . . . . . . . . . . . . . . . . 143

B. VARIABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146

REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

ix
 LIST OF FIGURES

1.1 General structure for filterbank system. . . . . . . . . . . . . . . . . . . . . . . . . 6

1.2 Transmit windowing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.3 The power spectral density of a subcarrier of an OFDM signal when
different choices of the roll-off parameter is used. . . . . . . . . . . . . . . . 9
1.4 Receiver windowing for OFDM signal. . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.5 General structure of filterbank sensing. . . . . . . . . . . . . . . . . . . . . . . . . 11
1.6 Comparison between CMT, FMT and SMT . . . . . . . . . . . . . . . . . . . . . 14
2.1 Structure of the continuous-time SMT system. . . . . . . . . . . . . . . . . . . 21
2.2 Baseband CMT Trans-multiplexer. . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.3 CMT modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.4 The ICI, ISI, and signal energy of SMT when f is 0.02 of carrier
spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.5 The ICI, ISI, and signal energy of SMT when f is 0.01 of carrier
spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.6 The ICI, ISI, and signal energy of CMT when f is 0.02 of carrier
spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
2.7 The ICI, ISI, and signal energy of CMT when f is 0.01 of carrier
spacing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
2.8 Signal to interference ratio in the presence of carrier offset for SMT
and CMT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.9 Distortion of SMT, CMT, and OFDM in the presence of carrier offset
when SNR=10 dB. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.10 Degradation of SMT, CMT, and OFDM in the presence of carrier
offset when SNR=30 dB. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2
2.11 The ICI, ISI, and signal energy of SMT when t0 is 64
T. . . . . . . . . . . . 40
1
2.12 The ICI, ISI, and signal energy of SMT when t0 is 64
T. . . . . . . . . . . . 40
1
2.13 The ICI, ISI, and signal energy of CMT when t0 is 64
T. . . . . . . . . . . . 41
2
2.14 The ICI, ISI, and signal energy of CMT when t0 is 64
T. . . . . . . . . . . . 41
2.15 Signal to interference ratio in the presence of timing offset for SMT
and CMT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
2.16 Distortion versus normalized timing offset for SNR = 10 dB. . . . . . . . 43
2.17 Distortion versus normalized timing offset for SNR = 30 dB. . . . . . . . 44
3.1 General structure of a synthesis filterbank . . . . . . . . . . . . . . . . . . . . . . 47
3.2 Polyphase implementation of a synthesis filterbank. . . . . . . . . . . . . . . 48
3.3 Simplified structure for the polyphase synthesis filterbank. . . . . . . . . . 49
3.4 Block diagram of a discrete time analysis filterbank. . . . . . . . . . . . . . . 49
3.5 Polyphase analysis filterbank. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
3.6 Simplified polyphase structure for analysis filterbanks. . . . . . . . . . . . . 51
3.7 A discrete time SMT transmitter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
3.8 Block diagram of type-I polyphase implementation of SMT transmitter. 53
3.9 A discrete time SMT receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
3.10 Block diagram of type-I polyphase implementation of SMT receiver. . 56
3.11 A combined discrete time SMT transmitter. . . . . . . . . . . . . . . . . . . . . 57
3.12 Block diagram of type-II polyphase implementation of SMT transmitter. 58
3.13 A combined discrete time SMT receiver. . . . . . . . . . . . . . . . . . . . . . . . 59
3.14 Block diagram of type-II polyphase implementation of SMT receiver. . 60
3.15 Block diagram of type-III polyphase implementation of SMT trans-
mitter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
3.16 Block diagram of type-III polyphase implementation of SMT receiver. 67
3.17 Block diagram of polyphase implementation of CMT transmitter. . . . . 70
3.18 Block diagram of polyphase implementation of CMT receiver. . . . . . . 71
4.1 Packet format in IEEE 802.11a. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
4.2 The proposed packet format for FBMC systems. . . . . . . . . . . . . . . . . . 79
4.3 Power spectral density of the proposed long preamble. . . . . . . . . . . . . 80
4.4 The signal analyzer for timing acquisition. . . . . . . . . . . . . . . . . . . . . . . 84
4.5 Residual CFO of the proposed long preamble-based carrier acquisition
methods. The vertical axis shows the MSE of residual CFO normal-
ized to the subcarrier spacing of the payload. The horizontal axis
indicates the SNR during the payload part of the packet. . . . . . . . . . . 88
4.6 SIR comparison of (4.23) and (4.24). The histogram are based on
testing over 10000 randomly generated channels. . . . . . . . . . . . . . . . . . 89
5.1 A PLL equipped FBMC receiver. The input y[n] is the demodulated
received signal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
5.2 A PLL equipped SMT receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
xi
5.3 A PLL equipped CMT receiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
5.4 Performance of the PLL for carrier tracking in a CMT receiver. The
top figure shows the phase error, [n], at the loop filter input. The
lower figure shows the phase jitter, [n], of the input signal to the
analysis filterbank. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
5.5 Performance of the PLL for carrier tracking in an SMT receiver. The
top figure shows the phase error, [n], at the loop filter input. The
lower figure shows the phase jitter, [n], of the input signal to the
analysis filterbank. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
5.6 Mean square error at the output of an SMT receiver, averaged over
all subcarriers, with and without a timing tracking loop. . . . . . . . . . . . 102
5.7 Comparison of the MSE of CMT and SMT in tracking mode. . . . . . . . 103
5.8 Comparison of the MSE of CMT for three cases: CMT1 (KP = 0.1208,
KI = 0.0068), CMT2 (KP = 0.0837 and KI = 0.001), CMT3 (KP =
0.0193 and KI = 0.0001), and SMT in tracking mode. . . . . . . . . . . . . . 104
6.1 Progressive simulation based design (PSBD) of a single cognitive mo-
dem. The implementation starts from the sensing component and
progressively more of the simulated models (left dotted box) are im-
plemented (right dotted box). The rectangles are DEVS models sim-
ulated, and parallelograms are implemented components on SDR . . . . 109
6.2 Transmitter data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
6.3 Receiver data flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
6.4 The testbed setup for examining the performance of filterbank sensing.118
6.5 Power spectral density (PSD) measurements by FFT, FFT with han-
ning window, and filterbank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
7.1 An example of the test signal according to [1]. . . . . . . . . . . . . . . . . . . . 124
7.2 General structure of a filterbank MCR system . . . . . . . . . . . . . . . . . . 126
7.3 An example of the magnitude response of the window function w(t)
and its factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
7.4 Magnitude responses of H(f ) according to a raised-cosine design and
prolate design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
7.5 An example of the test signal after applying w(t). The window
function w(t) is based on a prolate design. . . . . . . . . . . . . . . . . . . . . . . 132
7.6 Magnitude response of the analysis prototype filter. . . . . . . . . . . . . . . 135

xii
 ACKNOWLEDGMENTS

Foremost, I want to thank my advisor, Dr. Behrouz Farhang-Boroujeny, for

his guidance and patience. I could not finish this endeavor without his support.
Thanks to Dr. Farhang, I learned not only my field of research but also various
other subjects. I would like to acknowledge help and support of Dr. Cynthia
Furse, Dr. Rong-rong Chen, Dr. Keneth Stevens and Dr. Fred Noo, members
of my thesis committee. I thank Dr. Roland Kempter and Ehsan Azarnasab for
their help and useful discussions on different areas of wireless communications and
embedded programming. My brother, Pooyan, your support and your presence in
Salt Lake City in the last two years of my PhD was extremely helpful. I would also
like to express my thanks and gratitude to my great friends, Dr. Farhad Mahdavi,
Sussan Saghei, Marieh Nasoori, Dr. Hossein Mirfakharai, Mehran Tahmasebi, and
Farideh Bahremanpour for helping me through the most difficult times.
My parents, Masoud and Mahin, I would have not achieved this if you had not
set me on the path of learning and hard work.
It should be mentioned that parts of this dissertation have been previously
published in IEEE sensor journal, proceedings of 2005, 2006, and 2007 software
defined radio technical conference, and proceeding of 2008 IEEE dynamic spectrum
access conference. I acknowledge my funding sources, National Science Foundation
and University of Utah Technology Commercialization Office. I would also like
to thank the software and hardware support from Software Defined Radio Forum,
Lyrtech, Texas Instruments, Xilinx, Mathworks, Greenhills, Prismtech, Zeligsoft,
and Synplicity.
 CHAPTER 1

INTRODUCTION

The demand for ubiquitous wireless services has been on rise in the past and
is expected to remain the same in the future. As a result, the vast majority of
the available spectral resources have already been licensed. In the United States,
government regulatory agencies have allocated different blocks of spectrum from 9
kHz to 300 GHz for various applications. Hence, it appears that the regulated radio
spectrum has been fully occupied and new applications will not have access to the
radio spectrum. However, spectrum bands need to be made available to the public
even if they are already allocated or licensed. It has been noted that the static
frequency allocations have resulted in inefficient usage of the spectrum resources.
For example, measurements have shown that that the actual spectrum utilization
in the 3-4 GHz frequency band is 0.5% and 0.3% in the 4-5 GHz [2]. In fact, most
of the commercial wireless systems transmit intermittently and they need variable
bandwidth over time.
The advancement of digital signal processors (DSPs), general purpose processors
(GPPs) and field-programmable gate arrays (FPGAs) has enabled us to build
reconfigurable radios. These radios can change their configuration to meet the
requirements of communication network they are operating on. This concept is
the foundation of software defined radios where the radio functionality is mostly
accomplished by software programming. In software defined radios (SDR), once
the signal is digitized, the radio functions are implemented using software-driven
components. Hence, the SDR technology has enabled us to build radios that can
transmit over different frequency bands and change their modulation schemes and
pulse shapes based on policies defined in software. Consequently, cognitive radio
 2

technology has been proposed where the cognitive radio can share the spectrum
with the incumbent licensed users. In other words, cognitive radio technology
enables us to have secondary (i.e., unlicensed) users that are allowed to transmit
and receive data over portions of the spectra when primary (i.e., licensed) users
are inactive. This is done in a way that the secondary users (SUs) are invisible
to the primary users (PUs). In such a setting, PUs are ordinary terminals within
their base-station centric network or in direct point-to-point communications. PUs
thus do not need to possess much intelligence beyond the ability to communicate
with their peers in their networks. The SUs, on the other hand, should have
the intelligence of sensing the spectrum and using the available resources when
they need them. At the same time, the SUs need to give up the spectrum when
a PU begins transmission. This emerging technology is being investigated and
used by different research organizations and government agencies. The DARPA
next generation program (XG) [3] and wireless network after next (WNAN) [4]
programs have been studying the applicability of dynamic frequency-selective radios
based on cognitive radio concepts. Agile radios dynamically adapt to the channel
environment. These radios assess their environment and the spectrum policies and
regulations and capitalize on the available spectrum in their environment.
The enhancements in communication technology as well as the new requirements
for the public safety agencies indicate that narrow-band real-time voice communi-
cations might not be sufficient for mission critical applications. The International
Telecommunication Union (ITU) and National Emergency Number Association
(NENA) are developing the multimedia location based communication requirements
for inclusion in the next generation of public safety architectures [5]. Furthermore,
in disaster scenarios such as earthquake or hurricane the communication infras-
tructure might be damaged and therefore ad-hoc cognitive wireless communication
becomes more critical [6]. Therefore building radios which can dynamically adapt
to the environment and transmit with high data rates can save lives and reduce the
risks involved in the missions of public safety agencies [5].
The advancements in SDR technology, and the under-utilization of spectrum in
 3

TV bands resulted in a decision by Federal Communications Commission (FCC)

to open the TV spectrum band for cognitive use in 2004 [7]. IEEE 802.22 working
group [7] is currently working on constructing Wireless Regional Area Networks
(WRAN) which utilize the white spaces in the allocated TV spectrum.
The 802.22 radio needs to operate on TV bands without interfering with the TV
signals. Therefore the main challenge in the development of the first commercial
cognitive radios is to ensure that the SUs are invisible to the PUs. To accomplish
this, the SUs need to sense the spectrum, and this involves a spectral analysis.
When the modulation scheme of the licensed signal is known, detection of the PUs
can be performed through feature detection. This is the case in IEEE 802.22,
which is currently being designed to operate in the TV bands. However, in the
general case where the signal features might not be available, spectral analysis
mainly relies on energy detection. Therefore, it is important that the spectrum
sensing of SUs features high spectral dynamic range and frequency resolution. The
other challenge in design of cognitive radios is building a radio that can efficiently
access the available spectrum holes. The radio should be able to dynamically and
effectively change its pulse-shape and fill in the spectrum holes.
In the rest of this chapter we first talk about multicarrier communications and
its applications to the cognitive radios. Then we present the orthogonal frequency-
division multiplexing and fast fourier transform (OFDM/FFT) system and study its
performance in cognitive radio applications. Filterbank sensing and its performance
are presented in Section 1.3. In Section 1.4, staggered modulated multitone (SMT),
cosine-modulated multitone (CMT) and filtered multitone (FMT) are introduced
as three filterbank communication methodologies. Finally, the contributions and
organization of this dissertation are described.

1.1 Multicarrier Communications

for Cognitive Radios
Multicarrier communication technology has been suggested as a suitable candi-
date to utilize the white spaces in the spectrum [8]. OFDM was the first multicarrier
technique proposed for CRs. The rationale is that any cognitive radio needs to
 4

sense the spectrum, and this involves some sort of spectral analysis. Since the fast
Fourier transform (FFT) can be used for spectral analysis and at the same time
act as the demodulator of an OFDM signal, OFDM is a suitable candidate for
multicarrier-based cognitive radio systems. However, a number of shortcomings of
OFDM in the application of cognitive radio have been noted in [9] and solutions
to them have been proposed. To elaborate, the source of the problems with the
OFDM solution is the large side-lobes of the frequency response of the filters
that characterize the channels associated with subcarriers in an OFDM system.
Therefore, there is significant interference among the carriers of different SUs as
well as between SUs and PUs in the wireless channel.
If the spectrum sensor lacks a sufficiently high spectral dynamic range, SUs
may not be able to detect the low power PUs and they may interfere with them.
Moreover, if the resolution of the spectrum sensing is low, the radio will not be
able to best harness the wireless resources. It has been shown that FFT as part
of an OFDM data transmission system is not able to provide a sufficiently high
spectral dynamic range for channel sensing. On the other hand, as a channel
sensing tool, filterbank-based spectrum analyzer can be applied to cognitive radios
and its performance found to be close to that of the Thomsons multitaper method
(MTM) [10], which has been proposed as the best candidate for cognitive radios [11].
A multicarrier transceiver is required to feature two major properties in a
cognitive radio system where the SU dynamically fills the spectrum holes. First,
the cognitive radio transmitter must confine the spectral content of the transmitter
within the selected band(s), i.e., spectrum holes. In other words, its out-of-band
interference must be minimized. Second, the receiver should be able to avoid the
in-band interference from the other signals on the channel [12]. In other words, in
order to increase bandwidth efficiency, receivers need to have acceptable out-of-band
rejection capabilities. An OFDM signal has large side lobes and therefore, does
not satisfy the first requirement. Moreover, OFDM/FFT does not satisfy the
FCCs envisioned out-of-band rejection requirements [13]. On the other hand,
filterbank multicarrier can overcome the spectral leakage problems of OFDM at the
 5

transmitter side and therefore lead to less interference from SUs to PUs and other
SUs. Filterbank receiver is also capable of providing high out-of-band attenuation.
Therefore, filterbank multicarrier has been suggested as an alternative to OFDM.
Filterbank multicarrier transmitter and receiver are implemented using a synthesis
filterbank at the transmitter and analysis filterbank at the reciver [12]. A block
diagram of a transmitter and a receiver filterbank multicarrier is presented in
Fig. 1.1.
Three classes of filterbank multicarrier (FBMC) have been studied in the lit-
erature. Interestingly, the first multicarrier methods that were developed, prior
to OFDM, were filterbank-based. The first proposal came from Chang in the
1960s, [14], who presented the conditions required for signaling a parallel set of
pulse amplitude modulated (PAM) symbol sequences through a bank of overlapping
vestigial side-band (VSB) modulated filters. A year later, Saltzberg extended the
idea and showed how the Changs method could be modified for transmission of
quadrature amplitude modulated (QAM) symbols [15]. Saltzberg showed that
a perfect reconstruction FBMC system can be implemented using a half-symbol
space delay between the in-phase and the quadrature components of QAM symbols
and by proper transmit and receive pulse-shapes in a multichannel QAM system
while having the maximum spectral efficiency. In 1980s, Hirosaki progressed more
on FBMC and proposed an efficient polyphase implementation for the Saltzberg
method [16][18]. The method proposed by Saltzberg is referred to as OFDM based
on offset QAM or OFDM-OQAM. The offset comes from the half symbol shift
between the in-phase and quadrature of each QAM symbol with respect to each
other. We refer to this method as staggered modulated multitone (SMT), where
the word staggered refers to the fact that the in-phase and quadrature components
in each QAM symbols are time staggered.
The pioneering work of Chang [14] has received much less (direct) attention
than SMT. Nevertheless, the cosine modulated filterbanks that have been widely
studied within the signal processing community [19] are nothing but a reinvention
of Changs filterbank, formulated in discrete time. The use of cosine modulated
 6

ej2f0 n
s0 [k]
N hT [n]
j2f1 n
e
s1 [k]
N hT [n] ! Re{} Channel

ej2fN 1 n ej2fc n
sN 1 [k]
N hT [n]
ej2f0 n
s0 [k]
hR [n] N
ej2f1 n
s1 [k]
hR [n] N
Channel

ej2fc n ej2fN 1 n
sN 1 [k]
hR [n] N

Figure 1.1: General structure for filterbank system.

filterbanks for data transmission was widely studied in the 1990s. The advance-
ments in digital subscriber line (DSL) technology led to more work on two classes
of FBMC communication systems, namely, filtered multitone (FMT) and discrete
wavelet multitone (DWMT) modulation [20]. More recently, in [21] it has been
shown that DWMT is essentially using cosine-modulated filterbanks. Therefore,
DWMT was renamed to cosine-modulated multitone (CMT). It is also known that
CMT is using vestigial sideband (VSB) modulation to transmit PAM symbols [21].
FMT is another multicarrier communication scheme which has been proposed
for DSL applications [22]. In FMT, the adjacent subcarriers do not overlap. There-
 7

fore, FMT is not bandwidth efficient when it is compared with SMT and CMT.

1.2 OFDM/FFT
OFDM has a number of problems for cognitive radio applications [8]. Herein,
we discuss some shortcomings of OFDM in cognitive radio networks. Assuming
that the data symbols are independent, the power spectral density (PSD) of an
OFDM signal can be described as a summation of PSDs of each subcarrier
X
( f ) = i (f ) (1.1)
i

where i (f ), the PSD of the i the subcarrier, is given by

i (f ) = Ksinc2 ((f fi )TS ). (1.2)

In (1.2), K is the signal level, TS is the period of an OFDM symbol which is the
summation of one FFT block and the guard interval, and fi is the center frequency
of the ith subcarrier.
The sidelobes of the sinc pulse shape is relatively large. Therefore, the out-
of-band energy generated by an OFDM signal is significant. In a cognitive radio
setting, where it is critical to have minimal interference with the PUs, the side-lobes
may cause an unacceptable level of interference to the PUs. The sinc shape of the
subcarrier PSD is a direct result of the abrupt transition among successive OFDM
symbols. The sinc pulse shape can be avoided if we use soft transitions among
successive symbols. Cyclic extension of each OFDM symbol from TS to (1 + 2)TS
and windowing by a raised cosine shape can provide us the soft transition. Fig. 1.2
shows how the successive extended OFDM symbols are overlapped. This scheme
increases the effective duration of each OFDM symbol from TS to (1 + )TS , which
1
results in bandwidth loss of +1
.
Weiss et al. investigated different choices of , and concluded that as large as
1 is needed to obtain a reasonable suppression of the out-of-band energy [8]. Fig.
1.3 depicts an example of the PSD for various choices of . This clearly shows the
large side-lobes of the rectangular window ( = 0) and how the side-lobes decrease
in magnitude as increases.
 8

TS TS TS

Figure 1.2: Transmit windowing.

One point worth noting is that even though the raised cosine window reduces
the side-lobes of the subcarrier spectra, the side-lobes close to the main lobe are
still large (Fig. 1.3). This point is noted in [8] where a subcarrier deactivation
mechanism is used to avoid subcarrier bands near the active PU band. This
mechanism results in a further loss in bandwidth efficiency. Brandes et al. [23], [24]
propose a method for side-lobes reduction by using non-zero value deactivated
subcarriers. It has been reported in [24] that side-lobes at around 60 dB can be
achieved for = 0.2. Unfortunately, the subcarrier cancelation procedure involves
a constraint optimization for each OFDM symbol, which is a computationally
expensive task. Using filterbank solution, on the other hand, lower side-lobes
(90 dB) can be achieved at virtually no additional computational cost [13].
As was mentioned at the beginning of this chapter, the out of band rejection
capability of a cognitive radio receiver is important to minimize the interference
received by a SU from PUs and other SUs. This is a major problem in an OFDM
receiver if proper considerations are not taken into account [8]. The solution to the
potentially weak out-of-band rejection has been studied in the DSL literature [25].
It is shown that this problem can be solved by applying a window to the received
signal prior to passing it to the FFT block for demodulation. Fig. 1.4 presents the
method of receiver windowing. If the window is rectangular, one picks N samples
of a received OFDM symbol, during the time T . These N samples are then passed
to an N -point FFT for demodulation. Using windowing at the receiver, (1 + )N
samples are picked from the OFDM symbol and the window is applied to them.
A Fourier transform is then applied to (1 + )N time-domain samples and the
 9

0
=0
10 =0.25
20 =0.5
=1
30

40

i(f), dB
50

60

70

80

90

100
0 2 4 6 8 10
fT

Figure 1.3: The power spectral density of a subcarrier of an OFDM signal when
different choices of the roll-off parameter is used.

output is decimated to obtain N output samples. This can be realized by aliasing

the time-domain samples and applying an N -point FFT to the aliased samples.
The arrows in Fig. 1.4 show that the samples in the shaded areas are added to the
windowed samples at the two corners of the time period T . While windowing at
the receiver provides us with better out-of-band rejection, it requires the addition
of cyclic prefix and suffix samples which results in reduction of the bandwidth
efficiency of OFDM.
Therefore, OFDM can be applied to cognitive radios only if windowing is per-
formed at both transmitter and receiver sides. In addition, deactivation of subcar-
riers next to other PUs or SUs or applying side-lobe canceler subcarriers is needed.
All of the interference suppression methods come at the cost of loss in bandwidth
efficiency.

1.3 Filterbank Spectrum Sensing

Most practical sensing methods are based on energy detection, i.e., if the re-
ceived energy for a given carrier is greater than a defined threshold, that carrier is
assumed to be busy. In order to reliably detect available spectrum holes, the channel
 10

T T
2 2
(1 + )TS

Figure 1.4: Receiver windowing for OFDM signal.

sensing mechanism needs to have a high spectral dynamic range. While FFT has
been suggested as one channel sensing method, note that it suffers from a number of
shortcomings that originate from the large side lobes of the frequency response of the
filters that characterize each subcarrier. These sidelobes produce spectrum leakage
from neighboring subcarriers, resulting in significant inaccuracy and low dynamic
range. Thus, with the FFT, SUs are less spectrum agile and cannot detect low
power users. This might not be an important issue in systems where the channel
access is performed in Time Division Duplex (TDD) and Time Division Multiple
Access (TDMA). However, for the systems that incorporate frequency division
multiple access and frequency division duplex (FDMA/FDD), the limitations of
FFT are serious. Hence, in our solution [12], we propose using filterbanks as the
sensing method. By using a filterbank sensing system, the side lobes of the filters
associated with each carrier can be made arbitrarily small by adjusting filter length
and design. As a result, filters are no longer the limiting factor in achieving high
spectral dynamic range. The signal power of the output of the filterbank is then
used to estimate the signal spectrum. A block diagram of a filterbank spectrum
sensor is presented in Fig. 1.5 where h(t) is the prototype filter used for spectrum
sensing, fc + f0 , fc + f1 ,...,fc + fN 1 are the center frequency of the spectrum bands
we are sensing.
 11

ej2f0 t

h(t) Energy Detector

ej2f1 t

h(t) Energy Detector

Channel

ej2fc n ej2fN 1 t

h(t) Energy Detector

Figure 1.5: General structure of filterbank sensing.

Haykin showed that the multitapper method (MTM) is a near optimal channel
sensing method [11]. Unfortunately MTM comes at the expense of high computa-
tional complexity. In [12] and [26], it was shown that a filterbank of prolate filters
can be used for sensing with virtually ideal performance. In the filterbank sensing
method, a prototype filter is designed and then modulated to sense each subcarrier.
Implementation can be performed efficiently through a polyphase structure which
is described in Chapter 3.
It is worth noting that filterbank sensing can be applied to other applications
when we need to detect the presence of a signal in a medium. For example, in
wiring applications, test signal should be transmitted on unoccupied portions of the
spectrum, so that it does not interfere with the live signal on the wire. Therefore,
spectrum sensing can be used to detect the presence of the live signal on the wire
and to find the spectrum holes which can be used to transmit a test signal [27].
Moreover, one can use the filterbank to generate test pulse shapes that have low
out-of-band interference to transmit on the spectrum holes on the wire.
 12

1.4 Filterbank Communications

In this section, we give a brief overview of the three filterbank multicarrier
communication schemes in the literature: FMT, CMT and SMT. A description of
these methods and their applicability to cognitive radios is presented in [12].

1.4.1 Staggered Modulated Multitone, SMT

Offset quadrature amplitude modulation (OQAM) is a variation of quadrature
amplitude modulation (QAM). Saltzberg showed that by choosing a root-Nyquist
filter with symmetric impulse response for pulse-shaping at the transmitter and
using the same for match filtering at the receiver in a multichannel QAM system,
and by introducing a half symbol space delay between the in-phase and quadrature
components of QAM symbols, it is possible to achieve baud-rate spacing between
adjacent subcarrier channels and still recover the information symbols, free of
intersymbol interference (ISI) and intercarrier interference (ICI). This method has
an advantage over the conventional orthogonal frequency division multiplexing
(OFDM). Unlike OFDM, OQAM multicarrier does not need any cyclic prefix sam-
ples for resolving ISI and ICI. OQAM multicarrier, thus, is more bandwidth efficient
than the conventional OFDM. As noted earlier, in this dissertation we use the
terminology Staggered Modulation Multitone (SMT) to refer to FBMC system
that uses OQAM modulation.

1.4.2 Cosine Modulated Multitone, CMT

In a CMT multicarrier system, parallel streams of real data symbols are trans-
mitted using a set of vestigial side-band (VSB) subcarrier channels. Each carrier
conveys a stream of pulse amplitude modulated (PAM) symbols. This scheme
also has the maximum possible bandwidth efficiency. In a CMT system, in order
to transmit N complex symbols on each multicarrier symbol, a system with 2N
subcarrier is implemented where each carrier conveys a real symbol, while, in an
SMT system the transceiver would have N subcarriers that convey N complex
symbols. If SMT symbols are transmitted at the rate of 1/T complex symbols
on each subcarrier with a bandwidth of 1/T , an equivalent CMT system with the
 13

same data rate, would have a rate of 1/T real symbols on each subcarrier with the
bandwidth of 1/2T . Therefore, the same bandwidth is divided into twice as many
subcarriers in case of CMT to achieve the same data rate.

1.4.3 Filtered Multitone, FMT

In FMT, subcarriers are arranged such that adjacent subbands do not overlap.
As such, FMT may be seen as a multicarrier communication technique that follows
the principle of the legacy frequency division multiplexing (FDM) methodology
to separate a high-rate data stream into a number of disjoint frequency bands.
However, we note that in order to keep the subcarrier bands nonoverlapping, excess
bandwidth has to be reserved to allow for a transition band for each subcarrier.
Hence, there is some bandwidth loss due to the guardbands in FMT communication
systems.

1.4.4 A Comparison of FMT, SMT and CMT

In SMT, each subcarrier band is double side-band modulated and carries a
sequence of QAM (i.e., complex-valued) symbols. Opposed to this, in CMT,
subcarrier modulation is vestigial sideband and the subcarriers carry a sequence of
PAM (i.e., real-valued) symbols. Therefore, assuming identical symbol duration and
number of subcarriers, the CMT signal occupies half the bandwidth of SMT, and
of course, only providing half of its data rate. FMT, on the other hand, introduces
guard bands between adjacent subcarriers which are complex modulated. The
width of the guardbands depends on the specific system implementation. Therefore,
for an identical number of subcarriers and identical symbol timing, FMT requires
more bandwidth than SMT [12]. This relationship is shown in Figure. 1.6.

1.5 Contribution of the Dissertation

This dissertation is focused on applications of filterbank multicarrier techniques
for cognitive systems. Filterbank multicarrier is applied to cognitive radios for data
communications and spectrum sensing. The implementation issues for filterbank
techniques are investigated. Data aided methods are proposed for timing and carrier
 14

2
R=
T

(a) FMT
f

2 NR(1+a), a >0
R=
T

(b ) O F DM - OQ A M

f
NR

R/2=
T
( c) C MT

NR/2

Figure 1.6: Comparison between CMT, FMT and SMT

recovery in SMT and CMT communication systems which were proposed for other
applications as well. SMT has been a candidate for physical layer of IEEE 802.11
and Third Generation Partnership Project (3GPP) LTE (Long Term Evolution).
Furthermore, a cognitive system is designed for fault detection on the live wires
based on filterbank multicarrier spectrum sensing and test signal generation.
The contribution of this dissertation are as follows:

We study the polyphase implementation structures for SMT and CMT. We

show that some of the polyphase structures which are proposed for SMT in
the literature are not applicable to frequency selective channels.

Sensitivity of SMT and CMT communication systems with respect to timing

phase and carrier offset is investigated. We show that when carrier and timing
offset are small, it is possible to use decision directed methods.
 15

Efficient polyphase structure for FBMC are investigated for implementation

in wireless channels. A novel formulation for a family of polyphase structures
which was used for SMT is derived. Using our derivation, it is shown that
some of the SMT analysis structures in [28] and [29] are not applicable to
frequency selective channels.

Much of the recent CFO estimation literature attempts to develop blind CFO
estimators based on correlation properties of SMT signal. These methods
need a large window of signal to detect the carrier and timing offset and
are complex to implement. We focus on design of a preamble for packetized
communication system which may be used in practical systems. We present
a preamble structure which can be used in a packet based communication
system to detect the packet, adjust the AGC gain, and perform carrier acqui-
sition, timing recovery, and channel estimation.

While preamble is used for initial timing and carrier offset estimation, without
any carrier tracking loop, the carrier and timing phase may drift over the
length of the payload. The necessity of carrier and timing offset tracking
arises especially due to the use of long packets in data communication systems
such as 802.11n. We propose decision directed timing and carrier tracking
mechanisms for SMT and CMT. These tracking methods may be used to
track the residual offsets after the initial acquisitions are done.

An implementation of a cognitive radio modem is done on a software defined

radio platform. The cognitive radios use the filterbank sensing technique
which provides us with a reliable spectrum sensor. Therefore, we are able to
show that the cognitive radio can detect the presence of low power as well
as high power users and transmit in white space. Moreover, the radio can
move to an unoccupied part of a band when a PU starts transmitting on the
spectrum band that it is currently using.
 16

A cognitive live wire testing system is developed based on filterbank tech-

niques. Analysis filterbank are used for spectrum sensing on a live wire and
find spectrum holes to transmit a test signal. Using synthesis filterbanks, test
pulse shapes are generated which have very low out-of-band interference and
thus do not interfere with live signal. The pulse shape is transmitted on the
wire and the reflections are passed through the analysis filterbank; the output
of the analysis filterbank is then used to detect faults on the wire.

1.6 Organization of the Dissertation

Filterbank communication methods are presented in Chapter 2. SMT and
CMT methods are discussed in details and the orthogonality conditions are derived.
Synchronization in multicarrier systems is more essential than single carrier systems
due to loss of orthogonality among subcarrier when carrier and timing offset exists.
Chapter 2 also discusses the sensitivity of SMT and CMT to carrier and timing
offset. It is shown in the simulation results that SMT and CMT outperform OFDM
in terms of CFO immunity especially when high SNRs are required. This chapter
provides the basic framework for Chapters 3, 4, and 5 where implementation and
synchronization issues for SMT and CMT are discussed.
Efficient techniques for implementation of filterbanks are presented in Chapter
3. Generic structures for polyphase implementation of synthesis and analysis filter-
banks are discussed. The generic polyphase structures are then used to investigate
three types of polyphase implementation that has been proposed for SMT in the
literature. A novel formulation for the third polyphase structure of SMT is pre-
sented. The new derivation shows that third polyphase structure for SMT is not
suitable for frequency selective channels. Polyphase structure for CMT systems is
also discussed in Chapter 3.
Packetized data are vastly used in wireless data communications. Preamble is
used at the beginning of a packet to perform automatic gain control (AGC), timing
and carrier offset synchronization, and channel estimation. In Chapter 4, we present
a novel preamble design for FBMC systems which can be used to perform all the
 17

aforementioned tasks. The proposed preamble in Chapter 4 is designed based on a

structure similar to IEEE 802.11a and g, and IEEE 802.11n training which are based
for OFDM. Our preamble starts with a training field which is called short preamble.
The short preamble is followed by a second training which is named long preamble.
Short preamble is used for AGC adjustment and course carrier acquisition. A long
preamble is appended to the packet which is used by the receiver to perform a more
accurate tuning of the carrier frequency, timing phase acquisition, and frequency
domain channel estimation.
A literature survey on CFO estimation algorithm for SMT based on conjugate
and the unconjugated cyclostationary properties of the received signal is presented
in Chapter 5. It is noted that the derived estimators in the literature are computa-
tionally expensive and require a large number of SMT symbols and in some cases,
these methods are designed for a nondispersive channel. In Chapter 5, we propose
timing and carrier tracking algorithms for SMT and CMT which are suitable for
implementation. The proposed timing and carrier tracking methods are decision
directed. A PLL is designed to avoid any built up phase error. Timing phase is
tracked by minimizing a cost function. The performance of the proposed methods
are studied through computer simulations.
Filterbank spectrum sensing is implemented as part of a cognitive radio re-
alization which is discussed in Chapter 6. Lyrtechs Small Form Factor Software
Defined Radio was used to implement a cognitive radio solution. In Chapter 6,
implementation results are presented which demonstrate that filterbank sensing has
high spectral dynamic range and thus can reliably detect the presence of primary
and secondary users in the band. The radio can reliably find white spaces in the
spectrum and transmit over them. Furthermore, it is shown that the radio can
move to an unoccupied part of the spectrum when an interferer start transmitting
on the band that it is currently using. This work has received recognition with
the best paper award in the 2007 Software Defined Radio Technical Conference
and Exhibitions. The cognitive radio network was successfully demonstrated in the
2007 SDR Exhibitions and 2008 IEEE DySpan Demonstration track where we were
 18

able to show that our cognitive radios can coexist with other active primary and
cognitive devices.
Multicarrier reflectometry (MCR) for locating faults on live wires has recently
been proposed. Chapter 7 studies the use of filterbanks for generation/synthesis of
MCR test signals and also for signal analysis for fault identification and location.
We note that the test signals have to be confined to the portion(s) of the frequency
band that is (are) free of signals already on the wires in order to avoid interfering
with them. Moreover, for effective analysis of the reflected waves, optimal filters
that separate the test signal tones and also minimize leakage from the existing
signals on the wires should be designed. We discuss the criteria necessary to design
effective MCR systems and develop the relevant filterbank design procedures. In
Chapter 7, the novel idea of cognitive live wire testing is presented. A cognitive
live wire tester measures the live wire signal activities and decides which part of
the spectrum should be used for testing.
Finally, Chapter 8 presents the concluding remarks and future research. Various
areas of research about FBMC are presented in Chapter 8. We discuss that FBMC
can be applied to different communication applications and therefore research work
is required in many areas for FBMC systems to function in different usage scenarios.
 CHAPTER 2

A REVIEW ON FILTERBANK MULTICARRIER

COMMUNICATION SYSTEMS

Wireless channels are characterized by multipath fading. As a result, inter-

symbol interference (ISI) happens in wireless channels. ISI is often mitigated
through channel equalizers. However, channel equalizers are complex to implement
and difficult to adapt in practice when one has to deal with fast-varying wireless
channels. Furthermore, an equalizer enhances the noise over the portions of the
frequency band where the channel gain is small. Hence, significant degradation
might happen as a result of noise enhancement.
The spread of ISI across data symbols is proportional to the delay spread of the
channel and is inversely proportional to the symbol period. Therefore, by increasing
the symbol period equivalent to decreasing the data rate, one can decrease the ISI.
In multicarrier communication systems, a data stream is multiplexed into N parallel
substreams each of which has a rate N times slower. Therefore, the effect of ISI is
reduced proportional to N . The parallel streams are modulated at N subcarriers
and added together at the transmitter. The receiver separates the N streams of
symbols and demultiplexes them to the original higher rate stream of symbols.
OFDM technique is the most used multicarrier technique. It is implemented
over a variety of communication products. FBMC are alternative methods for
OFDM systems. OFDM systems use guard interval (the cyclic prefix - CP) to
combat channel distortion. FBMC, on the other hand, mitigates the problem of
channel distortion through filtering techniques. Using proper filter design, adjacent
subcarriers are the only ones that overlap, and thus there is almost no interference
from nonadjacent subcarriers. As a result, FBMC techniques are better suited
 20

for system with high mobility and high doppler effect where orthogonality among
subcarriers might be destroyed and ICI mounts to considerable distortion in OFDM
signals. Furthermore, as discussed in Chapter 1, for asynchronous multicarrier
communications in multiuser systems and cognitive radio networks, big sidelobes
of OFDM subcarriers result in interference and therefore loss of performance. There
would be up to 50% loss in bandwidth efficiency to suppress the sidelobes [9].
It is also interesting to note that the researchers who have studied filterbanks
have invented a class of filterbanks which are called modified DFT (MDFT) fil-
terbank, [30]. Careful study of MDFT reveals that this is in fact a reinvention
of Saltzbergs filterbank (in discrete-time) with emphasis on compression/coding.
The literature on MDFT begins with the pioneering works of Fliege, [31], and later
has been extended by others, e.g., [32] and [33].
Here, we present an overview fn filterbank communication techniques: SMT,
CMT and FMT. We focus more on SMT and CMT where the bandwidth efficiency
is maximum. The polyphase implementation of SMT and CMT are discussed.
Formulation of FBMC sensitivity to timing and carrier offset is presented in Section
3.

2.1 Filterbank Multicarrier Communications

In this section, we give an overview of the three filterbank multicarrier commu-
nication schemes in the literature: FMT, CMT and SMT. We derive the received
signal of CMT and SMT techniques and present the filter conditions satisfying near
perfect reconstruction.

2.1.1 Staggered Modulated Multitone, SMT

In an SMT transmission system, shown in Fig. 2.1, N parallel complex data
streams are passed to N subcarrier transmission filters. The in-phase and quadra-
ture components are then staggered in time by half a symbol period, T /2. The
outputs of these filters are modulated using N subcarrier modulators whose carrier
frequencies are 1/T -spaced apart.
Suppose that we have complex input symbols according to
 21

Transmitter
sI0 (t) h(t)

!
jsQ
0 (t)
h(t T /2)
ej ( T t+ 2 )
2
sI1 (t)
h(t) !

!

jsQ
1 (t)
h(t T /2) !{} Channel

ej2fc t
j(N 1)( 2
T t+ 2 )

e
sIM 1 (t)
h(t) !
!
jsQ
N 1 (t)
h(t T /2)

Receiver
sI0 (n)
!{} h(t)
sQ
0 (n)
!{} h(t + T /2)

ej ( T t+ 2 )
2
sI1 (n)
!{} h(t)

Channel
!
sQ
h(t + T /2) 1 (n)
!{}

ej2fc t
ej(N1)( T t+ 2 )
2

sIN 1 (n)
! !{} h(t)

sQ
N 1 (n)
!{} h(t + T /2)

Figure 2.1: Structure of the continuous-time SMT system.

sk [n] = sIk [n] + jsQ

k [n] (2.1)

where sIk [n] and sQ

k [n] are the real and imaginary parts of the nth symbol of the

kth subcarrier, respectively. Let us define sIk (t) and sQ

k (t) as
X
sIk (t) = sIk [n](t nT ) (2.2)
n
X
sQ
k (t) = k [n](t nT ).
sQ (2.3)
n

where (t) is the Dirac delta function. The complex-valued baseband SMT modu-
lated signal is defined as
 22

X
N 1
x(t) = xm (t) (2.4)
m=0

where
X


jm( 2t + )
xm (t) = sIm [l]h(t lT ) + jsQ
m [l]h(t lT T /2) e
T 2 . (2.5)
l=

Analogously, assuming an ideal channel, the output of the receiver, sk [n], consists
of the real and imaginary components sIk [n] and sQ
k [n],

sk [n] = sIk [n] + jsQ

k [n]. (2.6)

In (2.6), sIk [n] is found as the real part of the signal at the output of the corre-
sponding matched filter with response h(t) and expressed as

sIk [n] = <[h(t) ? yk (t) |t=nT ] (2.7)

Z 
= < yk ( )h((nT ))d
Z


= < h( nT )yk ( )d

where ? denotes convolution, and

2
+ 2 )
yk ( ) = ejk( T x( ) (2.8)

is the demodulated signal before matched filtering. Substituting (2.4) and (2.8) in
(2.8), we obtain
Z X
N 1 
jk( 2 + 2 )
sIk [n] = < h( nT ) xm ( )e T d . (2.9)
m=0

Furthermore, substituting (2.5) in (2.9), we get

X X
N 1 Z  
sIk [n] = < h( nT ) sIm [l]h( lT ) (2.10)
l= m=0
 
j(mk)( 2
)
+ jsQ
m [l]h( lT T /2) e T
+ 2 d.
 23

This can be further rearranged as

X X
N 1 Z    
2
sIk [n] = sm [l]h( nT )h( lT ) cos (m k)
I
+
l= m=0 T 2
   
2
sQm [l]h( nT )h( lT T /2) sin (m k) + d.
T 2
(2.11)

Changing the variable nT to and then taking into account that l varies from
to , (2.11) can be simplified to

X X
N 1 Z    
2
sIk [n] = + l]h( lT )h( ) cos (m k)
sIm [n +
l= m=0 T 2
   
2
sm [n + l]h( lT T /2)h( ) sin (m k)
Q
+ d.
T 2
(2.12)

The block diagram of an SMT receiver performing these operations is depicted

in Fig. 2.1. Similarly, the imaginary part of sn [k], sQ
k [n], can be found as

k [n] = =[h(t + T /2) yk (t) |t=nT ].

sQ (2.13)

Starting with (2.13) and following the same line of derivations as above, we obtain

X X
M 1 Z    
2
sQ
k [n] = sm [n + l]h( lT )h( + T /2) sin (m k)
I
+
l= m=0 T 2
   
2
+sQm [l + n]h( lT + T /2)h( + T /2) cos (m k) + d .
T 2
(2.14)

We now proceed to discuss the design of the matched filter h(t). In an ideal
transmission system, the received signal equals the transmitted one and

sIk [n] = sIk [n]

sQ Q
k [n] = sk [n]. (2.15)

It follows directly from (5.6) and (5.7), that (2.15) can be met, if h(t) is chosen
such that the following identities are satisfied.
 24

Z   
2
h( lT )h( ) cos (m k) + d = [m k, l] (2.16)
T 2
Z   
2
h( lT T /2)h( ) sin (m k) + d = 0 (2.17)
T 2
Z   
2
h( lT )h( + T /2) sin (m k) + d = 0 (2.18)
T 2
Z   
2
h( lT + T /2)h( + T /2) cos (m k) + d = [m k, l] (2.19)
T 2
where [m k, l] is the Dirac delta function. [m k, l] is one if m k = 0
and l = 0 and it is zeros otherwise. For convenience of the design, it is common to
constrain h( ) to a real and even (i.e., symmetric around = 0) function of time, .
Under these constraints, one can show that the integrand in (2.17) is anti-symmetric
around = lT /2 + T /4 and the integrand in (2.18) is anti-symmetric around =
lT /2T /4. These, in turn, imply that (2.17) and (2.18) are automatically satisfied.
Hence, in designing h( ), it is sufficient to limit ourselves to the constraints imposed
by (2.16) and (2.19). Also, to further simplify the design of h( ), it is reasonable
to assume that only adjacent subcarrier bands may overlap. When this is the case,
only instances of m and k where m k = 0, +1, 1 need to be considered in (2.16)
and (2.19). Values of m and k where |m k| > 1 are related to nonadjacent
subcarrier bands and thus, their multiplication in (2.16) results in values close to
zero. Also, for m k = 0, and iff h( ) is a root-Nyquist filter, (2.16) equates to
Z
h( lT )h( )d = [0, l] = [l]. (2.20)

Finally, for m k = 1, (2.16) reduces to
Z  
2
h( lT )h( ) sin = 0. (2.21)
T
Since, h( ) is a symmetric filter and sin is odd with respect to origin, we can easily
show that the integrand in (2.21) is anti-symmetric around = lT /2 + T /4 and
thus (2.21) is valid. In a similar way, and under the same conditions, one can show
that (2.19) reduces to (2.20). In summary, any realization of h( ) which is even and
real and satisfies the root-Nyquist condition in (2.20), leads to an SMT transceiver
system which satisfies (2.15).
 25

2.1.2 Cosine Modulated Multitone, CMT

Figure 2.2 presents the structure of a CMT multicarrier system. A synthesis
filterbank is used to bandlimit a set of PAM symbols to vestigial sideband signals
and modulate them to various frequency bands. This process is outlined graphically
in Figure 2.3. Fundamentally, vestigial sideband filtering is performed through a
frequency shifted version of a lowpass filter h(t), centered at f = /2T with impulse

response h(t)ej 2T t . The sequence of transmitted symbols in a CMT system can be
presented as

X
sm (t) = sm [n](t nT ) (2.22)
n

where sm [n] are real PAM symbols. According to Fig. 2.2, the baseband multicarrier
CMT signal at the transmitter, x(t), is obtained as

X
N 1
x(t) = xm (t) (2.23)
m=0

where
X
+

xm (t) = sm [l]h(t lT )ej 2T (tlT ) ejm( T t+ 2 ) . (2.24)
l=

The received PAM symbol on each subcarrier is the real part of the complex
jt jt
output of the matched filter, h(t)e 2T = h(t)e 2T , viz.,

sk [n] = <(sck [n]). (2.25)

where for an ideal channel

sck [n] = yk (t) ? h(t)ej 2T t |t=nT (2.26)

and

yk (t) = ejk( T t+ 2 ) x(t). (2.27)
 26

Transmitter
s0 (t)
h(t)ej 2T t
ej( T t+ 2 )
s1 (t)
h(t)ej 2T t ! !{} Channel

ej(N 1)( T n+ 2 )
ej2fc t
sM 1 (t)
h(t)ej 2T t

Receiver
s0 [n]
h(t)ej 2T t !{}

ej( T t+ 2 )
s1 [n]

h(t)ej 2T t !{}
Channel


ej(N 1)( T n+ 2 )
ej2fc n
sM 1 [n]

h(t)ej 2T t !{}

Figure 2.2: Baseband CMT Trans-multiplexer.

 27

PAM 1 PAM 2 PAM 3

f f f

Negative frequency portions Positive frequency portions

Figure 2.3: CMT modulation

We note that h( ) = h( ) because we are assuming symmetric filters are used.

Hence, sck [n] may be extended as
Z

c
sk [n] = yk ( )h(nT )ej 2T (nT ) ejk( T + 2 ) d

X
N 1 X
+ Z

= sm [l]h( nT )h( lT )ej 2T (nT lT ) ej(mk)( T + 2 ) d.
m=0 l=

(2.28)

By changing nT to in the above equation we get

X
N 1 X
+ Z

sck [n] = sm [l]h( )h( (l n)T )ej 2 (nl) ej(mk)( T + 2 ) d. (2.29)
m=0 l=

Furthermore, by changing l n to l, and then taking into account that l varies from
to , we obtain
 28

X
N 1 X
+ Z

sck [n] = sm [l + n]h( )h( lT )ejl 2 ej(mk)( T + 2 ) d. (2.30)
m=0 l=

Therefore, substituting (2.25) in (2.30), the detected PAM symbol is obtained

as
X
N 1 X
+ Z  

sk [n] = sm [l+n]h( )h( lT ) cos (mk)( + )l d. (2.31)
m=0 l= T 2 2

Using (2.59), in order to have an ISI free communications, the following identity
should be satisfied Z

cos(l ) h( )h( lT )d = [l]. (2.32)
2

Noting that, cos(l 2 ) is equal to zero for odd values of l. (2.32) reduces to
Z
h( )h( 2kT )d = [m] (2.33)

These results imply that h(t) should be a square-root Nyquist filter with zero
crossing at the interval of 2T . Hence h(t) is a pulse shape that normally would
1
be used in a system with a data rate of 2T
. This is inline with the fact that we
are transmitting VSB signals with half the bandwidth of a QAM double sideband
signal. Similar to SMT, we assume that the filter h(t) is designed such that only
adjacent subcarriers overlap. Therefore, using (2.59), in order to have ICI free
communication, we need to have

g1 [l] = 0 (2.34)

and
g1 [l] = 0 (2.35)

where g1 [l] and g1 [l] are defined as

Z  

g1 [l] = h( )h( lT ) cos + l d (2.36)
T 2 2

and Z  


g1 [l] = h( )h( lT ) cos + +l d. (2.37)
T 2 2
 29

respectively. (2.36) for l = 2k simplifies to

Z  

g1 [2k] = (1)k+1
h( )h( 2kT ) sin d. (2.38)
T
By applying a change of variable kT to , we obtain
Z  

g1 [2k] = h( + kT )h( kT ) sin d (2.39)
T
= 0.
 
where the second identity follows noting that h( + kT )h( kT ) sin
T
is an
odd function of . For l = 2k + 1, (2.36) simplifies to
Z  

g1 [2k + 1] = (1) k
h( )h( (2k + 1)T ) cos d. (2.40)
T

Applying a change of variable to (2k+1)T

2
in the above equation we get
Z
g1 [2k + 1] = h( + (2k + 1)/2T )h( (2k + 1)/2T ) (2.41)

 

sin d = 0.
T
Combining (2.39) and (2.41), one finds that g1 [l] = 0 for all l. We can show in a
similar way that g1 [l] = 0. Therefore, ICI free transmission can be achieved for
CMT communication systems.

2.1.3 Filtered Multitone, FMT

FMT system works similar to a conventional frequency division multiplexing
method. There is no overlap between adjacent subcarriers and thus there is no
ICI. The reconstruction properties on each subcarrier can be derived similarly to
single carrier communication systems. Therefore, an square-root Nyquist filter can
be used for pulse shaping. Detailed discussion on FMT can be found in [22], [34].

2.2 FBMC Sensitivity to Synchronization Errors

One of the major disadvantages of multicarrier systems in general is their
sensitivity to carrier frequency and timing offset. It has been shown in the literature
that phase noise and misalignments in time and frequency can considerably degrade
 30

the performance of multicarrier systems such as OFDM and FBMC, resulting in

interference from symbols on the same subcarrier which is refereed to as intersymbol
interference (ISI) and also intercarrier interference (ICI), [35], [36]. In this section,
we study the effect of timing and carrier offset on the performance of SMT and
CMT receivers. Furthermore, we will show that when the carrier frequency offset
(CFO) and timing offset are small, the term from the desired symbol is considerably
larger than the interference terms. Therefore, it is possible to detect the symbol
and incorporate decision directed algorithm to perform carrier and timing tracking
correctly (with a probability that is close to one).

2.2.1 SMT Sensitivity

The received inphase symbol in an SMT system is obtained as:
Z 
sk [n] = <
I
h( nT )yk ( )d (2.42)

where yk ( ), in the presence of timing, carrier and phase offset, can be written as
 
jk( 2 +
2 ) x( t ) e j(2f + )
yk ( ) = e T
0
0
+ ( ) (2.43)

where f is a CFO, 0 is a phase offset, t0 is a timing offset, and ( ) is an additive

white Gaussian noise with E[( )2 ] = 2 . Substituting (2.4) and (2.43) in (2.42),
we obtain
"Z #
X
N 1
2
+ 2 +2f t+0
sIk [n] = < h( nT ) xm ( t0 )ejk( T ) d . (2.44)
m=0

We can rearrange (2.44) as

X X
N 1 Z 
sIk [n] = sIm [l]h( nT )h( t0 lT )
l= m=0
   
2 2mt0
cos (m k) + + 2f + 0
T 2 T
sQ
m [l]h( nT )h( t0 lT T /2)
   
2 2mt0
sin (m k) + + 2f + 0 d )
T 2 T
+ (nT ) (2.45)
 31

where (t) is
Z   
2k
(t) = ( )h(t t0 ) cos k + d. (2.46)
T 2
Applying the variable change nT to , (2.45) can be simplified to
X N X1 Z 
I
sk [n] = sIm [n + l]h( t0 lT )h( )
l= m=0
   
2 2mt0
cos (m k) + + 2f + 2f nT + 0
T 2 T
m [n + l]h( t0 lT T /2)h( )
sQ
   
2 2mt0
sin (m k) + + 2f + 2f nT + 0 d
T 2 T
+ (nT ). (2.47)

In this chapter, we study the effect of timing and carrier offset with the assump-
tion of no residual phase error. That is assumed that 2f nT 2kt0
T
+ 0 is
being perfectly tracked and compensated, e.g., using a decision directed methods.
Furthermore, we assume that roll off factor of h is smaller than one. Thus at the
receiver, the interference term from the carriers which are more than one carrier
spacing away is negligible. As a result, we only consider the desired subcarrier and
the adjacent ones in our calculations. Hence, we can write sIk [n] as
X X
u=+1
Q

I I I Q
sk [n] = sk+u [l + k]gu [l] + sk+u [l + k]gu [l] + (nT ) (2.48)
l= u=1

where guI [l] and guQ [l] are the impact of the in-phase and quadrature symbols trans-
mitted on the carrier k + u on in-phase element of carrier k, respectively. guI [l] and
guQ [l] can be expressed as
Z
I
gu [l] = h( t0 lT )h( )
 
 
2 2ut0
cos u + + 2f d (2.49)
T 2 T
and
Z
guQ [l] = h( T /2 t0 lT )h( )
 
 
2 2ut0
sin u + + 2f d. (2.50)
T 2 T
 32

In the rest of this chapter, the effect of carrier and timing offset is studied indepen-
dently. We investigate the effect of carrier and timing offset on SINR degradation
as well as the magnitude of ICI and ISI terms. SINR degradation is defined as

SINRA
D(f, t0 ) = (2.51)
SINRS

where SINRA is the signal to noise ratio at the input of the decision block at the
receiver which may have carrier or timing offset. SINRS is the signal to noise ratio
if the transmitter and receiver are completely synchronous. Using (2.48), SINRA
can be calculated as following
2
g0I [0]2 E[sIk [n]]
SINRA =     (2.52)
2 P P u=+1 Q I 2 g I [0]2 + 2
E[sIk [n]] l=
2
u=1 gu [l] + gu [l] 0

while SINRS is
2
E[sIk [n]]
SINRS = . (2.53)
2
To the best of our knowledge there is no closed form equation for D(f, t0 ) in case
of SMT. Hence, the distortion can only be studied numerically.

2.2.2 CMT Sensitivity

In a CMT receiver, the received PAM symbol on kth subcarrier can be expressed
as Z

sk [n] = yk ( )h( nT )ej 2T (nT ) ejk( T + 2 ) d (2.54)

where  
jk( T + 2 )
yk ( ) = e [x( t0 ) e2f +0
+ ( ) . (2.55)

Hence, sk [n] is extended to

X
N 1 X
+ Z

sC
k [n] = sm [l]h( )h( t0 + (l n)T )ej 2 (nl)
m=0 l=
 
mt
j (mk)( T + 2 ) T 0 +2f +0
e d. (2.56)
 33

Furthermore, by changing l n to l, we obtain

X
N + Z
1 X
c
sk [n] = sm [l + n]h( )h( lT t0 )
m=0 l=
 
mt
j (mk)( T + 2 ) T 0 +2f nT +2f +0

ejl 2 e d
+ (nT ) (2.57)

where (t) is Z
k
+ 2 )
(t) = ( )h(t t0 )ejk( T d (2.58)

Therefore, the received PAM symbol is
X
N + Z
1 X
sk [n] = sm [l + n]h( )h( t0 lT )
m=0 l=
 
mt0
cos (m k)( + ) l + 2f nT + 2f + 0 d
T 2 2 T
+ 0 (nT ) (2.59)

where 0 (nT ) = <{(nT )}. Using the assumption that the phase offset is perfectly
compensated, one obtains
X X
u=+1
sk [n] = sk+u [l + k]gu [l] + 0 (nT ) (2.60)
l= u=1

where
Z
gu [l] = h( )h( t0 lT )

  
 ut0
cos u + l + 2f d. (2.61)
T 2 2 T
We can express the degradation for CMT is the same way as (2.51). Where SINRA
and SINRS are defined as
g0 [0]2 E[s2k [n]]
SINRA =   (2.62)
P Pu=+1
u=1 gu [l] g0 [0]
2 I
E[sk [n]] l=
2 2 + 20

and
E[sk 2 [n]]
SINRS = . (2.63)
20
 34

Similar to SMT case, there is no closed form solution in the current literature for
the degradation function of CMT. Hence, numerical results are presented for CMT
as well as SMT.

2.3 Sensitivity to Carrier Offset

As mentioned in Section 2.1, in SMT and CMT systems, adjacent subcarriers
overlap. Therefore, SMT and CMT signals are susceptible to small offsets in carrier
frequency. Even a small CFO causes loss of orthogonality among the different
subcarriers and thus introduces ICI. To elaborate, CFO causes a shift in the
spectrum, and the received filter picks up interference from adjacent suncarriers.
Furthermore, carrier offset results in ISI in a single carrier OQAM system. In this
section, we study the resulted ICI and ISI from CFO.
We study the energy of the different interference terms for SMT and CMT in
the presence of small values of CFO, numerically. This numerical study is later
used to justify the use of a carrier offset tracking method. Figs. 2.4 and 2.5 present
the signal energy of the terms in (2.49) and (2.50) for the carrier offset of 0.02 and
0.01 of carrier spacing for an SMT system. The number of subcarriers are N = 64
and a square-root Nyquist prototype filter with length 6N is used which is designed
using the method described in [37]. As we can see in Fig. 2.4, the desired signal
I
,gQ [0], when the carrier offset is 0.02 of carrier spacing, has 30 dB higher power
than the interference terms with most power in g0I [0] and g0I [1]. In the second case
when the carrier offset is 0.01 of carrier spacing, the desired term has 40 dB power
more than the interference terms. Therefore, one may see that with carrier offset
of less than 0.02 of carrier spacing, the desired symbols have considerably higher
power than all the interference terms.
The interface power of CMT in the presence of 0.02 and 0.01 of carrier spacing
CFO are presented in Fig. 2.6 and Fig. 2.7, respectively. By studying these figures
one may realize that here also the desired symbols at these two values of carrier
offset have 30 dB and 40 dB higher power.
Next, we study the signal to interference ratio (SIR) where the power of inter-
 35

0
10
20
30 gQ [l]
0
40
Interference power
gI0[l]
50
60 gQ [l]
1
70
gI1[l]
80
90 gQ [l]
1
100
gI1[l]
110
120
130
140
150
6 5 4 3 2 1 0 1 2 3 4 5 6
l

Figure 2.4: The ICI, ISI, and signal energy of SMT when f is 0.02 of carrier
spacing.

0
10
20
30 gQ [l]
0
40
Interference power

gI0[l]
50
60 gQ [l]
1
70
gI1[l]
80
90 gQ [l]
1
100
gI1[l]
110
120
130
140
150
6 5 4 3 2 1 0 1 2 3 4 5 6
l

Figure 2.5: The ICI, ISI, and signal energy of SMT when f is 0.01 of carrier
spacing.
 36

0
10 g0[l]
20
g1[l]
30
40 g1[l]
Interference power

50
60
70
80
90
100
110
120
130
140
150
6 5 4 3 2 1 0 1 2 3 4 5 6
l

Figure 2.6: The ICI, ISI, and signal energy of CMT when f is 0.02 of carrier
spacing.

0
10
g0[l]
20
30 g1[l]
40 g1[l]
Interference power

50
60
70
80
90
100
110
120
130
140
150
6 5 4 3 2 1 0 1 2 3 4 5 6
l

Figure 2.7: The ICI, ISI, and signal energy of CMT when f is 0.01 of carrier
spacing.
 37

ference is the summation of powers of all the interference terms. In Fig. 2.8, SIR for
SMT and CMT for different values of CFO are presented. It has been shown in [38]
that the performance of CMT and SMT is the same in the presence of carrier
offset. Thus Fig. 2.8 presents one curve for both CMT and CMT systems. As
indicated in Fig. 2.8, for the CFO values less than 0.023 of carrier spacing the SIR
is larger than 30 dB. Therefore, the desired symbols can comfortably be detected
for values of CFO less than 0.023 of carrier spacing. Moreover, one can see that the
CFO requirement for OFDM system which is 0.01 to 0.02 of carrier spacing [39] is
sufficient for SMT and CMT systems as well.
We also study the degradation that is caused by carrier offset both for SMT
and CMT systems and compare it to OFDM. Fig. 2.9 presents the distortion as a
function of carrier offset when the SNR at the receiver input is 10 dB. SMT and
CMT have the same distortion results as predicted in [38]. For a normalized carrier
offset (to the carrier spacing) of 0.1, SMT and CMT have the same results and they
both have 2 dB less distortion than an OFDM system. Fig. 2.10 presents distortion
when the SNR at the receiver input is 30 dB. As we can see, SMT and CMT have

90
CMT and SMT
80

70
Signal To Interference Ratio

60

50

40

30

20

10

0
0 0.023 0.04 0.06 0.08 0.1
Normalized Carrier Offset

Figure 2.8: Signal to interference ratio in the presence of carrier offset for SMT
and CMT.
 38

1.8

1.6 CMT and SMT

OFDM
1.4

Distortion in dB
1.2

0.8

0.6

0.4

0.2

0
0 0.02 0.04 0.06 0.08 0.1
Normalized Carrier Offset

Figure 2.9: Distortion of SMT, CMT, and OFDM in the presence of carrier offset
when SNR=10 dB.

16
CMT and SMT
14
OFDM

12
Distortion in dB

10

0
0 0.02 0.04 0.06 0.08 0.1
Normalized Carrier Offset

Figure 2.10: Degradation of SMT, CMT, and OFDM in the presence of carrier
offset when SNR=30 dB.
 39

0.8 dB less distortion than OFDM when the normalized carrier offset is 0.1. As a
result, if a system requires high SINR, SMT and CMT outperform OFDM in terms
of CFO immunity. This indeed is an important gain in a system with high data
rate when higher order modulations are required.

2.4 Sensitivity to Timing Offset

A drawback of FBMC modulation techniques is their sensitivity to timing offset.
SMT and CMT are more sensitive to timing errors than single carrier systems. In
this section, we study the sensitivity of SMT and CMT to timing offset.
We first study the ICI and ISI terms in the presence of timing offset for SMT.
2
Fig. 2.11 presents the ICI and ISI terms with timing offset of 64
of symbol timing.
Here, similar to the previous set of simulations, we assume no residual phase at
the sampling time. The interference from quadrature to in-phase part of signal
is thus equal to zero. The desired term has 30 dB more power than the terms
coming from ICI. Fig. 2.12 presents the ICI and ISI terms when timing offset is
1
64
of symbol timing. As can be seen in Fig. 2.12, the desired term is 40 dB above
the interference terms. Figs. 2.11 and 2.12 show us that the desired signal has
considerably higher power than the interference terms when the timing offset is as
high as 0.03 % of symbol timing. We will use this observation in Chapter 5 to
design a decision directed timing tracking algorithm.
Fig. 2.13 and Fig. 2.14 present the energy of the interference terms for CMT
system. As can be seen here also, the desired signal term has sufficiently higher
power in both cases and thus can be sliced properly. Therefore, decision directed
methodology is applicable to CMT timing tracking as well.
OFDM systems have immunity to timing offset if the timing offset is not bigger
than a threshold. The threshold is the length of CP minus the length of channel.
The immunity to timing offset is not present in FBMC systems and therefore
OFDM outperforms FBMC when timing offset is small and hence we do not have
a comparison between OFDM and FBMC in our simulation results. As a result,
more accurate timing acquisition and tracking methods need to be developed for
 40

0
10
20
30 gQ [l]
0
40
Interference Energy

gI0[l]
50
60 gQ [l]
1
70
gI1[l]
80
90 gQ [l]
1
100 I
g1[l]
110
120
130
140
150
6 5 4 3 2 1 0 1 2 3 4 5 6
l

2
Figure 2.11: The ICI, ISI, and signal energy of SMT when t0 is 64
T.

0
10
20
30 gQ [l]
0
40
Interference Energy

gI0[l]
50
60 gQ [l]
1
70
gI1[l]
80
90 gQ [l]
1
100 I
g1[l]
110
120
130
140
150
6 5 4 3 2 1 0 1 2 3 4 5 6
l

1
Figure 2.12: The ICI, ISI, and signal energy of SMT when t0 is 64
T.
 41

0
10
20
30
40
Interference power

g0[n]
50
60
70 g1[n]
80
90 g1[n]
100
110
120
130
140
150
5 4 3 2 1 0 1 2 3 4 5
n

1
Figure 2.13: The ICI, ISI, and signal energy of CMT when t0 is 64
T.

0
10
20
30
40
Interference power

g0[n]
50
60
70 g1[n]
80
90 g1[n]
100
110
120
130
140
150
5 4 3 2 1 0 1 2 3 4 5
n

2
Figure 2.14: The ICI, ISI, and signal energy of CMT when t0 is 64
T.
 42

SMT and CMT which are discussed in Chapter 4 and 5.

Fig. 2.15 presents the SIR for CMT and SMT. The timing offset is normalized
to the symbol period, T . As indicated in Fig. 2.15 for timing offsets of less than
0.0161 of symbol period, SIR is higher than 30 dB and thus the desired symbol can
be easily recovered. Figs. 2.16 and 2.17 present distortion versus timing offset for
the SNR at the receiver input of 10 and 30 dB, respectively. As we can see the
distortion curve for SNR = 30 dB grows faster than the curve when SNR = 10 dB.
For timing offset of 0.1T , there is close to 15 dB loss for SNR = 30 dB while there
is almost 2 dB loss for SNR = 10. Therefore, it is crucial to have accurate timing
offset estimation methods when higher SINRs are required.

2.4.1 Summary
This chapter investigated the filter design conditions for SMT and CMT. It was
shown that root-Nyquist filter designs can be used for SMT and CMT. Moreover, we
explored the sensitivity of SMT and CMT modulations to carrier and timing offset.
It was shown that assuming perfect phase tracking, it is possible to comfortably
detect the transmitted symbols when there is a CFO as much as 0.02 of carrier
spacing. Furthermore, we saw from the simulation results that SMT and CMT
outperform OFDM in terms of CFO immunity especially when high SNRs are
required. Therefore, the carrier offset requirement for OFDM will be sufficient for
SMT systems. The effect of timing offset was also numerically studied. It was
shown that SMT and CMT are sensitive to timing offset and thus accurate timing
recovery algorithms need to be developed. Furthermore, we saw that for timing
offset of less than 0.016T , the resulting SIR is greater than 30 dB.
 43

90
CMT and SMT
80

70

Signal To Interference Ratio

60

50

40

30

20

10

0
0 0.01601 0.04 0.06 0.08 0.1
Normalized Timing Offset

Figure 2.15: Signal to interference ratio in the presence of timing offset for SMT
and CMT.

1.5

SMT and CMT

Distortion in dB

0.5

0
0 0.02 0.04 0.06 0.08 0.1
Normalized Timing Offset

Figure 2.16: Distortion versus normalized timing offset for SNR = 10 dB.
 44

16

14 CMT and SMT

12
Distortion in dB

10

0
0 0.02 0.04 0.06 0.08 0.1
Normalized Timing Offset

Figure 2.17: Distortion versus normalized timing offset for SNR = 30 dB.
 CHAPTER 3

POLYPHASE IMPLEMENTATION OF
FILTERBANK MULTICARRIER
COMMUNICATION SYSTEMS

Filterbank multicarrier (FBMC) systems are implemented using an efficient

technique that is called polyphase implementation. Polyphase implementation uses
multirate signal processing techniques to reduce the complexity by joint imple-
mentation of all synthesis or analysis filters in the filterbank. Herein, we first
present a generic polyphase structure. This generic structure is then used to derive
the polyphase structures for SMT and CMT communication systems. A novel
derivation for one of the polyphase structures used for SMT is presented in 3.3.3.
Using this derivation, we have shown that some of the SMT analysis structures in
[28] and [29] are not applicable to frequency selective channels.

3.1 Polyphase Synthesis Filterbank

If we start from a general implementation of a synthesis filterbank presented in
Fig 1.1, the input of each subcarrier can be written as
X

sk (t) = sk [n](t nT ), for k = 0, 1, ..., N 1. (3.1)
n=

Using (3.1), the output of each filter can be obtained as


X 
j2k
xk (t) = sk [l]h(t lT ) e T t . (3.2)
l=

2k 2k
Using ej T
t
= ej T
(tlT )
, we get
 46


X 
j 2k
xk (t) = sk [l]h(t lT )e L
(tlT )

l=
X
= sk [l]hk (t lT ) (3.3)
l=

where
2k
hk (t) = h(t)ej L
t
(3.4)

is the modulated version of h(t). In order to implement a synthesis filterbank, we

need to use digital filters. Fig. 3.1 presents the digital implementation of a synthesis
filterbank. We can write (3.3) as

X

xk [n] = sk [l]hk [n lL]. (3.5)
l=

Taking z-transform of x[n], we obtain

X
N 1
X[z] = Xk (z). (3.6)
k=0

Using multirate signal processing identities [34], one finds from Fig. 3.2 that

Xk (z) = Sk (z L )Hk (z) (3.7)

where Sk (z L ) is the z-transform of the upsampled version of sk [n]. The modulated

filters in the z-domain can be written as
X

Hk (z) = h[n]z n WLkn (3.8)
n=

2
where WL = ej L . Substituting (3.8) in (3.7), we obtain

X
N 1 X

X(z) = Sk (z L )h[n]z n WLkn . (3.9)
k=0 n=
 47

s0 [n] x0 [n]
L h[n] j2
e L n

s1 [n] x1 [n]
L h[n] ! x[n]

2
ej(N 1) L n
sN 1 [n] xN 1 [n]
L h[n]
Figure 3.1: General structure of a synthesis filterbank

Let us define el [n], the lth polyphase element of h[n] as

el [n] = h[nL + l]. (3.10)

Using the polyphase elements, H(z) can be obtained as

X
L1
H(z) = z p El (z L ) (3.11)
l=0

where El (z) is the z-transform of el [n]. Using (3.11), (3.9) can be rearranged
L1 
X N
X 1 
l L L kl
X(z) = z El (z ) Sk (z )WL . (3.12)
l=0 k=0
 
PL1
The vector q = k=0 Sk (z L
)WLkl l = 0, , L 1 is the size L IDFT of
the upsampled signal. If the number of symbols, N , is less than L, zeros need to
be appended to form a vector with length of L. The multiplication by El (z L ) is
equivalent to passing the output of IDFT through the polyphase filters.Therefore,
using (3.12), one can design the structure presented in Fig. 3.2.
Using the properties of multirate systems [34], one can simplify the structure
presented in Fig. 3.2. Since, IDFT is simply a constant matrix multiplication, it
 48

s0 [n] x[n]
L E0 (z L )
z 1

L-point IDFT
s1 [n]
L E1 (z L )
sN 1 [n]
L

0 z 1
0 EL1 (z L )

Figure 3.2: Polyphase implementation of a synthesis filterbank.

can be commutated with upsampling. Furthermore, by applying the first Noble

identity [34], we can switch upsampling and the polyphase elements by changing
El (z L ) to El (z) and thus Fig. 3.2 simplifies to Fig. 3.3.

3.2 Polyphase Analysis Filterbank

In order to extract the signals s0 [n] to sN 1 [n] from the signal x[n], analysis
filterbank must be used. This can be done by demodulating the signal of each
stream to baseband and performing low pass filtering. The general structure of an
analysis filterbank is depicted in Fig. 3.4. The output of each subcarrier channel
can be written as

Sk (z L ) = Hk (z)X(z). (3.13)

Using the polyphase representation of the prototype filter, we get

X
L1 X

L
Sk (z ) = X(z)h[n]z n WLkn (3.14)
k=0 n=
 49

s0 [n] x[n]
E0 (z) L
z 1
s1 [n] L-point IDFT
E1 (z) L
sN 1 [n]

0 z 1
0 EL1 (z) L

Figure 3.3: Simplified structure for the polyphase synthesis filterbank.

s0 [n]
j2 h[n] L
e L n

s1 [n]
h[n] L
x[n]

2
ej(N 1) L n
sN 1 [n]
h[n] L

Figure 3.4: Block diagram of a discrete time analysis filterbank.

 50

which can be extended as

X
L1
L
Sk (z ) = W kp Ep (z L )z p X(z). (3.15)
p=0

Multiplication of X(z) by Ep (z L ) results in filtering being performed on the input

signal. At the output of the polyphase elements, the summation over p is an
IDFT which is performed on the output of the filters. Finally, we need to perform
downsampling on Sk (z L ) to obtain Sk (z). Fig. 3.5 presents the described polyphase
structure. Since IDFT is essentiality a multiplication, it can be commutated with
the downsampling. Similar to the synthesis filterbanks, the polyphase elements
maybe commutated with upsampling using the first Noble identity as presented in
Fig. 3.6.

x[n] s0 [n]
E0 (z ) L L

z 1
s1 [n]
L-point IDFT

E1 (z L ) L

sN 1 [n]
L
z 1
EL1 (z L )

Figure 3.5: Polyphase analysis filterbank.

 51

x[n] s0 [n]
L E0 (z)

z 1
s1 [n]

L-point IDFT
L E1 (z)

sN 1 [n]

z 1
L EL1 (z)

Figure 3.6: Simplified polyphase structure for analysis filterbanks.

3.3 SMT Polyphase Implementation

Three types of polyphase structures have been proposed for SMT transceivers.
In this section, we describe these three structures. At the end of this section,
we have a discussion on which of these structures can be used in a system where
frequency selective channels or carrier offset exists and needs to be compensated.

3.3.1 Type-I SMT Polyphase Structure

The synthesis filterbank in Fig. 2.1 can be rearranged in two filterbanks one with
prototype filter h(t) and one with the prototype of h(t T /2). It is also possible to
2
+ 2 )
move the rotation of k 2 from the term ejk( T to the input signal. Doing these,
the synthesis filters in Fig. 2.1 can be presented as Fig. 3.7.
The two synthesis filterbank structures in Fig. 3.7 are similar to the structure
presented in Fig. 3.1. We note that it is possible to move the delay from h[n
L/2] filter to outside the filterbank structure. Therefore, by replacing each of the
two filterbanks in Fig. 3.7 with one in Fig. 3.1, we can obtain the structure in
 52

sI0 (t) L h[n]

2
ej L n
jsI1 (t) !
L h[n]

2
ej(N 1) L n

j N 1 sIN 1 (t) !
L h[n]

jsQ
0 (t) L h[n L/2]

2
ej L n
j 2 sQ !
1 (t) L h[n L/2]

2
ej(N 1) L n

j N sQ !
N 1 (t)
L h[n L/2]

Figure 3.7: A discrete time SMT transmitter.

Fig. 3.8 where PSFB is polyphase synthesis filterbanks. The upsampling rate of
L is assumed in the structure and the delay of L/2 which is equivalent to T /2
is performed after the synthesis filterbank on the second polyphase structure. We
call the structure in Fig. 3.8 the synthesis structure for Type-I SMT Polyphase
Structure.
Similar to the changes we made in the synthesis filterbank, we can break the
 53

sI0 [n]
jsI1 [n]

j N 1 sIN 1 [n]
P SF B
0

x[n]

jsQ
0 [n]
j 2 sIQ [n]

j N sQ
N 1 [n] P SF B z L/2
0

Figure 3.8: Block diagram of type-I polyphase implementation of SMT transmit-

ter.
 54

transmitter structure at Fig. 2.1 into two analysis filterbanks with filters of h(t) and
2
+ 2 )
h(t + T /2). The k 2 from the term ejk( T can be moved to the output of the
filterbanks and the delay of T /2 can be moved to the input signal. Doing these
changes, the receiver part of Fig. 2.1 can be transformed to Fig. 3.9. By replacing
the structures in Fig. 3.9 with polyphase analysis filterbanks (PAFB) presented in
Fig. 3.4, the structure in Fig. 3.10 can be obtained. The structures in Fig. 3.8 and
Fig. 3.10 are used in [34] and [30].

3.3.2 Type-II SMT Polyphase Structure

In the structure presented in Fig. 2.1, sIk (t) and sQ
k (t) are passed through two

separate filters with the delay of T /2. Alternatively, one may note that we can
define (2.5) as
xm (t) = s0k (t) h(t) (3.16)

where
X X
s0k (t) = sIk [n](t nN ) + j k [n](t nN T /2).
sQ (3.17)
n n

To elaborate, another way of presenting an SMT system is by the time staggering

inphase and quadrature part of the complex input signal, adding them as in (3.17),
and passing the results through the prototype filter h(t), [17], [40]. Therefore, the
two synthesis filterbanks are essentially combined into one at the transmitter.
The discrete implementation of the described combined transmitter structure is
presented in Fig. 3.11. Similar to type-I structures, rotations of k/2 are moved
to the input signal. Since, an upsampling of 2 is applied to the input signal at the
staggering process, we need an upsampling of L/2 after the staggering module.
Using the same concepts that were applied in deriving the structure depicted in
Fig. 3.5, we can come up with a structure that has upsampling of L/2 instead of L.
When we commutate the upsampling of L/2 and the polyphase elements of Ek (z L ),
we get Ek (z 2 ). Therefore, the polyphase structure of Fig. 3.12 can be obtained for
the type-II polyphase synthesis filterbanks which are presented in [17] and [40].
Following the same line of thought that led to Fig. 3.11, the two analysis filter-
banks in Fig. 2.1 can be combined into one analysis filterbank. The discrete-time
 55

sI0 [n]
h[n] L !{}

2 j
ej L n
! ! sI1 (n)
h[n] L !{}

2 (j)N 1
ej(N1) L n
! ! sIN 1 (n)
h[n] L !{}
y[n]

sQ
0 (n)
h[n + L/2] L !{}

2 j
ej L n
! ! sQ
1 (n)
h[n + L/2] L !{}

2 (j)N 1
ej(N1) L n
! ! sQ
N 1 (n)
h[n + L/2] L !{}

Figure 3.9: A discrete time SMT receiver.

 56

sI0 [n]
!{}
j
sI1 [n]
!{}

P AF B (j)N 1
sIN 1 [n]
!{}

y[n]
sQ
0 [n]
!{}
j
sQ
1 [n]
!{}

z L/2 P AF B (j)N 1
sQ
N 1 [n]
!{}

Figure 3.10: Block diagram of type-I polyphase implementation of SMT receiver.

 57

jsQ
0 [n]
2
z 1
sI0 [n] !
2 L/2 h[n]

j 2 sIQ [n]
2
2
z 1 ej L n

jsI1 [n]
2
!
L/2 h[n]
!

j N sQ
N 1 [n]
2 2

1
ej(N 1) L n
z
j N 1 sIN 1 [n] ! !
2 L/2 h[n]

Figure 3.11: A combined discrete time SMT transmitter.

structure for a combined receiver structure is depicted in Fig. 3.13. The analysis
polyphase structure for Fig. 3.13 can be derived in the same way as the one in
Fig. 3.3. The only difference is that downsampling of L/2 is used instead of L.
Hence, upsampled polyphase components, Ek (z 2 ), are used in the structure. The
fixed structure of the type-II polyphase analysis filterbanks is presented in Fig. 3.14.

3.3.3 Type-III SMT Polyphase Structure

Looking at Fig. 3.12, one may note that the inputs of the IDFT at each time
have one of the following conditions

At even discrete time indexes, the input of odd carriers are strictly imaginary
and the input of even subcarriers are strictly real.

At odd discrete time indexes, the input of odd subcarriers are strictly real
and the input of even subcarriers are strictly imaginary.
 58

jsQ
0 [n]
2
z 1
sI0 [n] s!0 [n] S0! [n]
2 + E0 (z 2 ) L/2
j 2 sIQ [n]
2 z 1
z 1
L point IDFT

jsI1 [n] s!1 [n] S1! [n]

2 + E1 (z 2 ) L/2 +

z 1
j N sQ
N 1 [n]
2
z 1
j N 1 sIN 1 [n] s!N 1 [n]
2 +

0 z 1
!
SL1 [n]
0 EL1 (z 2 ) L/2 +

Figure 3.12: Block diagram of type-II polyphase implementation of SMT trans-

mitter.
 59

sQ
0 [n]
2 !{}
z1
sI0 [n]
h[n] L/2 2 !{}

sQ
1 [n]
2 !{}
j 2
j
e L n
z1
y[n] ! ! sI1 [n]
h[n] L/2 2 !{}

sQ
N 1 [n]
2 !{}
j(N1) 2
L n
(j)N 1
e z1
! ! sIN 1 [n]
h[n] L/2 2 !{}

Figure 3.13: A combined discrete time SMT receiver.

Therefore, the input of IDFT at even discrete time and odd discrete time indexes
can be written as

(1)p sI2p [n] k = 2p
s0k [2n] = p I (3.18)
j(1) s2p+1 [n] k = 2p + 1
and 
j(1)p sQ
2p [n] k = 2p
s0k [2n + 1] = p+1 Q (3.19)
(1) s2p+1 [n] k = 2p + 1,
respectively. If we consider the even time index 2n, the IDFT in Fig. 3.12 can be
written as
X
L1
Sk0 [2n] = s0m [2n]WLkm . (3.20)
m=0

Using (3.18), we can expand (3.20) as

X
L/21
pk
X
L/21
pk
Sk0 [2n] = (1)p sI2p [n]WL/2 + jWLk (1)p sI2p+1 [n]WL/2 . (3.21)
p=0 p=0

In (3.21), the IDFT of size L is broken into two IDFT of size L/2 where all the
inputs are strictly real. Using this, [29] and [28] have proposed using an IDFT of
 60

sQ
1 [n]
2 !{}
z1
y[n] s!0 [n] S0! [n] sI0 [n]
L/2 E0 (z 2 ) 2 !{}
sQ
0 [n]
2 !{}
z 1
j z1
s!1 [n] S1! [n] sI1 [n]

L Point IDFT
L/2 E1 (z )2
2 !{}

z 1
sQ
N 1 [n]
2 !{}
(j)N 1
z1
!
SN 1 [n]
sIN 1 [n]
2 !{}
z 1
s!L1 [n]
L/2 EL1 (z 2 )

Figure 3.14: Block diagram of type-II polyphase implementation of SMT receiver.

size L/2, where the input of IDFT is the addition of adjacent subcarriers. To do
this, one may define
X
L/21
pk
Uk [n] = up [n]WL/2 (3.22)
p=0

where up [n] is defined as

up [n] = s02p [n] + s02p+1 [n]. (3.23)

Replacing (3.18) in (3.23), Uk [2n] is obtained as

X
L/21
pk
Uk [2n] = (1)p (sI2p [n] + jsI2p+1 [n])WL/2 . (3.24)
p=0

Next, we define
1
Tk1 [2n] = (Uk [2n] + UL/2k [2n]) (3.25)
2
 61

1
Tk2 [2n] = (Uk [2n] UL/2k

[2n]) (3.26)
2

where x is the conjugate of x. Substituting (3.24)in (3.25), we obtain

 L/21
X
1 pk
Tk1 [2n] = (1)p (sI2p [n] + jsI2p+1 [n])WL/2
2 p=0

X
L/21 
p(kL/2)
+ (1) p
(sI2p [n] jsI2p+1 [n])WL/2
p=0
 L/21
X
1 pk
= (1)p (sI2p [n] + jsI2p+1 [n])WL/2
2 p=0

X
L/21 
pk
+ (1) p
(sI2p [n] jsI2p+1 [n]) WL/2
p=0

1 X
L/21
pk
= (1)p sI2p [n]WL/2 . (3.27)
2 p=0

Similarly, substituting (3.24)in (3.26), we get

X
L/21
pk
Tk2 [2n] =j (1)p sI2p+1 [n]WL/2 . (3.28)
p=0

Using (3.27) and (3.28), one may write (3.20) as

Sk0 [2n] = Tk1 [2n] + Tk2 [2n]WLk . (3.29)

Similarly, using (3.19), for odd time indexes, we obtain

X
L/21
pk
X
L/21
pk
Sk0 [2n + 1] = j(1)p sQ
2p [n]WL/2 + WLk (1)p+1 sQ
2p+1 [n]WL/2 .
p=0 p=0

= Tk1 [2n + 1] + Tk2 [2n + 1]WLk . (3.30)

where

1
Tk1 [2n + 1] = (Uk [2n + 1] UL/2k

[2n + 1]) (3.31)
2

1
Tk2 [2n + 1] = (Uk [2n + 1] + UL/2k [2n + 1]) (3.32)
2
 62

and

X
L/21
pk
2p [n] s2p+1 [n])WL/2 .
(1)p (jsQ Q
Uk [2n + 1] = (3.33)
p=0

Following (3.24), (3.25), (3.26), and (3.29) and also (3.30), (3.31), (3.32) and (3.33),
one arrives at the structure presented in Fig. 3.15. Comparing to Fig. 3.14, the
complexity of the IDFT processing is one half.
Similar methodology can be applied to derive an efficient receiver structure.
Assuming that the transmitted signal can be recovered without any phase rotation
(which might not be correct in frequency selective channels), we have the following
condition at the output of IDFT in Fig. 3.14.

At even discrete time indexes, at the output of IDFT, we need only the real
part of the output of the even subcarriers and only the imaginary part of the
output of odd subcarriers.

At odd discrete time indexes, at the output of IDFT, we need only the
imaginary part of the output of the even subcarriers and only the real part
of the output of odd subcarriers.

0 0
In Fig 3.14, Sm [n] are the outputs of the IDFT. Sm [n] and the desired output
symbols are related as
( I
(1)p S 0 2p [2n] k = 2p
sIk [n] = Q (3.34)
p
(1) S 0 2p+1 [2n] k = 2p + 1

and ( Q
(1)p S 0 2p [2n + 1] k = 2p
sQ
k [n] = I (3.35)
(1)p+1 S 0 2p+1 [2n + 1] k = 2p + 1
I Q 0
where S 0 m [n] and S 0 m [n] are the real and imaginary parts of Sm [n]. At even time
indexes can be written as
X
L1
S 0 2p [2n] = s0m [2n]WL2pm (3.36)
m=0
 63

jsQ
0 [n]
2
z 1
sI0 [n] s!0 [n]
2 +
j 2 sIQ [n]
2
z 1
jsI1 [n] s!1 [n] u0 [n] U0 [n]
2 + +
S0! [n]
E0 (z 2 ) L/2

z 1

j N 1 sQ U1 [n]

Subcarrier Separation
L/2 point IFFT
N 2 [n]
2 S1! [n]
E1 (z 2 ) L/2 +
z 1
j N 2 sIN 2 [n] s!N 2 [n] z 1
2 +
j N sQ
N 1 [n]
2
z 1
j N 1 sIN 1 [n] s!N 1 [n] uN/21 [n]
2 + +

UL/21 [n] z 1
0 !
SL1 [n]
EL1 (z 2 ) L/2 +
0

Uk [n]/2 ! T 1 [n] ! Sk! [n]

k

! T !
! ! !
UN/2k [n]/2 2
k [n]
SL/2k [n]

(1)n WLk

Figure 3.15: Block diagram of type-III polyphase implementation of SMT trans-

mitter.
 64

from which, one obtains

I
2S 0 2p [2n] = S 0 2p [2n] + S 0 2p [2n]
X
L1
2pm
X
L1

= s0 m [2n]WL + s0 m [2n]WL2pm
m=0 m=0
X
L1
pm
X
L1
pm
= s0 m [2n]WL/2 + s0 m [2n]WL/2 . (3.37)
m=0 m=0

pm p(m+L/2)
Using WL/2 = WL/2 , we can write (3.37) as

I X
L/21
pm
2S 0 2p [2n] = (s0 m [2n] + s0 m+L/2 [2n])WL/2
m=0

X
L/21
pm
+ (s0 m [2n] + s0 m+L/2 [2n])WL/2 . (3.38)
m=0

Applying a change of variable m to L/2 m in the second summation of (3.38), we

get
L/21 
I X
2S 0 2p [2n] = s0 m [2n] + s0 m+L/2 [2n]
m=0

pm
+ s0 Lm [2n] + s0 L/2m [2n] WL/2 . (3.39)

The desired signal on an odd subcarrier at an even time index can be written as
Q
2j S 0 2p+1 [2n] = S 0 2p+1 [2n] S 0 2p+1 [2n]
X
L1
(2p+1)m
X
L1
(2p+1)m
= s0 m [2n]WL s0 m [2n]WL
m=0 m=0
X
L1
pm
X
L1

= WLm s0 m [2n]WL/2 pm
WLm s0 m [2n]WL/2 . (3.40)
m=0 m=0

I pm
Similar to the case of S 0 2p [2n], we can use the periodicity of WL/2 with respect to
m to obtain

Q X
L/21
pm
2j S 0 2p+1 [2n] = WLm (s0 m [2n] + s0 m+L/2 [2n])WL/2
m=0

X
L/21

pm
WLm (s0 m [2n] + s0 m+L/2 [2n])WL/2 . (3.41)
m=0
 65

A change of variable of m to L/2 m in the second summation of (3.41) results in

X
L/21 
Q
2j S 0 2p+1 [2n] = WLm s0 m [2n] + s0 m+L/2 [2n] (3.42)
m=0

pm
s0 Lm [2n] s0 L/2m [2n] WL/2 . (3.43)

Next we define

1 0
rk1 [2n] = s k [2n] + s0 L/2k [2n] (3.44)
2


+ s0 L/2+k [2n] + s0 Lk [2n]

and

1 0
rk2 [2n] = s k [2n] + s0 L/2k [2n]
2


s0 L/2+k [2n] s0 Lk [2n] . (3.45)

Using (3.44) and (3.45), one can write (3.39) and (3.42) as

I X
L/21
pm
1
S 0 2p [2n] = rm [2n]WL/2 (3.46)
m=0

and

Q X
L/21
pm
j S 0 2p+1 [2n] = WLm rm
2
[2n]WL/2 . (3.47)
m=0

Combining (3.46) and (3.47), we obtain

I Q
Qk [2n] = S 0 2p [2n] + j S 0 2p+1 [2n]
X
L/21
km
= qk [2n]WL/2 (3.48)
m=0

where

qk [2n] = rk1 [2n] + rk2 [2n]WLk (3.49)

I Q
This shows that the designed terms, S 0 2p and S 0 2p+1 can be conveniently obtained
by combining rk2 [2n] and rk1 [2n] according to (3.44) and applying an L/2 point IDFT
to the results.
 66

Following the same line of thoughts for the odd time indexes, it can be shown
that

Q I
Qk [2n + 1] = S 0 2p [2n + 1] + j S 0 2p+1 [2n + 1]
X
L/21
km
= qm [2n + 1]WL/2 (3.50)
m=0

with

qk [2n + 1] = rk1 [2n + 1] + rk2 [2n + 1]WLk (3.51)

and

1 0
rk1 [2n + 1] = sk [2n + 1] s0 L/2k [2n + 1]
2


+ s0 L/2+k [2n + 1] s0 Lk [2n + 1] (3.52)

and

1 0
rk2 [2n + 1] = s k [2n + 1] s0 L/2k [2n + 1]
2


s0 L/2+k [2n + 1] + s0 Lk [2n + 1] . (3.53)

I
This shows that the desired terms, S 0 Q 0
2p [2n+1] and S 2p+1 [2n+1] can be conveniently

obtained combining rk1 [2n + 1] and rk2 [2n + 1] according to (3.51) and applying an
L/2 point IDFT to the results. The obtained receiver structure is presented in Fig.
3.16.

3.3.4 Equalization
In the case of SMT, if the bandwidth of each subcarrier is sufficiently narrow,
gain of channel on each subcarrier can be approximated by a fixed complex value.
Therefore, once the channel gains are obtained, one may choose to use a single-tap
complex equalizer per subcarrier channel. In that case, the gains of the equalizers
are the inverse of the channel gains at the center frequency of each subcarrier
channel. In order to be able to apply the inverse of the complex channel, we need
 67

sQ
1 [n]
2 !{}

z1
sI0 [n]
2 !{}
sQ
0 [n]
2 !{}

s!0 [n] j z1
y[n] q0 [n]
L/2 E0 (z 2 ) Q0 [n] sI1 [n]
2 !{}

z 1
Subcarrier Combination

s!1 [n] q1 [n] sQ

L/2 E1 (z 2 ) N 2 [n]
2 !{}

1
L/2 Point IDFT (j)N 2
z1
z sIN 2 [n]
2 !{}

sQ
N 2 [n]
2 !{}
(j)N 1
z1
QN/21 [n] sIN 1 [n]
z 1 2 !{}
s!L1 [n] qL/21 [n]
L/2 EL1 (z 2 )

s!k [n]/4

s! L/2k [n]/4 ! ! ! rk1 [n]
! qk [n]
(1)n
s! Lk [n]/4 ! !
! rk2 [n] !

n
s! L/2+k [n]/4 (1) WLk

Figure 3.16: Block diagram of type-III polyphase implementation of SMT receiver.

 68

to have access to the complex output of each channel before taking the real value
of the signal. We have access to the complex signal at the polyphase structure of
type-I and type-II. However, in case of the polyphase structure type-III, we do not
have access to the complex output of each subcarrier. This indeed happens because
of our assumption that we do not need the imaginary part of a signal when the real
part is our desired signal and vice versa. Therefore, while the type III transmitter
can be used as an efficient implementation, type III receiver implementation may
not be used in frequency selective channels. Furthermore, same problem exists with
the type III receiver implementation when carrier offset needs to be estimated. We
will have more elaborate description of carrier offset compensation in Chapters 4
and 5.

3.4 CMT Polyphase Structure

In order to implement a polyphase structure for CMT, we can rewrite xk (t) in
(2.24) as
 X
+ 
j
xk (t) = sk [l]h(t lT )e j 2T (tlT )
ek( T t+ 2 )
l=
 X
+ 
j
= (j) sk [l]h(t lL) ej 2T t ek( T t+ 2 ) .
l
(3.54)
l=

Therefore, it is possible to replace the modulated filter h(t)ej 2T by h(t) and

a modulator to carrier frequency 2T
while multiplying (j)n to the input signal.
Furthermore, by moving the phase rotation of k/2 from the exponent to the input
signal, the discrete-time implementation of the kth branch can be obtained as
 X
+ 
jk
xk [n] = (j) (j) sk [l]h[n lL] ej 2L n e L n .
k l
(3.55)
l=
j kn k
Noting that e L = (1)lk ej L (nlL) , We have
 X
+ 

xk [n] = (j) (j) (1) sk [l]hk [n lL] ej 2L t .
k l lk
(3.56)
l=

X(z), the z-transform of x[n], is obtained as

X
N 1
X(z) = Xk (z) (3.57)
k=0
 69

where Xk (z) is the z-transform of xk [n]. If we define, x0k [n] as

X
+
x0k [n] = (j)k (j)l (1)lk sk [l]hk [n lL] (3.58)
l=

we have

Xk0 (z) = j k Sk ((1)k jz L )Hk (z). (3.59)

X 0 (z) is defined as

X
N 1
0
X (z) = Xk0 (z). (3.60)
k=0

and also
X
kn
Hk (z) = h[n]z n W2L . (3.61)
n

Using (3.59), (3.60), and (3.61), we obtain

X
N 1 X
0
X (z) = j k Sk ((1)k jz L )h[n]z n W2L
kl
. (3.62)
k=0 n

We can use the a 2L polyphase representation for the filter Hk (z) to derive

X
N X
1 2L1
X 0 (z) = j k Sk ((1)k jz L )W2L
kl
El (z 2L )z l (3.63)
k=0 l=0

where El (z) is the z-domain representation of el (n) is defined as

el (n) = h(2Ll + n). (3.64)

We have

1/2
X 0 (z) = X(zW2L ). (3.65)
 70

1/2
Therefore, in order to derive X(z), we need to replace z by zW2L . X(z) can
be obtained as
X
N X
1 2L1
1/2
X(z) = j k Sk ((1)k z L )W2L
kl
El (z 2L )(zW2L )l . (3.66)
k=0 l=0

which can be rewritten as

X
2L1
1/2 l
X
N 1  
2L k k L kl
X(z) = (zW2L ) El (z ) j Sk ((1) z )W2L . (3.67)
l=0 k=0

Using (3.67), and the properties of multirate systems, one can draw the structure
in Fig. 3.17.
At the receiver, we need to pass the receive signal through the filterbank and
then we need to take the real values of the signal to get transmitted signal from
the VSB signal. After straightforward derivations similar to the derivation of the
transmitter, the complex signal before the real value operation can be written as

1/2
Xk [(1)k z] = (j)k Hk (zW2L )X(z) (3.68)

s0 [n]
E0 (z 2 ) L
j
(1)n j 1/2 1

W2L z

s1 [n]

2L-Point IDFT

E1 (z 2 ) L

1/2 1
W2L z
Nn
(1) j N 1 j N 1
sN 1 [n]

0 1/2 1
W2L z

0 E2L1 (z 2 ) L

Figure 3.17: Block diagram of polyphase implementation of CMT transmitter.

 71

where Xk (z) are the signal value before taking the real value in Fig. 3.18. By
replacing Hk (z) by its polyphase elements we get

X
2L1
1/2
k
Xk [(1) z] = (j)k W2L
kl
El (z 2L )(zW2L )l X(z) (3.69)
l=0

Therefore, one can show that Fig. 3.18 presents the polyphase structure for receiver
filterbanks.

3.4.1 Equalization
In the case of CMT, also, if the subcarrier spacing is such that we can use
the flat gain approximation over each subcarrier, one can show that inverse of
channel needs to be applied to the complex value signal before the real value is
obtained. The polyphase CMT implementation described here provides access to
the complex value signal and thus a channel inverse may be applied. More details
on the equalization CMT are investigated in [21] and [41]. Moreover, [21] has

s0 [n]
L E0 (z 2 ) !{}

1/2 1
W2L z
j (1)n
s1 [n]
2L-Point IDFT

L E1 (z 2 ) !{}
1/2 1
W2L z

(j)N 1 (1)N n
sN 1 [n]
!{}
1/2 1
W2L z

L E2L1 (z 2 )

Figure 3.18: Block diagram of polyphase implementation of CMT receiver.

 72

shown that the CMT signal has some features that enable blind adaptation of the
equalizers.

3.4.2 Summary
Polyphase technique for implementation was presented. Polyphase implemen-
tation of synthesis and analysis filterbanks were derived. The general polyphase
structures were used as an basis to come up with a concise derivation of polyphase
structures for SMT. The new formulation was used to show that the third polyphase
implementation is not functional for frequency selective channels. Polyphase struc-
ture for CMT systems was also discussed.
 CHAPTER 4

PREAMBLE DESIGN FOR FILTERBANK

MULTICARRIER SYSTEMS

Successful implementation of any communication system, including multicar-

rier systems, requires mechanisms for carrier and timing acquisition and tracking.
Moreover, in packetized data, each packet is equipped with a preamble that is
specifically designed to facilitate fast tuning of carrier frequency and timing phase
at the receiver, upon the receipt of each packet. In OFDM-based systems, such as
IEEE 802.11a, g and 802.16e, the preamble consists of two parts: a short preamble
followed by a long one [42], [43]. The short preamble is constructed by adding a few
well separated tones to allow a coarse acquisition of carrier frequency offset (CFO),
with a wide lock range. The short preamble is also used to adjust the gain of an
automatic gain control (AGC) at the receiver input. The long preamble consists of
a cyclic prefix followed by two full cycles of an OFDM symbol. This can be used
for fine tuning of the carrier frequency and adjustment of the timing phase as well
as the frequency domain equalizers [44].
This chapter borrows the ideas of short and long preamble from the OFDM
standards/literature and extends them to the FBMC systems. We note that the
short preamble as proposed for IEEE 802.11a, g and 802.16e can be adopted, as it is,
to any FBMC system and, thus, we propose to use it for adjustment of the AGC gain
and for a course acquisition of the carrier frequency. However, the long preamble
used in the OFDM systems is not applicable to the FBMC systems. The presence
of cyclic prefix in OFDM isolates successive symbol frames and also allows some
tolerance with respect to timing phase offset. In the FBMC systems, on the other
hand, the extended length of the subcarrier band filters (equivalently, the prototype
 74

filter) results in significant overlap of successive symbol frames. Moreover, because

of the absence of any guard interval between successive symbol frames, the timing
phase in FBMC system cannot tolerate any significant offset. To deal with these
issues, we propose to use a long preamble which is isolated from the short preamble
and also from the payload of the packet. This is done by adding sufficient gaud
time/null space after the short preamble and before the payload. After an initial
tuning of carrier frequency and timing phase, tracking algorithms should be used
to make sure that the receiver remains locked to the rest of the incoming packet.
In the past, a number of authors have looked into the problem of carrier and
timing synchronization in FBMC communication systems [45] - [46] . However,
the approaches taken in these studies are different from the work presented in
this dissertation. While we use pilot symbols (preambles) for carrier and timing
acquisitions, most of the past works operate based on the statistical properties of
the FBMC signals, i.e., they are blind methods. Bolsckei was the first to propose a
blind carrier offset and timing estimation method for the berg FBMC method [45].
It relies on second-order statistics and cyclostationarity of the modulated signals.
Also, it acknowledges that when all subcarrier channels carry the same amount
of power, the (unconjugate) correlation function of multicarrier signals vanishes to
zero and thus proposes unequal subcarrier powers (subcarrier weighting) to enable
the proposed synchronization methods. Noting this, Ciblat and Serpedin have
developed a carrier acquisition/tracking method using the conjugate correlation
function of SMT signals which they found exhibits conjugate cyclic frequencies at
twice the carrier frequency offset (CFO) [47]. Fusco and Tanda [48] have taken
advantage of both the conjugate and unconjugate cyclostaionarity of the SMT
signals to derive a maximum likelihood CFO estimator. Other related works can
be found in [49] and [50]. A more elaborate review on the blind synchronization
methods is presented in Chapter 5. An exception to the above works is [51] where
the authors propose a synchronization method that uses a known periodic pilot
signal, similar to the short preamble in IEEE 802.11a and g, and IEEE 802.16e, [42],
[43] and the one that is considered in this chapter. Fusco et al. had derived a
 75

data-aided joint CFO and symbol timing estimator. The training sequence in their
method is similar to the short training in 802.11 OFDM system, and consists of
Nrip identical blocks each of duration of QT where T is duration of one FMT
or SMT symbol. The methodology used in [51] is similar to the synchronization
methods used in preamble of OFDM systems which are described in section 4.1.
This method requires Nrip Q FBMC symbols. Also, more recently and independent
of the work in this dissertation, Fusco et al. [46] have proposed a pilot signal similar
to the long preamble proposed in this dissertation. Fusco et al. [46] use this pilot
signal for timing recovery and carrier phase estimation, based on a cost function
which is different from the one proposed in this dissertation. Simulation results that
compare the accuracy of the timing recovery method of [46] with the one proposed
in this chapter are presented in Section 4.6. Furthermore, the described method
in [51] and [46] does not provide a methodology for AGC and channel estimation.
In this dissertation, we propose a data aided method and a packet format that
address AGC, carrier and timing synchronization and channel estimation [52].
In this chapter, we first present a literature survey on preamble designs used in
OFDM systems. Then we present our proposed preamble design for FBMC and
the corresponding techniques for carrier and timing synchronization. Simulation
results are presented at the end of the chapter.

4.1 Preamble Design in OFDM Systems

Herein, we have a brief review of the literature on preamble design in OFDM
communication systems. The first task of preamble is packet detection and coarse
timing recovery. Transmitting a null reference block is among the first algorithms
proposed by Nogami and Nagashima for packet detection [53]. In this method the
drop of the received power is used to find the beginning of a packet. This method is
inaccurate and not suitable for burst transmission where the channel might be idle
for a long time. The most popular approach for packet detection is using repetitive
structures in the time domain. This method was first proposed by Schmidl and
Cox. The reference block in this method consists of two identical sequences, each
 76

half a symbol length. To elaborate, in the Schmidl method, if the channel impulse
response is shorter than the cyclic prefix (CP), two identical blocks will be received
at the receiver side when there is no carrier offset. Peaks of the correlation function
among the repeated parts reveal the beginning of packet. The cost function for
packet detection is defined as follows:

X
M/21
y[n + m + M/2]y[n + m]
m=0
M [n] = (4.1)
X
M/21
|y[n + m + M/2]|2
m=0

where y[n] is the received symbol. A packet is detected if |M [n]| passes a given
threshold. One of the main challenges in the Schmidl and Cox method is how
to adjust the threshold so that the packets can be detected reliably while the
probability of misdetection remains at an acceptable level. It has been noted in
the literature that the Schmidl and Cox method suffers from a large plateau on the
peak. This plateau results in inaccuracy in the estimation of timing. As a solution
to this problem, training sequences with sharper metric have been proposed.
After the packet is detected and the initial timing acquisition is performed,
the carrier acquisition must be accomplished. Carrier frequency acquisition is also
normally performed using the preamble structure at the beginning of a packet.
The most popular method is exploiting repetitive structures. These repetitive
structures are phase rotated if carrier offset is present. The induced phase shift
can be used to estimate the carrier offset. Assuming that the y1 [n], and y2 [n] are
the received signals corresponding to the first and the second components of the
repetitive preamble:
y1 [n] = p[n]ej2f n/M + 1 [n] (4.2)

y2 [n] = p[n]ej2f (n+Np )/M + 2 [n] (4.3)

where p[n] is the received signal component of the repetitive preamble; 1 (n) and
2 (n) are the noise components of the received signal. The estimate of carrier offset
can be calculated as:
 77

1 X
Np 1
c =
f { y2 [n]y1 [n]} (4.4)
2Np /N n=0

where NP is the length of the preamble. Since returns values in the range of
c | N . Therefore, solutions
[, ), the maximum detectable carrier offset is |f 2Np

have been proposed to increase the lock range of the frequency acquisition method.
The carrier offset can be broken into two parts: the part that is an integer multiple of
the subcarrier spacing, and a part that is a fraction of carrier spacing. Schmidl and
Cox estimate the fractional part using the mentioned repetitive training sequence.
Furthermore, they transmit two PN sequences (P N1 and P N2 ) to calculate the
integer part of the carrier offset. P N1 is transmitted on the even subcarriers, and
P N2 is transmitted on the odd subcarriers. They first detect the fractional part and
compensate it before they process the second part of preamble for estimating the
integer part. Thus when the two PN sequences are processed, only an integer offset
is remaining. As a result, the received PN sequences after DFT are only cyclicly
rotated due to uncompensated integer frequency. The amount of rotation can be
easily calculated by cyclicly rotating the received signal and finding the preamble
that maximizes the correlation with the transmitted PN sequence. The value of
the rotation is the integer part of carrier offset.
The alternative method to extend the lock range of the frequency acquisition
is proposed by Morelli and Mengali [54]. They divide an OFDM symbol to Q > 2
identical parts of N/Q samples. They estimate the CFO

1 X
Q/2
c =
f (q){[q] [q 1]} (4.5)
2/Q q=1

where [q] is qN/Q lag autocorrelation and is calculated as:

X
o+N 1qN/Q
(q) = y[k + qN/Q]y [k], q = 1, 2, ..., Q/2 (4.6)
k=o

and [q] is defined as

12(Q q)(Q q + 1) Q2
(q) = (4.7)
2Q(Q2 1)
 78

4.2 FBMC Packet Format

Fig. 4.1 presents the packet format of IEEE 802.11a [42]. The short training
(preamble) consists of 10 cycles of a periodic signal. It is effectively an 8 s long
summation of 12 tones at the subcarrier numbers {24, 20, 16, 12, 8, 4,
4, 8, 12, 16, 20, 24}. We may also recall that the active data and pilot subcarriers
in IEEE 802.11a are numbered 26 through 26, excluding 0. The long training
(preamble) starts with a guard interval (a cyclic prefix), GI2, followed by two
cycles of the same OFDM symbol, T1 and T2 . By the end of the long training, all
synchronization steps (carrier tuning and timing recovery) have to be completed and
the receiver should be ready to correctly detect the payload part of the packet. The
payload begins with an OFDM symbol called signal field which contains information
such as the length of the payload, the data rate and the channel code.
Following the same idea as in IEEE 802.11a, we propose the packet format
shown in Fig. 4.2. The short training (preamble) remains the same as the one in
Fig. 4.1. The long training (preamble) is an isolated FBMC symbol/frame which
is positioned such that the transients of the underlying filters do not overlap with
the short training and the payload parts of the packet. In other words, the length
of the long training should be at least equal to the length of the prototype filter1
h(t). We note that, in practice, when the available bandwidth to both OFDM and
FBMC system is the same, the length of h(t) is typically equivalent to 6 OFDM

1
We note that since a matched filter h(t) is applied at the input of the receiver, strictly speaking,
the length of the long preamble after filtering at the receiver is at least twice the duration of h(t).
However, since the tails of the response at the beginning and end are small, we found, numerically,
restricting the length of the long preamble to the length h(t) does not incur any significant loss
in performance.

signal field
short training (8 s) long training (8 s) (4 s) data

t1 t2 t3 t4 t5 t6 t7 t8 t9 t10 GI2 T1 T2 GI SIGNAL GI Data 1 GI Data 2

Figure 4.1: Packet format in IEEE 802.11a.
 79

signal
short training long training field data

t1 t2 t3 t4 t5 t6 t7 t8 t9 t10 SIGNAL Data 1 Data 2

optimum timing phase
(center of the long training)

Figure 4.2: The proposed packet format for FBMC systems.

symbols; see the design example in [38]. It thus may appear that with the proposed
preamble, FBMC is less bandwidth efficient than OFDM. However, the absence of
guard intervals (cyclic prefix) in FBMC will result in a shorter payload and, thus,
the overall packet length in an FBMC system is expected to be shorter than its
counterpart in OFDM.

4.3 Carrier Acquisition

As in IEEE 802.11a, we use the short training part of the preamble for setting
the AGC gain and a coarse acquisition of the carrier frequency. Since this has been
well studied and reported in the literature, e.g., [55] and [56], here, we concentrate
on the design of the long training and its application to fine tuning of the carrier
frequency.
As long training, we use a single frame of binary phase shift keying multicarrier
signal [52] that is defined as
N
1
X
2
2k
xlong (t) = ak h(t)ej T t (4.8)
k=0

where ak are a set of binary numbers with magnitude K, i.e., they take values of
K. We may choose ak s to optimize certain properties of xlong (t), for instance, to
minimize its peak to average power ratio (PAPR). This optimization is of particular
interest as it will allow maximization of signal power during the training phase
which, in turn, improves the accuracy of the carrier frequency and timing phase
estimates. The power spectral density of our proposed preamble is presented in
Fig. 4.3.
 80

Power Spectral Density in dB

20

40

60

80

100

0.5 0 0.5
F

Figure 4.3: Power spectral density of the proposed long preamble.

Assuming the channel has an equivalent baseband impulse response c(t), the
long training symbol will be received as

ylong (t) = xlong (t) ? c(t) + v(t) (4.9)

where v(t) is the channel additive noise. Taking the Fourier transform of on both
sides of (4.9) and using (4.8), we obtain

Ylong (f ) = A(f ) + V (f ) (4.10)

where
N
X
2
1  
2k
A(f ) = ak C(f )H f . (4.11)
k=0
T
Squaring both sides of (4.10), we get

|Ylong (f )|2 = |A(f )|2 + |V (f )|2 + 2<{A (f )V (f )}. (4.12)

Assuming a low noise channel, one may ignore the term |V (f )|2 on the right-hand
side and thus simplify (4.12) to

|Ylong (f )|2 = |A(f )|2 + 2<{A (f )V (f )}. (4.13)

 81

Assuming that the channel noise v(t) is a complex symmetric white stationary
Gaussian process with an instantaneous variance of v2 , V (f ) also will be a complex-
valued symmetric white stationary Gaussian process with an instantaneous variance
of v2 . Hence, <{A (f )V (f )} will be a real-valued white nonstationary Gaussian
process with an instantaneous variance |A(f )|2 v2 /2 and, accordingly, (4.14) may
be rewritten as
|Ylong (f )|2 = |A(f )|2 + |A(f )|V 0 (f ) (4.14)

where V 0 (f ) is a real-valued white stationary Gaussian process with an instanta-

neous variance v20 = 2v2 .
Equation (4.14) corresponds to the case where there is no carrier offset between
the transmitter and receiver. In the presence of a carrier frequency offset f , (4.14)
converts to
|Ylong (f )|2 = |A(f f )|2 + |A(f f )|V 0 (f ) (4.15)

or, alternatively,
|Ylong (f )|2
= |A(f f )| + V 0 (f ). (4.16)
|A(f f )|
Since V 0 (f ) is a white noise, a maximum likelihood (ML) estimate of f , say
c , may be obtained by minimizing the following cost function
f
Z !2
c) = |Y long (f )|2
c | df
(f |A(f f
|A(f f c|
Z  2
1 c |2 df.
= |Ylong (f )|2 |A(f f (4.17)
|A(f f c |2

This integral, unfortunately, becomes problematic for values of f where |A(f )| is

small. When |A(f )| is small, the term |V (f )|2 that was ignored in the equations
following (4.12) will become significant and thus may not be ignored. To deal
with this situation, we suggest the following modification to (4.17). The integral
is performed over ranges of f that |A(f )| is above a certain threshold. Finding an
optimum value of this threshold, unfortunately, is not a straightforward task. On
the other hand, as will be shown in Section 4.6, other alternative cost functions
that are introduced below may prove more useful in practice.
 82

1
If we simply ignore the scaling factor c |2
|A(f f
under the integral (4.17), we
obtain the modified/simplified cost function
Z  2
c
(f ) = c
|Ylong (f )| |A(f f |
2 2
df. (4.18)

c ) can be easily reformulated as

The minimization (f
Z
c
f = arg max c |2 df.
|Ylong (f )|2 |A(f f (4.19)
f
c

c through minimization of either of the cost functions (f

Estimation of f c)
c ) requires a priori knowledge of A(f ) which, in turn, requires knowledge of
and (f
the channel, C(f ), that we also wish to estimate as part of the receiver initialization.
In the numerical results presented in Section 4.6, we assume C(f ) is known when
c ). However, as practical estimators, we concentrate on (4.19), and
minimizing (f
when using this estimator, we simplify the problem by considering the following
approximations.

1. We ignore the channel effect and simply assume that C(f ) = 1, i.e., an ideal


channel. Noting that the terms H f 2kT
are nonoverlapping, this leads to

1   N
2
X
2
 2k 
|A(f )| = K
2 H f
2  . (4.20)
 T 
k=0

2. We note that when channel noise is small, |Ylong (f )|2 resembles the shape of
|A(f f )|2 accurately and, thus, |Ylong (f )|2 may be used to estimate the


magnitude of C(f ) at each of the bands defined by the terms H f 2k T
and,
accordingly, an approximation to |A(f )|2 , may be constructed as
N
1   2
X
2
 2k 
|A(f )| = K
2 2
|Ck | H f
2  (4.21)
k=0
T 

where Ck = Ylong ( 2k
T
) is an estimate of C(f ) at f = 2k
T
.
 83

4.4 Timing Acquisition

Once the CFO, fc , is estimated and the long training preamble is compensated
accordingly, the optimum timing phase is estimated by taking the following steps.
The CFO-compensated long training is passed through an analysis filter bank that
extracts the transmitted training symbols ak s. Recalling that the long training
consists of a number of isolated subcarrier symbols across both time and frequency,
we note that, in the absence of channel distortion, at the optimum timing phase,
the analyzed subcarrier signals reach their maximum amplitudes independent of one
another. The presence of channel introduces some distortion in the signal such that
the optimum timing phase may not be the same for different subcarriers. It is thus
reasonable to check the energy of the analyzed signals and choose the timing phase
that maximizes the total energy of demodulated signals across all the subcarriers.
Fig. 4.4 presents the signal analyzer that we propose for timing acquisition. It
is a polyphase filter bank with N/2 bands, with E0 (z) through E N 1 (z) being the
2

polyphase components of the prototype filter h[n]; a discrete-time version of h(t).

The input ylong [n] is a sampled version of ylong (t). The optimum timing phase is,
thus, obtained as
N
1
X
2

nopt = arg max |yk [n]|2 . (4.22)

n
k=0

Using the Parsevals theorem for DFT, (4.22) may equivalently be written as
N
1
X
2

nopt = arg max |uk [n]|2 (4.23)

n
k=0

where uk [n] are the signal samples at the FFT input in Fig. 4.4. This shows that
the optimum timing phase can be obtained without performing any FFT operation.
In a recent work Fusco et al. [46] have also proposed the use of an isolated
FBMC symbol (similar to the proposed long preamble in this dissertation) for
timing acquisition. They have noted that in the absence of channel distortion, such
a symbol is symmetric with respect to its center and have developed the following
equation for timing acquisition.
 84

ylong [n] N
u0 [n] y0 [n]
E0 (z 2 )

z 1

N u1 [n] y1 [n]
ylong [n 1] E1 (z 2 )

z 1 N
2 -point
FFT
.. ..
. .

z 1

N
u N 1 [n] ylong [n]
E N 1 (z 2 ) 2

N 2
ylong [n 2 + 1]

Figure 4.4: The signal analyzer for timing acquisition.

 
(M 1)/2 
 X 
nopt 
= arg max  ylong [n i]ylong [n + i] (4.24)
n
 i=1 

where M is the length of ylong [n]. It is also noted in [46] that the symmetry
property of the isolated FBMC symbol holds approximately in presence of channel
and, thus, argued that the same formula may be used for timing acquisition in
multipath/frequency selective channels.
It is also worth noting that while in the absence of the channels distortion,
both (4.23) and (4.24) provide the optimum timing phase, they only result in a
near optimum timing phase when a channel distortion and/or noise present. We
evaluate the accuracy of the two methods and compare them with each other in
Section 4.6.

4.5 Equalization
Once the preamble is CFO-compensated, and the optimum timing phase is
acquired, assuming a flat gain over each subcarrier channel, the outputs of the
 85

signal analyzer of Fig. 4.4 are the training symbols ak s scaled by the channel gains
at the center frequencies 2k
T
, k = 0, 1, , N/2. Moreover, if we assume that these
samples are dense enough, an interpolation may be applied to find the channel gains
at all frequency points where the payload subcarrier channels will be located. Note
that the locations of the center of subcarrier channels depend on the modulation
type, say, being CMT or SMT. Once the channel gains are obtained, one may choose
to use a single-tap complex equalizer per subcarrier channel. In that case, the gains
of the equalizers are the inverse of the channel gains at the center frequency of each
subcarrier channel. It is also possible to use a multitap equalizer per subcarrier.
This has been discussed in detail in [17], for the SMT, where it is argued that
to remove ICI, the equalizers should be fractionally spaced ones. The receiver
structure proposed in [17] is tailored towards implementation of the half-symbol
spaced fractionally spaced equalizers.
In the case of CMT, the equalizers shall be inserted at the points before the <{}
blocks in Fig. 2.2. The efficient CMT implementations proposed in [41] and [21]
provide access to these points and thus equalizers can be easily implemented.
In the case of SMT, if one follows an implementation that mimics the receiver
structure of Fig. 2.1, the equalizers should be inserted at the points right before
where the demodulated signals branch to the <{} and ={} blocks. If that is
the case and decision directed loops are adopted for the equalizers tracking, the
presence of the filters h(t) and h(t + T2 ) within the loops may introduce excessive
delay which may result some undesirable behavior. Fortunately, in the case of SMT
also the efficient polyphase structures that have been proposed in the literature,
say, [17], are such that the <{} and ={} blocks are moved to the output of the
filters h(t) and h(t + T2 ) and thus avoid the problem of loop delay.

4.6 Simulation Results

In this section, the performance of the proposed packet format is evaluated
through a set of numerical tests. We consider a random sampled channel with
delay-power profile
 86

[n] = e0.85n , for n = 0, 1, 2, , 15 (4.25)

where the samples are spaced at the interval T /64, and T , in units of seconds, is
the symbol interval in the case of SMT. We assume a transmission bandwidth of
20 MHz which is divided into N = 64 subcarriers. This results in the subcarrier
spacing (20 MHz)/64 = 312.5 kHz and the symbol interval T = 1/0.3125 = 3.2 s.
Signals are generated at an over-sampled rate of four times faster than their Nyquist
rate, i.e., at a sample interval Ts = T /(4N ) = T /256. This will allow us to adjust
the timing phase with an accuracy of Ts which is four times better than the Nyquist
rate T /N . We also recall that since in the CMT, modulation is VSB, if the same
subcarrier spacing as in the SMT is assumed (because of the reasons mentioned
in [38]), the symbol interval will be T /2.
We use a short preamble similar to that of IEEE 802.11a and g in our packets,
i.e., 10 cycles of a periodic signal with period of 0.8 s. The long preamble is an
isolated SMT symbol in which the even subcarriers are filled up by a set of binary
phase-shift keying (not QAM, OQAM or VSB) symbols, and the odd subcarrier
are filled up with zeros, as in (4.8). The binary symbols ak are selected through
a random search to minimize the peak power of xlong (t). This combined with the
fact ak s are nonzero only at even subcarriers will allow us to reduce the peak
amplitude of xlong (t) to about 9 dB below that of the payload, assuming that the
pilot symbols ak have the same power as the payload symbols sk [n]. We add this
margin of 9 dB to xlong (t) and transmit a high-powered long preamble. Since this
boosts the SNR of the long preamble, it leads to a more accurate carrier estimation
and timing recovery. To allow reproduction of the results presented here by an
interested reader, we note that the samples of xlong (t), at the rate fs = 4N/T , are
generated using the following instructions in MATLAB:
N=64; L=4*N; K=6; alpha=1; gamma=1;
h=sr Nyquist p(K*L,L,alpha,gamma);
a=sign(randn(N/2,1));
xlong=H*a;
where sr Nyquist p(N,M,alpha,gamma) is a square-root Nyquist filter design pro-
gram that has been developed in [37]. The designed filter h[n] has a length of
 87

KL + 1 and h[n] ? h[n] has zero crossings at an interval L samples. Also, in the
above MATLAB lines, H is a (KL + 1) (N/2) matrix with the k column of
k k k
hk = [h[0] h[1]ej4 L h[n]ej4 L n h[KL]ej4 L KL ]T , k = 0, 1, , N/2.
(4.26)
Fig. 4.5 presents the mean square error (MSE) of the residual CFO (normalized
to the carrier spacing) after tuning the carrier using the long preamble. The three
methods discussed in Section 4.3 are examined. These methods are: (i) correlation-
based estimation according to (4.19) with the channel included using (4.21); (ii)
correlation-based estimation assuming an ideal channel, i.e., using (4.19) and (4.20);
and (iii) ML-based estimation using the cost function (4.17). For the latter case,
the threshold levels of 10% 25% of the maximum of |A(f )|2 are examined. It is also
assumed that A(f ) is known perfectly. The results presented in Fig. 4.5 have been
averaged over 10,000 randomly generated channels.
From the results presented in Fig. 4.5, the following observations are made.
While at lower SNR values, the correlation-based methods are superior to the ML
estimator, at higher values of SNR the latter performs better. This can be explained
if we recall that the approximation used to derive the ML estimator improves as
SNR increases. In high SNR regime (> 15 dB) all methods result in a relatively
low residual CFO. Hence, in practice, all methods may work satisfactorily and thus
one may choose the one with the lowest complexity. On the other hand, in low
SNR regime (< 15 dB) the correlation-based methods outperform the ML method.
Furthermore, the correlation-based methods have lower computational complexity
than the ML methods; compare the relevant equation in Section 4.3. Noting these,
we conclude that the correlation-based CFO estimation methods are better suited
in any practical FBMC system.
After carrier acquisition, the CFO-compensated long preamble is used for timing
acquisition. In Section 4.4 we developed a formula (equation (4.23)) for timing
acquisition and noted that a different formula (equation (4.24)), applicable to our
packet setup, has been recently proposed by Fusco et al. [46]. To evaluate the
performance of (4.23) and compare it with the results obtained using (4.24), we run
 88

0
10
Corr, Ch. included
Corr., Ch. not included
2 ML, Threshold at 10%
10
ML, Threshold at 25%

4
10
f
2

6
10

8
10

10
10
0 5 10 15 20 25 30
SNR, dB

Figure 4.5: Residual CFO of the proposed long preamble-based carrier acquisition
methods. The vertical axis shows the MSE of residual CFO normalized to the
subcarrier spacing of the payload. The horizontal axis indicates the SNR during
the payload part of the packet.

the following experiment. The channel introduced at the beginning of this section
is included and 10,000 SMT packet are examined, each with a randomly selected
channel. No channel noise was added. The short preamble of each packet is used
for course carrier acquisition. The acquired carrier is removed from the preamble
portion and further tuning of carrier is performed using the method discussed in
Section 4.3. Then, (4.23) and (4.24) are used for timing acquisition. Subsequently,
the equalizer coefficients are set using the method presented in Section 4.5. The
payload part of the packet is then processed using the tracking algorithms discussed
in Sections 5.2 and 5.3. As a measure of performance, the mean square error (MSE)
of the recovered symbols compared with the transmitted symbols are evaluated and
averaged across time and all subcarrier symbols. Since there is no channel noise in
this set of simulations, the measured MSE is caused by the residual ISI and ICI.
 89

We thus evaluate the signal to interference ratio of each packet as

s2
SIR = 10 log10 (4.27)
MSE
where s2 = E[|s[n]|2 ] is the symbol power. The results of this set of tests are
compiled and presented in the form of a histogram in Fig. 4.6. The following
observations are made from the histogram:

For better channels (with smaller multipath effects), Fusco et al. method
performs better. These are cases with SIR of more than 50 dB.

On the other hand, in channels with higher level of distortion, the method
proposed in this dissertation shows superior performance.

Since in practical channels SNR values are often below 30 dB, it is reasonable
to say that both methods have satisfactory performance. Nevertheless, one

3000
Proposed method
Fusco et al method
2500

2000

1500

1000

500

0
20 30 40 50 60 70 80
SIR, dB

Figure 4.6: SIR comparison of (4.23) and (4.24). The histogram are based on
testing over 10000 randomly generated channels.
 90

may argue that the method proposed in this dissertation may be preferred
over that of [46], as SIR values in the range of 40 dB or below are more
destructive than those in the range of 50 dB or greater.

4.6.1 Sensitivity Discussion for SMT and CMT

It was shown in sensitivity discussion in Chapter 2 that a CFO of less than
0.02 of carrier spacing results in SIR of more than 30 dB. As can be seen from
Fig. 4.5, if SNR is larger than 4 dB the MSE of CFO for all four methods discussed
CFO estimation is less than 0.02 and thus the target precision can be comfortably
achieved with our preamble design. Furthermore, we saw in Chapter 2 that for
timing offset of less than 0.016T , the resulting SIR is greater than 30 dB. Fig. 4.6
shows that the MSE of timing offset is less than 0.016T . Therefore, the designed
preamble can easily work in low SNR and provides us with an accurate timing offset
estimate.
Using the designed preamble the desired precision for carrier and timing offset
can be achieved. The tracking algorithms described in Chapter 5 are used to
maintain the offset at the desired level and to mitigate any timing and carrier
drifts that may happen during the frame.

4.7 Summary
A packet format for transmission of FBMC signals was proposed. The proposed
packet format follows an structure similar to those of IEEE 802.11a and g, and IEEE
802.11n that are based on OFDM multicarrier signaling. It starts with a short
preamble for AGC adjustment and coarse carrier acquisition. A long preamble
for more accurate tuning of the carrier frequency, timing phase acquisition, and
adjustment of the tap weights of a set of frequency domain equalizer then follows.
Once these synchronization steps are performed, the receiver is ready to detect the
data symbols in the payload part of the packet.
 CHAPTER 5

CARRIER AND TIMING OFFSET

TRACKING

In Chapter 4, we proposed a packet structure which can be used for FBMC

communication systems. In this chapter we present novel timing and carrier track-
ing algorithms for SMT and CMT. Blind methods have been proposed for timing
and carrier recovery of FBMC systems and can be applied for tracking purposes.
Unfortunately, blind carrier and timing synchronization methods are complicated
and require a large number of symbols [51]. While it is shown that accurate
CFO estimation algorithm can be implemented by using both the conjugate and
the unconjugated cyclostationary properties of the received signal, the derived
estimators require a large number of SMT symbols and in some cases, these methods
are designed for nondispersive channel. In this chapter we propose decision directed
timing and carrier tracking algorithms for SMT and CMT. We will show that we
are able to successfully track and residual timing and carrier offset in the packet.
In the rest of chapter, we first have an overview over the blind synchronization
techniques in the literature. Then, we discuss our proposed carrier recovery method
for SMT and CMT [52]. Timing tracking is the next in this chapter. Finally,
simulation results are presented for timing and carrier tracking.

5.1 Literature Survey on FBMC Bind

Synchronization Techniques
In this section we have a brief overview over synchronization methods of FBMC.
We discuss the methods that have been applied to SMT. To the best of our knowl-
edge there is no report of any synchronization method for CMT communication
systems.
 92

Bolsckei was the first to propose a blind carrier offset estimation method for
SMT [45]. This method is an extension of Gini-Giannakis [57] estimator for single
carrier systems and is applicable to both OFDM and SMT. The correlation function
of the received signal, y[n],

cy [n, ] = E[y[n]y[n ]] (5.1)

is used to estimate the CFO. It has been shown that cy [n, ] is M periodic with
respect to n if subcarrier weighting is used. The Fourier series of cy [n, ], Cy [k, ]
is then used to derive a blind estimator. It has also been shown that the Fourier
transform of a function of Cy [k, ] with respect to can be used to derive an
estimator for a wider range of carrier offsets. The Bolsckei method needs subcarrier
weighting which is a limiting factor for practical systems. The other issue is
that since the values of subcarrier weights are used in the estimator, the channel
response is needed at the receiver and the channel estimation errors will affect the
performance of Bolsckeis method.
Ciblat and Serpedin have proposed using conjugate correlation which is defined
as
ccy [n, n0 ] = E[y[n]y [n n0 ]] (5.2)

for estimation of carrier offset [47] in SMT systems. This method is an extension of
[58] which is applicable to noncircular modulations. It is shown that the conjugate
correlation of received signal is periodic with period of {0 + Lq }q=0,..,L , where 0 =
(2f mod 1), L is the number of subcarriers, and f is the carrier offset. Cilbat et
al. estimate the frequency of embedded harmonics of the signal by finding the points
that maximize the periodogram of the conjugate correlation function [47]. The
authors have mentioned that since the periodogram has several local maximas, the
coarse estimate might result in outliers. Therefore, they have concluded that their
method is best suited for carrier tracking. The Ciblat method is more complicated
than Bolsckeis method because it requires an FFT based peak search and a steepest
descent fine peak search in addition to the conjugate correlation estimation [59].
 93

Fusco et al. have extended a maximum likelihood CFO estimation for OFDM
systems and noncircular modulations [60] to SMT [50]. They have assumed that
there are many subcarriers in the system and thus the received signal is modeled as
a complex Gaussian random variable. They have used the noncircularity of SMT
in a nondispersive channel to derive an ML algorithm for CFO estimation. The
authors have acknowledged that the ML CFO estimator requires computationally
intensive maximization procedure with respect to a continuous parameter and is
not suitable for implementation. They have proposed a bilinear unbiased estimator
for frequency offset. In this method, B[n] is defined as

1 X
L1
B[n] = y[k + nL]y[M k + nL]. (5.3)
L 1 k=1

v[n] is calculated from B[n] according to

v[n] = arg[B[n]B [n 1]]. (5.4)

Then, the v[n] is used in the following equation to calculate the carrier offset:

3 X1
=
f [nv[n]( n)] (5.5)
2L( 2 1) n=1

is the estimated carrier offset and is the number of samples in the

where f
window of signal which is used for CFO estimation. As can be seen this method is
also computationally expensive.
Fusco et al. have applied their ML method to a system with null subcarriers [50].
They have shown that using null subcarriers in a system with large number of
subcarriers, they can estimate the CFO using ML estimator.
Lin et al. have used correlation function on each subcarrier after downsampling
and filtering to estimate the carrier offset [59]. They have shown that they need
to use subcarrier weighting to be able to extract the offset information from the
correlation function. Lin et al. have also used conjugate correlation function on
the filtered signal on each subcarrier. It is proved in [61] that without subcarrier
weighting or null carriers, the conjugate correlation is zero, and thus they have
 94

proposed using subcarrier weighting or null carriers to have a nonzero conjugate

correlation. The conjugate correlation is then used to estimate the carrier offset [61].
It is shown that if a carrier is nulled, the conjugate correlation of the received signal
on the nulled carrier and the adjacent carriers have information that can be used
for CFO estimation.

5.2 Carrier Tracking

In this section, we describe a carrier tracking method which may be used to
track any residual carrier offset during the payload transmission of an FBMC
data packet. We make the reasonable assumption that the payload starts with
an accurate estimate of the carrier phase. However, without any carrier tracking
loop, the carrier phase may drift over the length of the payload. Hence, the goal is
to design a phase-locked loop (PLL) that forces any built up phase error to zero [52].
Because of their differences, we treat the SMT and CMT separately.

5.2.1 SMT
In an SMT receiver, the phase and quadrature components of the detected data
symbols, before passing through a decision device (a slicer), are given by
X N X1 Z 
I
sk [n] = sIm [l]h( lT )h( nT )
l= m=0
   
2
cos (m k) + + [n]
T 2
sQ
m [l]h( lT T /2)h( nT )
   
2
sin (m k) + + [n] d (5.6)
T 2
and
X X
N 1 Z 
sQ
k [n] = sIm [l]h( lT )h( + T /2 nT )
l= m=0
   
2
sin (m k) + + [n] + f T
T 2
+ sQ [l]h( lT + T /2)h( + T /2 nT )
 m   
2
cos (m k) + + [n] + f T d (5.7)
T 2
 95

where [n] is the demodulator carrier phase angle at time nT . Combining (5.6)
and (5.7) and separating the desired and interference terms, we obtain

sk [n] = sIk [n] + jsQ [n]

Z k
= sIk [n] h2 ( ) cos [n]d
Z

Q
+ jsk [n] h2 ( ) sin ([n] + f T ) d + k [n] (5.8)

where k [n] is the interface resulting from ISI and ICI terms. Although, for brevity,
the channel noise is not included in (5.6) and (5.7), one can argue that k [n] may
include the channel noise as well.
Assuming that f is small enough such that f T  1, hence we have

sin ([n] + f T ) sin([n]). (5.9)

R
Noting that
h2 ( )d = 1 since h(t) is a root-Nyquist filter, (5.8) reduces to

sk [n] sk [n]ej[n] + k [n], for k = 0, 1, , N 1. (5.10)

The goal of the carrier tracking loop is to force [n] to zero. We assume a
receiver structure as in Fig. 5.1. We obtain an averaged estimate of the phase error
[n] as !
X
N 1
[n] = sk [n]sk [n] (5.11)
n=0

where sk [n] is the detected data symbol after passing sk [n] through a slicer and (x)
denotes the angle associated with the complex variable x. The loop filter output
is an estimate of the phase error in y[n] arising from the CFO. Fig. 5.2 depicts the
structure of carrier tracking for SMT .

5.2.2 CMT
Following the CMT transmitter structure that was discussed in Chapter 2 and
was presented in Fig. 2.2 and assuming a phase error [n] at the analysis filterbank
 96

sk [n]s
Analysis sk [n]s
y[n] Slicer
Filter Bank

Phase
ej Estimator

Loop [n]
Filter

Figure 5.1: A PLL equipped FBMC receiver. The input y[n] is the demodulated
received signal.

2n
ejm( M + 2 )
sIm [n]
Re{} h[n] M
sQm [n]
decision
Im{} h[n + M/2] M
Phase Error

Channel z1 kp Subcarriers
Combination
Phase Compensation
ki z1
Integrator Loop Filter

Figure 5.2: A PLL equipped SMT receiver.

 97

input, if we switch the <[] blocks and the sampler, one finds that the input to the
<[] block at the kth subcarrier channel is given by

X
M 1 X
+ Z

sC
k [n]
j[n]
=e sm [l]h( lT )h( nT )ej 2T (nT lT ) ej(mk)( T + 2 ) d
m=0 l=
(5.12)
where the superscript C on sC
k [n] is to emphasize that it is complex-valued.

Separating the terms associated with the desired symbol, sk [n], and the inter-
R
ference terms in (5.12) and noting that h2 ( )d = 1, we obtain

k [n] sk [n]e
sC for k = 0, 1, , N 1.
j[n]
+ k [n], (5.13)

where, as in the case of SMT, k [n] is the interference resulting from ISI and ICI
terms as well as channel noise. Also, following the same line of thoughts as in the
case of SMT, one finds that the PLL structure presented in Fig. 5.1 is applicable
to CMT as well, with (5.11) replaced by
!
X
N 1
[n] = sk [n]sC
k [n] (5.14)
n=0

where s[n] is obtained by passing the real part of sC

k [n] through an slicer. Fig. 5.3

presents the block diagram of CMT carrier tracking algorithm.

Although equations (5.11) and (5.14) look similar and thus one may expect the
same behavior of the associated PLLs, there is a difference that should be noted. In
the steady-state, when [n] is small, (5.11) provides a much less noisy estimate of
[n] as compared to (5.14). This difference arises for the following reasons. In the
case of SMT, the phase and quadrature components of each recovered symbol are
sampled when there is a negligible amount of ISI and ICI. On the other hand, for
CMT systems although at correct sampling time the real part of sC
k [n] may be free

of ISI and ICI, its imaginary part contains a significant level of ISI and ICI. When
the carrier phase is known, the imaginary part of sC
k [n] is simply ignored and thus

has no impact on the decision value sk [n]. However, the relatively large variance
of the imaginary part of sC
k [n] results in a noisy estimate of [n]. Nevertheless, in

systems with the packet format, we have numerically found that since the preamble
 98

s0 [n]
Re{ } decision
N

j 2N n
h[n]e
Im{}
Phase Compensation ej( N n+ 2 )
s1 [n]
Re{ } decision
Channel
!

h[n]ej 2N n N
Im{} sin1 {}

sN1 [n] Ns2
ej(N1)( N n+ 2 )
Re{ } decision


h[n]ej 2N n N
Im{}

z 1 kp

ki z 1
Integrator Loop Filter

Figure 5.3: A PLL equipped CMT receiver.

allows a very good estimate of CFO, to track the residual CFO, in the PLL, one
may use a loop filter with a sufficiently small gain for suppression of the noisy
component of [n].

5.3 Timing Tracking

In an OFDM system, the timing offset can be as long as the length of CP minus
the length of the channel impulse response without any detrimental effect. In a
filterbank communication system, on the other hand, any timing offset results in
ISI and ICI. Hence, timing tracking is an important issue in filterbank multicarrier
systems and has to be given due attention. Furthermore, we note that in standards
such as 802.11n, aggregation is used on data packets to make the system more
bandwidth efficient. As a result, longer packet lengths are being transmitted, which
 99

in turn mandates timing tracking algorithms.

Assuming that the timing offset value , can be adjusted before the analysis
filterbank, one may define the cost function
X
N
[n, ] = |sm [n, ] sm [n, ]|2 (5.15)
m=0

where sm [n, ] is the detected symbol at the output of the mth subcarrier channel,
at time n, when the timing offset value is and sm [n, ] is obtained after passing
sm [n, ] through a slicer. The optimum timing offset is thus tracked by searching
for a value of that minimize [n, ]. A typical early-late gate method, [62], may
be adopted for this purpose.

5.4 Simulation Results

The tracking algorithms presented in Sections 5.2 and 5.3 were also tested
through computer simulations. The short and long preambles were used to acquire
the carrier frequency and timing phase of the received signal. Subsequently, while
the carrier and timing tracking loops were active or deactivated, the performance
of the receiver in detecting the payload information symbols was studied. For
the carrier tracking loop filter we followed [63] and designed a proportional and
integrator loop that also counts for the delay caused by the analysis filterbank. The
filter parameters that were calculated for a critically damped PLL were obtained
as Kp = 0.1208, for the integrator gain, and KI = 0.0068, for the integrator gain.
Assuming a perfect timing phase is available (or could be tracked), Figs. 5.4 and
5.5 present a set of plots that show how the PLL in the CMT and SMT systems
performs, respectively. The results correspond to the case where SNR is 20 dB. The
upper plot in each figure shows the phase error, [n], at the loop filter input. The
lower plot shows the phase jitter, [n], of the input signal to the analysis filterbank.
As discussed in the last paragraph of Section 5.2, the estimated phase error in the
case of CMT is more noisy than its counterpart in the SMT. This is clearly seen
by comparing Figs. 5.4 and 5.5.
Fig. 5.6 presents a sample result of a set of simulations that we ran to explore
the behavior of a timing tracking mechanism that was proposed in Section 5.3.
 100

0.3

0.2

0.1
[ n ]

0.1

0.2

0 100 200 300 400 500 600 700 800 900 1000
S y mb ol i n d e x , n

0.1

0.05
[ n ]

0.05

0.1
0 100 200 300 400 500 600 700 800 900 1000
S y mb ol i n d e x , n

Figure 5.4: Performance of the PLL for carrier tracking in a CMT receiver. The
top figure shows the phase error, [n], at the loop filter input. The lower figure
shows the phase jitter, [n], of the input signal to the analysis filterbank.
 101

0.3

0.2

0.1
[ n ]

0.1

0.2

100 200 300 400 500 600 700 800 900 1000
S y mb ol i n d e x , n

0.1

0.05
[ n ]

0.05

0.1
100 200 300 400 500 600 700 800 900 1000
S y mb ol i n d e x , n

Figure 5.5: Performance of the PLL for carrier tracking in an SMT receiver. The
top figure shows the phase error, [n], at the loop filter input. The lower figure
shows the phase jitter, [n], of the input signal to the analysis filterbank.
 102

0.035
Without tracking
With tracking
0.03

0.025

0.02
MSE

0.015

0.01

0.005

0
0 2000 4000 6000 8000 10000
ti m e i n d e x , n

Figure 5.6: Mean square error at the output of an SMT receiver, averaged over
all subcarriers, with and without a timing tracking loop.

Although the results presented here are for the SMT, the same results are obtained
for the CMT. For the results presented in Fig. 5.6, it is assumed that there is a
difference of 10 ppm (part per milion) between the transmitter symbol clock and
its counterpart at the receiver. As seen, without timing tracking, the MSE at the
receiver output increases with time. The timing tracking loop fixes the problem
and results in an MSE that remains constant, at a level slightly above the noise
level. For this simulation, the SNR was set equal to 30 dB. This has an associated
noise level of 0.001.
Fig. 5.7 compares the performance of CMT and SMT when both carrier and
timing tracking loops are active. At SNR values of 15 dB or less both methods
perform virtually the same. However, at higher values of SNR, the CMT degrades.
This difference is believed to be mostly due to the higher phase error/jitter at the
carrier recovery loop filter output in the CMT.
If the residual carrier offset is small, one can decrease Kp and/or KI and have
 103

1
10
SMT
CMT

0
MSE 10

1
10

2
10

3
10
0 5 10 15 20 25 30
SNR, dB

Figure 5.7: Comparison of the MSE of CMT and SMT in tracking mode.

the desired convergence of the tracking algorithms. By decreasing the coefficients of

loopback filter the effect of error/jitter can be reduced. For residual carrier offset of
0.001 carrier spacing the CFO tracking was simulated for various values of KP and
KI . Fig. 5.8 shows the MSE plots for CMT and SMT for three sets of KP and KI ,
1) (Kp = 0.1208, KI = 0.0068), 2)(KP = 0.0837 and KI = 0.001) 3) (KP = 0.0193
and KI = 0.0001). It was observed that going from the second to third sets of
coefficients the improvement is less that 0.02 dB. Further decrease in the values of
the coefficients does not change the CFO MSE results for CMT.

5.5 Summary
A preamble is used to perform the initial timing and carrier offset. To resolve
any residual CFO and/or timing offset, tracking algorithms were developed. A
decision directed PLL was designed that forces any built up phase error to zero.
An algorithm was designed to track the best timing phase by minimizing a cost
function. SMT and CMT FBMC communication systems were studied. Through
 104

1
10
SMT
CMT1
CMT2
0
10 CMT3
MSE

1
10

2
10

3
10
0 5 10 15 20 25 30
SNR, dB

Figure 5.8: Comparison of the MSE of CMT for three cases: CMT1 (KP = 0.1208,
KI = 0.0068), CMT2 (KP = 0.0837 and KI = 0.001), CMT3 (KP = 0.0193 and
KI = 0.0001), and SMT in tracking mode.

computer simulations it was found that for most parts both systems perform about
the same. Only the carrier tracking look in the CMT found to be more jittery than
its counterpart in the SMT.
 CHAPTER 6

COGNITIVE RADIO TESTBED

The filterbank spectrum sensor described in Chapter 1 is used as a base for

an implementation of a cognitive radio network. This implementation work done
as part of Smart Radio Challenge. Smart Radio Challenge is a group of cognitive
and software defined radio projects defined and supported by SDR Forum, a forum
of companies promoting the next generation SDR systems [64]. Our proposal for
implementation of a cognitive radio network using filterbank sensing was selected
in 2006 by the SDR Forum to receive hardware and software support [65]. The
cognitive radios are implemented on Lyrtech Small Form Factor (SFF) Software
Defined Radio (SDR) platform [6], [26], [66], [67]. Using our cognitive radio
implementation, it is shown that filterbank sensing can reliably detect the presence
other radios in an environment where various primary and secondary users are
active on the wireless channel [68].
In this chapter, we present a a brief overview of our cognitive radio implemen-
tation. For a complete report on this project, please see [67] and [6]. First we
define the problem setup in Section 6.1. Next, an overview of channel sensing,
MAC layer, and transceiver are presented in Section 6.2. The system architecture
including various modules in DSP and FPGA as well as the interface between
them are presented in Section 6.3. Development tools for implementing DSP and
FPGA are also described in this section. In Section 6.4, we discuss the design
decisions for system implementation. Sensing results are presented next. Test and
demonstration of the setup is discussed in 6.6 and the conclusions are drawn in 6.7.
 106

6.1 Problem Setup

In disaster situations, it is necessary for law enforcement, rescue agencies, and
other first responders to have the ability to communicate and exchange information
quickly and reliably. Since wired networks cannot be depended upon to survive
in all types of disasters and may be impractical, wireless networks are the ideal
choice. SDR has been successfully applied to build cognitive radio systems. A radio
for first responders should be easy to reconfigure and also portable. Small Form
Factor design of Lyrtech platform, similar to NAVYSYS [69], Kansas University
Agile Radio [70], and Motorola [71] platforms satisfies the requirements for rescue
workers and thus has been chosen in this research.
Cognitive radio technology has been presented as one possible solution to the
spectrum scarcity. From a users perspective, a cognitive radio network should
operate identically to a standard wireless network. However, cognitive radio nodes
should be aware of the operation context [72] and can learn from the past [73].
A cognitive radio network is built to coexist in a given portion of the spectrum
with the legacy devices. In our setup, the Family Radio Service (FRS) band is
chosen for transmitting voice and data [67]. Each node must be able to identify the
presence of legacy communications and share this information with other nodes.
Collaboration allows the cognitive nodes to communicate reliably and to avoid the
legacy devices. Since the legacy device communication is typically intermittent, the
cognition determines the time for switching frequencies during transmission.
We denote the FRS users as Primary Users (PU); they are the legacy users
and accordingly have the priority access to the channel. The cognitive radio (CR)
users are called Secondary Users (SU). The unused parts of the spectrum are called
spectral holes (or opportunities) and can be used by SUs to transmit data. In our
experiment, 200 carriers on 462-467 MHz ISM band are used by the cognitive radio
to transmit voice or data, provided that the legacy users are not using the channel.
The method used for sensing should feature a high spectral dynamic range to enable
the detection of the low power users. We choose the filterbanks spectrum sensing
because of its superior performance compared to FFT in terms of detecting low
 107

power users when users with high and low power are present [12], [74], [26].
Spectrum sensing is performed on each node before transmission and the results
are passed to a basestation which combines all the sensing information to compile a
channel state information (CSI). CSI is also used by the basestation for channel
allocation. Control channels are used for exchanging sensing information and
control messages such as channel assignment for the leaf nodes.
Design decisions such as dividing the tasks between FPGA and DSP, and
choosing the appropriate methods to implement each block are made in order to
optimize the usage of the resources on hardware. First the modem is simulated
in Matlab and Simulink. Then we use System Generator for DSP to implement
the FPGA blocks. Simulink and Real Time Workshop (RTW) are used to make
individual modules for the DSP. TI Code Composer Studio compiles the DSP
subsystems and combines different DSP modules.
The modeling and simulation environment that supports this work is based on
Discrete Event System Specification (DEVS) [75]. DEVS is a formalism derived
from generic dynamic systems theory. It has well-defined concepts of coupling
of components, hierarchical, modular model construction, and an object-oriented
substrate supporting repository reuse. DEVS has been implemented and used
as a practical simulation tool in a variety of implementations. The DEVSJava
environment is used in this work along with Progressive Simulation Based Design
and development (PSBD) technique [76] to simplify the development process.

6.2 Technical Overview

Based on PSBD methodology the system is broken into interworking compo-
nents. First, we start from a traditional pure simulation of the system in a simulated
environment. In this example the environment is defined by frequency usage and
channel. Environment is changed as a result of both PU and SU transmissions
or different channel fading parameters. In the course of PSBD real components
are added to the model, replacing the simulated models. It is a challenging issue
to what extent simulation assisted design should be involved and to what level
 108

the system should be decomposed. A single real modem itself comprises many
individual modules each a candidate for co-simulation along with other simulated
objects and the environment. Fig. 6.1 shows the PSBD approach of designing a
single transceiver including packet generation, coding, decoding, channel sensing,
channel model and emulated PUs.
As we proceed with PSBD, we start using one SDR board. Most of the func-
tionalities of cognitive radio depend on sensing the medium. Channel sensing is
implemented in the earliest stage as shown in Fig. 6.1. To test sensing module we
emulate PU traffic on different frequency bands using a signal generator, while ad-
justing some design parameters such as analogue to digital converter (ADC) gains,
frequency axis margins, and power threshold of PU detection. The transmitted
traffic of PU by the signal generator is a multi-band waveform which is generated
using a Matlab script and uploaded to the device with Agilent Waveform Download
Assistant via Ethernet connection with simulator on a PC. All simulated objects are
running on the same PC, while the SDR board (running implemented components)
is connected to that PC via an Ethernet cable.

6.2.1 Channel Sensing and MAC Layer

The basestation assigns channels to the cognitive node from the pool of dis-
covered opportunities. The efficiency of opportunity discovery in cognitive radio
depends on both physical and MAC layer design strategies [77]. Depending on the
PU traffic different sensing periods may result in discovery of more opportunities
and better channel allocation. Sensing the channel should take into consideration
the discrepancy in the received power levels from the different users and needs to
feature a high dynamic range in order to reliably detect the spectrum holes.
In our system, we sense the channel 10 times per second. To sense the chan-
nel, each node halts its transmission, collects the necessary samples and runs the
filterbanks sensing algorithm. The whole process takes less than 1ms. The sensing
information is next reported to the basestation. The basestation collects the sensing
results from all the cognitive nodes, including itself, and broadcasts the channel
allocation results to all the leaf nodes in the network. The basestation tags the
 Progress
Simulation(On PC) Implementation(On SDR)

Packet Detection Channel Coding Modulation Sensing

MAC Layer Syncronization Demodulation
Packet Assembly Channel Decoding

SU
Wireless Channel
Simulated
PU1

Simulated
PU2
Simulated
PU3 Emulator (Vector Signal Generator)

Figure 6.1: Progressive simulation based design (PSBD) of a single cognitive modem. The implementation starts from the
sensing component and progressively more of the simulated models (left dotted box) are implemented (right dotted box).
The rectangles are DEVS models simulated, and parallelograms are implemented components on SDR
109
 110

CSI vector with the time that an activity is last seen on each carrier to specify
the availability of each channel. The basestation tries to allocate a carrier which is
less used and has neighboring carriers that are less used as well. When assigning
channels, basestation weighs each carrier by the average usage in 3 neighboring
channels. In this way idle areas of the spectrum are chosen more frequently.

6.2.2 Transmitter
The software defined modem provides two modes of operation to process two
different types of services. One service is a 19.2 kbps computer-to-computer data
stream while the other service is a 16 kbps Continuously Variable Slope Delta
Modulation (CVSD) vocoded voice. The data stream is encoded using a rate 1/2
convolutional encoder. 8 Phase-Shift Key (8PSK) symbol mapping is used for data.
For the voice stream, we use a Reed-Solomon encoder and Quaternary Phase-Shift
Key (QPSK) signalling.
To use only one digital upconverter from baseband to Intermediate Frequency
(IF) for both services, the packet assembly is done such that the symbol rate at
the input of the pulse shaping filter is 20 kbps for both data and voice streams.
The transmitted packet consists of two major parts: a 192-sample cyclic preamble,
generated using three identical Binary Phase Shift Key (BPSK) modulated pseudo
noise (PN) sequences of length 64, and a payload constructed using the data or
voice streams output of the symbol mappers.
Upconversion is done using Cascaded-Integrator-Comb (CIC) filters and a pulse-
shaping filter (PSF) whose coefficients are chosen to achieve the Nyquist-M prop-
erty.

6.2.3 Receiver
The received signal is first down-converted to baseband. The baseband signal
is then passed to the synchronization and channel equalization modules, both of
which are implemented in the fractional space. The fractional spacing between the
samples is chosen to be Ts /2, where Ts is the symbol interval.
Synchronization is performed using a cyclic preamble. Cyclic preamble is chosen
 111

in our model because it can serve the dual purpose of estimating timing and carrier
offsets while at the same time equalizing the channel effects when coupled with a
cyclic equalizer. [78]. The repetition structure of the cyclic preamble allows us to
detect the start of the packet as well as the carrier offset. This method exhibits good
performance and is easy to implement. Packet detection is performed by computing
the autocorrelation of the received signal. We correlate the signal with a shifted
version of itself and find the position of the preamble by identifying the interval
over which the autocorrelation is significantly large [34]. After compensating for
the carrier offset, we make use of a half symbol spaced fractionally-spaced adaptive
equalizer to compensate for the channel distortion, any residual carrier offset and
to obtain the correct timing phase [34]. The equalizer coefficients obtained using
this algorithm are further fine-tuned using a decision-directed adaptive scheme.

6.3 System Architecture

The base of the platform is the digital processing module. It is designed
around the TMS320DM6446 (also called DM6446) Digital Media Processor (DMP)
System on Chip (SoC) from TI and Virtex-IV XC4VX35 FPGA from Xilinx.
DM6446 combines an Advanced Very Long Instruction Word (VLIW) 64x+ DSP
and Reduced Instruction Set Computer (RISC) ARM926J-S cores, where the ARM
microcontroller is mainly set to run the INTEGRITY Real-Time Operating System
(RTOS) and DSP performs complex data processing. The data conversion module
is equipped with a 125 MSPS, 14-bit dual channel ADC and a 500 MSPS 16-bit
dual channel interpolating DAC provided by TI. The RF module is configured to
have either 5 or 20 MHz bandwidth with working frequencies of 200-930 MHz for
the transmitter and 30-928 MHz for the receiver. The SDR modem implementation
is divided into different tasks. The SFF SDR platform gives the designer the option
to choose the silicon device that is most suitable to the task being developed. We
use the INTEGRITY and SMSHELL API provided by Lyrtech to target the board
while we develop our signal processing tasks on the DSP core and the FPGA.
The division of tasks between the DSP and the FPGA was made based on the
 112

availability of resources, the inherent characteristics of these cores, and the extra
functionalities offered by TI and Xilinx. We make use of the already available Xilinx
Logicore Blocksets for FPGA and the optimized DSP libraries written for vectors
of complex numbers for C64x+ core.
Interfacing between the DSP and FPGA is done using the Video Processing Sub-
system (VPSS) data port. The DSP VPSS is a DM6446 DSP 16-bit synchronous
video transfer port modified to support transfer of nonvideo data to and from the
DSP. The VPSS consists of a Video Processing Front End (VPFE) and a Video
Processing Back End (VPBE). The VPFE is used as an input interface to the DSP
and the VPBE as an output interface from the DSP to FPGA. In the FPGA, a
VPSS data port module, also consisting of a VPBE and a VPFE, is implemented
to interface with the DSP VPSS. The data bus inside the FPGA is a 32-bit and
the VPSS of DM6446 DSP bus is a 16-bit. On the other hand, custom registers,
a shared memory of eight 32-bit words between the DSP and the FPGA On-Chip
Peripheral Bus (OPB), are used as configuration registers. As a result, the fast
VPSS 32-bit bus is our gateway between DSP and FPGA.
The tasks developed for the FPGA are implemented using the System Generator
for DSP. System Generator, an add-on to Simulink provided by Xilinx, produces
a highly optimized FPGA realization, since each module used in the architecture
maps to an FPGA library component that has been carefully constructed and
optimized for the FPGA target device. Moreover, the System Generator provides
us with a visual representation of the system that not only serves as the design
specification, but as the behavioral simulation model and the source definition for
the hardware. The system Generator implementation also facilitates the rapid
investigation of various design options in the system [79].
To develop the DSP subsystem, the algorithms targeting the DSP processor are
first implemented in Simulink blocks. RTW is next used to produce the first version
of the code for the individual Simulink blocks. Each block is then individually tested
in Simulink external simulation. Although RTW is able to generate stand-alone
C code for the Simulink blocks, it can only be used for rapid prototyping and
 113

testing since the code it generates is not optimized for a specific DSP or GPP
target. The RTW generated code often needs extra memory and processing power
and the optimization burden is put on the compiler only. The RTW thus cannot
be used to implement the complete DSP subsystem whose requirements include
realtime performance in terms of memory and speed and special data alignment.
To overcome this problem, a Target Language Compiler (TLC) file is developed to
customize the code generation. In writing the TLC, it is feasible to use optimized TI
DSP libraries DSPLiband compiler optimization techniques such as giving feedback
to the compiler. Furthermore, the wrapper TLC (unlike inline TLC) saves a single
version of each algorithm and therefore simplifies code maintenance. The wrapper
TLC code (written for the individual blocks) can be reused in the independent
compilation of the complete DSP subsystem project, without involving the RTW.
Finally, the C code of the complete DSP subsystem (either generated by RTW or
written as wrapper TLC) is compiled by TI Code Composer Studio (CCS). CCS
makes use of the high performance VelociTI architecture of DM6446 to optimize
the code down to the programming level optimization.

6.4 Implementation Process

The distribution of the SDR modem components between the DSP core and
the FPGA is shown in Fig. 6.2 and Fig. 6.3. The VPBE and VPFE are used to
transfer the data streams back and forth between the two modules while the custom
registers are used for handshaking.
We use a custom register Rf to indicate the services required by DSP to be done
by FPGA. Depending on the type of data processing required from the FPGA, the
DSP specifies a command number inside the custom register Rf and then transfers
the data through the VPSS. Similarly, another custom register Rd is used by the
FPGA to inform the DSP about the characteristics of the bit-stream arriving at the
VPFE in the DSP subsystem. The DSP, being sequence based and often running

1c
2008 IEEE. Quoted, with permission, from P. Amini, E. Azarnasab, P. Amini, S. Akoum
and B. Farhang-Boroujency, An experimental cognitive radio for first responders, Proceeding
of IEEE DySpan, IEEE Dynamic Spectrum Access Conference, October 14-17, 2008, Chicago.
 Transmitter
DSP (c64x+) FPGA (Vitex IV, XC4VX35)

Rf = 0
RS Enoder
Binary Source

Conv Encoder
Rf = 1
Symbol Mapping Rd = 0

Rf = 2 To RF Frontend
Framing M1 CPSCC M2 CIC Modulation

V P F E V P BE

Figure 6.2: Transmitter data flow

Receiver
114

DSP (c64x+) FPGA (Vitex IV, XC4VX35)

Rd = 0 From RF Frontend
Packet Detection Carrier Recovery M1 CPSCC M2 CIC Demodulation
 Framing M1 CPSCC M2 CIC Modulation

V P F E V P BE

Receiver
DSP (c64x+) FPGA (Vitex IV, XC4VX35)

Rd = 0 From RF Frontend
Packet Detection Carrier Recovery M1 CPSCC M2 CIC Demodulation

Rf = 2
RS Decoding

FS Equalizer Demapping

Viterbi
Rf = 3
Rd = 1
Binary Data

Rd = 2 From RF Frontend
Filterbank Sensing AGC M3 Lowpass Filter Demodulation

Sensing Timer Rd = 2
V PFE V P BE

Figure 6.3: Receiver data flow

115
 116

an endless loop, uses the content of the Rd register to select the appropriate DSP
function to be applied on the incoming data. The transmission is initiated, as shown
in Fig. 6.2, in the DSP core. The binary source is an arbitrary bitstream of voice
or data incoming to the DSP. The voice data are input from the pcm3008 stereo
audio codec at 48 KHz and encoded by the CVSD having a data rate of 16kbps.
The binary voice stream is zero padded to achieve a data rate of 20kbps. The data
traffic, on the other hand, is a fixed computer-to-computer data stream. This data
stream has a lower bit error rate than the voice stream and is retransmitted in the
MAC layer (if missed or corrupted) to ensure data integrity of critical information.
The transmit packet is sent to the FPGA through the VPSS. The custom register
Rf is set to zero if the source is audio and one if nonaudio. In the FPGA, depending
on the data content, either Reed Solomon (RS) coding or convolutional coding
combined with interleaving is performed. Following the source coding in the FPGA,
the binary vectors are retransferred to the DSP (Rd = 0) to perform modulation
and framing. Data stream transmitted using 8PSK and QPSK is implemented for
transmitting voice. The binary vector is finally sent back to the FPGA (Rf = 2)
to upconvert the signal to IF and eventually transmit it over the air. Digital up
conversion in the FPGA consists of three blocks. Combined CIC and pulse shaper
(CPSCIC) that follow the Nyquist-M criterion, a CIC integrator, and a Direct
Digital Synthesizer (DDS) to modulate the signal to the IF. The CPSCIC filter we
used is an 80-tap FIR filter generated using the Xilinx FIRCOMPILER provided
by the System Generator for DSP. The baseband signal was modulated to an IF of
30 MHz at a sampling rate of 80 MHz. Note that in the SFF SDR platform, the
FPGA has access to IO, Data Conversion and RF modules.
At the receiver side (Fig. 6.3), two separate functionalities are first performed in
the FPGA, digital down conversion (DDC) and sensing. The resulting signal is then
passed to the DSP (Rd = 1) where synchronization tasks and symbol demapping
are performed. After demapping, the signal is sent back to the FPGA for decoding
(Rf = 2 for voice and Rf = 3 for data). The decoded signal is finally passed to
the DSP (Rd = 2). This timer activates the sensing module 10 times a second for
 117

almost 4s. The timer control circuit disables the transmitter functionality while
the sensing is performed. The sensing data are first demodulated to baseband
by means of a DDS whose frequency is centered at the IF. A lowpass polyphase
decimator is used to filter the required signal band and bring the sampling rate
down to 5 MHz. Note that in order to make use of the maximum dynamic range
of the ADC, AGC is developed in the DSP to control the gain of the analogue
amplifiers available on the data conversion module before the signal is digitized.
The resulting signal is then sent to the DSP (Rd = 3) for further processing. In
the DSP, the DSPLib library for C64x+ is used for efficient implementation of the
filterbank sensing. A filterbank is implemented in polyphase structure using 256
8-tap polyphase elements which are the decimated coefficients of a prolate filter.
The output of the polyphase elements are then passed through FFT. The output
energy of the filterbanks is then averaged over three decimated samples. The sensing
information is compared with a tunable threshold to locate possible active primary
users and create a 32-byte channel state information. This information is then
transmitted to the basestation. The basestation compiles the sensing information
from all of the users and creates a common CSI to be used for channel assignment.

6.5 Spectrum Sensing Results

A vector signal generator has been used to generate a signal that emulates the
traffic of PUs and SUs (Fig. 6.4) [66]. The vector signal generator is interfaced to
Matlab and the accumulated signal of primary and secondary users are transmitted
over 462 to 467 MHz. Fig. 6.5 is a snapshot of the sensing results where six
users are emulated on the channel. The signal generator modulates these signals
with different power levels to 463.278MHz, 463.367MHz, 463.456MHz, 463.545MHz,
463.624MHz, and 463.985MHz. The sinewaves at 463.278MHz, 463.456MHz,and
463.624MHz are transmitted at 25dbm power. The ones at 463.367MHz, and
463.545MHz are transmitted at -15dbm while 463.985MHz sinewave is transmitted
at -9dbm [66].
The PSD of the received signal is presented in Fig. 6.5. The number of input
 118

Real SU1
Wireless Channel

Real SU2

Emulator (Vector Signal Generator)

Si mulated
SU1
Si mulated
SU2
Si mulated
PU1
Figure 6.4: The testbed setup for examining the performance of filterbank sensing.

samples and the prototype filter length are 2048. The results of FFT, FFT with
a Hanning window and filterbank are averaged over three decimated samples. The
calculated PSD from 462MHz to 467MHz for these three methods are depicted
in Fig. 6.5. As we can see in Fig. 6.5, filterbank sensing is able to show all the
transmitted sinewaves clearly. FFT, on the other hand, has a considerable spectrum
leakage which results in missing the three sinewaves at 463.367MHz, 463.545, and
463.985MHz. FFT with hanning while having better dynamic range than FFT,
also misses two of the sinewaves.

6.6 Test and Demonstration

In order to have successful cognitive radio deployment in future networks, it
is essential for cognitive radios to coexist not only with the primary devices but
also with other cognitive radio which may be present in the same band. The
cognitive radio setup discussed in this chapter was presented in two exhibitions
and demonstration environments where primary and secondary interferes were
 0
FFT
10 FFT with Hanning window
Filterbank
20

30

40

50

Magnitude (dB)
60

70

80
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
Normalized Frequency

Figure 6.5: Power spectral density (PSD) measurements by FFT, FFT with hanning window, and filterbank
119
 120

available in the band. The testbed was first presented in the 2007 Software Defined
Radio and Technical Exhibition as part of Smart Radio Challenge [64]. The radio
was demonstrated and tested for two days in the exhibitions in the presence of
interfering cognitive and software defined radios from other companies, universities
and research institutions. It was shown that an audio signal can be transmitted
from one cognitive radio to other one while interferes are present in the band
and the radios can move to an unused part of the band when interference from
primary or secondary devices become available in their band. The testbed was
also presented to a panel of judges from major companies in field of cognitive
and software defined radio and the paper describing the implementation [26] was
awarded the best paper award [80]. Furthermore, as a result of successful demon-
stration at the SDR Technical conference, we were invited to the present our testbed
in the Demonstration Track of the 2008 IEEE conference on Dynamic Spectrum
Access Network (DySpan) [68]. We were able to show in the three days of our
demonstration at DySpan that our testbed can coexist with cognitive radios from
various companies and universities.

6.7 Summary
A cognitive radio network for first responders was developed. The system
performs channel sensing to identify the presence of PU and transmits over unused
portions of the spectrum. It was shown that filter spectrum sensing provides a
reliable mechanism for detecting the presence of primary users. The system was
presented at two demonstration environments and it was shown that the cognitive
radio can keep transmitting voice in the presence of various types of interferers.
 CHAPTER 7

FILTERBANK MULTICARRIER FOR

COGNITIVE LIVE WIRE TESTING

Aging wiring is one of the forefront issues in maintaining older aircrafts. Inci-
dents such as Swiss Air Flight 111 and TWA Flight 800 have led to a heightened
public awareness of these critical wiring issues [81].
Conventional wiring inspection is typically limited to visual inspection during
routine maintenance or highly invasive testing during major modifications. But
visual inspection does not provide enough information to detect flaws, especially
within wire bundles. Therefore, methods to locate small faults before they create
system level problems are desired. Some faults may cause impedance discontinuities
that are too small to detect. On the other hand, there are methods that can locate
the fault when its impedance discontinuity is larger, such as when the wire vibrates
against a metal structure creating an intermittent short circuit have more promise
of locating these anomalies. This requires being able to test the wires continuously
while they are live and in flight, which requires a new class of reflectometry methods
[1], [82-85].
Recently, a new method of live wire testing called multicarrier reflectometry
(MCR) has been proposed [1]. Reflectometry is essentially a system identification
problem. A test signal is sent across the wire under test, and the reflected signal
is used to study the condition of the wire [1], [82-85] . The wire may be treated
as a plant whose input is the test signal, and its output is the reflected signal.
Identification of the plant, or equivalently, the condition of the wire, is the goal.

1 c
2009 IEEE. Quoted, with permission, from P. Amini, C. Furse, and B. Farhang-Boroujency,
Filterbank multicarrier reflectometry for cognitive live wire testing, IEEE Sensor Journal, vol.
9, no. 12, December 2009.
 122

The plant response can be obtained by comparing its input and output signals.
In time domain reflectometry (TDR) [84], for example, the input is chosen to be
a step function or impulse, and accordingly the plant output/reflected signal is
the step or impulse response of the plant/wire. In MCR, the test signal is chosen
such that the plant response can be measured in the frequency domain. For this
purpose, the test signal is chosen to be the summation of a number of tones, and the
plant/wire frequency response is measured by comparing the amplitude and phase of
the transmitted tones with their reflected counterparts, [86]. This method of system
identification was applied to wire testing in [1]. An MCR test equipment selects one
or more portions of the spectrum that is/are free of live wire signals for transmission
of the tones/test signal. This leads to frequency agility and adaptability ideal for
live wire testing.
The work presented in [1], although pioneering in the sense that it for the
first time introduces the concept of MCR, has not given any due attention to the
optimality of the test signals and the filters that are used for signal analysis. We
concentrate on these aspects of MCR and its goal is to refine the MCR method
that was proposed in [1]. We intend to minimize the signal to interference and
noise ratio (SINR) for both the live signal and the test signal used for diagnosis.
This chapter is organized as follows. In Section 7.1, we describe the problems
of out-of-band interference in signal synthesis (i.e., interference with the live wire
signals) and in-band interference while performing signal analysis (i.e., the interfer-
ence that tester receives from live wire signals). The proposed filterbank solution
and the filter design methodologies are presented in Section 7.2. The concept of
cognitive live wire testing is described in Section 7.3. The concluding remarks are
drawn in Section 7.3.1.

7.1 In-Band and Out-of-Band Interference

In [1], the multicarrier test signal is synthesized by summing a set of sine waves
over a finite window of time. Mathematically, this is written as
!
X
x(t) = ai sin (i t + i ) w(t) (7.1)
iS
 123

where S is a set of frequency indices, ai , i and i are the magnitude, frequency

and phase of the ith sine wave, t denotes continuous time, and w(t) is a window
function that limits x(t) to a finite duration. In [1], w(t) was chosen as

1, 0 t < T
w(t) = (7.2)
0, otherwise

i.e., a rectangular window with duration of T . Moreover, it was suggested that the
phase angles i should be chosen to minimize PAPR of x(t).
Defining
X
v(t) = ai sin (i t + i ) (7.3)
iS

and taking the Fourier transform of x(t), we obtain

X(f ) = V (f ) W (f ) (7.4)

where denotes convolution.

Using (7.4) and noting that the Fourier transform of the rectangular window
 
w(t) is a sinc pulse sinc(x) = sin(x)
x
, and the Fourier transform of each sine wave
is the sum of two impulses, at frequencies f = 2
i
, one finds that the energy
spectrum of x(t), defined as |X(f )|2 , is the sum of a number of sinc-squared pulses.
An example of such a spectrum is presented in Fig. 7.1. The length of the test signal
is 320 samples and a multicarrier system with 128 subcarrier is used. Subcarriers 8
to 25 and 33 to 45 are used for transmitting the test signal. A relevant characteristic
of this spectrum to this paper is the fact that |X(f )|2 is not confined to the intended
frequency band. There is a significant level of spectral leakage to the portions of
the band that may be occupied by the live wire signal; for example, if the live wire
signal was in the (normalized) frequency range 0.2 to 0.25 or near DC. In the latter
cases, the attenuation of the test signal over the live wire bands is only 20 to 25
dB. Hence, without other measures, the MCR test signal may interfere with a live
wire signal. We refer to the interference generated by the test signal on the live
wire signal as the out-of-band interference.
Another problem will arise in the analysis of signals. In [1], it is proposed that for
analysis a rectangular windowed portion of the reflected signal may be passed to an
 124

10

!10
|U(f)|2

!20

!30

!40

!50
0 0.1 0.2 0.3 0.4 0.5
normalized frequency8 f

Figure 7.1: An example of the test signal according to [1].

FFT processor. Here again, the application of the rectangular window is equivalent
to applying a set of narrowband filters whose frequency responses are sinc pulses.
Such responses suffer from poor stopband rejection which in turn means the live
wire signal energy is picked up by the analysis filters, reducing the accuracy of the
measurements. We refer to this type of interference as the in-band interference.
The problems associated with the rectangular window are well known to the
signal processing community, and measures to alleviate them have been studied in
different contexts. In spectrum analysis the problem of spectral leakage is solved
by replacing the rectangular window with other window types, e.g., a Hamming
or Hanning window, [87]. For digital subscriber lines (DSL) some of the problems
are very similar to those encountered in live wire testing. There, a communication
signal is transmitted over an unshielded telephone line which is exposed to radio
signals over some portions of the frequency band. Therefore, similar to our case
here, portions of the band should not be used for communication, [88]. Moreover,
the synthesized signals should be designed to avoid these radio bands. In the
 125

analysis part of the system (the receiver), proper filtering operation should be
performed in order to avoid any significant portion of the radio signal - indeed, a
very similar problem to the live wire testing. In DSL, the problem of leakage and
thus filtering is solved by replacing the rectangular window with a window that
tapers at the sides, [89]. This avoids the sharp edges that are the main source of
spectral leakage/poor filtering.
We use the windowing method proposed in [89] to reduce the out-of-band
interference. However, for signal analysis, we resort to a direct filterbank solution.
For live wire signals, the filterbank analysis method is a good choice since we can
design (as shown in Section 7.2.2) optimal filterbanks that minimize the in-band
interference and assure near-perfect separation of the tones in a test signal. This
application of filterbanks is unique to live wire testing, because the test signals are
a sum of pure tones. We also study some details of the windowing solution of [89]
and develop new insights that lead to a method of improving the window function
that has been commonly used in the past. We also show that the proposed signal
synthesis with windowing may be formulated in the framework of filterbanks.

7.2 Filterbank MCR

Fig. 7.2 presents the various blocks involved in the construction of a filterbank
MCR (FBMCR). The output of the signal generator block, x(t), is a multitone finite
duration signal whose spectrum is confined within a desired band. The system, in
the context of this paper, is a live wire. The input to the system is the point
where the test signal is injected into the wire, and its output is the point where the
reflected signal from the wire is seen; for details of the relevant circuit diagrams
see [1]. The live signal on the wire is also seen at the output of the system. This
is indicated in Fig. 7.2 as an additive interference, considering the fact that the
live signal is a source of interference to the intended measurement/FBMCR. The
analysis filterbanks (AFBs) extract the signal tones applied at the input as well
as their replicas after reflecting from the wire, i.e., at the system output, y(t).
Comparing each pair of outputs from the AFBs, as discussed in [1] (also, see [86]
 126

interference

signal x(t) analysis

generator
system y(t) filterbank
....

system
identification
....
analysis
filterbank

Figure 7.2: General structure of a filterbank MCR system

for more details), one can estimate the samples of the frequency response of the
system (the wire). The measured frequency response is then used to study the
time-domain characteristics of the wire. These operations are performed in the
system identification block. We request the reader to refer to [1] for the details of
how this conversion can be performed. In the following, we present the details of
the signal generator and ABF blocks of Fig. 7.2 and discuss the criteria that should
be used to design these blocks optimally.

7.2.1 Signal Generator

The test signal x(t) is synthesized by summing a set of tones that are spread over
a selected frequency band. Also, x(t) should have the following desirable properties:

1. It should have a finite duration.

2. Its spectral content should be confined within the selected band. In other
words, its out-of-band interference should be minimized.

3. It should have a minimum PAPR.

 127

The first property is required as any realistic test has to be completed within a
finite time. This finite time can be easily set by truncating x(t) (or, equivalently,
the tones) outside of a preselected interval.
Once the tones are truncated, their spectrum will spread across the frequency
axis, e.g., see (7.4), and as a result the spectral spread over the frequencies that
are not part of the intended band. We minimize the out-of-band interference by
first adding the tones and then applying a well-designed window function to the
summation.
The PAPR is minimized through a three-step signal synthesis. We first choose
a discrete-time periodic signal [n] with a small PAPR and with a period of, say, N
samples. Such a periodic signal has a Fourier series with N harmonics at frequencies
2k
N
, for k = 0, 1, , N 1. It is also desirable to choose [n] such that its harmonics
have equal power. This results in equal excitation at all frequencies where we wish
to estimate the frequency response of the system. Equal excitation is desirable and
commonly used in system identification, as it results in equal accuracy at all the test
points [90]. Fortunately, sequences with the properties of small PAPR and equal
power harmonics exist. One class of such sequences are the so called polyphase
codes devised by Chu [91]. They are defined as
(
Kn2
ei N , N even
[n] = Kn(n+1) (7.5)
i
e N , N odd

where K is a number relatively prime to N . Note that [n], for any value of n
has the instantaneous power of unity. Hence, its average power is also unity, and
accordingly it has a PAPR of one or, equivalently, 0 dB. This is indeed the minimum
PAPR that any signal may have.
In the second step, we find the Fourier series coefficients of [n] by taking the
DFT of one cycle of it. The result which we call [k] is used to generate the
continuous-time version of [n] as

X
N 1
2k
(t) = [k]ej N
t
. (7.6)
k=0
 128

This is a baseband complex-valued signal that may then be up-converted to any

arbitrary band according to the equation

v(t) = <{(t)ej2fc t } (7.7)

where fc is the carrier frequency (the center of the band) and <{} denotes the real
part of.
We note that after interpolation, the PAPR is no longer at the minimum level
0 dB. The interpolated signal always has a PAPR which is greater than 0 dB.
However, we argue that the use of polyphase codes, which start with a minimum
PAPR, leads to a continuous-time test signal with a small PAPR. We also note
that different polyphase codes result in different PAPR values and thus examine
all choices of [n] for each code length, N , to find the one that results in minimum
PAPR. The test signal generated in this way for all values of N (we examined
values of N in the range of 10 to 100) have PAPR values of around 2.5 dB. This
is relatively small PAPR. To compare, the phase randomization method that used
in [1] results in signals with PAPRs that are 1 or 2 dB greater.
Recalling that the test signal should have a finite duration, in the third step of
test signal generator, a time window should be applied to v(t), as in (7.1). The
common window suggested in the literature is the raised-cosine function defined as


1 cos( Tt0 )

, 0 t T0


1, 2 T0 t T
w(t) = (7.8)

1 + cos( (tT )
)


T0
, T t T + T0

2

0, otherwise

where T0 is the width of role-off time at each side of the window, and T + T0 is
the total duration of the window. Although the raised-cosine window is commonly
used in the practice of signal processing, as discussed below, it is not necessarily
the best window function. Next, we present an analysis of w(t) that leads to some
insight that we use to propose an improved window function.
 129

7.2.1.1 An Analysis of the Raised-Cosine Window

Function
When the window function w(t) is chosen according to (7.8), one finds that

cos(f T0 )
W (f ) = T sinc(f T ) ejf (T +T0 ) . (7.9)
1 4f 2 T02

This is obtained by noting that

 
t T /2
w(t) = h(t) (7.10)
T

where   
t 1, |t| T /2
= (7.11)
T 0, otherwise
and    
t t T0 /2
h(t) = sin . (7.12)
2T0 T0 T0
Clearly, the first term on the right-hand side of (7.9) is the Fourier transform of
sin(x)
(t/T ) and we have defined sinc(x) = x
. The second term is obtained by
taking the Fourier transform of h(t + T0 /2). The last term (a linear phase term)
arises because the two terms on the right-hand side of (7.10) are the time shifted
versions of (t/T ) and h(t + T0 /2), respectively.
It is instructive to note that the Fourier transform of h(t) appears as a multi-
plicative factor to the sinc pulse on the right-hand side of (7.9) and thus has the role
of attenuating the side-lobes of sinc(f T ). A good choice of h(t) can significantly
improve the out-of-band interference of the spectral content of x(t).
To develop an in-depth understanding of the impact of h(t) on the magnitude
response of W (f ), in Fig. 7.3 we have presented |W (f )|, |T sinc(f T )| and |H(f )|.
The relationship between the parameters T and T0 and some features of these plots
are also presented. In particular, we may note that the width of the main lobe of
|H(f )| is equal to 1.5/T0 and, thus, decreases as T0 increases. On the other hand,
narrowing the latter width is desirable, as it results on attenuating more of the side
lobes of |T sinc(f T )|, thus, improving the out-of-band interference of the spectrum
of x(t).
 130

20
T | si n c(f T )|
10 | H (f )|
| W (f )|
M agn i tu d e re sp on se s, d B

!10

2/T
!20

!30
1.5/T0
!40

!50

!60
!1 !0.5 0 0.5 1
Fre q u e n c y, f

Figure 7.3: An example of the magnitude response of the window function w(t)
and its factors.

7.2.1.2 An Optimum Choice of the Window Function

Looking at h(t) in the time domain gives us a different prospect. h(t) is a
half sine wave with the sharp edges at t = 0 and T0 . Such sharp edges constitute
high frequency components in its Fourier transform, resulting a magnitude response
|H(f )| with side lobes that may not be sufficiently small. Hence, the function h(t)
as given in (7.12) may not be a good choice and, thus, a more elegant design of it
can lead to better spectral containment of x(t), within the desired band. We argue
that an optimum choice of h(t) can be obtained by designing h(t) such that the
total energy of the side lobes of H(f ) is minimized. This leads to a choice of h(t)
which is known as prolate function, [92]. Prolate functions are flexible in the sense
that for a given time span T0 , the width of the main lobe of their response in the
frequency domain can be traded for different suppression level of their side lobes.
 131

10
rai se d - c osi n e
M agn i tu d e re sp on se s, d B 0 p rolate

!10

!20

!30

!40

!50

!60
!1 !0.5 0 0.5 1
Fre q u e n c y, f

Figure 7.4: Magnitude responses of H(f ) according to a raised-cosine design and

prolate design.

In contrary, the choice of h(t) in the raised-cosine window, for a given time span
T0 , results in fixed response in the frequency domain. In particular, the width of
its main lobe is fixed at 1.5/T0 . Fig. 7.4 compares the magnitude responses of h(t)
when it is selected to be a prolate function and when it is selected according to
(7.12), both with the same time duration T0 . However, the prolate design that we
have selected has a slightly wider main lobe, in order to achieve higher attenuation
of its side lobes. Here, at the cost of slightly wider main lobe, we achieve 10 to
20 dB improvement in suppression of the side lobes.
To conclude our discussion in this section, we present in Fig. 7.5 a repeat of the
spectrum that we previously presented in Fig. 7.1 after applying a window function
based on the proposed prolate design. As seen, and expected, the out-of-band
spectra are significantly attenuated from 20 dB to 40 dB to below 100 dB. As
a result the interference from test signal to the live signal on the wire is orders of
 132

|Xtest(f)|2 !50

!100

!150
0 0.1 0.2 0.3 0.4 0.5
normalized frequency, f

Figure 7.5: An example of the test signal after applying w(t). The window
function w(t) is based on a prolate design.

magnitude smaller than noise level. Therefore, the effect of test signal on the live
signal SINR is negligible.

7.2.1.3 The Relationship Between Time-Domain

Windowing and Filterbank Synthesis
According to the procedure discussed above, the test signal x(t) is obtained
by adding a number of tones and then applying a window function to the result.
Concentrating on the ith tone in x(t) and calling it xi (t), we obtain

xi (t) = w(t)eji t . (7.13)

Substituting (7.10) in (7.13), we get

   
t T /2
xi (t) = h(t) eji t
T
Z  
ji t t T /2
= e h( ) d
T
Z
   
ji

t T /2 ji (t )
= h( )e e d
T

   

t T /2 ji t
= h(t)e ji t
e . (7.14)
T
 133

This result clearly shows that the ith tone in x(t) is obtained by first applying
a rectangular window to the continuous-time tone eji t and then passing the result
through the modulated filter h(t)eji t , centered at i . Hence, the time domain
windowing has an equivalent filterbank synthesis where each tone passes through a
filter in the filterbank that is centered at its respective frequency.

7.2.2 Analysis Filterbanks

Although the test signal, x(t), and the reflected signal from the wire, y(t),
are continuous-time, for the purpose of processing they should be sampled. The
sampled signals x[n] and y[n] are analyzed by passing them through a pair of similar
filterbanks. The filterbanks are constructed based on a prototype filter g[n]. The
prototype filter is a lowpass filter with the frequency response G(f ), where f is the
normalized frequency with respect to the sampling rate. The filterbank is realized
by implementing a set of filters with the responses G(f fi ), i S, where fi s are
the normalized frequency of the tones in the test signal. We assume that x(t) and
y(t) are demodulated to baseband, i.e., the carrier frequency fc is removed, before
being sampled and passed to the AFBs. Hence, fi = 2i
N
, for i S. This choice
allows efficient realization of each AFB in a polyphase structure, [19].
We propose to design g[n] based on the following criteria:

1. To avoid in-band interference, maximize the stopband attenuation of G(f ).

2. Set the gain of G(f ) at f = 0 (this is at the middle of its passband) equal to
one.

3. The filter frequency response should have zero crossings at integer multiples
of the frequency spacing of the tones to avoid interference among different
tones.

To cast the above criteria in a mathematical form, we proceed as follows.

 134

1. To maximize the stopband attenuation of G(f ), we define the cost function

Z 1f0
Es = |G(f )|2 df (7.15)
f0

where f0 is band edge of the stopband of g[n]. Defining the vectors g =

[g[0] g[1] g[N 1]]T and e(f ) = [1 ej2f ej2(N 1)f ] and noting that
G(f ) = gT e(f ), straightforward manipulations lead to

Es = hT h (7.16)

where is an N -by-N matrix with the klth element of


1 2f0 k=l
kl = . (7.17)
2f0 sinc (2f0 (k l)) k 6= l

2. To set the gain of G(f ) at f = 0 equal to one, the following constraint should
be imposed
cT
0h = 1 (7.18)

where c0 is a column vector of length N and elements of 1.

3. The constraints that impose zero gain at integer multiples of the frequency
spacing between the tones are obtained as

cT
i h = 1, for i = 1, 2, , N 1, (7.19)

where ci is a column vector with the elements of 1, ej2fi , , ej2(N 1)fi .

The above results suggest that to design the prototype filter g[n], one should
minimize Es subject to the constraints (7.18) and (7.19). Hence, using the method
of Lagrange multipliers, we define
X
N 1

0 h 1) +
= hT h + 0 (cT i cT
i h (7.20)
i=1

and to find h form, we solve the following set of equations

h = 0 and = 0, for i = 0, 1, , N 1. (7.21)
i
Fig. 7.6 presents the magnitude response of a typical prototype filter that is
designed using the above procedure. Here, N = 16 and the filter length is L =
 135

!10

!20
magnitude, dB

!(0

!40

!50

!60

!%0

!80
!0.5 0 0.5
normalized frequency, f

Figure 7.6: Magnitude response of the analysis prototype filter.

8N + 1 = 129. By increasing the filter length (L), one can arbitrarily control
the stopband attenuation of this filter. Therefore, using the filterbank analysis
structure, the interference from the live signal on the wire to the test signal is not
a limiting factor in decreasing the effective SINR in our diagnosis system.

7.3 Cognitive Live Wire Testing

The frequency band(s) over which live wire signals are located in different wires
are not necessarily the same and, thus, such bands may be unknown to a live wire
tester. We propose to make the tester intelligent by designing it such that before
every measurement it tests the spectral activity on the wire and finds a band (or
multiple bands) for the frequency for setting up the test signal. We borrow this
idea from the field of cognitive radios [93] and thus call the proposed method
cognitive live wire testing. Cognitive radios belong to an emerging class of radios
that measure the radio spectral activities in their surrounding environment and
 136

begin a communication session over the portion of the spectrum that is not used by
other radios. Clearly, extension of this concept to live wire testing is straightforward
and does not need any further elaboration. We only need to equip the live wire
tester with spectrum sensor, i.e., an spectrum analyzer.
Many spectrum analyzers essentially use a filterbank to extract the spectral
energy of the analyzed signal at different portions of the frequency band. Moreover,
recent studies have identified filterbanks as the natural choice for spectrum sensing
in cognitive radios, [94]. We also propose using filterbank method for spectrum
sensing in live wire testing, and note that since in our system setup an analysis
filterbank is connected to the wire this addition comes at virtually no additional
cost.

7.3.1 Summary
Multicarrier reflectometry (MCR) has recently been proposed as an effective
method of testing live wires [1]. This chapter presented a more detailed study of
the signal processing tools necessary in the implementation of MCR and discussed
how these tools may be perfected. We noted that to minimize the interference
between the test equipment and live wire signals, filterbanks are the best signal
processing tools. We thus developed novel methods for this application using
filterbanks. We showed that using a filterbank based on the prolate window design,
the interference level from the test signal to the live wire signal can be controlled
and decreased significantly. Hence the effective SINR of the live signal will be
minimally affected by the test signal. Furthermore, it was shown that the optimum
filters can be designed for analysis filterbanks. The stop band attenuation of the
analysis filterbanks can also be made arbitrary small by increasing the length of the
filters. We also borrowed an idea from the field of cognitive radios and suggested
the concept of cognitive live wire testing.
 CHAPTER 8

CONCLUSIONS AND FUTURE

RESEARCH

There is high demand for wireless services and the vast majority of the spectrum
has already been licensed. It appears that the regulated radio spectrum has been
fully occupied and new applications will not have access to the radio spectrum.
It has been noted that the static frequency allocations have resulted in inefficient
usage of the spectrum resources. On the other hand, the advancement of SDRs has
enabled us to build radios that can change their pulseshape, modulation scheme and
carrier frequency. Consequently, cognitive radio technology has been proposed that
uses the SDR technology to make secondary use of licensed spectrum. Multicarrier
communication technology has been suggested as a suitable candidate to utilize the
white spaces in the spectrum. The subcarriers that appear to be unattended are
added to the spectrum pool while busy parts of the spectrum are not aggregated to
avoid collision with PUs. OFDM/FFT was the first multicarrier technique which
was proposed for data communication and spectrum sensing in cognitive radios.
However, OFDM suffers from large side-lobes in the frequency response of the filters
that characterize the subcarriers in an OFDM system. Therefore, there is significant
interference among the carriers of different SUs as well as between SUs and PUs. On
the other hand, filterbank multicarrier can overcome the spectral leakage problems
of OFDM at the transmitter side and therefore lead to less interference from SUs to
PUs and other SUs. Filterbank receiver is also capable of providing high out-of-band
attenuation. Moreover, filterbanks can provide us with a robust spectral analysis
tool with high spectral dynamic range. Therefore, filterbank multicarrier has been
suggested as an alternative to OFDM for cognitive radio applications. In this
 138

dissertation, we studied the major implementation issues of FBMC based cognitive

radios and proposed solutions.
We presented the formulation and orthogonality conditions of filterbank commu-
nication methods. The formulation was used as a basis to investigate the sensitivity
of SMT and CMT to carrier and timing offset. The required accuracy for timing and
carrier synchronization methods was discussed. It was shown through simulation
results that SMT and CMT outperform OFDM in terms of CFO immunity specially
when high SNRs are required. However, it was noted that due to the use of cyclic
prefix in OFDM systems, OFDM systems are less sensitive to timing offset. As a
result it was shown that it is necessary to have accurate timing and carrier recovery
techniques for FBMC systems.
Polyphase structure is used to implement filterbank techniques for signal pro-
cessing and communications. We investigated the proposed polyphase structures in
the literature to see if they are applicable for implementation of a wireless system. A
novel formulation for a family of polyphase structures which was used for SMT was
derived. Using our derivation, we showed that some of the SMT analysis structures
in the literature are not applicable to frequency selective channels.
In order to deploy filterbank communication techniques, it is necessary to de-
velop computationally efficient carrier and timing synchronization techniques. Ma-
jority of literature on synchronization of FBMC is based on conjugate and the un-
conjugated cyclostationary properties of the received signal. The derived estimators
in the literature are computationally expensive and require a large number of SMT
symbols. Furthermore, in some cases, CFO estimation methods are only suitable for
nondispersive channels. Most data networks are packet based system. Each packet
starts with a preamble which is used to detect the packet, adjust various stages
of gains, synchronize the receiver with carrier frequency of the incoming signal,
find a good timing phase, and identify the channel impulse response or adjust
a set of channel equalizer parameters. In this dissertation, following the same
philosophy, we developed a packet format for multicarrier systems that operate
based on filterbanks. The proposed preamble can be used to perform all the
 139

aforementioned tasks. The algorithms for carrier frequency and timing recovery
as well as channel identification/equalizer adjustment and methods for carrier and
timing tracking loops were proposed. The proposed ideas were evaluated and their
satisfactory performance was presented through computer simulations.
In order to have complete packet based design which is suitable for implemen-
tation in data networks, we designed timing and carrier tracking algorithms. While
our proposed preamble may be used for initial timing and carrier offset estimation,
without any tracking loop, the carrier and timing phase may drift over the length
of the payload. Furthermore, carrier and timing offset tracking are more necessary
for data communication system with large payload sizes such as IEEE 802.11n.
We proposed decision directed timing and carrier tracking mechanisms for SMT
and CMT. A decision directed PLL was used to force any built up phase error to
zero. Timing was tracked by minimizing a cost function. Simulation results were
presented to show the satisfactory performance of the proposed methods.
As a case study for implementation of a filterbank based cognitive radio network,
cognitive radios equipped with filterbank spectrum sensing were implemented. This
work was done to evaluate the performance of our proposed filterbank sensing in
an actual implementation. The cognitive radio was implemented on the Small
Form Factor (SFF) Software Defined Radio (SDR) platform, provided by Lyrtech
and Texas Instruments (TI). Our filterbanks spectrum sensing was shown to exhibit
superior performance in terms of the spectral dynamic range when compared to the
conventional FFT based techniques, i.e., periodogram method. Different processing
tasks were divided between a TI c64x+ DSP and a Xilinx Virtex IV FPGA while an
ARM9 core was used to host Greenhills operating system. To tackle the complexity
of development, we used progressive simulation based design. To develop the
network of the cognitive radio modems, we deployed the available real modems with
simulated primary and secondary users in a central simulation. Three real nodes
were used in our testbed which perform channel sensing and data transmission.
If the presence of a primary user is detected on a carrier that is being used, the
cognitive radio moves to an unoccupied part of the spectrum. Our implementation
 140

was tested at a major exhibition and a cognitive radio demonstration track and it
was shown that our radio can coexist not only with primary devices but also with
other cognitive radios.
Filterbank multicarrier techniques were also applied to fault detection of live
wires. Multicarrier refelctometry (MCR) as an effective method for testing live
wires had been recently proposed. We studied the use of filterbanks for genera-
tion/synthesis of MCR test signals and also for analysis of the reflected signal. We
noted that the test signals have to be confined to the portion(s) of the frequency
band that is (are) free of the live wire signals in order to avoid interference with the
critically important live ware signals. Moreover, for effective analysis of the reflected
waves, optimal filters that separate the test signal tones and also avoid minimal
leakage from the live wire signals should be designed. We discussed the criteria
necessary to design effective MCR systems and developed the relevant filterbank
design procedures. We also borrowed an idea from cognitive radio research and
introduced the novel idea of cognitive live wire testing, where the tester first
measures the live wire signal activities and then decides on which part of the
spectrum may be used for testing.

8.1 Outlook into Future Research

From this research, one can conclude that the FBMC communication are plau-
sible for implementation in commercial data network such as wireless LAN and
WiMax. As a result, this research can be considered a starting point for many
other areas of research which are targeted toward development of filterbank based
communications systems. Furthermore, we presented an implementation of a cog-
nitive radio based on filterbank sensing which could be used as a base for further
development of a cognitive radio where filterbanks are used for data communication
as well. In this section we briefly highlight some possible future research areas.

8.1.1 Mobile FBMC

As discussed in Chapter 2, in FBMC communication systems, filters can be
designed such that only adjacent subcarriers overlap. In OFDM systems, on the
 141

other hand, if the orthogonality is lost, there would be interference among adjacent
and nonadjacent subcarriers that results in considerable distortion. Hence, FBMC
systems are more suitable than OFDM systems for environments with high mobility
and high doppler effect. Designing all the components of an FBMC systems that
can reliably perform in frequency selective fast fading channels presents us many
new areas of research. Using adaptive filters and decision feedback equalizers for
channel estimation, joint data and channel estimation, performance of different
filter designs in different channel models are few examples of the research topics in
mobile FBMC systems.

8.1.2 MIMO FBMC

The use of multiple antennas at the transmitter and receiver which is named
Multiple-input and Multiple-output (MIMO) can provide significant throughput
increase in communication systems. OFDM have been widely used in MIMO
systems. IEEE 802.11n and 802.16e are two of the industry standards that use
MIMO-OFDM. MIMO FBMC offers many exciting problems for research. Channel
estimation and synchronization are among interesting issues to work on. The
discussed FBMC methods in this dissertation as well as other variants of FBMC
should be investigated and compared in MIMO settings.

8.1.3 Pilot Design

In this dissertation, we discussed decision directed frequency and timing phase
tracking algorithms. Our proposed methods does not require any additional over-
head and transmit power for pilots during payload transmission. However, in some
OFDM based industry standard such as IEEE 802.11, selected subcarriers are used
to transmit pilot signals which may be used for frequency and timing phase tracking.
Performance study of pilot subcarriers with different pilot patterns is a research area
that could be investigated in future FBMC based industry standards.
 142

8.1.4 Implementation of FBMC Communications

In this dissertation, we presented an implementation of a cognitive radio which is
using filterbank spectrum sensing. Extending the current implementation to include
a FBMC based communication system would be the next step to further show the
usefulness and practicality of FBMC communications and spectrum sensing on a
cognitive radio modem. Our proposed preamble structure and decision directed
methods can be implemented on the SFF SDR testbed.

8.1.5 Implementation of Filterbank Multicarrier Reflectometry

Implementation and performance study of our Filterbank Multicarrier Reflec-
tometry for Cognitive Wire Testing on a practical setup that allows testing on
live wires would be the next step in the presented research. Using a test setup, the
interference from our designed test signal onto the live signal should be investigated.
Furthermore, the leakage from the live signal to the reflected test signal in our
analysis filterbanks can be measured. The measurements may be then used to show
that the filterbanks can provide minimal leakage and accurate fault detection.
 APPENDIX A

ACRONYMS AND ABBREVIATIONS

This appendix contains an alphabetical list of the acronyms and abbreviations

used throughout this dissertation.

ADC Analog-to-Digital Converter

AFB Analysis Filterbank
AGC Automatic Gain Control
BPSK Binary Phase Shift Key
CCS Code Composer Studio
CFO Carrier Frequency Offset
CIC Cascaded-Integrator-Comb
CMT Cosine-Modulated Multitone
CP Cyclic Prefix
CPSCIC Combined CIC and Pulse Shaper
CR Cognitive Radio
CSI Channel State Information
CVSD Continuously Variable Slope Delta Modulation
DDC Digital Down Conversion
DDS Direct Digital Synthesizer
DEVS Discrete Event System Specification
DFT Discrete Fourier Transform
DMP Digital Media Processor
DSL Digital Subscriber Lines
DSP Digital Signal Processor
DySpan Dynamic Spectrum Access Network
FBMC Filterbank Multicarrier
FBMCR Filterbank Multicarrier Reflectometry
FCC Federal Communications Commission
FEC Forward Error Correction
FDD Frequency Division Duplex
 144

FDMA Frequency Division Multiple Access

FFT Fast Fourier Transform
FMT Filtered Multitone
FPGA Field-Programmable Gate Arrays
FRS Family Radio Service
GPP General Purpose Processor
GUI Graphical User Interface
ICI Intercarrier Interference
IDFT Inverse Discrete Fourier Transform
IF Intermediate Frequency
ISI Intersymbol Interference
ITU International Telecommunication Union
LTE Long Term Evolution
MCR Multicarrier reflectometry
MDFT Modified DFT
MIMO Multiple-Input Multiple-Output
ML Maximum Likelihood
MSE Mean Square Error
MTM Multitaper Method
NENA National Emergency Number Association
OPB On-Chip Peripheral Bus
OFDM Orthogonal Frequency Division Multiplexing
OQAM Offset Quadrature Amplitude Modulation
PAFB Polyphase Analysis Filterbanks
PAM Pulse Amplitude Modulation
PAPR Peak to Average Power Ratio
PLL Phase Locked Loop
PN Pseudo Noise
PSBD Progressive Simulation Based Design
PSD Power Spectral Density
PSF Pulseshaping Filter
PSFB Polyphase Synthesis Filterbanks
PSK Phase Shift Key
PU Primary User
QAM Quadrature Amplitude Modulation
RISC Reduced Instruction Set Computer
RS Reed Solomon
RTOS Real-Time Operating System
RTW Real Time Workshop
SINR Signal to Interference plus Noise Ratio
SIR Signal to Interference Ratio
 145

SDR Software Defined Radio

SFF Small Form Factor
SMT Staggered Modulated Multitone
SNR Signal to Noise Ratio
SoC System on Chip
SU Secondary User
TDD Time Division Duplex
TDMA Time Division Multiple Access
TDR Time Domain Reflectometry
3GPP Third Generation Partnership Project
TLC Target Language Compiler
VLIW Very Long Instruction Word
VPBE Video Processing Back End
VPFE Video Processing Front End
VPSS Video Processing Subsystem
VSB Vestigial Sideband
XG Next Generation Program
WNAN Wireless Network After Next
 APPENDIX B

VARIABLES

This appendix provides definitions used in the text. The following variables are
used in Chapters 1 to 6.

A(f ) Defined at 4.11.

B[n] Defined at (5.3).
C(f ) The Fourier transform of c(t).
c(t) The baseband equivalent of channel impulse response.
ccy [n, n0 ] Defined at (5.2).
cy [n, ] Defined at (5.1).
D(f, t0 ) The degradation where f is carrier offset and t0 is timing offset.
El (z) z-transform of el [n].
el [n] The lth polyphase element of h[n].
fc The carrier frequency.
fi The center frequency of the ith subcarrier
of a basedband multicarrier signal.
guI [l] The interference term from the in-phase symbols of the
subcarrier k + u. on in-phase element of subcarrier k.
guQ [l] The interference term from the quadrature symbols of
the subcarrier k + u on in-phase element of subcarrier k.
gu [l] The interference term in a CMT system from subcarrier
k + u on subcarrier k.
Hk (z) The modulated filter in the z-domain.
h(t) The prototype filter used in a filterbank structure.
hk Defined at (4.26).
hT [n] The prototype filter of a transmitter FBMC structure.
hR [n] The prototype filter of a receiver FBMC structure.
={} The imaginary part of.
T The symbol period of a multicarrier signal.
K The signal level.
L The size of IDFT used for polyphase implementation.
N The number of subcarriers in a multicarrier system.
NP The length of p[n].
nopt Defined at (4.22).
 147

p[n] The received signal from

the repetitive preamble.
Q The number of trainings in one OFDM symbol.
qk [2n] Defined at (3.49).
qk [2n + 1] Defined at (3.51).
<{} The real part of.
rk1 [2n] Defined at (3.44).
rk2 [2n] Defined at (3.45).
rk2 [2n + 1] Defined at (3.53).
rk1 [2n + 1] Defined at (3.52).
Sk (z L ) The z-transform of the upsampled
version of sk [n].
0
Sm [n] The outputs of the IDFT at Fig 3.14.
I 0
S 0 m [n] The real part of Sm [n].
Q 0
S 0 m [n] The imaginary part of Sm [n].
s0k (t) The staggered QAM signal on one subcarrier.
sIk [n] The real part of the nth transmitted symbol of
the kth subcarrier.
sQ
k [n] The imaginary part of the nth transmitted symbol of
the kth subcarrier.
s[n] Obtained by passing the
real part of sC
k [n] through PAM demodulator.
sCk [n] Defined at (5.12).
sIk [n] The real part of the nth received symbol of
the kth subcarrier.
sQ
k [n] The imaginary part of the nth received symbol
of the kth subcarrier.
sm [n] The nth transmitted symbol of the mth subcarrier.
sm [n] The nth received symbol of the mth subcarrier.
sm [n] The nth received symbol of the mth subcarrier.
SINRA The signal to noise ratio in presence of
carrier or timing offset.
SINRS The signal to noise ratio if the transmitter
and receiver are synchronous.
Tk1 [2n] Defined at (3.25).
Tk2 [2n] Defined at (3.26).
Tk1 [2n + 1] Defined at (3.31).
Tk2 [2n + 1] Defined at (3.32).
TS The length of one OFDM symbol.
t0 A timing offset.
Uk [n] The z transform of uk [n].
up [n] Defined at (3.23).
v[n] Defined at (5.4).
2
WL ej L .
 148

X(z) The z transform of x(t).

Xm (z) The z tranform of xm (t).
X 0 (z) Defined at (3.60).
Xk0 (z) The z-transform of x0k [n].
Xk [z] Defined as (3.68).
x(t) The continuous transmitted signal.
xc (t) The complex output of the matched filter in CMT systems.
x0k [n] Defined at (3.58).
xlong (t) The long training Defined at (4.8).
xm (t) The continuous transmitted signal on the mth subcarrier.
Ylong (f ) The Fourier transform of ylong (t).
y(t) The received signal.
yk (t) The baseband signal of the kth subcarrier before matched filter.
ylong (t) The received long training.
The roll-off parameter for OFDM receive windowing.
The roll-off parameter for OFDM transmit windowing.
(t) The Dirac delta function.
[m, k] The Dirac function in two dimensions.
f CFO.
c
f The estimated CFO.
k [n] The interface resulting from ISI and ICI terms.
The timing offset value.
( ) An additive white Gaussian noise.
(nT ) The noise term of nth symbols.
[n] Defined at (4.25).
The noise variance.
[n, ] Defined at (5.15).
0 A phase offset.
[n] The demodulator carrier phase angle.
i (f ) The PSD of the ith subcarrier.
[q] Defined in (4.7).
[q] Defined at (4.6).
 149

The following variables are used in Chapters 7.

ai The magnitude of the ith sine wave.

c0 A column vector of length N and elements of 1.
ci A column vector with the elements of
1, ej2fi , , ej2(N 1)fi .
e(f ) [1 ej2f ej2(N 1)f ].
Es Defined at (7.16).
fc Carrier frequency.
fi The normalized frequency of the tones in the test signal.
g[n] The prototype filter used in analysis filterbanks.
G(f ) The fourier transform of g[n].
g [g[0] g[1] g[N 1]]T .
h(t) The window function.
={} The real part of.
K A number relatively prime to N .
L Filter length.
N Period of [n].
<{} The real part of.
S A set of frequency indices.
T The time duration of w(t).
T0 The width of role-off time at each side of the w(t).
t Continuous time.
X(f ) The Fourier transform of x(t).
x(t) Multicarrier test signal.
xi (t) The ith tone in x(t).
V (f ) The Fourier transform of v(t).
v(t) Summation of sinewaves.
W (f ) The Fourier transform of w(t).
w(t) A window function that limits x(t) to a finite duration.
y(t) The reflected signal.
i The frequency of the ith sine wave.
i The phase of the ith sine wave.
[n]
Polyphase codes used to minimize PAPR.
Tt Rectangular window.
Defined at (7.20).
N -by-N matrix with the klth element defined at (7.17).
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