Waveform Advancements and Synchronization Techniques for Generalized Frequency Division Multiplexing

To enable a new level of connectivity among machines as well as between people and machines, future wireless applications will demand higher requirements on data rates, response time, and reliability from the communication system. This will lead to a different system design, comprising a wide range of deployment scenarios. One important aspect is the evolution of physical layer (PHY), specifically the waveform modulation. The novel generalized frequency division multiplexing (GFDM) technique is a prominent proposal for a flexible block filtered multicarrier modulation. This thesis introduces an advanced GFDM concept that enables the emulation of other prominent waveform candidates in scenarios where they perform best. Hence, a unique modulation framework is presented that is capable of addressing a wide range of scenarios and to upgrade the PHY for 5G networks. In particular, for a subset of system parameters of the modulation framework, the problem of symbol time offset (STO) and carrier frequency offset (CFO) estimation is investigated and synchronization approaches, which can operate in burst and continuous transmissions, are designed. The first part of this work presents the modulation principles of prominent 5G candidate waveforms and then focuses on the GFDM basic and advanced attributes. The GFDM concept is extended towards the use of OQAM, introducing the novel frequency-shift OQAM-GFDM, and a new low complexity model based on signal processing carried out in the time domain. A new prototype filter proposal highlights the benefits obtained in terms of a reduced out-of-band (OOB) radiation and more attractive hardware implementation cost. With proper parameterization of the advanced GFDM, the achieved gains are applicable to other filtered OFDM waveforms. In the second part, a search approach for estimating STO and CFO in GFDM is evaluated. A self-interference metric is proposed to quantify the effective SNR penalty caused by the residual time and frequency misalignment or intrinsic inter-symbol interference (ISI) and inter-carrier interference (ICI) for arbitrary pulse shape design in GFDM. In particular, the ICI can be used as a non-data aided approach for frequency estimation. Then, GFDM training sequences, defined either as an isolated preamble or embedded as a midamble or pseudo-circular pre/post-amble, are designed. Simulations show better OOB emission and good estimation results, either comparable or superior, to state-of-the-art OFDM system in wireless channels

The Global Navigation System Scope (GNSScope): a toolbox for the end-to-end modelling simulation and analysis of GNSS

The thesis provides a detailed overview of the work carried out by the author over the course of the research for the award of the degree of Doctor of Philosophy at the University of Westminster, and the performance results of the novel techniques introduced into the literature. The outcome of the work is collectively referred to as the Global Navigation System Scope (GNSScope) Toolbox, offering a complete, fully reconfigurable platform for the end-to-end modeling, simulation and analysis of satellite navigation signals and systems, covering the signal acquisition, tracking, and range processing operations that take place in a generic Global Navigation Satellite System (GNSS) receiver, accompanied by a Graphical User Interface (GUI) providing access to all the techniques available in the toolbox. Designed and implemented entirely in the MATLAB mathematical programming environment using Software Defined Radio (SDR) receiver techniques, the toolbox offers a novel new acquisition algorithm capable of handling all Phase-Shift Keying (PSK) type modulations used on all frequency bands in currently available satellite navigation signals, including all sub-classes of the Binary Offset Carrier (BOC) modulated signals. In order to be able to process all these signals identified by the acquisition search, a novel tracking algorithm was also designed and implemented into the toolbox to track and decode all acquired satellite signals, including those currently intended to be used in future navigation systems, such as the Galileo test signals transmitted by the GIOVE satellites orbiting the Earth. In addition to the developed receiver toolbox, three novel algorithms were also designed to handle weak signals, multipath, and multiple access interference in GNSScope. The Mirrored Channel Mitigation Technique, based on the successive and parallel interference cancellation techniques, reduces the hardware complexity of the interference mitigation process by utilizing the local code and carrier replicas generated in the tracking channels, resulting in a reduction in hardware resources proportional to the number of received strong signals. The Trigonometric Interference Cancellation Technique, used in cross-correlation interference mitigation, exploits the underlying mathematical expressions to simplify the interference removal process, resulting in reduced complexity and execution times by reducing the number of operations by 25% per tracking channel. The Split Chip Summation Technique, based on the binary valued signal modulation compression technique, enhances the amount of information captured from compressing the signal to reveal specific filtering effects on the positive and negative polarity chips of the spreading code. Simulation case studies generated entirely using the GNSScope toolbox will be used throughout the thesis to demonstrate the effectiveness of the novel techniques developed over the course of the research, and the results will be compared to those obtained from other techniques reported in the literature

Frame synchronization for PSAM in AWGN and Rayleigh fading channels

Pilot Symbol Assisted Modulation (PSAM) is a good method to compensate for the channel fading effect in wireless mobile communications. In PSAM, known pilot symbols are periodically inserted into the transmitted data symbol stream and the receiver uses these symbols to derive amplitude and phase reference. One aspect of this procedure, which has not received much attention yet, is the frame synchronization, i.e. the method used by the receiver to locate the time position of the pilot symbols. In this study, two novel non-coherent frame synchronization methods are introduced in which only the magnitude of received signal is used to obtain the timing of the pilot symbol. The methods are evaluated for both AWGN and frequency non-selective slow Rayleigh fading channels. One synchronization technique is derived by standard maximum likelihood (ML) estimation formulation, and the other is obtained by using maximum a Posteriori probability (MAP) with a threshold test. Signal processing in the receiver uses simplifying approximations that rely on relatively high signal-to-noise ratio (SNR) as consistent with the reception of 16-QAM. Computer simulation has been used to test the acquisition time performance and the probability of false acquisition. Several lengths and patterns of pilot symbol sequences were tested where every 10th symbol was a pilot symbol and all other symbols were randomly selected data symbols. When compared with the other published synchronizers, results from this study show better performance in both AWGN and fading channels. Significantly better performance is observed in the presence of receiver frequency offsets

Single-Laser Multi-Terabit/s Systems

Optical communication systems carry the bulk of all data traffic worldwide. This book introduces multi-Terabit/s transmission systems and three key technologies for next generation networks. A software-defined multi-format transmitter, an optical comb source and an optical processing scheme for the fast Fourier transform for Tbit/s signals. Three world records demonstrate the potential: The first single laser 10 Tbit/s and 26 Tbit/s OFDM and the first 32.5 Tbit/s Nyquist WDM experiments

Single-Laser Multi-Terabit/s Systems

Optical communication systems carry the bulk of all data traffic worldwide. This book introduces multi-Terabit/s transmission systems and three key technologies for next generation networks. A software-defined multi-format transmitter, an optical comb source and an optical processing scheme for the fast Fourier transform for Tbit/s signals. Three world records demonstrate the potential: The first single laser 10 Tbit/s and 26 Tbit/s OFDM and the first 32.5 Tbit/s Nyquist WDM experiments

NOVEL OFDM SYSTEM BASED ON DUAL-TREE COMPLEX WAVELET TRANSFORM

The demand for higher and higher capacity in wireless networks, such as cellular, mobile and local area network etc, is driving the development of new signaling techniques with improved spectral and power efficiencies. At all stages of a transceiver, from the bandwidth efficiency of the modulation schemes through highly nonlinear power amplifier of the transmitters to the channel sharing between different users, the problems relating to power usage and spectrum are aplenty. In the coming future, orthogonal frequency division multiplexing (OFDM) technology promises to be a ready solution to achieving the high data capacity and better spectral efficiency in wireless communication systems by virtue of its well-known and desirable characteristics. Towards these ends, this dissertation investigates a novel OFDM system based on dual-tree complex wavelet transform (D

Synchronization in all-digital QAM receivers

The recent advance in Field Programmable Gate Array (FPGA) technology has been largely embraced by the communication industry, which views this technology as an effective and economical alternative to the design of Application Specific Integrated Circuits (ASICs). The primary reasons for switching to FPGAs are lower development and non-recurring engineering costs, the flexibility to design to a preliminary standard and adapt the design as the standard evolves, as well as the option of performing software updates in the field. A sector with strong interest in FPGAs is the coaxial cable TV/Internet distribution industry. The creation of soft preliminary standards by the standards organization governing the industry has been the main catalyst for the massive adoption of FPGAs by small to medium size companies, which see this technology as an opportunity to compete in this open market. Both the circuit speed and the economy of FPGA technology depend upon using algorithms that map efficiently into its fabric. Often it is prudent to sacrifice performance to improve either clock speed or economy when developing with FPGAs. The purpose of this research is to both revise and devise synchronization algorithms / structures for cable digital receivers that are to be implemented in FPGA. The main communication scheme used by the coaxial cable distribution industry is digital Quadrature Amplitude Modulation (QAM). The problem of synchronizing to the QAM signal in the receiver is not a new topic and several synchronization-related circuits, which were devised with ASICs implementation in mind, can be found in the open literature. Of interest in this thesis is the non-data-aided digital timing synchronizer that was proposed by D'Andrea to recover timing with no knowledge of the transmitted data. Accurate timing estimation was achieved by reshaping the received signal with a prefilter prior to estimating the timing. A problem with D'Andrea's synchronizer is that the prefilter for reshaping the signal is a relatively long Finite Impulse Response (FIR) filter, whose implementation requires a large number of multipliers. This may not have been an issue with ASICs in as much as the number of hardwired multipliers on a chip is not limited as it is in an FPGA chip. One contribution in this research is to propose an alternative to D'Andrea's synchronizer by replacing the long FIR filter with two single-pole Infinite Impulse Response (IIR) filters that are directly placed inside the timing recovery loop. This novel architecture, which drastically reduces the number of multipliers, is well suited for FPGA implementation. Non-data-aided feedforward synchronizers, which use the same prefilter as D'Andrea's synchronizer, have been receiving significant attention in recent years. Detailed performance analysis for these synchronizers can be found in the open literature. These synchronizers have the advantage of using a feedfordward structure rather than a feedback structure, as it is the case in D'Andrea's synchronizer, to estimate the timing. While D'Andrea's synchronizer has an advantage in performance over a non-data-aided feedforward synchronizer, this has not been reported in the literature. In this thesis a second contribution consists of thoroughly analyzing the steady state timing jitter in D'Andrea synchronizer by deriving a closed-form expression for the noise power spectrum and a simple equation to estimate the timing jitter variance. A third contribution is a novel low-complexity and fast acquisition coherent detector for the detection of Quadrature Phase Shift Keying (QPSK) (i.e., 4-QAM) symbols. This detector performs carrier phase synchronization much faster than a conventional coherent detector. The acquisition time is comparable to that of a differential detector. The fast acquisition comes at the expense of phase jitter, and the end result is a 1 dB performance loss over theoretical coherent detection. This detector can be used in place of the differential detector with no economic penalty. Doing so yields a performance advantage of about 2 dB over differential detection

Semi Blind Time Domain Equalization for MIMO-OFDM Systems

In this thesis, a semi-blind time-domain equalization technique is proposed for general MIMO OFDM systems. The received OFDM symbols are shifted by more than or equal to the cyclic prefix (CP) length, and a blind equalizer is designed to completely suppress both inter-carrier interference (ICI) and inter-symbol interference (ISI) using second-order statistics of the shifted received OFDM symbols. Only a one-tap equalizer is needed to detect the time domain signals from the blind equalizer output, and one pilot OFDM symbol is utilized to estimate the required channel state information for the design of the one-tap equalizer. Simulation results show that this technique is robust against the number of shifts in excess of the CP length

Waveform Design for 5G and beyond Systems

5G traffic has very diverse requirements with respect to data rate, delay, and reliability. The concept of using multiple OFDM numerologies adopted in the 5G NR standard will likely meet these multiple requirements to some extent. However, the traffic is radically accruing different characteristics and requirements when compared with the initial stage of 5G, which focused mainly on high-speed multimedia data applications. For instance, applications such as vehicular communications and robotics control require a highly reliable and ultra-low delay. In addition, various emerging M2M applications have sparse traffic with a small amount of data to be delivered. The state-of-the-art OFDM technique has some limitations when addressing the aforementioned requirements at the same time. Meanwhile, numerous waveform alternatives, such as FBMC, GFDM, and UFMC, have been explored. They also have their own pros and cons due to their intrinsic waveform properties. Hence, it is the opportune moment to come up with modification/variations/combinations to the aforementioned techniques or a new waveform design for 5G systems and beyond. The aim of this Special Issue is to provide the latest research and advances in the field of waveform design for 5G systems and beyond