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REAL-TIME LUT-LESS MAGNITUDE MODULATION FOR PEAK POWER

CONTROL OF SINGLE CARRIER RRC FILTERED SIGNALS


Marco Gomes(1), Vitor Silva(1), Francisco Cercas(2,3) and Martin Tomlinson(4)
(1)
Instituto de Telecomunicações (IT), DEEC, University of Coimbra, Pólo II, 3030-290 Coimbra, Portugal
(2)
ISCTE, DCTI, Av. das Forças Armadas - 1600 Lisboa, Portugal
(3)
Instituto de Telecomunicações (IT), Av. Rovisco Pais 1, 1049-001 Lisboa, Portugal
(4)
Fixed and Mobile Communications Research, University of Plymouth, Plymouth, PL4 8AA, United Kingdom

ABSTRACT Although the adopted M-APSK constellations present a low


PAPR of about 1dB and 2dB, for M = {16, 32} respectively,
In this paper a novel multistage polyphase magnitude RRC filtering with 20% roll-off contributes with an additional
modulation (MPMM) scheme is proposed for efficiently 5.9dB to the PAPR. Such high PAPR values impose high
controlling the envelope’s peak power of single carrier band linearity requirements on transmitter’s High Power Amplifiers
limited signals, using root-raised cosine (RRC) pulse shaping. (HPA), which leads to high power consumption and, therefore,
A new LUT-less approach of the concept of magnitude low power efficiency and increased system cost.
modulation (MM) is developed. As opposed to traditional MM Therefore, the problem of PAPR reduction in single carrier
solutions, based on look-up-tables (LUT), in the present systems reveals to be of major importance, although only a few
proposal, the multiplier coefficients that magnitude modulate publications have considered it. Some of the proposed solutions
the data stream prior to RRC filtering are computed in real time
decrease the PAPR by optimizing the Nyquist pulse shape [3, 4].
by a low-complexity polyphase filter system. In addition, the
More recently, coding solutions that avoid critical sequences of
proposed technique is independent of the modulation being
used, making it possible to extend the MM concept to higher modulated symbols were also proposed [5, 6].
order and/or non-constant amplitude constellations. Also, any A different approach consists in controlling the variation of
number of base-system blocks can be added in a serial cascade, envelope signal at the RRC filter output, by adjusting the
allowing to almost eliminate the back-off, even at very low amplitude, i.e. magnitude modulation (MM), of each data pulse
filter roll-off values. Increased sensitivity to noise due to MM is prior to RRC filtering, to suppress peaks in the transmitted
compensated by using error control coding. Experimental signal. This technique was firstly proposed in [7]. However, the
results show an overall back-off gain (back-off gain minus BER described adaptive peak suppression algorithm was too complex
loss) greater than 4.5dB and 3.6dB for 8-PSK and 16-QAM and computationally intensive. A new MM scheme was
respectively, considering 0.2 roll-off RRC filtering. proposed with success for QPSK and OQPSK in [8, 9], with
gains of approximately 3 dB for 0.35 roll-off QPSK filtered
Index Terms—Magnitude Modulation; peak-to-average power signals. The main novelty of that scheme was the fact that the
ratio (PAPR); back-off; multirate pulse-shaping filter; RRC MM coefficients were previously computed and stored in a
look-up table (LUT), as in common baseband digital HPA’s
1. INTRODUCTION predistortion techniques [10]. However, that MM method [8, 9]
is difficult to extend to higher order M-ary constellations, due to
Peak-to-average power ratio (PAPR) and spectral efficiency the existing high number of constellation symbols with
have always been a key point in the design of many non-constant amplitude, which result in a huge number of
communication systems. Although the peak power problem combinations to be considered. Recently, in [11, 12] the
seems to be less critical in single carrier modulations than in symmetries of the constellation and RRC filter were explored, in
orthogonal frequency division multiplexing (OFDM), it is also order to reduce the computation complexity of that LUT design,
true that the PAPR can be extremely high when single carrier as well as storage requirements. Using that strategy, the authors
with a very low roll-off root-raised cosine filter (RRC) is used. have successfully extended the MM method to M = 16
This problem is emphasized by the growing demand for higher (16-QAM and 16-QPSK). However, it became obvious that the
data rates in bandwidth limited channels (ex. satellite) that technique could hardly be applicable for higher order
require the use of higher order constellations and sharper RRC constellations.
filtering. As an example, in the recent satellite standard for In this paper a LUT-less MM approach is proposed. The
Digital Video Broadcasting (DVB-S2) [1], M-APSK constella- new method, designated by Multistage Polyphase Magnitude
tions were adopted [2] (with M = {16, 32} ) supported by a set of Modulation (MPMM), computes the MM coefficients in
spectrum shapes with roll-off factors of α = {0.2, 0.25, 0.35} . real-time. A simple polyphase filter system predicts undesirable
peak excursions at the output of the RRC filter and adjusts it
accordingly to the amplitude of the symbols at the RRC input.
This work has been partially supported by Fundação para a
Ciência e a Tecnologia (FCT), under Grant SFRH/BD/38338/2007. This MPMM method only depends on the RRC impulse

978-1-4244-3696-5/09/$25.00 © 2009 IEEE 424


response. This has the inherent advantage of making the MPMM TABLE I. CONSTELLATION PAPR CONTRIBUTION
technique independent of the modulation being used. Therefore, M-PSK 16-APSK (a)
16-QAM 32-APSK(b) 32-QAM 64-QAM
it is now possible to extend the MM concept to higher order 0 dB 1.1 dB 2.6 dB 2.1 dB 2.3 dB 3.7 dB
and/or non-constant amplitude constellations. Furthermore, this
a. 16-APSK DVB-S2 constellation with γ = 3.15 [1]
PAPR reduction method performs equally well at very low roll-
off values. In addition, any number of base-system MPMM b. 32-APSK DVB-S2 constellation with γ 1 = 2.84 and γ 2 = 5.27 [1]
blocks can be added in a serial cascade, allowing to almost
TABLE II. PAPR OF AN RRC DIGITAL FILTER (DELAY=7, OVERSAMP.=16)
eliminate the need to use back-off from the HPA saturation
point. The increased sensitivity to noise resulting from Roll-off 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
magnitude modulation can be easily compensated by appropriate PAPR (dB) 6.45 5.93 5.15 4.53 4.07 3.64 3.41 3.40
error control coding.
This paper is organized as follows. Section 2 defines PAPR Discrete Time System

and back-off measures and presents the MM concept. Section 3 Magnitude Modulator
RRC filter
describes the new MPMM scheme. In section 4 the gains bits
Modul.
s[n]
z-D
m[n]s[n]
↑L H(z)
x[n] DAC
+
tx(t)
HPA
obtained with this technique for back-off reduction are reported, Magnitude Modulation
as well as the performance obtained for different constellations Factor Computation
Memory
m[n]
expressed by its bit error rate (BER). Finally, the main sn + D " s n " sn − D
conclusions are summarized.
Figure 2. Generic magnitude modulation transmitter system.
2. DEFINITIONS AND PROBLEM STATEMENT

Fig. 1 illustrates the functional diagram and the basic building


BackOff = 10log10 max x(t ) ( 2
A2 . ) (3)
blocks of a typical digital communication transmitter system. So, we conclude that the undesirable contribution to PAPR
comes from RRC filtering. Sharper limitation in the frequency
domain results in higher amplitude variations in the time domain
and, therefore, high values of PAPRrrc . For roll-off values in the
range of interest, α ∈ [0.15; 0.35] , PAPRrrc can be much higher
than PAPRconst , as shown in Table II.
Figure 1. Generic system transmitter block diagram.
The Magnitude Modulation Principle
In order to limit the bandwidth of the transmitted signal The main purpose of this work is to cancel the PAPRrrc
without inter-symbol interference (ISI), the modulated signal contribution using the MM principle [8, 9, 11, 12]. The idea is to
s[n] is usually filtered by a linear phase RRC filter, H ( z ) . The adjust the amplitude (magnitude modulation) of each data pulse
equivalent complex baseband signal to be transmitted x(t ) , fed prior to RRC filtering, taking into account past and future
at the HPA input, is given by, symbols in its neighborhood, in an effort to suppress peaks at
the transmitted signal, i. e., to guarantee that x(t ) ≤ A . The
⎡ ⎤
x(t ) = s (t ) ∗ hrrc (t ) = ⎢∑ s (nTsymb )δ (t − nTsymb ) ⎥ ∗ hrrc (t ) , (1) generic scheme of a MM system is shown in Fig. 2, where the
⎣ n ⎦ D past and future symbol neighbors of sn are considered in the
I Q
where s( nTsymb ) = s (nTsymb ) + js (nTsymb ) is the transmitted choice of the best MM coefficient to apply to sn . The delay
symbol at interval nTsymb , Tsymb is the symbol duration time and DTsymb introduced by the MM technique is usually small and it
hrrc (t ) is the equivalent continuous-time impulse response of is chosen according to the time duration where the RRC impulse
RRC filter. Its PAPR is defined as response sustains significant non-zero amplitude values. The
equivalent complex baseband signal, after filtering and D/A

2

⎦ (
PAPR = 10log10 ⎡⎢ max x(t ) E x(t ) ⎤⎥ (dB) ,
2
) (2) conversion is then given by:
resulting from two main components: PAPRconst and PAPRrrc , ⎡ ⎤
x(t ) = ⎢ ∑ m I (nTsymb ) s I (nTsymb )δ (t − nTsymb ) ⎥ ∗ hrrc (t )
due to the constellation and the RRC filter, respectively. ⎣ n ⎦
The PAPRconst contribution depends on the constellation (4)
⎡ ⎤
geometry and is null for constant amplitude constellations, such + j ⎢ ∑ mQ ( nTsymb ) s Q (nTsymb )δ (t − nTsymb ) ⎥ ∗ hrrc (t ) ,
as M-PSK. However, for higher order modulations, it ⎣ n ⎦
contributes with a non-negligible value to the total PAPR. In where m I (nTsymb ) and mQ (nTsymb ) are the multiplier coefficients
Table I, PAPR values for several constellations are shown, that modulate the amplitude of the transmitted pulse
considering unitary average energy per transmitted symbol. components, s I (nTsymb ) and s Q (nTsymb ) , at nTsymb intervals. In
In all cases, it is assumed that the linear range of the HPA is order to avoid phase modulation, the magnitude modulation
able to handle with the PAPRconst , i.e., maximum amplitude factors m I and mQ are usually forced to be equal (we will
symbols at the output of modulator (Fig. 1) will suffer no restrict ourselves to this case).
distortion if they are directly fed at the HPA input. So, denoting In the following section we present a system that computes
the maximum amplitude of a modulated symbol by A , the the MM factor to be applied to each symbol in real-time. We
back-off (in dB) to be applied to the signal x(t ) , prior to high will only focus on the discrete-time part of the system, assuming
power amplification, is defined as: ideal DAC operation. Equations (1) to (4) can be easily

425
translated to the discrete-time domain having in mind that the
main objective is to guarantee x[n] ≤ A .
Since the system is multi-rate, a better understanding of its f ( )
behaviour is obtained considering the different operating rates at
its different parts. So, we denote Tsamp as the sampling period at
which the RRC filter operates, which is related to Tsymb f ( )
according to L = Tsymb Tsamp . In Fig. 1-2 the block ↑ L
represents an up-sampler [13] that inserts L − 1 zero-valued
samples, between each two consecutive samples of the input f ( )
sequence, s[n] .

3. POLIPHASE MAGNITUDE MODULATION


s[n]
(a)
ai [n]
G0i(z)
The polyphase decomposition of the RRC filter H ( z ) is behind
the idea of a LUT-less MM approach. Lets assume that the z-N-1 Ei (z)
impulse response of the RRC filter spreads over 2 N symbol s[n-N-1]
bi [n] mi [n-N]
intervals, Tsymb , and is therefore given by, X G1i(z) f ( )
2 NL −1
H ( z) = ∑ h[n]z −n
. (5) mi [n-N-1]
(b)
n =0 z-1
RRC filtering can thus be performed at symbol rate [13] Figure 3. Polyphase magnitude modulation scheme for controlling
using the polyphase decomposition of Fig. 3(a), with excursion at the RRC filter output. (a) Global PMM system
2 N −1 2 N −1
followed by RRC filter block. (b) Detailed of PMM branch.
Ei ( z ) = ∑ e [ n] z
n=0
i
−n
= ∑ h[nL + i]z
n=0
−n
. (6)
2 N −1

At each instant, the output x[n] is given by one of the yi [n] = ∑ e [k ]m [n − k ]s[n − k ] ,
k =0
i i (11)
polyphase filters’ output at instant n0 = ⎣⎢ n / L ⎦⎥ since
where mi [n] is the MM coefficients sequence.
x[n] = y( n mod L ) ⎡⎣ ⎢⎣ n / L ⎥⎦ ⎤⎦ . (7) Basically, the system tries to anticipate the output of Ei ( z )
All the outputs yi [n0 ] , with i = 0," , L − 1 , depend on the same at each instant n0 and, accordingly, it computes the MM factor
set of inputs symbols s[k ] , with k = n0 − 2 N ," , n0 , since mi [n0 − N ] to apply into s[n0 − N ] , the input sample that most
2 N −1 contributes to the output y[n0 ] . The PMM system introduces a
yi [n] = ∑ e [k ]s[n − k ] .
i (8) small delay of NTsymb in transmission. When computing
k =0 mi [n0 − N ] , coefficients mi [n0 − k ] , with k = N + 1,", 2 N are
Given that the energy of the RRC impulse response h[n] is already known (past symbols relative to s[n0 − N ] ), although
concentrated around sample NL (we are assuming H ( z ) nothing is known about the MM values that will magnitude
causal), each polyphase impulse response ei [n] has its energy modulate symbols s[n0 − q ] , with q = 0,", N − 1 (future
concentrated around sample N and, thus, according to (7) and symbols relative to s[n0 − N ] ). In order to avoid excessive time
(8), s[n0 − N ] is the most relevant symbol to the RRC output variation of the average power of the signal after pulse shaping,
excursion x[n] during the interval [n0 L;(n0 + 1) L[ , i.e., in each of we assume that future symbols should be MM as
the output values yi [n0 ] . mi [n0 − q ]  mi [n0 − N ], for q = 0,", N − 1 . (12)
Based on this premise, we designed the system of Fig. 3(a)
that adjusts the amplitude of symbol s[n0 − N ] in order to Considering an equality condition in (12), a non-negative
f (⋅) function (see Appendix) is defined so as to guarantee (13).
control the output excursion of all polyphase filters Ei ( z ) (with
i = 1,", L − 1 ) at sampling instant n0 , so as to guarantee
The procedure just described computes the magnitude
that yi [n0 ] ≤ A . The impulse responses of FIR filters G0 i ( z ) and modulation factor mi [n] that multiplies each symbol s[n] , in
order to limit the excursion at the output of a particular filter
G1i ( z ) are obtained directly from ei [n] and are defined as
Ei ( z ) . However, m[n] has to be unique and has to guarantee
⎧e [ n ] , 0 ≤ n ≤ N that | yi [n] |≤ A at the output of all filters Ei ( z ) (with
g0i [ n] = ⎨ i , (9)
⎩ 0 , otherwise i = 0,", L − 1 ). The solution is to multiply each symbol s[n] by
the more restricted factor of the set {m0 [ n], m1[n],", mL −1[n]} ,
⎧e [ n + N + 1] , 0 ≤ n ≤ N − 2 i.e., computing
g1i [ n ] = ⎨ i . (10)
⎩ 0 , otherwise m[n] = min(m0 [n], m1[n]," , mL −1[n]) (14)
Therefore, we name the new proposed method by Polyphase Magnitute modulation factors accuracy improvement
Magnitude Modulation (PMM). In (13), equality in condition (12) is assumed to be true in
For a better understanding and without loss of generality, we order to compute m[n0 − N ] . So, what happens if the next value
will focus the following discussion on the study of the PMM to be computed, m[n0 − N + 1] , differs from m[n0 − N ] ?
system to control the output peak power of only one polyphase When m[n0 − N + 1] ≤ m[n0 − N ], the condition | yi [n0 ] |≤ A
filter Ei ( z ) , which we detail in Fig. 3(b). still holds because we are applying a more restricted factor to
When magnitude modulation is used, (8) is written as

426
2 N −1 N 2 N −1
yi [ n0 ] ≤ A ⇔ ∑ e [k ]m [n
k =0
i i 0 − k ]s[n0 − k ] ≤ A ⇔ mi [n0 − N ]∑ ei [k ]s[n0 − k ] +
k =0

k = N +1
ei [k ]mi [n0 − k ]s[n0 − k ] ≤ A

N N −2
⇔ mi [n0 − N ] ∑ g 0i [k ]s[n0 − k ] + ∑ g1i [k ]mi [n0 − k − N − 1]s[n0 − k − N − 1] ≤ A ⇔ mi [n0 − N ]ai [n0 ] + bi [n0 ] ≤ A (13)

k =0

k =0
ai [ n0 ] according to Fig. 3( b ) bi [ n0 ] according to Fig. 3( b )

⇒ mi [n0 − N ] = f ( A, ai [n0 ], bi [n0 ])

the next symbol s[n0 + 1] . If m[n0 − N + 1] > m[n0 − N ] , the fac- just 1-stage PMM. This reduction grows-up to the 60% − 70%
tor to apply to s[n0 + 1] that guarantees | yi [n0 + 1] |≤ A (for all i ) range when (15) is used, which shows the effectiveness of the
can be relaxed, but it will not guarantee anymore that simple procedure proposed. In this case, the 1-stage PMM
| yi [n0 ] |≤ A . Symbol s[n0 − N + 1] is more relevant to the output system performs already very close to the LUT-based MM
yi [n0 + 1] than to yi [n0 ] , so there must be a compromise for method. Even better results can be obtained by performing a few
m[n0 − N + 1] that does not decrease yi [n0 + 1] too much (which number of refinement steps, i.e., by using a serial cascade of the
is undesirable) and still guarantees that restriction | yi [n0 ] |≤ A is PMM base-block. Considering a 2-stage MPMM we easily
only slightly violated. A simple procedure to accomplish this outperform LUT-MM results, particularly for the more
uses the following time variant filter: demanding case of sharp-rolloff RRC filtering. Within just 3
m[n + 1] > m[ n] ⇒ m '[n + 1] = ( m[n + 1] + m[n]) / 2 . (15) steps, back-off was almost eliminated, with a reduction greater
than 90% , corresponding to a gain of 5.3dB for α = 0.2 .
Multistage PMM Fig. 4 also shows that MPMM performs identically for the
different tested constellations. This behaviour was expectable,
One of the major advantages of the proposed scheme, is the
since maximum excursion above the desired limit A , is only
fact that the system design depends only on the RRC impulse
due to outer-circle symbol combinations. Consequently, the
response. There is no restriction on the input type signal which
system behaviour should be the same in such cases, as verified.
makes this new proposed technique independent of the
This important fact demonstrates that this technique is
constellation being used. The system adjusts the amplitude of
independent of the modulation being used, as previously
the input symbols independently of its type, which means that
claimed.
this procedure can also be applied to a sequence that was already
processed by MM, in order to further adjust its symbols and to
Required Back−off when using α=0.2 RRC filtering
achieve a better control of its output excursion. The back-off to
No Magnitude Modulation
6.5 LUT−Based MM with N=5
1−stage MPMM without (16)
apply to an input signal can therefore become almost negligible 6

5.5
1−stage MPMM considering (16)
2−stage MPMM considering (16)
by using a cascade of a few MPMM blocks similar to that 5
3−stage MPMM considering (16)
Required Back−off when using α=0.35 RRC filtering
represented in Fig. 3(a). 4.5 4.5

4 4
Back−off [dB]

42%

4. EXPERIMENTAL RESULTS
3.5 41% 41% 41% 3.5

3 3
Back−off [dB]

2.5 2.5
44% 45% 44% 44%
64% 64%

The new proposed multistage PMM (MPMM) scheme was


64% 64%
2 2

tested by simulation with different normalized constellations:


1.5 76% 76% 76% 1.5
70% 70% 70% 69%
83% 83% 83% 83%
1 1

8-PSK, 16-QAM, 16-APSK with γ = 3.15 [1] and 32-APSK 0.5


91% 91% 91% 91%
0.5
85% 87%
94%
85% 87%
94%
84%
87%
94%
87%
94%

with γ 1 = 2.84 and γ 2 = 5.27 [1]. Fig. 4 plots the back-off 0


8−PSK 16−APSK 16−QAM 32−APSK
0
8−PSK 16−APSK 16−QAM 32−APSK

needed to avoid HPA saturation, considering RRC filtering with Figure 4. Required back-off and relative reduction gain (%), for
α = 0.2 and α = 0.35 respectively, for the following system different constellations, considering different MM schemes with
configurations: (a) α = 0.2 and (b) α = 0.35 RRC filtering.
• No magnitude modulation; __
8−PSK ( ) and 16−QAM (− − −) BER Performance with 20% RRC Filtering
0

• LUT-based MM approach [11, 12] considering a


10
No Magnitude Modulation
LUT−Based MM with N=5
memory of 5 symbols, for the case of combined 10
−1
1−stage MPMM considering (16)
2−stage MPMM considering (16)

limiting and data magnitudes equal (using the improved


function proposed in [12] to avoid phase modulation);
−2
10

• MPMM without improved accuracy of MM factors 10


−3

through average operation (15);


−4

• MPMM with improved accuracy, considering different


10

number of stages. 10
−5

The back-off gain (back-off reduction) expressed as a 10


−6

percentage, relative to the non-magnitude modulated case, is 2 2.5 3 3.5 4 4.5 5 5.5 6 6.5 7 7.5

shown on top of each column. The MPMM method proved to be


very efficient. Even without accuracy improvement on the MM Figure 5. BER performance of the real-time magnitude modulation
method for 8-PSK and 16-QAM, RRC filtered signal, with
factors using (15), a reduction of about 40% is obtained with α = 0.2 , using the LDPC Wimax802.16e code (1248, 832 ) .

427
The performance of the proposed MPMM was also ⎧ 1 , | a + b |≤ A
evaluated in terms of BER on a AWGN channel, considering the ⎪
f ( A, a, b) = ⎨ − Re{ab* } + Re{ab∗ }2 − | a |2 (| b |2 − A2 )
(1248, 832) Low Density Parity Check (LDPC) code defined for ⎪ , | a + b |> A
the Wimax 802.16e standard [14], with α = 0.2 RRC filtering. ⎩ | a |2
Fig. 5 plots the results obtained for 8-PSK and 16-QAM (A.19)
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Ei ( z ) in filters given by (9) and (10), this condition is always [14] IEEE, "Part 16: Air Interface for Fixed and Mobile Broadband
verified in practice. Combining (A.17) and (A.18) we define a Wireless Access Systems - Amendment for Physical and Medium
non-negative given by: Access Control Layers for Combined Fixed and Mobile Operation
in Licensed Bands," IEEE 802.16e, 2005.

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