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Doppler effect mitigation in LEO-based 5G

Non-Terrestrial Networks
Ashish Kumar Meshram, Sumit Kumar, Jorge Querol, Symeon Chatzinotas
Interdisciplinary Centre for Security, Reliability and Trust (SnT), University of Luxembourg, Luxembourg
Email:{ashish.meshram, sumit.kumar, jorge.querol,symeon.chatzinotas}@uni.lu,

Abstract—In recent years, integrating Non-Terrestrial the LEO satellite channel, and Multple-Input Multiple-
Networks (NTN) components with 5G Terrestrial Networks Output (MIMO). We emphasize some noteworthy solu-
(TN) has led to considerable attention from academia tions available and their limitations. In [6]–[12], Doppler
and industry, leading to the standardization of 5G-NTN
in 3GPP. Among the various NTN solutions, a notable frequency characterization relies on the two-body equa-
one is the Low Earth Orbit (LEO)-based 5G-NTN with tion of motion without considering the effect of the
a regenerative payload. This system stands out because satellite orbital perturbation, which can cause satellites
it can provide latency and throughput levels similar to to drift from their intended positions, affecting their
terrestrial 5G networks. However, a significant challenge in ability to maintain accurate and stable communications.
this integration arises from the substantial Doppler effect
caused by the rapid movement of LEO satellites. This effect In [13], the Doppler shift is expressed in terms of
must be effectively addressed to establish a successful data the Taylor series up to the second term consisting
link between the User Equipment (UE) and the gNodeB of the Doppler shift and rate. The high non-linearity
(gNB). This study proposes a simple yet efficient method to of the Doppler shift function poses a challenge when
tackle this issue. The method involves using a regenerative using a limited number of terms in the Taylor series
LEO satellite-based 5G gNB, which pre-compensates the
Doppler frequency with respect to its beam center before approximation can lead to significant errors for large
initiating any data transmission. Subsequently, the UE frequency deviations or rapid changes. Whereas [14]–
performs post-compensation to handle residual Doppler [16], do not consider any prior information on Doppler
frequency and achieve accurate initial synchronization. characterization resulting in complex estimation and
We evaluated the performance through simulations and compensation algorithm at the UE. Specifically, [16]
demonstrated the effectiveness of the proposed system. The
results indicate successful mitigation of Doppler effects, proposes an additional 5G NR Synchronization Signal
facilitating seamless communication between LEO satellite- Block (SSB) placement in different frequency locations,
based 5G NTN. resulting in further overhead. In terms of propagation
Index Terms—5G New Radio, Non-Terrestrial Networks, channel, most studies focus on multipath channels [7],
Estimation, Doppler Shift, Compensation, Initial Synchro- [11], [12], [14] but fail to address the impact of large-
nization
scale fading caused by the large distance between the
satellite and ground UE. This effect varies depending on
I. I NTRODUCTION the location of the UE, whether it is in densely populated
Introducing satellite components in the recent 3GPP or rural areas. When considering MIMO, it is essential
Release-17 has accelerated the long-awaited conver- to mention that no analytical work has been done so
gence of 5G and beyond 5G TN and NTN [1], [2]. The far, apart from the study by [16], which focused on a
5G-NR protocol stack, initially designed for TN, has simulation involving a UE with two receive antennas.
been selected as the technology for 5G-NTN due to its We also mention two recent experimental projects,
distinctive physical layer characteristics. However, inte- 5G-GOA [17], and 5G-LEO [18] where open-source
grating 5G-TN with NTN components presents complex based Software Defined Radio (SDR) framework Ope-
challenges, particularly considering the effects of the nAirInterface5G has been used for over-the-satellite
high mobility of LEO satellites which cause significantly real-world experiments. 5G-GOA addresses challenges
high Doppler [3]. This results in a mismatch of the caused by significant delay (approx 520ms) and does not
Carrier Frequency Offset (CFO) between the transmitter focus on Doppler. While 5G-LEO addresses the Doppler,
and receiver, further increasing Inter-Carrier Interference it considers only transparent payload satellites. More-
(ICI) [4] leading to difficulties in achieving initial syn- over, 5G-LEO does not provide an analytical approach
chronization. Furthermore, it imposes higher complexity to compensate for the Doppler.
on receiver-side algorithms to estimate and compensate Considering the limitations mentioned above, our con-
CFO and ICI. While having prior information about tributions to this work as listed below:
the satellite orbits would mitigate this challenge with 1. An efficient method for Doppler frequency pre-
a trade-off in overhead and frequent updation, obtaining compensation at the satellite to reduce the complex-
such information about the regenerative satellite orbits ity of UE CFO estimation algorithm, where the UE
at the UE before initial synchronization is challenging does not need apriori knowledge of the satellite’s
due to the dynamicity of LEO satellites, limited visibil- ephemeris during the initial synchronization phase.
ity duration, time synchronization, and ephemeris data 2. For an accurate estimation of residual Doppler fre-
volume constraints [5]. quency, we provide an approximate mathematical
The majority of the past works that have addressed expression indicating the furthest distance a UE can
the Doppler effects for 5G-NTN can be categorized un- deviate from the BC.
der Doppler characterization, propagation impairment in 3. Finally, we provide an efficient algorithm for esti-
mating frequency offset in the time domain, which LEO
Satellite
uses Cyclic Prefix (CP) based correlation and works
satisfactorily even on low Signal-to-Noise Ratio
(SNR). One of
the spot
Throughout this paper, we follow these notations beam
unless specified specifically, c = 3 × 108 (m/s) for
the speed of light. Small and capital boldface sym-
bol x, X for complex-valued IQ samples in time- and
frequency-domain, respectively. ⊛ for convolution and
∗ for conjugation operations, respectively. U(a, b) repre-
sents uniformly distributed random numbers within the User Spot beam Spot beam
range a to b. Probability is denoted as Pr(·), E[·], Var[·] equipment center coverage
for expectation and variance operation, fX (x), FX (x)
for probability and cumulative distribution function of
a random variable X, respectively. Furthermore, math-
ematical steps in obtaining final expressions have been
omitted for brevity. Fig. 1: Schematic of the system model
II. S YSTEM M ODEL
Our system model considers a scenario with a re- where i ∈ {0, 1, · · · , NRX − 1}, j ∈ {0, 1, · · · , NTX −
generative payload LEO satellite equipped with steer- 1}, Pp = 10−(Pd +PS )/10 , Pd = 20 log10 (4πd/λ)
able spot beams fixed to the specific location on the represents the large scale fading loss due to distance
Earth’s surface, as shown in Fig. 1. Let us assume each d between the satellite and p-th UE, PS ∼ N (0, σS2 )
onboard transmitter is equipped with NTX number of
transmit antenna, with a dedicated transmitting power represents the shadowing with σS2 variance. Whereas
PTX . Furthermore, each spot beam on the satellite pos- q, Qp , αp,q , τp,q represents the index of the path, the
sesses detailed information about its designated location total number of paths, small-scale path gain according to
on the Earth’s surface where the beam has to point, NTN-TDL-C and NTN-TDL-D [20], and delay for the
known as the beam center (BC). Let r̃BC ∈ R3 in p-th UE and qth path respectively. Furthermore, ϵD,p =
Earth-Centered, Earth-Fixed (ECEF) coordinates system fD,p /∆f , is the normalized Doppler frequency with
denotes the BC position vector. This knowledge enables respect to OFDM Sub-Carrier-Spacing (SCS) denoted
the satellite to precisely direct its spot beams towards as ∆f . fD,p Doppler frequency resulting due to motion
specific points on Earth as it moves along its orbit. These of satellite and UE. However, in (1), we have assumed a
spot beams are guided by onboard sensors, allowing quasi-static channel that does not vary between the slots,
the satellite to precisely determine its orbital position which is justifiable due to the duration of the 5G NR slot
in space and maintain accurate time synchronization [21]. Furthermore, the Doppler frequency at the p-th UE
in ideal situations. But we assume that onboard sen- location can be expressed as fD,p = (vp,sat /c)fc cos θp ,
sors may introduce an error in pointing for an angle where vp,sat = vsat − vp is the relative velocity vector
deviation of 0.05◦ [19] resulting in 5 km, which we between the UE and satellite, vp,sat = |vp,sat | is the
have modeled as uniformly distributed within ±5 km. magnitude of relative velocity vector, rsat,p = rp − rsat
i.e., rBC = r̃BC + [U(−5, 5), U(−5, 5), U(−5, 5)]. We is the relative position vector between the satellite and
also assume that the UE equipped with NRX number of UE, and |rsat,p | is the magnitude of relative position
receive antenna does not have apriori information about vector. Whereas θp is angle between the direction of
the satellite ephemeris. Besides, neither the satellite nor arrival of signal and the relative velocity vector, given
the UE initially knows the location of each other before as
synchronization. vp,sat · rsat,p
θp = cos−1 , (2)
A. Channel Model |vp,sat ||rsat,p |
To capture the effects of the channel between the LEO B. Satellite Transmitter Signal Model
satellite and UE, we consider a time-varying frequency-
(i,j) We consider an OFDM signal supporting multiple
selective channel model. Let hp (t, τ ) ∈ CNRX ×NTX SCS. The OFDM baseband equivalent model of the
denotes the channel impulse response for the p-th UE transmit signal can then be expressed as
as
N −1
q
h(i,j)
p (t, τ ) = Pp (t) x̃[n] =
1 X
X[k]eȷ2πrn/N . (3)
Qp (t)−1 N
X k=0
(i,j)
(t)ej2πfD,p,q (t)t δ τ − τp,q (t)

× αp,q
For n = −NCP , · · · , N −1. Where N, NCP , X[k] denotes
q=0
FFT size, length of cyclic prefix, the rth sub-carrier
Qp −1 symbol.
X
h(i,j) (i,j) j2πϵD,p ∆f t
p
p (t, τ ) ≈ Pp αp,q e δ(τ − τp,q ). Doppler Pre-Compensated Signal: The satellite ap-
q=0 plies Doppler frequency pre-compensation to the OFDM
(1) signal before transmission, considering the BC location
on Earth. The pre-compensated signal can be expressed link received signal at the i-th receive antenna of the p-th
mathematically using (3) as UE at the n-th discrete time instant can be expressed as
T −1 
NX 
ȷ2πrϵpc
D,sat n/N yp(i) [n] = h(i,j) (n, m) ⊛ x (j)
[n] × eȷ2πϵco n/N
x[n] = x̃[n]e p
N −1 j=0
1 X pc
= X[k]eȷ2π(r+ϵD,sat )n/N , (4) + wp(i) [n]
N
k=0 T −1
NX Qp −1
X
(i,j) ȷ2π(ϵD,p +ϵco )n/N
p
= Pp αp,q e
where ϵpc D,sat = pc
fD,sat /∆f is the pre- j=0 q=0
compensated normalized Doppler frequency, and ×x (j)
[n − mp,q ] + wp(i) [n], (6)
pc
fD,sat = (vsat /c)fc cos θpc , where θpc is the angle
between the transmitted signal direction towards the BC (i,j)
where hp (n, m), ϵco = fco /∆f represents the
and the negative of satellite velocity vector expressed discrete-time channel impulse response of (1), and the
as (i) 2
normalized CFO respectively, and wp [n] ∼ CN (0, σw )
is the complex white Gaussian noise modeled as com-
−vsat · rsat,BC plex Gaussian random variable with zero mean and
θpc = cos−1 , (5) 2
|vsat ||rsat,BC | variance σw . Whereas in the frequency domain, the
received symbols can be expressed as
where vsat = |vsat |, vsat , rsat,BC = |rsat,BC |, rsat,BC = N
X −1
rBC − rsat is the magnitude of satellite velocity vector, Yp(i) [k] = yp(i) [n]e−ȷ2πkn/N
satellite velocity vector and the relative position vector n=0
between the satellite and beam-center respectively. As T −1
NX N −1
1 X (j) pc
= X [r]e−ȷ2π(r+ϵD,sat )mp,q /N
j=0
N r=0
50 Qp −1
X res
(i,j) ȷπ(r−k+ϵ )(1−1/N )
p
30 × Pp αp,q e
10 q=0
-10 sin{π(r − k + ϵres )}
× + Wp(i) [k], (7)
-30
sin{π(r − k + ϵres )/N }
-50

where ϵres = ϵpc


0 50 100 150 200 250 300 350 400 450
D,sat + ϵD,p + ϵco , is the normalized
500 residual frequency. In case of flat fading with a single
300
transmit and receive antenna (7) will be equivalent to
100
[4].
-100
III. E STIMATION , P OST C OMPENSATION , AND
-300 D ETECTION
-500
0 50 100 150 200 250 300 350 400 450 The UE will observe the residual frequency (7) at a
distance d from the BC, which requires its estimation
Fig. 2: Doppler frequency curve and satellite pre- before post-compensation for proper synchronization.
compensated Doppler frequency And since we want to assess the pre-compensation
techniques, we assume that the UE is stationary and has
a negligible CFO. Thus we rely on the estimation of
shown in Fig. 2, the pre-compensated Doppler frequency residual frequency using CP, [22] from multiple symbols
complements the actual Doppler frequency. So the resid- in a 5G slot i.e.
ual Doppler frequency at the BC will be zero in an
∠ E yp [n]yp∗ [n + N ]
  
ideal situation. But due to onboard attitude control and ˆ
position determination errors, the satellite can introduce f0 = − , (8)
2πN Ts
an error while pointing toward the BC, assuming an error
to be within U (−5, 5) km. Then the error introduced in where Ts is the sampling time and fˆ0 is bounded
the pre-compensated Doppler frequency can be seen. within ±∆f /2 [22]. However, correct estimation using
(8) requires detecting the location of CP in an OFDM
symbol for which we provide an Algorithm in 1. During
C. User Terminal Received Signal Model the detection of CP location, there will be the possibility
of false detection. This situation arises when yp [n] and
At the user terminal, we introduce the CFO denoted yp [n + N ] consists of noise. So we compute a threshold
by fco , impairment due to the mismatch between the for the desired probability of false detection PFA . Our
transmitter and receiver local oscillators. Then the down- simulation verified that the expression in step 7 of
Algorithm 1 follows the Rayleigh distribution. Thus for where Λι,i [k], βPSS denotes the cross-correlation in (13)
the desired PFA , the threshold can be expressed as, and threshold evaluated for the desired probability of
p false alarm (14) respectively.
βCP = −2η ln PFA , (9) N −1
(ι)
X
(i)∗
Λι,i [k] = xPSS [n]yc,p [n − k]. (13)
where η is the Rayleigh parameter, which can be evalu-
n=0
ated using the Maximum Likelihood estimation as (10)
However, the detector can falsely detect the PSS when
N −1 the corresponding OFDM symbol does not contain PSS.
1 X 2
η= ρ [l]. (10) Hence in the absence of PSS, the received signal is
2N (i) (i)
l=0 Gaussian noise, i.e., yc,p [n] = wp [n]. So the proba-
bility of a false alarm can be evaluated as
After estimating the residual Doppler frequency, we can ( N −1 )
express the compensation of the received signal as (11). RX
X
PFA = Pr Λι,i [k] > βPSS
ˆ
(i)
yc,p [n] = yp(i) [n]e−ȷ2πf0 n . (11) n i=0 o
= Pr Y > βPSS = 1 − FY (βPSS )
βPSS = FY−1 (1 − PFA ). (14)
Algorithm 1 Residual Doppler frequency estimation PNRX −1
(i) (i) where Y = i=0 Λι,i [k] . Fig. 3 shows our
Step 1: Set y1 [n] ← yp [n] simulation; it has been verified that the random vari-
Step 2: Get the portion of signal delayed by N , i.e.
(i) (i) able Y follows the Nakagami distribution, i.e., Y ∼
y2 [n] ← yp [n + N ]
Step 3: Compute the energy of each sample in both the Nakagami(m, Ω), where m, Ω can be computed directly
signals, i.e., from the Y as, m = (E[Y 2 ])2 /Var[Y 2 ] and Ω = E[Y 2 ]
(i) (i) (i) (i)
Ey1 [n] ← |y1 [n]|2 and Ey2 [n] ← |y2 [n]|2
(i) (i) (i)∗
Step 4: Compute correlation, i.e. R [n] ← y1 [n]y2 [n]
Step 5: Calculate the moving sum average for each NCP
samples across each receive antenna and discard
samples from 1 to NCP
(i)
Ravg [n] ← R(i) [n] ⊛ xCP [n]
(i) (i)
E1,avg [n] ← Ey1 [n] ⊛ xCP [n]
(i) (i)
E2,avg [n] ← Ey2 [n] ⊛ xCP [n],
where xCP [n] = [1, · · · , 1NCP ]
Step 6: Compute following
P RX −1 (i)
Ravg [n] ← N i=0 Ravg [n],
RX −1 (i)
E1,avg [n] ← N
P
E1,avg [n],
Pi=0NRX −1 (i)
E2,avg [n] ← i=0 E2,avg [n]
Step 7: Compute the normalized p correlation as,
ρ[n] = |Ravg [n]|/ E1,avg [n]E2,avg [n]
Step 8: Split ρ[n] to Ns segment, where
Ns = ⌈Nsample /N ⌉
Step 9: Find the maximum for each segment, and select
the peak location greater than the threshold using
(9), and substitute those values to (8) for residual Fig. 3: Accuracy of distribution function
Doppler frequency estimation
IV. R ESULTS AND DISCUSSIONS
In this section, we discuss the outcomes derived from
the Monte Carlo simulations of our proposed method.
A. Detection of Primary Synchronization Signal Table I presents the simulation parameters.
After post-compensation of the received signal, the A. Maximum residual Doppler frequency and maximum
UE tries to detect the 5G NR primary synchroniza- range
tion signal (PSS). For which, UE performs the cross-
correlation in the time domain with (11) and 5G NR PSS We evaluate the expression to ascertain the maxi-
(ι) mum range needed to accurately estimate the maximum
xPSS [n] for all possible values of physical layer cell ID residual Doppler frequency within a desired maximum
(2)
[21], ι = NID ∈ {0, 1, 2}, and selecting the value which CFO receiver can estimate efficiently. Furthermore, we
maximizes the peak of cross-correlation given then the assume that the UE is stationary and has negligible
threshold. i.e CFO. Thus, the maximum residual Doppler shift is
( N −1 ) observed when the pre-compensated Doppler frequency
RX
X approaches zero. This situation arises when the angle
ι̂ = max Λι,i [k] > βPSS , ∀ ι, (12) between the direction of arrival of the signal at the BC
ι
i=0 and the satellite’s velocity vector reaches 90◦ . Therefore
TABLE I: Simulation Parameters
respectively. However, in actual scenarios reduce these
Semimajor Axis, α = 6970000
Eccentricity, e = 0 values to approximately 120 and 50 km. Furthermore,
Inclination, i = 0◦ if we relax the assumption of negligible CFO and UE
Satellite Orbital Elements RAAN, Ω = 0◦ mobility, then (16) will be
Argument of periapsis, ω = 0◦
True Anomaly, v = 0◦ v
Minimum elevation angle 10◦
u h2
Latitude: -0.001070382321103 R≤u t 2 , (17)
Beam center location vsat fc
Longitude: 34.5997764155
cf res − 1
Error in pointing U(−5, 5) (km) max
Frequency band S-Band, Ka-band res
Carrier Frequency fc = 2.2, 20 (GHz) where fmax = fD,p + fco . But, it will require coarse
Minimum Bandwidth 7.2, 28.8 (MHz) CFO estimation at the UE.
Sub-carrier spacing 30, 120 (kHz)
5G NR Downlink Signal Synchronization Signal Block
Tapped Delay Line NTN TDL-D
Shadowing Standard Deviation 5 (dB)
Probability of false alarm, PFA 1/100

res
from (7), let fD,max represents the maximum residual
Doppler frequency, then
vp,sat vsat
res
fD,max = fDp = fc cos θp = fc cos θp . (15)
c c
From Fig. 1, we can use the definition of cos θp in (15),
on solving for R and set the maximum residual Doppler
frequency to be half of the SCS as fˆ0 of (8) in bounded
within half of the SCS leads to
v
u h2
R≤u t 2 , (16)
2vsat fc
c∆f − 1
Fig. 5: Estimation of residual Doppler frequency, where
fcS = 2.2 (GHz) and fcKa = 20 (GHz)

90
Proposed Ka-band
B. Root Mean Square Error (RMSE) of maximum resid-
80
ual Doppler frequency estimation
Here we discuss the RMSE of normalized maximum
70
residual Doppler frequency estimation versus SNR for
60
Actual Ka-band
the UE equipped with different numbers of receive an-
tennas. To examine the performance of our Algorithm 1,
50
we use the maximum residual Doppler frequency for S-
res
40 and Ka-band, i.e., fD,max = [14.32 (kHz), 59.34 (kHz)]
respectively as seen from Fig. 4. As shown in Fig. 5,
30
Proposed S-band
the RMSE of the frequency estimation starts decreasing
20 for the higher SNR level. However, we observe a little
Actual S-band
deviation for low SNR and spatial diversity. As the
10
number of receiving antennas increases, the performance
0 also improves. However, a UE operating in S-band
0 50 100 150 200 250 300 350 400 450
attains negligible RMSE as the SNR increases, but the
UE in Ka-band still requires a gain of 7 dB SNR for a
Fig. 4: Maximum residual Doppler frequency, where single receive antenna. Moreover, as the receive antenna
fcS = 2.2 (GHz) and fcKa = 20 (GHz) increases, the gain in SNR also reduces. It is because,
as the SCS increases, the slot duration decreases; conse-
where R is the maximum range of the beam coverage, quently, the duration of the cyclic prefix also decreases,
and h is the satellite’s altitude. The expression in (16) which should have provided a better estimation, but
is calculated assuming the Earth and the satellite’s orbit the effect of Doppler tends to be higher in Ka-band.
is in two parallel planes. Nevertheless, it is essential to Nevertheless, it can be improved by considering multiple
acknowledge that the proposed maximum range differs slots for higher SCS with the same duration as lower
from the actual because it does not account for the SCS. Also, as discussed in the next section, this does
curvature of the Earth. As shown in Fig. 4 for a satellite not prevent the UE from detecting the PSS.
positioned at 558 km, moving at a velocity of 7.08
km/s, according to (16), the proposed maximum range C. Probability of detection of PSS
satisfying (8) can be achieved in the S and Ka-band, with This study investigated the 5G NR PSS detection
an SCS of 30 and 120 kHz, would be 168 and 71 km, probability concerning the maximum residual Doppler
at the edge due to potential interference from adjacent
spot beam coverage. Effectively addressing this situation
will require developing joint Doppler and interference
mitigation techniques.
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