AU8824_C016.

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Chapter 16
Frequency Domain
Equalization for OFDM
and SC/FDE
Harald Witschnig
Contents
16.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418
16.2 Analysis of Frequency Domain Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 419
16.2.1 Frequency Domain Equalization for Single Carrier Transmission. . . . . . . . . . . . 419
16.2.1.1 Properties of the Fourier Transformation. . . . . . . . . . . . . . . . . . . . . . . . . . 420
16.2.1.2 Linear Filtering in the Frequency Domain. . . . . . . . . . . . . . . . . . . . . . . . 421
16.2.1.3 Linear Filtering Methods Based on the DFT. . . . . . . . . . . . . . . . . . . . . . 423
16.2.2 The Concept of CP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
16.2.2.1 ZF Equalization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
16.2.2.2 MMSE Equalization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
16.2.3 Known Symbols versus Classical CP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
16.3 FDE for Multicarrier Transmission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
16.3.1 Orthogonal Frequency Division MultiplexingOFDM. . . . . . . . . . . . . . . . . . . . . 433
16.3.1.1 ISI and ICI in the Case of Multipath Propagation. . . . . . . . . . . . . . . . 434
16.4 Fundamental System Comparison. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
16.4.1 Processing Load. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
16.4.1.1 SC/FDE Based on a Classical CP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
16.4.1.2 SC/FDE based on UW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
16.4.1.3 OFDM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
16.4.1.4 Bandwidth Efciency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
417
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418 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
16.4.1.5 SC/FDE Based on CP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
16.4.1.6 SC/FDE Based on UW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
16.4.1.7 OFDM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
16.4.1.8 Loss of Signal-to-Noise Ratio due to a CP. . . . . . . . . . . . . . . . . . . . . . . . 439
16.4.1.9 Front-End Requirements and RF-Related Issues. . . . . . . . . . . . . . . . . . 439
16.5 Performance Comparison of SC/FDE versus OFDM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442
16.5.1 The OFDM SystemParameter Denition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
16.5.2 The SC/FDE SystemParameter Denition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
16.5.3 Performance Comparison. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447
16.6 Conclusion and Outlook. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
16.1 Introduction
Time dispersion caused by multipath propagation can severely distort the received signal and makes
powerful equalization necessary in wireless communication systems. With increasing data rates
(bandwidth), equalization becomes more and more of relevance and requires signicant signal
processing effort. Performing equalization in the frequency domain allows for a computationally
efcient implementation because in that domain the effort grows signicantly lower with the band-
width compared to equalization in the time domain where the effort grows at least quadratically
with bandwidth [2], as pointed out in Figure 16.1.
Therefore the concepts of frequency domain equalization represent one of the most powerful
strategies to combat time dispersion caused by multipath propagation and are the basis for many
broadband communication systems.
From a historical point of view, single carrier transmission might be the more obvious strategy,
but it is the concept of multicarrier transmission that dominated and dominates for high-rate
wireless communications. The interest frequency domain equalization for single carrier transmission
(SC/FDE) has been growing rapidly only recently, when being discussed in the context of long term
evolution (LTE). Finally, SC/FDMA was decided to be implemented for the uplink, based on basic
1000
100
10
1
0 10 20 30 40 50 60 70 80
Length of channel impulse response (symbol intervals)
Frequency domain linear equalizer
Time domain linear equalizer
N
e
c
e
s
s
a
r
y

m
u
l
t
i
p
l
i
c
a
t
i
o
n
s

p
e
r

s
y
m
b
o
l

Figure 16.1 Implementation effort for time and frequency domain equalization.
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Frequency Domain Equalization for OFDM and SC/FDE 419
Frequency domain
equalization
based on guard
period
Multicarrier
transmission
(OFDM)
Single carrier
transmission
Classical
cyclic prex
Unique word
Figure 16.2 Concepts of frequency domain equalization.
principles of SC/FDE. It was realised that SC/FDE features advantages especially for the uplink
transmission in mobile equipment, while OFDM shows advantages when it comes to exibility.
Afundamental element for the correct andefcient implementationof the investigatedfrequency
domain equalization is the so-called cyclic prex (CP) (as introduced in a mathematical way in the
following sections). Therefore this CP represents a central element of the underlying discussion and
is used as a differentiator for the implementations in orthogonal frequency division multiplexing
(OFDM) and SC/FDE.
Figure 16.2 anticipates this differentiation. While for OFDM almost only the classical CP
structure is of practical relevance, a further differentiation makes sense for SC/FDE, namely between
classical CP structure and a so-called Unique Word (UW) structure. This UW is based on known
pilot symbols and shows signicant advantages compared to the traditional CP Using the UW for
equalization, synchronization, or channel estimation purposes makes this concept the most powerful
one among the investigated strategies.
16.2 Analysis of Frequency Domain Equalization
It is the aim of this section to give an insight into the nature of frequency domain equalization and
why it became such a fundamental factor for modern communications. It will be pointed out that
the aim as well as the results due to frequency domain equalization are almost comparable for both
single carrierand multicarrier transmission but that the way these results are achieved is different.
16.2.1 Frequency Domain Equalization for Single Carrier Transmission
Despite the dominating position of the OFDM-like concepts, the concept of SC/FDE will be
introduced rst. SC/FDE is dened by the properties of the discrete Fourier transformation (DFT).
Without going into details the main theorems of Fourier transformation that are relevant for this
application will be reviewed [27].
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420 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
16.2.1.1 Properties of the Fourier Transformation
As any investigation and implementation in this work are based on digital signal processing, only
the DFT and its properties will be introduced.
Based on a continuous time signal x(t ), x(n)
T
a
describes the sequence achieved by sampling
x(t ) based on the sampling time T
a
x
T
a
(n) = x(t )

n=
(t nT
a
). (16.1)
To perform frequency analysis on a discrete-time signal, the time domain sequence is converted to
an equivalent frequency domain representation by
X
T
a
(f ) =

n=
x
T
a
(n)e
j2nT
a
f
. (16.2)
Equation 16.2 describes the discrete-time Fourier transformation of the sequence x(n), representing
a periodic spectrum with the period f
a
= 1/T
a
. The inverse discrete-time Fourier transformation is
given by
x
T
a
(n) =
/T
_
/T
X
T
a
(f )e
j2nT
a
f
df . (16.3)
Note that the application of the discrete-time Fourier transformation leads to a continuous spectrum
and is therefore not a computationally convenient representation of the sequence x
T
a
(n). This
drawback leads to the development of the so-called DFT.
For a given N-tupel of (time)values
x[0], x[1], . . . , x[N 1] (16.4)
the corresponding N-tupel of frequency values
X [0], X [1], . . . , X [N 1] (16.5)
is computed by applying the
X [k] =
N1

n=0
x[n]e
j2kn/N
, k = 0, 1, 2, . . . , N 1. (16.6)
Of course this transformation is reversible, called inverse discrete Fourier transformation (IDFT), and
is given by
x[n] =
1
N
N1

k=0
X [k]e
j2kn/N
, n = 0, 1, 2, . . . , N 1. (16.7)
X [k] as well x[n] represent periodic functions in the frequency and time domains, respectively,
based on the period N. The statement of Equation 16.6 or 16.7 is simply that a periodic signal x[n]
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Frequency Domain Equalization for OFDM and SC/FDE 421
can be reconstructed from the periodic samples of X [n] and vice versa. Equations 16.6 and 16.7
do not imply that a recovery of an aperiodic discrete-time signal x
T
a
(n) and its spectrum X
T
a
(f )
is possible, making a more detailed characterization necessary.
Representing a continuous signal of duration T
0
by a sampled sequence of the form x(n) for
n = 0, 1, . . . N 1 and T
a
= T
0
/N, the discrete-time Fourier transformation is simplied to
X
T
a
(f ) =
N1

n=0
x(n)e
j2nT
a
f
. (16.8)
In comparison to this, the DFT is given by
X
T
a
[k] =
N1

n=0
x(n)e
j2kn/N
. (16.9)
The comparison of Equations 16.8 and 16.9 shows that if one takes X
T
a
(f ) at the discrete frequency
points f
k
= k/NT
a
, X
T
a
[k] results. So, for the case of NT
a
= T
0
and f
0
= 1/T
0
, the signicant
relationship
X
T
a
[k] = X
T
a
(kf
0
) (16.10)
follows. It is essential to point out the importance of this statement once more, namely that there is
correspondence between the discrete-time Fourier transformed sequence x(n) at the points f = nf
0
and the DFT of the sequence x(n) within one period. This means that for sampling sequences of
nite duration a sampled version of the discrete-time Fourier transformation is dened by the DFT
without ambiguity.
It is this unambiguous correspondence between discrete-time Fourier transformation and DFT
on the one hand and the existence of extremely efcient algorithms for computing the DFT(for the
case of N being a power of two, they are well known as fast Fourier transformation algorithms) on
the other hand that makes the Fourier transformation and further frequency domain equalization
highly efcient compared to time domain equalization.
16.2.1.2 Linear Filtering in the Frequency Domain
In the time domain the equalization is carried out by a convolutional operation (linear nite impulse
response [FIR] ltering [2]). Here it will be demonstrated how to carry out this convolutional
operation in the frequency domain.
Of essential signicance for any further investigation is the Theorem of (linear) Convolution,
stating that the convolutional product of two functions x(t ) and h(t ) is transformed by the Fourier
transformation into the algebraic product of the two Fourier transformed sequences X (f ) and H(f )
x(t ) h(t ) X (f ) H(f ). (16.11)
The theorem of (linear) convolution allows one to replace the costly convolutional operation by
a multiplication. Since the DFT provides a discrete frequency representation of a nite-duration
sequence, it is essential to dene its use also for linear system analysis, especially for linear ltering.
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422 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
For that, two nite-duration sequences of length N, x
1
[n] and x
2
[n], are transformed by an
N-point DFT to the frequency domain
X
1
[k] =
N1

n=0
x
1
(n)e
j2nk/N
, k = 0, 1, . . . , N 1, (16.12)
X
2
[k] =
N1

n=0
x
2
(n)e
j2nk/N
, k = 0, 1, . . . , N 1, (16.13)
Multiplying the two frequency domain sequences X
1
[k] and X
2
[k] element-wise results in a fre-
quency domain sequence X
3
[k], which is the DFT of a sequence x
3
[n] of length N. Of signicant
meaning for the further steps is the relationship between x
3
[n] and the sequences x
1
[n] and x
2
[n].
Due to Equation 16.11, X
3
[k] can be written as
X
3
[k] = X
1
[k]X
2
[k], k = 0, 1, . . . , N 1. (16.14)
The IDFT of X
3
[k] leads to
x
3
[n] =
1
N
N1

k=0
X
3
[k]e
j2kn/N
=
1
N
N1

k=0
X
1
[k]X
2
[k]e
j2kn/N
.
By substituting for X
1
[k] and X
2
[k] using the DFTs, one obtains
x
3
[n] =
1
N
N1

k=0
_
N1

r=0
x
1
[r]e
j2kr/N
__
N1

l =0
x
2
[l ]e
j2kl /n
_
e
j2kn/N
,
=
1
N
N1

r=0
x
1
[r]
N1

l =0
x
2
[l ]
_
N1

k=0
e
j2k(nrl )/N
_
. (16.15)
Equation 16.15 will be simplied as the inner sum has the form
N1

k=0
a
k
=

N for a = 1,
1 a
N
1 a
for a = 1,
(16.16)
where a is dened as
a = e
j2(nrl )/N
. (16.17)
Note that a = 1 if n r l is a multiple of N. Besides this, a
N
= 1 for any value of a = 0. As a
result, Equation 16.16 reduces to
N1

k=0
a
k
=
_
N for l = n r +pN = (n r)
N
,
0 otherwise.
(16.18)
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Frequency Domain Equalization for OFDM and SC/FDE 423
In this equation p describes an integer value and ()
N
describes a modulo operation. By substituting
the result of Equation 16.18 into Equation 16.15, we obtain the required expression for x
3
[n] as
follows:
x
3
[n] =
N1

n=0
x
1
[r]x
2
[(n r)]
N
, n = 0, 1, . . . , N 1. (16.19)
Although this expression is similar to the form of a linear convolution, it is signicantly different
as it describes a periodic sequence indicated by the index (n r)
N
. Due to that periodicity, this
convolution is called a circular convolution.
Comparable to the Theorem of linear convolution for the continuous Fourier transformation the
Theorem of cyclic convolution for the DFT can be formulated as
x
1
(n) x
2
(n) X
1
(k)X
2
(k). (16.20)
It is concluded that the cyclic convolution of two sequences is equivalently represented by the
algebraic product of the discrete Fourier transformed sequences as
x[n] h[n] = IDFT
N
_
DFT
N
{x[n]} DFT
N
{h[n]}
_
. (16.21)
Equation 16.21 represents the most essential relation in the context of SC/FDE, as it allows us
to carry out an equivalent equalization in the frequency domain. Unfortunately, a direct use of
Equation 16.21 is not possible as the distortion by the radio channel and the necessary equalization
by an FIR lter are represented by a linear convolution but not a circular convolution.
16.2.1.3 Linear Filtering Methods Based on the DFT
Due to the previously mentioned problem, it is demonstrated in the following how to make use of
the efcient DFT and to perform a correct linear ltering in the frequency domain.
The underlying investigations are based on a discrete-time nite duration sequence x
T
a
(n) of
length L which excites an FIR lter h
T
a
(n) of length M based on a sampling time T
a
. Without loss
of generality, it is dened as
x
T
a
(n) = 0, n < 0 and n L, (16.22)
h
T
a
(n) = 0, n < 0 and n M. (16.23)
The output sequence y
T
a
(n) of the FIRlter is expressedinthe time domainas the linear convolution
of x
T
a
(n) and h
T
a
(n) by
y
T
a
(n) =
M1

k=0
h
T
a
(k)x
T
a
(n k). (16.24)
Since h
T
a
(n) and x
T
a
(n) are of nite duration, their linear convolution is also nite in duration
and of length L +M 1. Its frequency domain representation is given by
Y
T
a
(f ) = X
T
a
(f )H
T
a
(f ). (16.25)
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424 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
If the sequence y
T
a
(n) is to be represented as unambiguous in the frequency domain by discrete
samples of its spectrum Y
T
a
(f ), the number of distinct samples must equal or exceed L +M 1.
Therefore, a DFT of size N L +M 1 is required.
From
Y (k) Y (f )|
f =2k/N
= X (f )H(f )|
f =2k/N
, k = 0, 1, . . . , N 1, (16.26)
it follows that
Y (k) = X (k)H(k), k = 0, 1, . . . , N 1, (16.27)
where X (k) and H(k) describe the N-point Fourier transform of the corresponding sequences. As
the sequences x(n) and h(n) have a duration of less than N, they are simply zero padded. Note that
the number of samples that represent these sequences in the frequency domain is increased to N,
representing x(n) of duration L and h(n) of duration M. Due to Equation 16.10 there are N points
of identity at the frequencies nf
0
between the discrete-time Fourier transformation and the DFT
for the case of NT
a
= T
0
and f
0
= 1/T
0
, allowing a unique relation. Since an N-point DFT of
the output sequence y[n] is sufcient to represent this sequence in the frequency domain, it follows
that the multiplication of the N-point DFTs X [k] and H[k] followed by the computation of the
N-point IDFT must yield the sequence y[n]. This implies that the N-point circular convolution
of x[n] with h[n] must be equivalent to the linear convolution of x
T
a
(n) with h
T
a
(n).
To conclude this consideration: By increasing the length of the sequences x[n] and h[n] to
N = L +M 1 points and then circularly convolving the resulting sequences, we obtain the same
result as would have been obtained by a linear convolution. Thus, zero padding enables us to use a
DFT to perform linear ltering.
16.2.2 The Concept of CP
A completely different approach to process a continual channel distorted datastream with the use
of a DFT is the use of a CP that was introduced for the rst time in Refs. [8,9], and was developed
in detail by Huemer [10].
It is the aim of the CP to make the linear convolution due to the channel identical to a cyclic
convolution by the use of a changed sent data-structure. In Ref. [8] it has been proposed for the
rst time to perform a blockwise transmission by inserting a guard interval (CP) between successive
blocks. In order to mitigate interblock interference the duration T
G
of the guard interval has to be
longer than the duration T
h
of the channel impulse response h(t ). The task of the frequency domain
equalizer is to eliminate intersymbol interference (ISI) within the individual blocks. Figure 16.3
depicts the structure of one transmitted block that consists of the original sequence of N symbols
of duration T
FFT
= NT and the cyclic extension duration of T
G
= N
G
T.
If s
i
(t ) denotes the continuous-time representation of the original symbol sequence of the ith
block with s
i
(t ) = 0 for t / [0, T
FFT
], then the extended block denoted by s
i
(t ) is given by
s
i
(t ) =

s
i
(t ) for t [0, T
FFT
],
s
i
(t +T
FFT
) for t [T
G
, 0],
0 else.
(16.28)
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426 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
s

() s
p
()

h(t )
h(t )
h(t )
h(t )
h
p
(t )
h
p
(t )
h
p
(t )
h
p
(t )
t = T
CP
t = T
CP
+ T
h
T
G
0
(a) (b)
t = T
FFT
T
CP
t = T
FFT
T
CP
t = T
FFT
T
FFT
T
G
T
FFT
T
G
0 T
FFT
T
G
T
FFT

t = T
FFT
t = T
CP
+ T
h
t = T
CP
Figure 16.4 Linear (a) versus cyclic (b) convolution.
Considering only one block of the received block of duration T
FFT
, this block includes one period
of the cyclically extended signal r
i
(t ) and is denoted by r
i
(t ). Based on the theorem of circular
convolution one gets the essential relation

R
i
(nf
0
) = S
i
(nf
0
) H(nf
0
) f
0
=
1
T
FFT
, n Z. (16.35)
Here the functions

R
i
(f ), S
i
(f ), and H(f ) are related to the time domain signals r
i
(t ), s
i
(t ), and
h(t ) by the continuous Fourier transform. Note that on the right-hand side of Equation 16.35
the Fourier transform of the original, noncyclically extended transmitted block s
i
(t ) appears. This
implies the important relation

R
i
(nf
0
) = R
i
(nf
0
), n Z, (16.36)
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Frequency Domain Equalization for OFDM and SC/FDE 425
T
G
T
FFT
T
B
Figure 16.3 Sent data-structure using a CP.
The overall transmit signal can then be written as
s(t ) =

i
s
i
(t i(T
FFT
+T
G
)). (16.29)
The transmission of the cyclically extended sequence over a channel with the impulse response h(t )
is given by the linear convolution
s
i
(t ) h(t ) =

s()h(t ) d (16.30)
and is dened for the interval T
G
, T
FFT
+T
h
. For the further steps, also the periodic sequences
s
p
(t ) and h
p
(t ) are dened as
s
p
(t ) =

n=
s
i
(t nT
FFT
), (16.31)
h
p
(t ) =

n=
h(t nT
FFT
). (16.32)
The transmission of s
p
(t ) over the radio channel is given by

s
p
()h(t ) d =
T
FFT
+t
_
t
s
p
()h
p
(t ) d = s
i
(t ) h(t ). (16.33)
The choice of t is not of relevance as long as the integration is carried out over one period.
By comparing Equation 16.30 with Equation 16.33 it becomes obvious that both convolution
operations lead to the same result within the interval of [T
G
+ T
h
, T
FFT
]. This behavior is
characterized in Figure 16.4 additionally.
With the cyclic extension, the linear convolution of the i-th block with the channel impulse
response becomes a circular convolution and the received block fullls the condition
r
i
(t ) = s
i
(t ) h(t ) = s
i
(t ) h(t ) for t [T
G
+T
h
, T
FFT
]. (16.34)
AU8824_C016.tex page 427[#11] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 427
where R
i
(f ) denotes the Fourier transform of the received block r
i
(t ) that would result from trans-
mission of the original, noncyclically extended block s
i
(t ) over the channel h(t ). The cyclic extension
guarantees that every necessary information of a distorted and received block is concentrated within
one period of the periodically extended structure of duration T
FFT
.
It is essential to summarize the idea of the CP once more: It is our aimto use efcient DFT(FFT)
operations to carry out the equalization in the frequency domain. But the DFTmultiplication
IDFT operation is equivalent to a cyclic convolution in the time domain, although the information
sequence is inuenced by the radio channelrepresented by a linear convolution. The effects of
this linear convolution shall be compensated for by a second linear convolutionthe equalizer.
By using a CP, the linear convolution equals the cyclic convolution already at the channel and
allows the instant application of the DFTmultiplicationIDFT operation due to the theorem
of cyclic convolution. The price to be paid for these signicant advantages is simply a reduced
bandwidth efciency of up to 20% as the guard period has to be inserted already at the transmitter.
As a result, a correct blockwise equalization can be carried out.
Until now, only the equalization in the frequency domain as such has been presented, without
dening the equalizer transfer-function or the equalization criterion itself. This will be compensate
for in the following.
The equalizer error
k
is dened as the difference between the transmit sequence d(k) and the
equalizer output y(k)

k
= d(k) y(k). (16.37)
This difference is caused by ISI as well as noise, making a detailed characterization of these inter-
ference factors necessary. The expectation (E) of
k
at the equalizer output is given by

2
= E|
k
|
2
, (16.38)
where
2
denotes the variance, which can also be computed in the frequency domain as

2
=

(0) = T
1/T
_
0

(f ) df , (16.39)
where

(k) denotes the autocorrelation function and

T

(f ) the power spectral density of the

error signal. From the block diagram shown in Figure 16.5,
T

(f ) can be derived as

(f ) =
2
d
|Q
T
(f )E
T
(f ) 1|
2
+
T

(f )|E
T
(f )|
2
. (16.40)
d(k)
Transmit
filter
g
T
(t)
Channel
h(t)
Matched
filter
g
MF
(t)
n(t)
x(t) x(k) y(k)
d

(k)
r(t)
t
0
+ kT
Equalizer
e(k)
Figure 16.5 Transceive structure.
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428 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
Equation 16.40 is based on the assumption of an uncorrelated data sequence d(k) of variance

2
d
.
T

(f ) denotes the power spectral density of the equalizer input noise sequence (k), colored
by the matched lter. Inserting into Equation 16.39 yields

2
=

(0) = T
1/T
_
0

2
d
|Q
T
(f )E
T
(f ) 1|
2
+

(f )|E
T
(f )|
2
df . (16.41)
While the rst termdescribes the power due to residual ISI, the second termcharacterizes the output
noise power. Two criteria have found widespread use in optimizing the equalizer coefcients. One is
the zero forcing (ZF) criterion and the other is the minimum mean square error (MMSE) criterion.
16.2.2.1 ZF Equalization
The aim of a ZF equalizer is to satisfy the zero-ISI constraint. Based on that demand the ISI term
in the integrand of Equation 16.41 has to be set to zero, resulting in the ZF equalizer given by
E
T
ZF
(f ) =
1
Q
T
(f )
. (16.42)
The equalizer is simply the inverse lter to the linear lter model Q
T
(f ). Consequently, E
T
ZF
(f )
is a real valued function. The use of a ZF equalizer may result in signicant noise enhancement if
Q
T
(f ) suffers from deep spectral fades. This can easily be seen by noting that in a frequency range
where Q
T
(f ) is small, the equalizer compensates for ISI by placing a large gain in that frequency
range. Substituting Equation 16.42 into 16.41 yields the output noise power of the ZF equalizer:

2
ZF
= T
1/T
_
0

(f )
|Q
T
(f )|
2
df . (16.43)
The occurrence of noise enhancement may lead to severe degradations in terms of BER, making
other, more powerful concepts necessary.
16.2.2.2 MMSE Equalization
MMSE equalizers alleviate the problem of noise enhancement by compromising the noise ampli-
cation and the ISI reduction. From Equation 16.41 the MMSE criterion leads the equation
1/T
_
0

2
d
|Q
T
(f )E
T
(f ) 1|
2
+
T

(f )|E
T
(f )|
2
df min(
T
(f )). (16.44)
Since the integrand is nonnegative, the criterion reduces to the frequency-wise criterion

2
|Q
T
(f )E
T
(f ) 1|
2
+
T

(f )|E
T
(f )|
2
min(
T
(f )) (16.45)
AU8824_C016.tex page 429[#13] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 429
at every frequency f . Applying the gradient method with respect to E
T
(f ) yields the MMSE
equalizer frequency response [10]:
E
T
MMSE
(f ) =
[Q
T
(f )]

|Q
T
(f )|
2
+
T

(f )/
2
d
. (16.46)
Again the equalizer transfer function is real valued, since all terms appearing at the right-hand side
of Equation 16.46 are real valued as well. Thus, the complex conjugation in the numerator can
be omitted. The additive term in the denominator of the expression appearing in Equation 16.46
protects against innite noise enhancement. Substituting Equation 16.46 into Equation 16.41
yields the output noise power of the MMSE equalizer:

2
MMSE
= T
1/T
_
0

(f )
|Q
T
(f )|
2
+
T

(f )/
2
d
df . (16.47)
Comparing Equations 16.47 and 16.43 it is obvious that
2
ZF
is always greater than or equal to

2
MMSE
. At high SNRs the two equalizers become equivalent.
16.2.3 Known Symbols versus Classical CP
It has been stated that the concept of SC/FDE based on a CP suffers from a reduced bandwidth
efciency of up to 20% due to the CP. Additionally these 20% are simply chopped at the receiver
without further use. The structure that is introduced now shows signicant advantages compared
to the classical CP as this structure allows one to use the overhead of the CP in many different ways.
The drawback of the classical CP is that it is chopped at the receiver and that the content of the
CP changes with every processed block. To solve this problem, a restructuring of the classical CP
structure is carried out. Figure 16.6 shows an obvious further development of the introduced CP
concept [1118]. In this diagram UW stands for Unique Word, describing a known pilot sequence.
The rst attempt would simply be the replacement of data symbols by known symbols at the end
of every processed block, leading to exactly the same structure as for CP but having known symbols
instead of arbitrary ones. Here the advantage of a known sequence is paid dearly at the cost of a
further reduced bandwidth efciency, as the UW carries no information data itself. This additional
drawback can be compensated for using the structure shown in Figure 16.6c. It will be demonstrated
that this structure fullls the theorem of cyclic convolution in exactly, the same way as the classical
CP structure.
The following mathematical description proves that the concept of UW fullls the theorem of
cyclic convolution. Figure 16.6b depicts the structure of one transmitted block, which consists of the
original data sequence of N
s
symbols and the sequence of the UW with N
G
symbols. The overall
duration of N = N
S
+ N
G
symbols is T
FFT
= N
T
. Instead of the CP, a known sequence is part
of every processed block. Let s
Data,i
(t ) denote the continuous-time representation of the symbol
sequence of the i-th transmitted block with s
Data,i
(t ) = 0 for t / [0, T
FFT
T
G
], whereas s
i
(t )
AU8824_C016.tex page 430[#14] 19/2/2010 17:02
430 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
T
G
T
FFT
T
B
T
FFT
UW UW UW
T
G
T
FFT
T
B
T
FFT
T
G
T
FFT
T
B
T
FFT
CP2 CP2 CP3
UW
UW UW UW UW
(a)
(b)
(c)
Figure 16.6 CP structure versus UW structures.
denes the extended block
s
i
(t ) =
_
s
Data,i
(t ) for t [0, T
FFT
T
G
],
uw(t ) for t [T
FFT
T
G
, T
FFT
].
(16.48)
For the further development s
i
(t ) is dened as
s
i
(t ) =

s
i
(t ) for t [0, T
FFT
],
uw(t +T
FFT
) for t [T
G
, 0],
0 elsewhere.
(16.49)
Note that this representation includes not only the UW within T
FFT
but also the UW from the
previous block. With this extended block, the linear convolution of the i-th block with the channel
impulse response becomes a circular convolution (), and the received block fullls the condition
r
i
(t ) = s
i
(t ) h(t ) = s
i
(t ) h(t ) (16.50)
within the interval [T
G
+T
h
, T
FFT
]. Restricting the received block to the time interval [0, T
FFT
]
and applying the theoremof circular convolution to Equation 16.50, we obtain the essential relation

R
i
(nf
0
) = S
i
(nf
0
) H(nf
0
) = R
i
(nf
0
) (16.51)
AU8824_C016.tex page 431[#15] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 431
for f
0
= 1/T
FFT
and n Z. R
i
(f ) denotes the Fourier transform of the received block r
i
(t ), which
would result from transmission of the original block s
i
(t ) over the channel h(t ). The frequency
relation of Equation 16.51 shows that the concept of UW is identical to the concept of CP. The
UW shows every characteristic of a CP, allowing the low complexity equalizer implementation on
the one hand, but showing signicant advantages on the other hand. These advantages are based
on the following differences:
The UW is not random as the CP but can be chosen in a preferred way.
The UW is not removed at the receiver but is available after the equalization in the time
domain.
The UW does not change during transmission.
Although the step from the classical structure of a CP to the structure of the UW is a small one, the
advantages are tremendous, as the UW will be used for
Equalization
Synchronization
Channel estimation
It can be concluded that the concept of UW fullls the theorem of cyclic convolution in exactly
the same way as the traditional CP. Consequently, this concept allows a comparable low complexity
equalization in the frequency domain as well as the implementation of an ideal, innite long
equalizer. The main and signicant difference is that the UW will also be used for equalization,
synchronization, and channel estimation.
16.3 FDE for Multicarrier Transmission
A different approach of frequency domain processing is the concept of multicarrier transmission.
The underlying concept is a parallel transmissionconcept, where data are transmitted simultaneously
over several spectral (adjacent placed) subcarriers as indicated in Figure 16.7 [1924].
Due to the parallelization, the data rate of every individual subcarrier is reduced by the number
of subcarriers N, which results in a symbol duration on every subcarrier that is enlarged by the same
factor. That leads to a reduction of ISI compared to a single carrier transmission.
The principal multicarrier transmission concept will be introduced based on Figures 16.8 and
16.9, respectively. Amulticarrier transmission starts with a serial/parallel conversion of length N m,
where N describes the number of subcarriers, while m stands for the number of bits forming one
symbol due to modulation. The mapping is followed by a pulse shaping lter g(t ), which may lead
to a crosstalk between subcarriers. The heart of a multicarrier system is the spectral separation of
every single subcarrier, by multiplying with e
j2f
n
t
. Here f
n
describes the specic center frequency.
After a summation of all subcarriers, the transmitted signal is given by
s(t ) =

i=
N1

n=0
d
n
(i) g(t iT) e
j2f
n
t
. (16.52)
In this equation, T describes the symbol duration and d
n
(i) describes the modulated symbol of the
nth subcarrier at the time iT.
AU8824_C016.tex page 432[#16] 19/2/2010 17:02
432 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
f
B
f
B
T
SC
t
t
t
NT
SC
Single
carrier
Multi-
carrier
Channel impulse
response
Figure 16.7 Single carrier versus multicarrier transmission [19].
Binary input-
sequence
Mapping
Mapping
Mapping
S
e
r
i
a
l
/
p
a
r
a
l
l
e
l

t
r
a
n
s
f
o
r
m
a
t
i
o
n
g(t)
g(t)
g(t)
1
2
m
1
2
m
1
2
m
d
0
d
k
d
n
e
j2f
0
t
e
j2f
k
t
e
j2f
N
t
s
T
(t)
s(t)
RF mod.
Figure 16.8 Transmitter for a multicarrier transmission.
AU8824_C016.tex page 433[#17] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 433
r(t) r
T
(t)
RF-
demod.
e
j2f
0
t
e
j2f
k
t
e
j2f
N
t
h(t)
is
t
d
0
h(t)
h(t)
Demapp.
Demapp.
Demapp.
P
a
r
a
l
l
e
l
/
s
e
r
i
a
l

t
r
a
n
s
f
o
r
m
a
t
i
o
n
Binary output
sequence
1
2
m

1
2
m

1
2
m

d
k
d
n
Figure 16.9 Receiver for a multicarrier transmission.
In the receiver, a spectral separation of every subcarrier is carried out by multiplication with
e
j2f
n
t
. The recovery of symbols occurs by matched ltering and sampling on every subcarrier at
a symbol duration of T.
It is now discussed how the concept of multicarrier transmission meets intercarrier interference
(ICI) as well as ISI introduced by individual subcarriers on the one hand and by the radio channel
on the other hand.
16.3.1 Orthogonal Frequency Division MultiplexingOFDM
The concept of OFDMdenotes a specic implementation of multicarrier transmission, which solves
the problem of ICI as well as ISI [1924]. OFDM shows a direct correlation between pulse shaping
g
n
(t ) and the subcarrier-center frequency f
n
. By choosing g
n
(t ) as a rectangular impulse response
of duration T
s
|g
n
(t )| =
_
1 for 0 t T
s
,
0 else,
(16.53)
the spectrum results in a Si-function, whose center frequency varies with every subcarrier. The zeros
of these subcarrier spectra have a distance of 1/T
s
these zeros are of central importance for the
entire system as they enable orthogonality between subcarriers and prevent ICI. It can easily be
shown that this orthogonality is fullled for
|g
n
(t )| =
_
e
j2f
n
t
for 0 t T
s
,
0 else,
(16.54)
with f
n
= n/T
s
. Figure 16.10 shows a set of subcarriers, realizing orthogonality and enabling
ICI-free transmission.
AU8824_C016.tex page 434[#18] 19/2/2010 17:02
434 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
f
n1
f
n
f
n+1
f
G( f )
No inter-carrier-
interference
Figure 16.10 Spectrum of subcarriers.
For a correct demodulation in the receiver, every subcarrier needs a receive lter, adapted
(matched) to the transmit lter. The receiver (matched) lter is thus given by
h
n
(t ) =

1
T
s
e
j2f
n
t
for T
s
t 0,
0 else.
(16.55)
Under the assumption of an ideally synchronized symbol sampled at the time T
0
= 0 the convo-
lution of every transmit- and receive-lter is given by
g
m
(t ) h
n
(t )|
t =0
=

g
m
() h
n
(0 ) d, (16.56)
=
1
T
s
T
s
_
0
e
j2m/T
s
e
j2n/T
s
d, (16.57)
=
1
T
s
T
s
_
1
e
j2(mn)/T
s
d. (16.58)
For n = m the integral vanishes and only the part for n = m remains. It can be concluded that a
proper choice of pulse shaping as well as subcarrier center frequency allows an ideal, ICI-free and
ISI-free recovery of data.
16.3.1.1 ISI and ICI in the Case of Multipath Propagation
The previous description demonstrated that for ideal, undisturbed transmission an error-free
recovery is possible. This statement is not valid in the case of multipath propagation, leading
to ISI as well as ICI, making equalization concepts necessary. Figure 16.11 demonstrates that due to
the dispersion of one symbol by the transmission over the mobile radio channel, ISI and ICI occur.
AU8824_C016.tex page 435[#19] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 435
Received sequence
Channel impulse
response

Inter-symbol
interference
Sent sequence
Inter-carrier
interference
Symbol 1 Symbol 0 Symbol 1
0 T
s
t
Figure 16.11 OFDM symbols due to the inuence of a channel.
The solution of this problem is comparable to that of SC/FDEactually it is to say that this
method has been developed for OFDM earlier and has been adapted for SC/FDE. By using a guard
period T
G
between successive blocks, ISI will be prevented in the case of T
G
T
h
(T
h
describes the
length of the channel impulse response), indicated in Figure 16.12a. Nevertheless, a guard period is
able to prevent ISI but cannot prevent the loss of orthogonality between subcarriers due to ICI. This
degradation is to be prevented by using a CP as introduced in Section 16.2.2 and depicted in Figure
16.12b. Using a CP the necessary settling time, which is responsible for the ICI, is guaranteed.
Figure 16.13 shows that due to the use of a CP the settling time as well as the decaying time
is not part of the processed OFDM symbol itself, having a duration of T
s
. In that case exactly one
period of duration T
s
of a theoretical innite long periodic signal can be processed at the receiver.
Additionally it is mentioned that an easy and efcient use of the introduced UW structure as for
T
G
0 t
t
T
s
T
G
0 T
s
Guard
period T
G
Symbol 1 Symbol 0 Symbol 1
Symbol 1 Symbol 0 Symbol 1 GP -1 GP 0 GP 1
(a)
(b)
Figure 16.12 OFDM symbols by using (a) a guard period and (b) a CP.
AU8824_C016.tex page 436[#20] 19/2/2010 17:02
436 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
Received sequence
Channel impulse
response
Processed
block
Symbol 1 Symbol 0 Symbol 1 GP 1 GP 0 GP 1
T
G
T
s t 0
Channel impulse
response
Figure 16.13 ICI and ISI in the case of using a CP.
SC/FDE is not as simple due to the use of the IFFT at the transmitter. Detailed investigations are
the topic of actual research.
The above statements on ISI-free and ICI-free decisions allows for an extremely efcient equal-
ization. As the channel at every subcarrier can be assumed to be at, the equalization is reduced to a
complex multiplication at every subcarrier, correcting for magnitude and phase. The implemented
equalizer represents a one-tap lter fullling the ZF criterion, carried out before the demapping
(see Figure 16.9). Based on the above statement it can be shown that the ZF criterion represents the
optimum criterion for OFDM, an improvement based on other criteria is not given for the sim-
ple OFDM structure. The statement does not hold for (multiple input multiple output (MIMO)
systems based on OFDM, where also the introduced MMSE criterion is used.
It can be concluded that the advantages as well as the dominant position of a multicarrier
transmission or OFDM, respectively, are based on two facts:
By preventing ICI as well as ISI the equalization is reduced to a complex multiplication in
the frequency domain for every subcarrier.
The spectral separation of subcarriers followed by a summation of these subcarriers is imple-
mented very efciently by a DFT (FFT) and IDFT (IFFT), respectively.
16.4 Fundamental System Comparison
To point out the specic differences and advantages of the following introduced concepts:
A single carrier system based on CP
AU8824_C016.tex page 437[#21] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 437
A single carrier system based on known pilot sequences (UW)
A multicarrier system (OFDM)
a short comparison in terms of processing load, bandwidth efciency, and S/N loss will be given in the
following. Detailed comparisons in terms of performance, or RF-related issues will follow.
16.4.1 Processing Load
To make the introduced concepts comparable, the processing steps necessary to equalize a data block
of size N will be compared.
It is to be mentioned that the SC/FDE concepts are based on a two-times oversampling to
enable matched ltering. Furthermore, it has to be noted that this calculation of the processing load
represents only a basic comparison as different forms of equalizer implementation exist.
16.4.1.1 SC/FDE Based on a Classical CP
2N-point FFT to transform the processed block to the frequency domain
2N complex multiplications to carry out the equalization in the frequency domain
N complex additions for a sampling rate reduction
N-point IFFT to transform the processed block back to the time domain
16.4.1.2 SC/FDE Based on UW
2N-point FFT to transform the processed block to the frequency domain
2N complex multiplications for the matched ltering in the frequency domain
N complex additions for a sampling rate reduction
N-point IFFT to transform the processed block back to the time domain
Although the processing loads for the CP and UWstructure seemto be identical, the complexity
of UW is of the order of O(T
G
/T
FFT
) higher than that of the CP as the UW itself carries no data
information but has to be processed as any data information.
16.4.1.3 OFDM
While the concepts of single carrier transmission are based on a two-times oversampling, a symbol
rate processing is sufcient for OFDM. Besides that, it is to be mentioned that FFT/IFFT, operations
are separated between the transmitter and the receiver.
N-point IFFT to transform the processed block to the time domain at the transmitter
N-point FFT to transform the processed block to the frequency domain at the receiver
N complex multiplications for the equalization
Based on the above investigation, it can be concluded that the implementation effort for SC/FDE
is higher than that for OFDMmaking twice as many operations necessary. In detail, the FFT
size is 64 for OFDM and 128 for SC/FDE throughout this chapter. But, as especially for the
FFT/IFFT operations, extremely efcient algorithms exist, this disadvantage is of reduced mean-
ing. The essential point of this consideration is that the cost for the equalization does not grow
quadratically with the bit rate as it does for a single carrier system with time domain equalization.
AU8824_C016.tex page 438[#22] 19/2/2010 17:02
438 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
16.4.1.4 Bandwidth Efciency
The demand for higher transmission rates on the one hand combined with the limited resource
bandwidth on the other hand makes it inevitable to judge different communication systems by
means of their (net) bandwidth efciency.
A simplied calculation for the investigated systems will be given in the following. The simpli-
cation of this consideration is based on the fact that necessary preamble sequences are not taken
into account yet. Furthermore, an exemplary coding rate (R) of 0.5 is taken into account.
For a single carrier system the bandwidth efciency is dependent on the number of bits per
symbol, indicated by M as well as by the roll-off factor (r) due to pulse shaping. For the case of
quadrature phase shift keying (QPSK), M is set to 2 and the roll-off has been chosen 0.3.

SC
=
Bitrate
Bandwidth
Code rate =
M
1 +r
R = 0.77
bit/s
Hz
. (16.59)
16.4.1.5 SC/FDE Based on CP
To make the systems comparable, the symbol rate was chosen to be the same for the investigated
systems, namely 12 Mbit/s. As a result the duration of the FFT window as well as the duration of
the guard period differs slightly between SC/FDE and OFDM. For SC/FDE this leads to a duration
of the FFT window of 4.49 ms and of 842 ns for the guard period. Based on that, the bandwidth
efciency is calculated by

SC/FDE,CP
=
M
1 +r
_
T
FFT
T
FFT
+T
G
_
R = 0.65
bit/s
Hz
. (16.60)
16.4.1.6 SC/FDE Based on UW
If using a UW the bandwidth efciency will be further reduced a little bit if maintaining the block
structure of N = 64 symbols, out of which 12 symbols (842 ns, respectively) represent the guard
period. Allowing a processed block size of 76, this would not be the case.

SC/FDE,UW
=
M
1 +r
_
T
FFT
T
G
T
FFT
_
R = 0.625
bit/s
Hz
. (16.61)
16.4.1.7 OFDM
For OFDMthe parameters as dened by the 802.11a standard are used (number of total subcarriers:
N
total
= 52; number of pilots: 4; guard time: T
G
= 800 ns; FFT integration time: T
FFT
= 3.2 ms;
number of bits/symbol: M = 2). Note that pilot symbols being multiplexed into the datastream
further reduces, the bandwidth efciency. Based on these parameters, the bandwidth efciency is
calculated by

OFDM
=
bitrate
bandwidth
=
M N
data
/T
FFT
+T
G
N
total
/T
FFT
R = 0.74
bit/s
Hz
. (16.62)
(In this equation, the system bandwidth has been approximated by B = N
total
/T
FFT
.)
AU8824_C016.tex page 439[#23] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 439
16.4.1.8 Loss of Signal-to-Noise Ratio due to a CP
Besides a loss in terms of bandwidth efciency the overhead due to the guard period additionally
leads to a loss of signal-to-noise ratio, as the effective energy per data symbol is reduced by the
symbols of the guard period. Based on a white Gaussian noise with the two-sided power spectral
density of N
0
/2, the S/N ratio results in
S
N
=
E
b
N
0
/2
_
1
T
G
T
FFT
_
(16.63)
for the SC/FDE system using a CP. A summary of loss in terms of performance for the four cases
is given in Table 16.1.
16.4.1.9 Front-End Requirements and RF-Related Issues
Other essential aspects that have not been taken into account within this comparison of OFDM
and SC/FDE are front-end or RF-related issues. Especially OFDM suffers from high demands on
the analog front-end. Maybe the most critical element of the front-end for OFDM is the power
amplier. The transmit signal envelope of a multicarrier signal shows a very high peak-to-average
power ratio (PAPR). This is a problem when it comes to the use of nonlinear power ampliers. Two
major problems arise with nonlinear amplication:
1. Nonlinear amplication causes in-band distortions, which decrease the bit error performance
2. Nonlinear amplication causes out-of-band emission, making further ltering necessary
Of course this further ltering after power amplication is undesirable, because lters that can cope
with high power are too expensive for the aspired solutions.
As a consequence, the power amplier must be operated with signicant back off, which means
that the power efciency drastically decreases. In comparison to OFDM, the demands on the
power amplier are reduced signicantly for the SC/FDE concept. The peak-to-average power ratio
is dened by the modulation scheme, enabling the use of a less cost-intensive power amplier. Table
16.2 gives a comparison of the PAPR between SC/FDE and OFDM. It is obvious that OFDM
shows a signicantly higher PAPR especially for lower modulation schemes. Besides this, SC/FDE
has the possibility to reduce this PAPR additionally by using modulation schemes with a constant
envelope.
Table 16.1 S/N Loss due to Overhead
S/N Loss Relative S/N Loss Absolute (dB)
SC/FDE,CP
T
FFT
T
FFT
+T
G
0.75
SC/FDE,UW 1
T
G
T
FFT
0.90
OFDM
T
FFT
T
FFT
+T
G
0.97
AU8824_C016.tex page 440[#24] 19/2/2010 17:02
440 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
Table 16.2 Peak to Average Power Ratio
Modulation OFDM SC/FDE
QPSK 9.13 4.48
16-QAM 9.81 6.96
64-QAM 9.68 7.44
Note: QAM, quadrature amplitude modulation.
Of course it is to be mentioned that there exist a variety of algorithms to reduce the PAPR for
OFDM, but in general these algorithms are adaptable for SC/FDE in an easy way, leading also for
SC/FDE to a reduced PAPR. Additionally, it is to be mentioned that every algorithm for a reduced
PAPR increases the signal processing complexity. To characterize the inuence of this higher PAPR,
the error vector magnitude (EVM) as well as the BER is given below, based on a nonlinear class A
power amplier, which is characterized by
1 dB compression point: G
1dB
= 22 dBm
Third order intercept point: IP3 = 34 dBm
Linear amplication: G = 38 dB.
The EVM is a measure to describe distortions due to lters, ampliers, or modulators in a
constellation diagram. Therefore the EVM is dened as the ratio between error vector and reference
vector as shown in Figure 16.14 and described by
EVM(rms) =
_

N1
k=0
|E(k)|
2
_

N1
k=0
|S(k)|
2
. (16.64)
Reference points of
constellation diagram
M
e
a
s
u
r
e
d

v
e
c
t
o
r

R
e
fe
r
e
n
c
e
v
e
c
to
r

lm
Re
Error vector
Figure 16.14 Denition of EVM.
AU8824_C016.tex page 441[#25] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 441
0.45
0.40
0.35
0.30
0.25
0.20
0.15
0.10
0.05
0.00
E
V
M
15 14 13 12 11 10 9 8 7 6 5 4 3 2 1 0 1 2 3 4 5 6 7 8 9
Power back-off (dB)
OFDM, QPSK
OFDM, 16QAM
OFDM, 64QAM
SC/FDE, QPSK
SC/FDE, 16QAM
SC/FDE, 64QAM
Figure 16.15 EVM for SC/FDE and OFDM.
Figure 16.15 depicts the EVM for the two investigated systems when operating the power
amplier at different levels. While the EVM is comparable for OFDM and SC/FDE, operating the
amplier at a signicant power-back-off (PBO), this changes already at a PBOof about 6 dB. From
that value SC/FDE shows a signicantly reduced EVM. Although the EVM also grows signicantly
for SC/FDE with higher order modulation schemes, SC/FDE will always outperform OFDM.
As the IEEE 802.11a standard denes a maximal EVM for the different data rates, it is of
interest to compare these values with the values achieved by simulation. The instructions given by
the standard are given in Table 16.3. To fulll the demands, especially for higher data rates, the
amplier would have to be operated at a high PBO. In comparison, it would be much easier for
SC/FDE to fulll the demands.
Table 16.3 Predened EVM
Data Rate (Mbit/s) Max. EVM (dB) Max. EVM (%)
6 5 47.3
9 8 30.2
12 10 22.3
18 13 14.3
24 16 9.1
36 19 5.84
48 22 3.71
54 25 2.36
AU8824_C016.tex page 442[#26] 19/2/2010 17:02
442 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
1, E + 00
1, E 01
1, E 02
1, E 03
1, E 04
1, E 05
1, E 06
B
E
R
0 1 2 3 4 5 6 7 8 9 10
E
b
/N
0
(dB)
11 12 13 14 15 16 17 18 19 20
OFDM, QPSK, 6 dB PBO
OFDM, QPSK, 0 dB PBO
SCFDE, QPSK, 6 dB PBO
SCFDE, QPSK, 0 dB PBO
Figure 16.16 BER due to a nonlinear power amplier (QPSK).
A high EVM leads inevitable to an additional loss in terms of BER, as characterized in Figure
16.16. The simulation results are based on additive white Gaussian noise (AWGN) without channel
coding and the modulation scheme of QPSK. While the performance loss for SC/FDE is about
1 dB when operating the amplier at the 1 dB compression point compared to the operation at a
6 dB PBO, the loss is about 2.5 dB for OFDM.
By carrying out a comparable simulation for the modulation scheme of 16-QAM, the perfor-
mance loss gets signicantly higherfor both systems (Figure 16.17). Especially OFDM shows
already a strong saturation effect, operating the amplier at the 1 dB compression point.
It should be noted that OFDM and SC/FDE take advantage or suffer from drawbacks of
completely different elements of a transmission system, making these systems difcult to compare
in terms of performance. Yet, it has been demonstrated that both strategies will show an overall
comparable performance.
16.5 Performance Comparison of SC/FDE versus OFDM
The comparison of these two systems is quite difcult as they take advantage of or suffer from
drawbacks by different elements as coding, equalizer structures, interleaving, channel-state infor-
mation, front-end requirements, requirements in terms of synchronization, or others. From that
point of view, the most fair comparison can only be the specic characterization of specic elements
in an entire system and how they inuence the actual performance. Nevertheless, although this
comparison gives insight into the specic behavior of the investigated systems and the resulting
performance, these investigations cannot give an all-embracing characterization.
Before going into details it is necessary to characterize the parameters that the actual investiga-
tions are based on.
AU8824_C016.tex page 443[#27] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 443
1,E + 00
1,E 01
1,E 02
1,E 03
1,E 04
1,E 05
1,E 06
0 1 2 3 4 5 6 7 8 9 10
E
b
/N
0
(dB)
11 12 13 14 15 16 17 18 19 20
B
E
R
OFDM, 16QAM, 6 dB PBO
OFDM, 16QAM, 0 dB PBO
SCFDE, 16QAM, 6 dB PBO
SCFDE, 16QAM, 0 dB PBO
Figure 16.17 BER due to a nonlinear power amplier (16-QAM).
16.5.1 The OFDM SystemParameter Denition
The following simulation results are exemplary based on the physical layer parameters of the IEEE
802.11a-like OFDM system, which are reviewed briey in Refs. [25,26].
Figure 16.18shows the mainbasebandprocessing steps of the investigatedsystem. Inthe transmit
path the binary input data are rst scrambled (to ensure a small PAPR) and encoded by using the
industry standard rate 1/2, constraint length 7 convolutional encoder with generator polynomials
(133-171). By puncturing the rate 1/2 code, higher coding rates are achieved. An efcient coding
scheme is a crucial requirement for OFDMsince data symbols corresponding to carriers located in a
region with deep spectral fades would otherwise be unreliable. After frequency domain interleaving,
which ensures that adjacent coded bits are modulated on nonadjacent subcarriers, the binary values
are converted to QAM values. The PHY layer offers different subcarrier modulation schemes and
different coding rates, such that different data rates from 6 Mbit/s up to 54 Mbit/s can be provided.
To facilitate coherent reception, four pilot values are added to each 48 data values, which yields a total
of 52 QAM values per OFDM symbol. The heart of the OFDM system is the IFFT/FFT section
the 64-point IFFT/FFT algorithms perform the modulation and demodulation. In the transmitter
the IFFT modulates a block of 52 QAM values onto 52 subcarriers. The DC subcarrier and the
subcarriers at the band edges are not used for data transmission. To make the system robust against
multipath propagation, the CP is added. The guard interval of length 800 ns ensures robustness to
delay spreads up to 250 ns. To attain a narrow output spectrum, time domain windowing or digital
ltering can be applied. Rectangular pulses are used in these investigations. Finally, the digital output
signals are converted to analog signals, which are up-converted to the 5 GHz band.
AU8824_C016.tex page 444[#28] 19/2/2010 17:02
444 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
Pilot
insertion
IFFT
RF ADC
Decimation
filter
OFDM
receiver
OFDM
transmitter
Binary
output
data
De-
scrambling
Viterbi
decoding
De-
interleaving
De-
mapping
Equalization FFT
Synchronization
channel
estimation
Remove
CP
CP
Interpolation
filter
DAC RF
QAM
mapping
Interleaving
FEC-
coding
Scram-
bling
Binary input
data
Figure 16.18 Block diagram of the investigated OFDM system.
In the receiver path, after passing the RF part and the analog-to-digital conversion, time and
frequency synchronization is performed before starting the demodulation of the OFDM symbols.
For each symbol the CP is removed, and an FFT is used to demodulate all subcarriers. The output
of the FFT contains 48 distorted data values that are equalized by 48 complex multiplications.
The pilot subcarriers are used to correct the remaining phase drift. The equalized QAM values are
then demapped onto binary values and deinterleaved. Finally, decoding by a Viterbi decoder and
descrambling produce the binary output data.
A summary of the introduced parameters are given in the following as well as in Table 16.4.
Number of subcarriers N = 64
Number of active subcarriers N
active
= 52
Number of pilot symbols N
pilot
= 4 (out of 52)
Duration of a processed block T
FFT
= 3.2 s
Duration of the guard period T
G
= 800 ns
Sampling time (symbol spaced) T
s
= 50 ns
Subcarrier spacing B
subcarrier
= 312.5 kHz
AU8824_C016.tex page 445[#29] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 445
Table 16.4 Modes of the IEEE 802.11a Standard
Data Rate (Mbit/s) Modulation Code-Rate Bits/Processed Block
6 BPSK 1/2 24
9 BPSK 3/4 36
12 QPSK 1/2 48
18 QPSK 3/4 72
24 16-QAM 1/2 96
36 16-QAM 3/4 144
48 64-QAM 2/3 192
54 64-QAM 3/4 216
Entire bandwidth B = 16.562 MHz
Modulation schemes Binary phase shift keying (BPSK),
quadrature phase shift keying (QPSK), 16-QAM, 64-QAM
Code rates R = 1/2, 2/3, 3/4, (9/16)
Resulting data rates 6, 9, 12, 18, 24, (27), 36, 48, 54 Mbit/s
16.5.2 The SC/FDE SystemParameter Denition
Figure 16.19 shows the block diagram of the considered SC/FDE system. The SC/FDE signal
processing starts with encoding the binary input data using the same encoder as used for the
OFDM system. After coding and time domain interleaving the binary data are converted to QAM
values and a guard period is added between successive blocks. After pulse shaping (Root Raised
Cosine Pulses) and digital-to-analog conversion the resulting I/Q signals are up-converted to the
5 GHz band. In the receiver path, after passing the RF part and the analog-to-digital conversion,
time and frequency synchronization is performed rst. For each symbol the CP has to be removed
before the equalization can be performed. For the underlying investigations an MMSE equalizer
has been used. The equalized QAM values are then demapped onto soft bipolar values and decoded
by a Viterbi decoder.
Although the only obvious difference between OFDM and SC/FDE seems to be the placement
of the IFFT, it is this placement that makes a signicant difference.
The parameters of the SC/FDE system have been adapted in such a way that the same transmis-
sion rate in samples per second is reached. Based on that, the duration of a processed block and the
guard period has been adapted, leading to slight deviations in terms of the duration of a processed
block. This assumption leads to the following system parameters as well as Table 16.5:
Number of symbols per processed block N = 64
Number of symbols per guard period N
G
= 12
AU8824_C016.tex page 446[#30] 19/2/2010 17:02
446 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
Binary input
data
Binary
output
data
CP
QAM-
mapping
Interleaving
FEC-
coding
SC/FDE
transmitter
Interpolation
filter
DAC
ADC
RF
RF
Decimation
filter
Synchronization
channel
estimation
Remove
CP
SC/FDE
receiver
Viterbi
decoding
De-
interleaving
De-
mapping
IFFT FFT
Equalization
Figure 16.19 Block diagram of the investigated SC/FDE system.
Table 16.5 Modes of the IEEE 802.11a Standard,
Adapted to SC/FDE
Data Rate (Mbit/s) Modulation Code Rate Bits/Processed Block
6 BPSK 1/2 32
9 BPSK 3/4 48
12 QPSK 1/2 64
18 QPSK 3/4 96
24 16-QAM 1/2 128
36 16-QAM 3/4 192
48 64-QAM 2/3 256
54 64-QAM 3/4 288
AU8824_C016.tex page 447[#31] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 447
Duration of a processed block T
FFT
= 4.49 s
Duration of the guard period T
G
= 842.1 ns
Sampling time (symbol spaced) T
s
= 70.18 ns
Pulse shaping (RRC) Roll off: r = 0.25
Entire bandwidth B = 17.81 MHz
Modulation schemes BPSK, QPSK, 16-QAM, 64-QAM
Code rates R = 1/2, 2/3, 3/4, (9/16)
Resulting data rates 6, 9, 12, 18, 24, (27), 36, 48, 54 Mbit/s
16.5.3 Performance Comparison
It has already been mentioned that an all-embracing comparison of the two concepts is difcult. Due
to that, the underlying simulation results are based on the simplication of an ideal synchronization
and channel estimation. This assumption is justied by the fact that here only the performance of
the basic concepts are discussed and compared.
Figure 16.20 depicts the BER behavior, based on the averaging of 250 randomly chosen indoor
radio channel snapshots. The indoor radio channel impulse response (h) has been modeled as tapped
delay line, each tap with random uniformly distributed phase and Rayleigh distributed magnitude
and with the power delay prole decaying exponentially, according to IEEE 802.11a. In detail
this means: It is a statistical model to investigate small-scale fading effects. The channel is seen as
time-invariant for the duration of one burst. Based on this assumption, the channel can be modeled
1.E + 00
1.E 01
1.E 02
1.E 03
1.E 04
1.E 05
1.E 06
0 3 6 9 12 15 18 21 24 27
B
E
R
BER - OFDM versus SC/FDE - averaged
E
b
/N
0
(dB)
OFDM-QPSK, r = 1/2
OFDM-16QAM, r = 9/16
OFDM-64QAM, r = 3/4
SC/FDE-QPSK, r = 1/2
SC/FDE-16QAM, r = 9/16
SC/FDE-64QAM, r = 3/4
Figure 16.20 Performance comparison OFDM versus SC/FDE.
AU8824_C016.tex page 448[#32] 19/2/2010 17:02
448 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
as a tapped delay line dened by
h(m) =
P1

k=0
c
k
(m k). (16.65)
Here
c
k
= a
k
e
j
k
, (16.66)
based on the following statistical model:
c
k
= N
_
0,

2
k
2
_
+jN
_
0,

2
k
2
_
,

2
0
= 1 e
/
rms
,

2
k
=
2
0
e
/
rms
. (16.67)
In these equations describes the multipath resolution time,
rms
stands for the channel delay
spread, and N(0, 1/2
2
k
) is a zero mean Gaussian random variable with variance 1/2
2
k
. Based on
that description the following characteristics result:
The amplitudes of echoes a
i
follow a Rayleigh distribution, while the phase
i
follows a
uniform distribution in the range of [, ]
The mean power decays exponentially
The mean receive power is independent of the actual channel impulse response because

2
k
= 1. (16.68)
Criteria on how to choose as well as P are as follows
1/B, (16.69)

rms
/2, (16.70)
P 10

rms

. (16.71)
In Equation 16.69, B describes the overall systembandwidth. The chosen parameters are as follows:
P = 10

rms

,
= 17.5 ns,

rms
= 100 ns.
Exemplary three out of eight modes are given, representing the modulation schemes QPSK,
16-QAM, and 64-QAM, as well as the code rates 1/2, 9/16 (Hiperlan2), and 3/4. The simula-
tion results show that for a low modulation scheme SC/FDE outperforms OFDM. This behavior
changes for higher order modulation schemes such as 64-QAM. The underlying results for SC/FDE
AU8824_C016.tex page 449[#33] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 449
are based on an MMSE equalizer. It has been demonstrated in Ref. [1] that the performance gain
due to MMSE equalization is about 23 dB for QPSK, while this gain is reduced to almost zero for
the modulation scheme of 64-QAM. In comparison to this the simulations for OFDM are based
on an equalizer, which in principle represents a ZF-equalizer (it has been mentioned in Section
16.3.1 already that the ZF criterion represents the optimum for OFDM). For low modulation
schemes, the advantage of an MMSE equalizer for SC/FDE gets obvious, while it is not the case
for higher modulation schemes. Nevertheless, the performance is comparable for the investigated
concepts within 1 dB. These simulation results conrm that suitability for high data rate wireless
communication is given for OFDM as well as for SC/FDE.
Nevertheless, the previous result is a general one and does not take into account specic features
of the systemsfor example, channel state information was not taken into acount, nor were in-
terleaving strategies. Making use of these elements, OFDM improves its performance signicantly.
A comparable improvement is not achieved for SC/FDE in particular as the interleaving strategy
ts well for OFDM but not in particular for SC/FDE. The interleaver for OFDM is dened by a
two-step permutation. While the rst permutation ensures that adjacent coded bits are mapped onto
nonadjacent subcarriers, the second step ensures that adjacent coded bits are mapped alternately
onto less and more signicant bits of the constellation, preventing long runs of low reliability bits.
The dened interleaver spans over one processed block and therefore its block size varies with the
modulation scheme. This interleaving strategy represents a well-developed strategy for OFDM.
In comparison to this, the performance gain due to this specic interleaving strategy is dimin-
ishing for SC/FDE. As a better adapted interleaver strategy is not the topic of this work, it is only
stated that a signicantly enlarged size of the interleaver will lead to a better performance. A block
interleaver of the size (128 32) leads to a performance gain of about 1 dB for QPSK, 2 dB for
16-QAM, and even 3 dB for 64-QAM for SC-FDE in comparison with OFDM. Of course it is
to be mentioned that the effort for this introduced strategy in terms of necessary memory is high
and additionally results in an unwanted time delay at the receiver for deinterleaving. Nevertheless,
it is demonstrated that other concepts of interleaving are necessary for SC/FDE than for OFDM.
Based on the above statements the performance in terms of BER is compared again, shown by
Figure 16.21. Now OFDM outperforms SC/FDE by about 1 dB for QPSK and about 1.5 dB for
64-QAM, emphasizing the necessity of an adapted interleaving strategy for SC/FDE.
16.6 Conclusion and Outlook
The underlying investigations have demonstrated that both the concepts (OFDM and SC/FDE),
which are based on the strategy of frequency domain equalization, are promising candidates for
present and future broadband wireless communications. A comparison based on several different
parameters (bandwidthefciency, BER, RF-constraints) has beencarriedout for the two investigated
concepts, leading to the statement of a comparable performance of the both. Of course it is to be
mentioned that there are a variety of other aspects and parameters that have to be compared such
as synchronization aspects, channel estimation, multiuser capabilities, or exibility. Although the
comparison based on specic and isolated elements will lead in general to advantages for the one or
the other, the following points out the advantageous combination of OFDM and SC/FDE.
Referring to Figures 16.18 and 16.19 it is obvious that the two types of systems differ mainly
in the placement of the IFFT. While OFDM uses the IFFT in the transmitter to multiplex the
information onto subcarriers, the SC/FDE system uses the IFFT in the receiver to convert the
equalized data back to the time domain. Although the overall signal processing complexity is
AU8824_C016.tex page 450[#34] 19/2/2010 17:02
450 Orthogonal Frequency Division Multiple Access Fundamentals and Applications
1.E + 00
1.E 01
1.E 02
1.E 03
1.E 04
1.E 05
1.E 06
0 3 6 9 12 15 18 21 24 27
B
E
R
E
b
/N
0
(dB)
OFDM versus SC/FDE, interleaved - averaged
OFDM-QPSK, r = 1/2
OFDM-16QAM, r = 9/16
OFDM-64QAM, r = 3/4
SC/FDE-QPSK, r = 1/2
SC/FDE-16QAM, r = 9/16
SC/FDE-64QAM, r = 3/4
Figure 16.21 Performance comparison due to enhanced interleaving strategy for SC/FDE.
comparable for both systems, one can take advantage of the different placement of the IFFT by
combining OFDM and SC/FDE. As depicted in Ref. [14] for the rst time, and pointed out in
Figure 16.22, a dual mode system, using OFDM for the downlink and SC/FDE for the uplink,
would have signicant advantages for the mobile station (subscriber end). These advantages can be
described as follows:
It was stated that OFDM exhibits a high PAPR that forces the amplier to be operated with
a signicant back-off, which decreases the power efciency, while the PAPR depends only
on the modulation scheme for SC/FDE. This leads to a higher efciency in terms of power
consumption due to the reduced PBO requirement, which is important for a long battery life
in the mobile station.
Base station
IFFT
IFFT FFT
Cyclic
prefix
Transmitter
Equalizer
Receiver
OFDM downlink
SC/FDE uplink
Mobile station
FFT Equalizer
Receiver
Cyclic
prefix
Transmitter

Figure 16.22 Combination of OFDM and SC/FDE.
AU8824_C016.tex page 451[#35] 19/2/2010 17:02
Frequency Domain Equalization for OFDM and SC/FDE 451
The signal processing complexity is concentrated at the base station (three Fourier transfor-
mations at the base station versus one Fourier transformation at the mobile station).
Based on these basic statements it is concluded that this elementary idea was developed further
and enhanced by the concepts of multiuser detection, multiantenna strategies or others, nally lead-
ing to the actual proposals and rst implementations for the next generation mobile communication
systems (LTE). An exemplary compendium of continuative literature is given in Refs. [2734].
References
1. H. Witschnig, Concepts of Frequency Domain Equalizationwith Special Reference to Single Carrier
Transmission, VDM Verlag, Saarbrcken, ISBN: 978-3-8364-9285-0, 2008.
2. J.C. Proakis and D.G. Manolakis, Digital Signal Processing. 3. Edition, Prentice Hall, Upper Saddle
River, NJ, 1996.
3. A. Papoulis, The Fourier Integral and its applications, McGraw-Hill Inc., New York, 1987.
4. A. Papoulis, Signal Analysis, McGraw-Hill Inc., New York, 1984.
5. A.V. Oppenheim and A.S. Willsky, Signals and Systems, Prentice-Hall Inc., Upper Saddle River, NJ,
1997.
6. H.K. Garg, Digital Signal Processing Algorithms: Number Theory, Convolution, Fast Fourier Transforms,
and Applications, CRC Press, Boca Raton, FL, 1998.
7. V.K. Madisetti and D.B. Williams, The Digital Signal Processing Handbook, CRC Press, Boca Raton, FL,
1998.
8. H. Sari, G. Karam, and I. Jeanclaude, An analysis of orthogonal frequency-division multiplexing for
mobile radio applications, Proceedings of the IEEEVehicular Technology Conference (VTC94), Stockholm,
Sweden, pp. 16351639, June 1994.
9. H. Sari, G. Karam, and I. Jeanclaude, Frequency-domain equalization of mobile radio and terrestrial
broadcast channels, Proceedings of the IEEEInternational Conference on Global Communications (GLOBE-
COM 94), San Francisco, CA, pp. 15, 1994.
10. M. Huemer, Frequenzbereichsentzerrung fr hochratige Eintrger-bertragungs-systeme in Umgebungen
mit ausgeprgter Mehrwegeausbreitung, Dissertation, Institute for Communications and Information
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