Derivation of OTFS Modulation From First Principles

This article has been accepted for publication in a future issue of this journal, but has not been
fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TVT.2021.3069913, IEEE
Transactions on Vehicular Technology
1
Derivation of OTFS Modulation from First

Principles
Saif Khan Mohammed, Senior Member, IEEE
Abstract—Orthogonal Time Frequency Space (OTFS) mod- Low complexity OTFS signal detection based on message
ulation has been recently proposed to be robust to channel passing (MP) has been proposed in [6], [7]. In addition to
induced Doppler shift in high mobility wireless communication the MP detector, low complexity linear equalization of the
systems. However, to the best of our knowledge, none of the
prior works on OTFS have derived it from first principles. received OTFS signals has been proposed in [8], [9]. Other
In this paper, using the ZAK representation of time-domain OTFS detection methods based on the Markov Chain Monte
(TD) signals, we rigorously derive an orthonormal basis of Carlo (MCMC) method and the variational Bayes method
approximately time and bandwidth limited signals which are also have been proposed in [10] and [11] respectively. Techniques
localized in the delay-Doppler (DD) domain. We then consider DD for the estimation of the effective DD domain channel have
domain modulation based on this orthonormal basis, and derive
OTFS modulation. We show that irrespective of the amount of been proposed in [12]–[15]. Multiuser systems based on OTFS
Doppler shift, the received DD domain basis signals are localized modulation have been studied in [16]–[19].
in a small interval of size roughly equal to the inverse time To the best of our knowledge, none of the prior works
duration along the Doppler domain and of size roughly equal have rigorously derived OTFS modulation from first principles.
to the inverse bandwidth along the delay domain (time duration
refers to the length of the time-interval where the TD transmit
In the absence of a rigorous mathematical derivation of
signal has been limited). With sufficiently large time duration OTFS modulation and its basis waveforms, it is difficult for
and bandwidth, there is little interference between information communication engineers to fully understand the robustness
symbols modulated on different basis signals, which allows for of OTFS modulation to Doppler shift. A deeper understanding
joint DD domain equalization of all information symbols. This of DD domain modulation and basis waveforms is required to
explains the inherent robustness of DD domain modulation to
channel induced Doppler shift when compared with Orthogonal
design modulation and demodulation methods which are robust
Frequency Division Multiplexing (OFDM). to channel induced Doppler shift in very high mobility scenarios
(e.g., high speed train, air-to-ground communication). There-
Index Terms—Orthonormal Basis, Delay-Doppler, ZAK Rep-
fore, in this paper, using the ZAK representation/transform1
resentation, OTFS, Doppler Shift.
of TD signals, we rigorously derive OTFS modulation from
first principles. The novel contributions of this paper are:
I. I NTRODUCTION • In Section II, using the ZAK representation of TD
signals, we derive an expression for TD signals which are
Next generation wireless communication systems are ex-
neither time-limited nor bandwidth limited, but which are
pected to support reliable and high data rate communication
perfectly localized (i.e., Dirac-delta impulse) in the DD
even at very high mobile speed [1]. However, the modulation
domain. In Lemma 1 we show that these TD signals are
waveform used in Fifth Generation (5G) communication sys-
an impulse train which is time-shifted and multiplied by
tems is based on Orthogonal Frequency Division Multiplexing
a complex exponential. In Theorem 1 we show that these
(OFDM) for which communication reliability and data rate
signals form a basis for all TD signals.
is known to degrade in high mobility scenarios [2]. Recently,
• In Section III we approximately limit these TD basis
Orthogonal Time Frequency Space (OTFS) modulation has
signals along the time and frequency domains. We show
been proposed to be robust to channel induced Doppler shift
that the ZAK representation of these time and bandwidth
when compared to OFDM [3]–[5]. In OTFS modulation,
limited TD basis signals is no more perfectly localized
information is embedded in the delay-Doppler (DD) domain.
at a point but is instead spread over an interval whose
The information bearing DD signal is then converted to
size along the delay and Doppler domains is roughly
a time-domain (TD) transmit signal. At the receiver, the
equal to the inverse bandwidth and inverse time duration
received TD signal is converted to a DD domain signal from
respectively.
which the information symbols are decoded, i.e., modulation,
• Further, in Theorem 3 in Section III, for a given (T, ∆f ),
demodulation and channel estimation are all performed in the
∆f = 1/T , and positive integers M, N , we derive a
DD domain [6]–[15].
basis of orthonormal TD signals which are approximately
Copyright (c) 2021 IEEE. Personal use of this material is permitted. However, time-limited to N T and bandwidth limited to M ∆f , and
permission to use this material for any other purposes must be obtained from whose ZAK representation is also localized in an inter-
the IEEE by sending a request to pubs-permissions@ieee.org. val of size inverse-bandwidth and inverse-time duration
Saif Khan Mohammed is with the Department of Electrical Engineering,
Indian Institute of Technology Delhi, New Delhi, India. S. K. Mohammed is
also associated with the Bharti School of Telecommunication Technology and 1 ZAK representation is named after its inventor, J. Zak [20]. In this current
Management, IIT Delhi. Email: saifkmohammed@gmail.com. This work is paper, “ZAK representation” refers to the delay-Doppler domain representation
supported by the Prof. Kishan Gupta and Pramila Gupta Chair at IIT Delhi. of TD signals, as defined in [21].
0018-9545 (c) 2021 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
Authorized licensed use limited to: INDIAN INSTITUTE OF TECHNOLOGY KHARAGPUR. Downloaded on August 09,2021 at 07:25:47 UTC from IEEE Xplore. Restrictions apply.
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TVT.2021.3069913, IEEE
2
along the delay and Doppler domain respectively. The The following result from [22] shows that a channel induced
dimensionality of this basis is the time-bandwidth product time shift (due to path delay) and frequency shift (due to
N T × M ∆f = M N . Our derivation therefore shows that Doppler) to a TD signal x(t) corresponds to simple shifts
the additional constraint of DD domain localization does along the τ − and ν− domains in its ZAK representation.
not reduce the dimensionality of approximately time and Therefore, subsequently we refer to the τ − and ν− domains
bandwidth limited signals. as the “delay” and “Doppler” domain respectively, i.e., jointly
• In Section IV we consider DD domain modulation, we refer to them as the delay-Doppler (DD) domain.
where DD domain information symbols linearly modulate Result 1: [see Theorem 1 in [22]] Let there be only one
the orthonormal DD domain basis signals derived in channel path with a delay of τ0 and a Doppler shift of ν0 .
Section III. In Theorem 4 in Section V, we derive OTFS With x(t) as the transmit signal, the ZAK representation of
modulation from the DD domain modulation derived in the noise-free received signal r(t) = x(t − τ0 )ej2πν0 (t−τ0 ) is
Section IV. To the best of our knowledge, this paper is given by
the first to rigorously derive OTFS modulation from first
principles. Zr (τ, ν) = ej2πν0 (τ −τ0 ) Zx (τ − τ0 , ν − ν0 ) (2)
• In Section VII, we study the localization of the received
i.e., delay and Doppler shift in TD results in a shift of τ0 and
basis signals in the DD domain. We show that the
ν0 along the τ − and ν− domains respectively.
energy transmitted on a particular DD domain basis signal
Proof: See proof of Theorem 1 in [22].
interferes with only a small fraction of the other (M N −1)
basis signals when compared to the fraction of interfered In the following we present important results on ZAK
sub-carriers in OFDM. With increasing Doppler shift, the representation which will be useful later. These results are
variation in the fraction of interfered DD domain basis available in [21] for normalized T = ∆f = 1. Here we present
signals is much smaller than the variation in the fraction these results for a general T and ∆f = 1/T (typical choice of
of interfered sub-carriers in OFDM. This explains the ∆f in OTFS literature [3]–[6]), and for the general audience
inherent robustness of DD domain modulation to channel we also provide much simpler and detailed step by step proof
induced Doppler shift. of these results in the appendix. These results from [21] have
• It is also observed that for a given M (i.e., given
been mentioned as “Result”, whereas our original/novel results
bandwidth M ∆f ), the fraction of interfered DD domain stated and proved in this current paper have been referred to
basis signals decreases with increasing N which enables as “Lemma” or “Theorem”.
joint DD domain demodulation. However, with increasing The following result states that the ZAK representation of
N the time duration N T increases. a TD signal is quasi-periodic along the delay domain and
Notations: The continuous-time Dirac-delta signal with periodic along the Doppler domain.
impulse at t = 0 is denoted by δ(t). The discrete-time impulse Result 2: [see (2.20) and (2.21) in [21]] For any x(t), the
signal is denoted by δ[k], k ∈ Z, where δ[k] = 1 for k = 0 corresponding ZAK representation Zx (τ, ν) is periodic along
and is zero otherwise. For any matrix A, |A| denotes the the Doppler domain with a period of ∆f = 1/T and is quasi-
determinant of A. Also, A[p, q] denotes the element in the periodic along the delay domain with a period T , i.e.,2
p-th row and q-th column of matrix A. The zero mean circular Zx (τ + T, ν) = ej2πνT Zx (τ, ν) ,
symmetric complex Gaussian distribution with variance σ 2 is
denoted by CN (0, σ 2 ). The conjugate of a complex number Zx (τ, ν + ∆f ) = Zx (τ, ν). (3)
z ∈ C is denoted by z ∗ . The real part of a complex number
Proof: See Appendix A.
z is denoted by Re(z). For any real number x, bxc denotes
From (3) it follows that for any integer n, Zx (τ + nT, ν) =
the greatest integer smaller than or equal to x. For any integer
ej2πνT Zx (τ + (n − 1)T, ν), repeated use of which gives
M and real number x, [x]M denotes the smallest unique non-
negative real number such that (x − [x]M ) is an integer multiple Zx (τ + nT, ν) = ej2πνnT Zx (τ, ν), n ∈ Z. (4)
of M . The symbol % denote percent, e.g. 12.5% is 0.125. For
any set A, |A| denotes its cardinality. The abbreviation R.H.S. Similarly, from (3) it also follows that
stands for “right hand side” and w.r.t. stands for “with respect
∆ Zx (τ, ν + m∆f ) = Zx (τ, ν), m ∈ Z. (5)
to”. For any real x, sinc(x) = sin(πx)
πx . For any two sets A and
B, A ⊆ B means that A is a subset of B. Conversely, it is also true that if a DD domain signal Zx (τ, ν)
II. T HE ZAK R EPRESENTATION OF T IME -D OMAIN (TD) satisfies the quasi-periodicity conditions in (3), then there exists
S IGNALS a unique TD signal x(t) whose ZAK representation is Zx (τ, ν)
(see (2.35) and (2.36) in [21]).
Let x(t) be a complex time-continuous signal. For any
T > 0 we define the ZAK representation of x(t) by the 2 In this paper we have used the ZAK transform definition as in equation
two-dimensional signal [21] (1.1) of [21]. There are however several variants of the ZAK transform [21].
√ ∞ Due to this reason, in [5] the delay Doppler representation of a TD signal is
∆
X
Zx (τ, ν) = T x(τ + nT ) e−j2πnνT , quasi-periodic along both the delay and Doppler domain, whereas here it is
quasi-periodic along the delay domain and periodic along the Doppler domain.
n=−∞ This is however a minor difference as we later derive OTFS modulation (see
−∞ < τ < ∞ , −∞ < ν < ∞. (1) Theorem 4 in Section V).
3
.
. 1.5
.
0.5
Doppler ... ...

Domain 0
-0.5
-1
.
.
. -1.5
-4 -3 -2 -1 0 1 2 3 4
Delay Domain
Fig. 2: √1 p(τ0 ,ν0 ) (t) vs. t/T for τ0 = 0.6 T , ν0 = 0.2 ∆f .
Fig. 1: DD domain signal Z(p,τ0 ,ν0 ) (τ, ν) for a given (τ0 , ν0 ). T
The TD signal x(t) and its Fourier transform Fx (f ) = Lemma 1: The TD signal p(τ0 ,ν0 ) (t) having ZAK represen-
R∞ tation Z(p,τ0 ,ν0 ) (τ, ν) in (8) is given by
x(t)e−j2πf t dt can be obtained from the ZAK representa- √ X∞
−∞
p(τ0 ,ν0 ) (t) = T ej2πν0 nT δ(t − τ0 − nT ). (9)
tion Zx (τ, ν) as stated in the following result.
n=−∞
Result 3: [see (2.29) and (2.30) in [21]] The TD signal x(t)
can be recovered from its ZAK representation by Proof: See Appendix C.
Z∆f Therefore, for a given (τ0 , ν0 ), the TD signal p(τ0 ,ν0 ) (t)
√
x(t) = T Zx (t, ν) dν (6) is essentiallyj2πν an impulse train multiplied by the complex
0 (t−τ0 )
exponential e . The impulses are spaced T seconds
0
apart and the impulse in the time-interval [0 , T ) is located √ at
and the Fourier transform of x(t) is given by t = τ0 (see Fig. 2, where we have plotted p(τ0 ,ν0 ) (t) / T vs.
ZT t/T for τ0 = 0.6T, ν0 = 0.2∆f ). Further, we note that for any
1
Fx (f ) = √ Zx (τ, f ) e−j2πf τ dτ. (7) (τ0 , ν0 ), 0 ≤ τ0 < T, 0 ≤ ν0 < ∆f , p(τ0 ,ν0 ) (t) can be obtained
T
0 from the TD signal p(0,0) (t) by firstly multiplying p(0,0) (t) by
j2πν0 t
Proof: See Appendix B. e (equivalent to a shift by ν0 along the Doppler domain)
We know that it is not possible to simultaneously localize and then delaying this product signal by τ0 (equivalent to a
a signal in the time as well as in the frequency domain, shift by τ 0 along the delay domain).
i.e., there exists no TD signal x(t) which is zero outside The next theorem states that the TD signals p(τ0 ,ν0 ) (t) , 0 ≤
some interval [T1 , T2 ] and whose Fourier transform Fx (f ) is τ 0 < T , 0 ≤ ν0 < ∆f , form a basis for the space of TD
also zero outside some interval [F1 , F2 ], where T1 , T2 , F1 , F2 signals.
Theorem 1: Any TD signal x(t) can be expressed in terms
are all finite. However, there exists TD signals which are
of the basis signals p(τ0 ,ν0 ) (t) , 0 ≤ τ0 < T , 0 ≤ ν0 < ∆f ,
simultaneously localized in the delay as well as the Doppler
i.e.
domain. A DD domain signal localized at τ = τ0 along Z T Z ∆f
the delay domain and at ν = ν0 along the Doppler domain x(t) = cx (τ0 , ν0 ) p(τ0 ,ν0 ) (t) dτ0 dν0 ,
(0 ≤ τ0 < T , 0 ≤ ν0 < ∆f ) is given by Z0 ∞ 0
∆
∞ ∞ cx (τ0 , ν0 ) = p∗(τ0 ,ν0 ) (t) x(t) dt (10)
∆
X X −∞
j2πν0 nT
Z(p,τ0 ,ν0 ) (τ, ν) = e δ(τ − τ0 − nT )
m=−∞ n=−∞ where the coefficient cx (τ0 , ν0 ) corresponding to the basis
signal p(τ0 ,ν0 ) (t) is the value of the ZAK representation of
δ(ν − ν0 − m∆f ) (8)
x(t) at τ = τ0 and ν = ν0 , i.e.
where δ(τ ) and δ(ν) are the Dirac-delta impulse signal along cx (τ0 , ν0 ) = Zx (τ0 , ν0 ). (11)
the delay and Doppler domains respectively. In Fig. 1 we
illustrate the signal Z(p,τ0 ,ν0 ) (τ, ν) in the DD domain. In Fig. 1, Proof: See Appendix D.
the location of the impulses (see R.H.S. in (8)) are denoted
by dark dots. The complex value and co-ordinate of each DD III. A N O RTHONORMAL BASIS FOR T IME AND BANDWIDTH
domain impulse is mentioned next to it. Only a portion of the L IMITED S IGNALS W HICH ARE L OCALIZED IN DD D OMAIN
DD domain is illustrated as the delay and Doppler domains In this section we consider TD signals which are approxi-
extend infinitely in both directions. mately time-limited to the interval [0 , N T ) and band-limited to
This DD domain signal Z(p,τ0 ,ν0 ) (τ, ν) satisfies the quasi- the interval [0 , M ∆f ) where M and N are positive integers.
periodicity conditions in (3) and therefore the corresponding We are specifically interested in those signals whose ZAK
TD signal p(τ0 ,ν0 ) (t) is given by the following Lemma. representation is localized in the DD domain, since such signals
4
can be used to modulate and demodulate information symbols 1.5 Normalized Interval Between Adjacent Pulses
in the DD domain with little inter-symbol interference. These

signals are also expected to be robust to Doppler shift, since
1
from Result 1 we know that the effect of Doppler shift is to
only shift the signal along the Doppler domain.
Although the TD signals p(τ0 ,ν0 ) (t), 0 ≤ τ0 < T, 0 ≤ 0.5
ν0 < ∆f in Lemma 1 are localized in the DD domain
(see (8)), they are neither time-limited nor band-limited.
0
Therefore, we obtain another basis of approximately time
and bandwidth limited signals, by approximately limiting the
signals p(τ0 ,ν0 ) (t), 0 ≤ τ0 < T, 0 ≤ ν0 < ∆f in the time and -0.5 Normalized Main Lobe Width
frequency domain. For this, we firstly multiply each basis
signal p(τ0 ,ν0 ) (t) by a signal q(t) which is approximately
limited to the time-interval [0 , N T ), followed by convolution -1
-2 0 2 4 6 8 10 12 14 16
of the product signal q(t)p(τ0 ,ν0 ) (t) with another TD signal s(t)
√
which is approximately band-limited to the frequency domain (q,s) τ0 ν0
Fig. 3: MT ψ(τ0 ,ν0 ) (t) vs. t/T for T = 0.6, ∆f = 0.2,
interval [0 , M ∆f ). These time- and band-limited signals are M = 12, N = 14.
given by
(q,s) ∆
ψ(τ0 ,ν0 ) (t) = p(τ0 ,ν0 ) (t) q(t) ? s(t), 0 ≤ τ0 < T, 0 ≤ ν0 < ∆f,
q(t) ≈ 0 , t ∈
/ [0 , N T ),
Z ∞
|Fs (f )| = s(t)e−j2πf t dt ≈ 0 , f ∈
/ [0 , M ∆f ), (12)
−∞
where ? denotes the TD convolution operator. Although the

(q,s)
signals ψ(τ0 ,ν0 ) (t), 0 ≤ τ0 < T , 0 ≤ ν0 < ∆f, are approxi-
mately time and bandwidth limited, the degree of localization
of these signals in the DD domain is not immediately obvious.
Therefore, next we derive the ZAK representation of these
signals. Subsequently, in this paper we consider the ideal time-
limited waveform
(
∆ 1 , 0 ≤ t < NT
q(t) = (13)
0 , otherwise
and the ideal band-limited waveform

2 τ0 ν0
Z M ∆f Fig. 4: M1N Zψ,τ0 ,ν0 (τ, ν) vs. τ
T
ν
, ∆f for T = 0.6, ∆f =
s(t) = ej2πf t df = ejπM ∆f t M ∆f sinc(M ∆f t).(14) 0.2, M = 12, N = 14.
0
Using (9), (13) and (14) in (12), we get where Zq (τ, ν) and Zs (τ, ν) are the ZAK representations of
√ N −1 q(t) and s(t). These representations are given by
(q,s)
X
ψ(τ0 ,ν0 ) (t) = T ej2πν0 nT s(t − τ0 − nT ) (15) √ sin (πνN T )
T ej2πν b T cT e−jπν(N −1)T
τ
Zq (τ, ν) = ,
n=0 sin (πνT )
where s(t) is given by (14). From this expression, it is clear Z (τ, ν) = √1 ej2πντ e−j2π ∆f sin(πM ∆f τ )
j k
ν ∆f τ
s ejπ(M −1)∆f τ .
that due to bandwidth limitation, the train of impulses in T sin(π∆f τ )
(q,s) (17)
p(τ0 ,ν0 ) (t) appears as train of sinc(·) pulses in ψ(τ0 ,ν0 ) (t), each
sinc(·) pulse having width roughly twice the inverse bandwidth. Proof: See Appendix G.
Further, due to time-limitation of p(τ0 ,ν0 ) (t), this train of Using the expressions for Z (τ, ν) and Z (τ, ν) from (17) into
q s
sinc(·) pulses is restricted to the interval √
[0 , N T ). In Fig. 3, the R.H.S. of (16), we get
(q,s)
an illustration has been provided for MT ψ(τ0 ,ν0 ) (t) when sin2 (π(ν − ν0 )N T ) sin2 (πM ∆f (τ − τ0 ))
|Zψ,τ0 ,ν0 (τ, ν)|2 = .
M = 12, N = 14, τ0 = 0.6T, ν0 = 0.2∆f . sin2 (π(ν − ν0 )T ) sin2 (π∆f (τ − τ0 ))
The signal p(τ0 ,ν0 ) (t) is ideally localized in the DD domain. (18)
However, we expect that time and bandwidth limitation of
p(τ0 ,ν0 ) (t), will affect its degree of localization in the DD From this expression it is clear that the ZAK representation
(q,s)
domain. In order to understand this, in the following theorem we of ψ(τ0 ,ν0 ) (t) has most of its energy localized around the point
derive the expression for the ZAK representation of ψ(τ0 ,ν0 ) (t). (τ0 , ν0 ) in the DD domain, in an interval of width 1/(M ∆f )
(q,s)
(q,s) and ∆f /N respectively along the delay and Doppler domains.

Theorem 2: The ZAK representation of ψ(τ0 ,ν0 ) (t) is given
This is illustrated through Fig. 4 where we have plotted
by 1 2
M N Zψ,τ0 ,ν0 (τ, ν) in the DD domain for M = 12, N = 14,
Zψ,τ0 ,ν0 (τ, ν) = Zq (τ0 , ν − ν0 ) Zs (τ − τ0 , ν) (16) τ0 = 0.6T, ν0 = 0.2∆f . This implies that two DD domain
5
signals Zψ,τ1 ,ν1 (τ, ν) and Zψ,τ2 ,ν2 (τ, ν) (localized at (τ1 , ν1 )
and (τ2 , ν2 ) respectively), will not interfere significantly, if NX−1 MX−1 r
T X
N −1
(a)
the points (τ1 , ν1 ) and (τ2 , ν2 ) are separated by roughly x(t) = x[k, l] α (k,l) (t) = xn (t − nT ),
M N n=0
1/(M ∆f ) along the delay domain and by roughly ∆f /N k=0 l=0
N −1 M −1 Z M ∆f
along the Doppler domain (i.e., |τ2 − τ1 | ≈ 1/(M ∆f ) and nk lT
ej2πf (t− M ) df
∆
X X
xn (t) = x[k, l] ej2π N
|ν2 − ν1 | ≈ ∆f /N ). 0
Zk=0 l=0
Hence, for transmission of information, information symbols ∞
can linearly modulate the DD domain signals Zψ,τ0 ,ν0 (τ, ν). = Xn (f ) ej2πf t df , n = 0, 1, · · · , N − 1,
−∞
With sufficient separation in the DD domain, these DD N −1 M −1
 P P x[k, l] ej2π( nk N
− fM
lT
) , 0 ≤ f < M ∆f
domain signals will not interfere significantly and therefore the ∆
Xn (f ) = k=0 l=0 ,
information symbols can be recovered back from the modulated 
0 , otherwise
signal. Since 0 ≤ τ0 < T, 0 ≤ ν0 < ∆f and the required n = 0, 1, · · · , N − 1 (21)
separation along the delay and Doppler domains is at least
1/(M ∆f ) and ∆f /N respectively, we consider DD domain where in step (a) we have used the expression of α(k,l) (t) from
signals for τ0 = l/(M ∆f ) = lT /M, l = 0, 1, . . . , M − 1 and (19). The expression of x(t) in (21) suggests a two stage modu-
ν0 = k∆f /N = k/(N T ), k = 0, 1, · · · , N − 1. From (14) lation method, where in the first stage the DD domain informa-
and (15), the (k, l)-th time-domain (TD) basis signal is then tion symbols x[k, l], k = 0, 1, · · · , N − 1, l = 0, 1, · · · , M − 1
given by are transformed to the signals Xn (f ), n = 0, 1, · · · , N − 1. In
the second stage, for each n = 0, 1, · · · , N − 1, Xn (f ) is then
∆ 1 (q,s)
α(k,l) (t) = √ ψ τ = lT ,ν = k (t) transformed to the TD signal xn (t) which is time-shifted by
M N ( 0 M 0 NT )
r N −1
nT . These time-shifted signals are then added to get x(t).
Z M ∆f
(a) T X j2π nk j2πf (t− lT −nT )
= e N e M df,
M N n=0 0 V. D ERIVATION OF OTFS M ODULATION
k = 0, 1, · · · , N − 1, l = 0, 1, · · · , M − 1, (19)
Using the DD domain modulation derived in Section IV,
we derive the OTFS modulation equations in this section.
where step (a) follows from √ (15) and the expression of To the best of our knowledge, all prior work on OTFS
s(t) in (14). The factor 1/ M N ensures that these basis modulation/demodulation have only reported the equations for
signals have unit energy. Subsequently we denote this basis transforming the DD domain information symbols to the TD
by α = α(k,l) (t) , k = 0, · · · , N − 1, l = 0, 1, · · · , M − 1. transmit signal, and have not derived the modulation equations
The following theorem shows that α is an M N -dimensional from first principles. An important contribution of our current
orthonormal basis. paper lies in the novel derivation of OTFS modulation equations
Theorem 3: The basis α is an M N -dimensional orthonormal from first principles.
basis, i.e. The following observation is useful in the derivation of OTFS
Z ∞ modulation from (21). In (21), for any (k, l), k = 0, 1, · · · , N −
∗
α(k1 ,l1 ) (t) α(k 2 ,l2 )
(t) dt = δ[k1 − k2 ] δ[l1 − l2 ], 1, l = 0, 1, · · · , M − 1, the (k, l)-th term in the expression for
−∞ xn (t) is
k1 , k2 = 0, 1, · · · , N − 1 , l1 , l2 = 0, 1, · · · , M − 1.(20) nk
Z M ∆f
lT
ej2πf (t− M ) df
∆
xn,k,l (t) = x[k, l]ej2π N
0
Proof: See Appendix H. "
nk lT
For a given (M, N, T ), we have therefore derived an M N - = M ∆f x[k, l] ej2π N ejπM ∆f (t− M )
dimensional orthonormal basis α of TD signals which are
#
localized in the DD domain, and which are approximately
lT
time-limited to the interval [0 , N T ) and band-limited to the sinc M ∆f t − . (22)
M
interval [0 , M ∆f ). The dimensionality of the space of signals
which are time-limited to N T seconds and band-limited to We note that xn,k,l h (t) has most of i its energy in a time-
(l−ζ)T (l+ζ)T
M ∆f Hz but not necessarily localized in the DD domain, is interval of the type M , M , ζ ≥ 1. This is because
known to be the time-bandwidth product M ∆f × N T = M N . |xn,k,l (t)|2 = (M ∆f )2 |x[k, l]|2 sinc2 M ∆f t − lT and

M
Therefore, the additional constraint of localization in the DD R (l+ζ)T R (l+ζ)T
2 2 2 lT

(l−ζ)T |xn,k,l (t)| dt (l−ζ)T (M ∆f ) sinc M ∆f t − M
M M
domain does not reduce the dimensionality of the space of dt
M M
time and bandwidth limited signals. R∞ 2 = R∞ 2 lT

−∞
2 |xn,k,l (t)| dt −∞
(M ∆f ) sinc M ∆f t − M
dt
Z ζ
sinc2 (t0 )dt0
(a)
= (23)
IV. D ELAY-D OPPLER (DD) D OMAIN M ODULATION −ζ
From the discussion in the previous section, it is natural where∆step (a) follows from the change of integration variable
0 lT
to consider DD domain modulation where the complex in- to t = M ∆f t − M . Assuming integer ζ ≥ 1 and M ≥ 2ζ,
formation symbols x[k, l] linearly modulate the basis signals each term xn,k,l (t) corresponding to l = ζ, ζ + 1, · · · , M − ζ,
Rζ
α(k,l) (t), k = 0, 1, · · · , N − 1, l = 0, 1, · · · , M − 1. The TD has at least −ζ sinc2 (t0 )dt0 fraction of its energy in the time-
transmit signal is therefore given by interval [0 , T ). This follows from (23) and the fact that
6
h
(l−ζ)T
∞
, (l+ζ)T ⊂ [0 , T ) for each l = ζ, ζ + 1, · · · , M − ζ. Since the inverse Fourier transform of ∆f
P
M M δ(f − m∆f )
m=−∞
Next, for each i = 1, 2, · · · , ζ − 1, the terms xn,k,l (t) ∞
Ri P
corresponding to l = i, M − i, have at least −i sinc2 (t0 )dt0 is δ(t − kT ), the inverse Fourier transform of X̃n (f )
k=−∞
fraction
h of theirenergy inside [0 , T ) (since for l = i, M − i, (which we denote by x̃n (t)) is given by
(l−i)T (l+i)T
M , M ⊂ [0 , T )). However, the terms x n,k,l (t) ∞ ∞
X X
corresponding to l = 0 have at least half of their energy outside x̃n (t) = xn (t) ? δ(t − kT ) = xn (t − kT ) (29)
NP −1 MP−1
the interval [0 , T ). Since xn (t) = xn,k,l (t), out of k=−∞ k=−∞
k=0 l=0
all the terms xn,k,l (t) corresponding to l = 0, 1, · · · , M − 1, a where ? denotes TD convolution. Note that x̃n (t) is a periodic
fraction (M −2ζ+1)/M correspond to l = ζ, ζ+1, · · · , M −ζ, TD signal with period T . As we have already observed, for a
and a fraction 2/M corresponds to l = i, M − i for each sufficiently large M , xn (t) is approximately time-limited to
i = 1, 2, · · · , ζ − 1. Let the interval [0 , T ). Therefore, from (29) it follows that for
Z ζ 0 ≤ t < T we have
∆ M + 1 − 2ζ
γ(ζ, M ) = sinc2 (t0 )dt0
M −ζ x̃n (t) ≈ xn (t) , 0 ≤ t < T. (30)
ζ−1 Z i
!
2 X 2 0 0 In other words
+ sinc (t )dt . (24) √
M i=1 −i
xn (t) ≈ T g(t) x̃n (t), (31)
From the above arguments it follows that, for M ≥ 2ζ, at
least a fraction γ(ζ, M ) of the total energy of xn (t) lies in the where g(t) is the rectangular TD signal defined in (27). Taking
interval [0 , T ). From the expression of this fraction γ(ζ, M ) the inverse Fourier transform of X̃n (f ), from (28) we get
it is clear that for a fixed ζZ≥ 1 Z ∞ X∞
ζ
x̃n (t) = Xn (f ) ∆f δ(f − m∆f ) ej2πf t df
lim γ(ζ, M ) = sinc2 (t0 )dt0 (for ζ ≥ 1). (25) −∞
M →∞ −ζ
m=−∞
Z M ∆f ∞
Further, sinceZ (a)
X
ζ
2 0 0
Z ∞
2 0 0
= Xn (f ) ∆f δ(f − m∆f ) ej2πf t df
lim sinc (t )dt = sinc (t )dt = 1, (26) 0 m=−∞
ζ→∞ −ζ −∞
M −1
it follows that with a sufficiently large M , xn (t) has almost
X
= ∆f Xn (m∆f ) ej2πm∆f t (32)
all of its energy in the time-interval [0 , T ). m=0
The following theorem uses this observation to derive
OTFS modulation equations from the DD domain modulation where step (a) follows from the fact that Xn (f ) is limited
equations in (21). Also, since xn (t), n = 0, 1, · · · , N − 1, to the frequency domain interval [0 , M ∆f ) (see (21)). From
are approximately time-limited to [0 , T ), it follows that the the expression of Xn (f ) in (21) (in terms of the information
n-th term in step (a) of (21) i.e., xn (t − nT ) is approximately symbols x[k, l]), for m = 0, 1, · · · , M − 1 we get
N −1 M −1
time-limited to the interval [nT , (n + 1)T ). As Xn (f ) is the

(m∆f )lT
j2π nk −
X X
Xn (m∆f ) = x[k, l] e N M
Fourier transform of xn (t), we subsequently refer to Xn (f ) k=0 l=0
as the n-th time-frequency (TF) signal. N −1 M −1
nk − ml
x[k, l] ej2π( N )=
(a)
X X (b)
Theorem 4: (Derivation of OTFS modulation) For sufficiently = M XTF [n, m], (33)
large M , the DD domain modulated signal x(t) in (21) is given k=0 l=0
by where step (a) follows from the fact that T ∆f = 1 and step
N −1 M −1
(a) 1 X X (b) follows from the definition of XTF [n, m] in (27). Using (33)
x(t) ≈ √ g(t − nT ) XTF [n, m] ej2πm∆f (t−nT ) ,
M N n=0 m=0 in (32) we get
M −1
N −1 M −1 X
∆
x[k, l] ej2π( N
nk − ml
), x̃n (t) = ∆f XTF [n, m] ej2πm∆f t . (34)
X X
XTF [n, m] = M
m=0
k=0 l=0
n = 0, 1, · · · , N − 1, m = 0, 1, · · · , M − 1, Using (34) in (31) we get
(
√1 , t ∈ [0 , T ) M −1
∆ 1 X
g(t) = T . (27) xn (t) ≈ √ g(t) XTF [n, m] ej2πm∆f t . (35)
0 , otherwise T m=0
The R.H.S. in step (a) is exactly the equation for OTFS Using (35) in (21) we get
modulation in [3]–[5], with a rectangular transmit pulse g(t).3 r N −1
Proof: Let us consider the product of Xn (f ) with the T X
x(t) = xn (t − nT )
P∞ M N n=0
frequency domain pulse train ∆f δ(f − m∆f ), i.e. N −1 M −1
m=−∞ (a) 1 X X
" ∞
# ≈ √ g(t − nT ) XTF [n, m] ej2πm∆f (t−nT ) ,
∆
X M N n=0 m=0
X̃n (f ) = Xn (f ) ∆f δ(f − m∆f ) . (28) (36)
m=−∞
3 Rectangular
where we have used (35) in step (a). This completes the proof.
transmit pulse has been typically considered for OTFS
modulation [6], [7].
7
R ∞From (21)j2πf we know that the TD signal xn (t) =

t
−∞ n
X (f )e df is the inverse Fourier transform of Xn (f ). M −1 N −1
Zg (τ, ν) X X j2π( nk − ml
M )e
j2π(m∆f τ −nνT )
However, in practical systems it is difficult to exactly implement Ωk,l (τ, ν) = √ e N
the integral in this inverse Fourier transform. On the other M N m=0 n=0
hand, from (34) it is clear that x̃n (t), 0 ≤ t < T can be easily = Zg (τ, ν) Θk,l (τ, ν) , where
computed by an OFDM modulator in existing 4G/5G modems ∆ 1 l k
Θk,l (τ, ν) = √ ejπ(M −1)(∆f τ − M ) e−jπ(N −1)(νT − N )
with a sub-carrier spacing of ∆f and M sub-carriers. For M N
sufficiently large M , xn (t) is approximately time-limited to sin(πM (∆f τ − Ml )) sin(πN (νT − N k
))
l k
.(40)
[0 , T ) and is approximately equal to x̃n (t) in this interval sin(π(∆f τ − M
)) sin(π(νT − N
))
(see (31)). Therefore, for sufficiently large M , the DD domain
We note that the (k, l)-th DD domain information carrying
modulation in (21) is same as OTFS modulation, which can be
signal Ωk,l (τ, ν) is the product of two DD domain signals,
practically implemented using the OFDM modulator in existing
Θk,l (τ, ν) and Zg (τ, ν). The signal Θk,l (τ, ν) is independent
4G/5G modems.
of the transmit pulse g(t) and has significant part of its energy
In this section we have derived OTFS modulation with the in an interval of width T /M around τ = lT /M along the delay
rectangular transmit pulse g(t). For any general transmit pulse domain and an interval of width 1/(N T ) around ν = k/(N T )
(not necessarily rectangular), we can find the TD information along the Doppler domain. The signal Z (τ, ν) depends only
g
carrying signals. ZAK representation of these TD signals on the transmit pulse and is independent of (k, l).
would then give us the corresponding DD domain information
carrying signals. For a general g(t), from the OTFS modulation
equations (R.H.S. of step (a) in (27)) we have VI. S PECTRAL E FFICIENCY (SE) OF DD D OMAIN
M ODULATION
N −1 M −1
In this section, we derive an expression for the SE achieved
X X
xotfs (t) = x[k, l] βk,l (t)
k=0 l=0 by the DD domain modulation in (21).4 For the derivation
M −1 N −1
1 X X k lT
of the SE expression we consider a ZAK receiver [22]. With
g(t − nT )ej2πn N ej2πm∆f (t− M )(37)
∆
βk,l (t) = √ x(t) as the time-domain (TD) transmit signal, the received TD
M N m=0 n=0
signal is given by [23]
where βk,l (t) is the TD information carrying signal for L
X
the (k, l)-th information symbol x[k, l]. Using (1), the ZAK y(t) = hi x(t − τi ) ej2πνi (t−τi ) + n(t) (41)
representation of xotfs (t) in (37) is given by i=1
N
X −1 M
X −1 where hi , τi , νi , i = 1, 2, · · · , L are the channel gain, delay and
Zxotfs (τ, ν) = x[k, l] Ωk,l (τ, ν) , Doppler shift of the i-th channel path between the transmitter
k=0 l=0 and the receiver. Also, n(t) is the additive white Gaussian noise
∞
∆ √ X 0 (AWGN) at the receiver. Further, we consider 0 < τi < T, i =
Ωk,l (τ, ν) = T βk,l (τ + k0 T )e−j2πνk T
1, 2, · · · , L. Since, the transmit TD signal x(t) has most of
k0 =−∞
M −1 N −1 ∞
its energy in the time-interval [0 , N T ) and 0 < τi < T, i =
1 h√ X 0
nk ml
ej2π( N − M ) T 1, 2, · · · , L, the received signal y(t) has most of its energy in
(a)
X X
= √ ej2πm∆f (τ +k T )
m=0 n=0 M N k0 =−∞ the time-interval [0 , (N + 1)T ).
0 In the ZAK receiver [22], the ZAK representation of
i
g(τ + k0 T − nT )e−j2πνk T
,(38)
the received TD signal i.e., Zy (τ,ν) is sampled at the
0 0
where Ωk,l (τ, ν) is the DD domain information carrying signal discrete points τ = lMT , ν = k N∆f in the DD domain.
for the (k, l)-th information symbol x[k, l], and step (a) follows This sampled received DD domain signal is denoted by
0
∆ l0 T
from substituting the expression for βk,l (t) from (37) into the Y [k , l ] = Zy τ = M , ν = k N∆f , k 0 = 0, 1, · · · , N −
0 0
R.H.S. of the definition of Ωk,l (τ, ν) above. For a given n, the 1, l0 = 0, 1, · · · , M − 1. The DD domain information symbols
ZAK representation of g(t − nT ) is x[k, l], k = 0, 1, · · · , N − 1, l = 0, 1, · · · , M − 1 are decoded
from this sampled received DD domain signal. The expression
√ ∞
X 0 for Y [k 0 , l0 ] in terms of the information symbols x[k, l] is given
T g(τ + k0 T − nT )e−j2πk νT
by the following theorem.
k0 =−∞
∞
√ X 4 As we shall see in Section VII, DD domain modulation is more robust
= e−j2πνnT g(τ + iT )e−j2πiνT , (39)
(a)
T to Doppler shift as compared to OFDM due its relatively lower spread of
i=−∞ Doppler induced interference between information symbols, when M and N
| {z }
=Zg (τ,ν) (see (1)) are large. Therefore M is expected to be large for most practical applications
of OTFS. For sufficiently large M , in Theorem 4, we have shown that the
DD domain modulation considered in (21) is the same as OTFS modulation.
where Zg (τ, ν) is the ZAK representation of g(t) and step Therefore, for large M the SE achieved by OTFS modulation and the DD
(a) follows by changing the summation variable in the L.H.S. domain modulation in (21), are expected to be the same. Nevertheless, for
∆ general M , the exact SE achieved by the DD domain modulation in (21) is
above from k 0 to i = (k 0 − n). Using (39) in (38) along with not known and therefore we derive it here for the sake of completeness (for
the fact that T ∆f = 1, we get SE/throughput achieved by OTFS modulation, also see [4], [5], [7]).
8
Theorem 5: The sampled received DD domain signal Y [k 0 , l0 ] i.e., there is no inter-symbol interference. However, when the
is given by (42) (see top of next page), where Zn (τ, ν) is the delay and Doppler shift are not integer multiples of 1/(M ∆f )
2
ZAK representation of AWGN n(t). ∆f /N
and , R(k,l) [k 0 , l0 ] is not 0 0
zero for all (k , l ) 6=
0 0

Proof: See Appendix I. [k + ν N T ]N , [l + τ M ∆f ]M , i.e., the energy of the
The following theorem gives the expression for the SE achieved DD domain basis signal carrying x[k, l] leaks into other DD
by the DD domain modulation in (21), with a ZAK receiver. domain basis signals thereby creating inter-symbol interference.
Theorem 6: Let the information symbols x[k, l] be i.i.d. In the following we study the fraction of information symbols
CN (0, ρ) distributed. The SE achieved by the DD domain which can get significantly interfered by an information symbol.
modulation in (21), with a ZAK receiver, is then given by
∆ 1 Firstly, for a given (k, l), from (46) we notice that
C = log2 I + ρ H̃H K̃−1 H̃ , (43) 2
MN R(k,l) [k 0 , l0 ] , k 0 = 0, 1, · · · , N − 1, l0 = 0, 1, · · · , M − 1
where I denotes the M N × M N identity matrix and the is a product of two terms, one which depends on the difference
elements of H̃, K̃ ∈ CM N ×M N are given by (k 0 − k) along the Doppler domain and the other term
∆
H̃[k0 M + l0 + 1, kM + l + 1] = h̃[k0 , l0 , k, l], (see (42)) which depends on the difference (l0 − l) along the delay
 0 domain. To understand the spread/leakage of energy along
 1+
 1
N
, k = k , l0 = l ∆
0 0
K̃[k M + l + 1, kM + l + 1] = 1

, k0 6= k , l0 = l ,
the Doppler domain, we consider the function fν 0 ,N (u) =
N 0

sin2 π u− ∆fν/N
, l0 6= l 2

0 1
N 2 sin2 ( π (u− ν 0 )) . Note that the term in R(k,l) [k 0 , l0 ]
0 0 N ∆f /N
k , k = 0, 1, · · · , N − 1 , l , l = 0, 1, · · · , M − 1, (44)
which depends on (k − k) is given by N 2 fν 0 ,N (u = k 0 − k).
0
0 0 The function fν 0 ,N (u) is periodic with period N and has a peak
where h̃[k , l , k, l] is given by (42).
0
Proof: See Appendix J. at u = ∆fν/N (see Fig. 5). From Fig. 5 and the expression for
fν 0 ,N (u) it is clear that the main lobe of fν 0 ,N (u) is between
VII. W HY IS DD D OMAIN M ODULATION B ETTER T HAN 0 0
u = ∆fν/N − 1 and u = ∆fν/N + 1 (at both these values of u,
OFDM ?
fν 0 ,N (u) is zero). Hence, the main lobe width of fν 0 ,N (u) is
In this section, for the DD domain modulation in (21) and two, which is independent of both N and ν 0 . Therefore, along
also for OFDM, we study the impact of channel induced 0 0 2
Doppler shift on inter-symbol interference. Let us consider a
the Doppler domain, h for a given k,i R(k,l) [k , l ] is mostly
0
single path channel with delay τ 0 , Doppler shift ν 0 and channel localized at k 0 = k + s + ∆fν/N , s = 0, 1. Similarly,
path gain h0 . Since we want to study inter-symbol interference, 0 0
N
2
let us consider the channel to be noise-free. From (42), the along the delay domain, for a given l, R(k,l) [k , l ] is mostly
received DD domain samples in the ZAK receiver are then localized at l0 = [l + s + τ 0 M ∆f ]M , s = 0, 1. Hence,
given by it follows that irrespective of (τ 0 , ν 0 ), in the DD domain,
2
√ N
X −1 M
X −1 R(k,l) [k 0 , l0 ] , k 0 = 0, 1, · · · , N − 1, l0 = 0, 1, · · · , M − 1
Y [k0 , l0 ] = M N h0 x[k, l] R(k,l) [k0 , l0 ], is mostly(localized at (k 0 , l0 ) ∈ A(k,l) ,$where %
k=0 l=0
ν0

∆ 0 0 0 0 0
∆
0
h̃[k , l , k, l] 0 A(k,l) = (k , l ) (k , l ) ∈ S and, k = k + s1 +
R(k,l) [k0 , l0 ] = , ∆f /N N
h0 )
k = 0, 1, · · · , N − 1, l0 = 0, 1, · · · , M − 1.(45)
0 j k
or l0 = l + s2 + τ 0 M ∆f , s1 , s2 = 0, 1 ,
M
From (45) it is clear that the information symbol x[k, l] is
∆
received in the (k 0 , l0 )-th DD domain sample Y [k 0 , l0 ] through S = {(k0 , l0 ) | k0 = 0, 1, · · · , N − 1, l0 = 0, 1, · · · , M − 1}.
the coefficient R(k,l) [k 0 , l0 ]. From (42)
it follows that
(48)
0
sin2 π k0 − k − ∆fν/N
"
0 0 2 Therefore, the fraction of interfered symbols (i.e., fraction of
R(k,l) [k , l ] =
the remaining M N − 1 information symbols which receive

π 0
sin2 N k0 − k − ∆fν/N
|A(k,l) |−1
# significant interference from x[k, l]) is roughly M N −1 =
sin2 (π (l0 − l − τ 0 M ∆f )) (2M +2N −5) 2
π
. (46) which is approximately ( M + N2 ) for large (M, N ).
sin2 M (l0 − l − τ 0 M ∆f ) M N −1
To be more precise, for a given (k, l) and given (τ 0 , ν 0 ), let
From (46) it is clear that if the path delay τ 0 is an integer multi- B(k,l) denote the smallest cardinality set of (k 0 , l0 ) pairs, such
ple of 1/(M ∆f ) = T /M and if the Doppler shift ν 0 is an inte- 2
that the sum of R(k,l) [k 0 , l0 ] for all (k 0 , l0 ) ∈ B(k,l) is at least
0 0 2
h of ∆f /N
ger multiple i = 1/(N T ), then R(k,l) [k , l ] = 0 for 99% (i.e., 0.99) of the total energy
NP−1 M P −1 2
R(k,l) [k 0 , l0 ] ,
ν0
all k 0 6= k + and l0 6= [l + τ 0 M ∆f ]M , i.e., x[k, l] is
∆f /N k0 =0 l0 =0
N0 i.e.,
only received in Y k = [k + ν 0 N T ]N , l0 = [l + τ 0 M ∆f ]M

∆
which
h is given by i B(k,l) = arg min |D| . (49)
0 0 0 0 |R(k,l) [k0 ,l0 ]|2
P
Y k = k + ν NT , l = l + τ M ∆f (k0 ,l0 )∈D
N M D⊆S such that ≥0.99
√ h i P
|R(k,l) [k0 ,l0 ]|2
= M N h0 x[k, l]R(k,l) k0 = k + ν 0 N T , l0 = l + τ 0 M ∆f

, (k0 ,l0 )∈S
N M
(47) In Fig. 6 we plot the fraction of interfered information symbols
9
N −1 M −1
√ X X
Y [k0 , l0 ] = MN x[k, l] h̃[k0 , l0 , k, l] + Z[k0 , l0 ], k0 = 0, 1, · · · , N − 1, l0 =, 1, · · · , M − 1,
k=0 l=0
L
( 0 0 0 0 j 0 k 0
1 X ν l − τi k − νi νi l − τi − l νi l − τi − l

∆ j2π i −jπ(N −1) k −N j2π k − ∆f −j2π k − ∆f
h̃[k0 , l0 , k, l] = hi e ∆f M T e N ∆f e N M T M e N M T M
M N i=1
h 0 i h 0 i )
νi
0
l − τi − l
sin πN k
N
−N k
− ∆f sin πM M l
− Ml − τTi
jπ(M −1) M
e T M
l0
,
− Ml − τTi
h i
0
sin π kN − N k νi
− ∆f sin π M
l0 T k0 ∆f

∆
Z[k0 , l0 ] = Zn τ = ,ν = . (42)
M N
5
DD Domain Modulation
0 0.5 OFDM
-5
Fraction of Interfered Symbols

0.4
-10
-15 0.3
-20
0.2
-25
-30 0.1
0 10 20 30 40 50 60
0
0 0.5 1 1.5 2
ν0
Fig. 5: fν 0 ,N (u) vs. u, for ∆f = 0.2, N = 23, 46. ν0
Fig. 7: Fraction of interfered information symbols vs. ∆f for
CP-OFDM and DD domain modulation.
0.15
respectively for N = 23, 46, 92.

Fraction of Interfered Symbols
Next we compare the fraction of interfered information

0.1 symbols in DD domain modulation with that in CP-OFDM
(Cyclic-Prefix OFDM with sub-carrier spacing ∆f = 1/T and
bandwidth M ∆f ). In CP-OFDM it is well known that in the
presence of channel induced Doppler shift, energy transmitted
0.05
on a sub-carrier leaks into adjacent sub-carriers. The fraction
of interfered information symbols in CP-OFDM is presented
in Appendix K. In Fig. 7, the fraction of interfered symbols
for both CP-OFDM and DD domain modulation is plotted. For
0
CP-OFDM we have M = 45 and for DD domain modulation
0 0.5 1 1.5 2 we have M = 45, N = 46, i.e., the bandwidth M ∆f is
same for both CP-OFDM and DD domain modulation. The
Fig. 6: Fraction of interfered DD domain information symbols time duration of a CP-OFDM symbol is 1/∆f = T , during
ν0 which M information symbols are transmitted, while the time
vs. ∆f , for N = 23, 46, 92, M = 45.
duration of a DD domain modulated signal is N T during which
M N information symbols are transmitted. In Fig. 7, energy is
(|B(k,l) |−1)
i.e. M N −1 as a function of increasing ν 0 /∆f , for N = transmitted only on the k = 23-rd sub-carrier in CP-OFDM,
23, 46, 92 and M = 45, l = 23. For each ν 0 /∆f , the fraction while in DD domain modulation, energy is transmitted only
of interfered symbols is averaged with respect to τ 0 M ∆f on the (k = 23, l = 23)-th DD domain basis signal. From the
which is uniformly distributed in the interval [0 , 0.5]. Further, figure it is clear that the fraction of interfered symbols can be
k = 11, 23, 46, respectively for N = 23, 46, 92. We observe very large in CP-OFDM when compared to that in DD domain
that, for a given N the fraction of interfered symbols is upper modulation. For example, in Fig. 7 the maximum fraction of
bounded for all values of ν 0 /∆f . Further, this upper bound interfered symbols is 7.6% for DD domain modulation whereas
decreases with increasing N . For N = 23, this upper bound is it is about 48% for CP-OFDM.
roughly 11.6%, which decreases to 7.6% and 5.1% respectively From the study done in this section it is observed that when
for N = 46 and N = 92. These values are close to our rough compared to CP-OFDM, the fraction of interfered symbols is
−5)
estimate of (2MM+2NN −1 , which is 12.67%, 8.55% and 6.5% smaller for DD domain modulation which allows for practical
10
joint DD domain demodulation of all information symbols, of the required signal bandwidth M ∆f to obtain time
(q,s)
thereby achieving robustness towards channel induced Doppler and frequency constrained basis signals ψ(τ0 ,ν0 ) (t).
shift. For DD domain modulation we also observe that for 3) In Theorem 2, we derive the ZAK representation of
(q,s)
a given (M, T ), the fraction of interfered symbols decreases ψ(τ0 ,ν0 ) (t) i.e., Zψ,τ0 ,ν0 (τ, ν). We show that the effect
with increasing N (see Fig. 6), although this would increase of time windowing and low pass filtering is to spread the
the transmission time N T . original Dirac-delta DD domain signal Z(p,τ0 ,ν0 ) (τ, ν)
In this section, we have studied the spread of the received along the Doppler domain over an interval around ν =
energy in the DD domain for a single path channel as it allows ν0 of width roughly equal to the inverse of the time
us to easily gain insights into the dependence of the energy constraint N T , and along the delay domain over an
spread on the amount of Doppler shift. We observed that for interval around τ = τ0 of width roughly equal to the
large (M, N ), the fraction of interfered DD domain symbols is inverse of the bandwidth constraint M ∆f .
2
approximately ( M + N2 ) (see paragraph after (48)). Extending 4) For designing the information carrying DD domain basis
the single path arguments made in this section to a multi-path signals, we therefore choose the locations (τ0 , ν0 ) in
channel with L paths (see (41)), it is expected that if these L such a way that the locations of any two information
paths are resolvable (i.e., for any i 6= k, |τi − τk | > T /M and carrying basis signals are separated by at least 1/N T
|νi − νk | > ∆f /N ) then the fraction of interfered DD domain along the Doppler domain and by at least 1/(M ∆f )
symbols would at most be roughly L times higher than that for along the delay domain so as to reduce the interference
the single path channel (i.e., ( 2L 2L
M + N )), as the sets Ak,l (see between these signals. We specifically consider M N
(48)) for the individual paths will overlap minimally. However, (q,s)
different basis signals ψ(τ0 ,ν0 ) (t) corresponding to (τ0 =
for a given L we can always choose (M, N ) such that the l/(M ∆f ), ν0 = k/(N T )), l = 0, 1, · · · , M − 1, k =
fraction ( 2L 2L
M + N ) is sufficiently small in order that practical 0, 1, · · · , N − 1. In Theorem 3, we show that these M N
joint demodulation can be performed. signals form an orthonormal basis.
In CP-OFDM based communication in a multi-path channel, 5) In Section IV, we consider linear modulation of infor-
information will be transmitted on all sub-carriers and the multi- mation using these M N basis signals and call it as “DD
path Doppler shifts will in general not be integer multiples Domain Modulation”. DD domain modulation does not
of ∆f . Since the fraction of interfered symbols can be very reduce the degrees of freedom, as these basis signals
high for CP-OFDM (48% in Fig. 7), joint demodulation is not are M N -dimensional and the time bandwidth product
feasible. With separate demodulation of each sub-carrier, with is also N T × M ∆f = M N . In Theorem 4 of Section
increasing Doppler shift the energy transmitted on a particular V we show that, “DD Domain Modulation” and OTFS
sub-carrier will shift more and more to the other sub-carriers modulation with the rectangular pulse are the same.
resulting in higher inter-carrier interference (ICI).5 Therefore, 6) This derivation of OTFS modulation is the main novel
the SE performance of CP-OFDM is expected to degrade contribution of this paper. The derivation in fact gives a
monotonically with increasing Doppler shift (see Fig. 8 in method to design several variants of OTFS modulation by
Section IX). choosing q(t) and s(t) in such a way that the resulting
TD basis signals are approximately time and frequency
VIII. K EY R ESULTS AND C ONTRIBUTIONS limited and at the same time their ZAK representations
In the following we summarize the key results and contribu- are localized in the DD domain in order that there is little
tions of this paper. interference between these basis signals. It is expected
that all such modulations designed on this basic principle
1) In Theorem 1 of Section II we show that any TD
would be robust to channel induced Doppler shift. Further,
signal can be represented in terms of the basis signals
q(t) and s(t) could be chosen so as to optimize the
p(τ0 ,ν0 ) (t) , 0 ≤ τ0 < T , 0 ≤ ν0 < ∆f . The ZAK
desired performance (e.g., SE).
representation of these basis signals (i.e., Z(p,τ0 ,ν0 ) (τ, ν))
7) In prior work it is known that fractional Doppler shift
is a Dirac-delta in the DD domain at (τ = τ0 , ν = ν0 ).
(i.e., when the Doppler shift is not an integer multiple
2) The basis signals p(τ0 ,ν0 ) (t) are neither time nor band-
of the Doppler domain resolution ∆f /N ) increases the
width limited. Therefore, in Section III, we limit the
energy spread along the Doppler domain when compared
basis signals by multiplying them with the rectangular
to integer Doppler shift [6], [7]. Therefore fractional
time window q(t) (limited to t ∈ [0 , N T )) and then
Doppler shift can lead to more interference along the
convolve the product signal with a low pass filter s(t)
Doppler domain. However, the variation in the amount
5 In Fig. 7, in order to gain insights into the spread of energy/interference, of energy spread/interference in the DD domain as a
we consider a single path channel and information transmitted only on a function of the Doppler shift is not well understood in
single sub-carrier. For this special setting, in Fig. 7, when the single-path prior literature. In Section VII of this paper, we have
Doppler shift ν 0 is ∆f or 2∆f , energy transmitted on the k-th sub-carrier
shifts completely to the (k + 1)-th and (k + 2)-th sub-carrier respectively shown the interesting result that with increasing Doppler
and there is no interference to the other sub-carriers (see the expression for shift, the variation in the amount of energy spread in
Hofdm [m, k] in (83) in Appendix K). This is why in Fig. 7 we observe that the DD domain (for OTFS modulation) is significantly
for CP-OFDM the fraction of interfered symbols is small when ν 0 /∆f is
close to one and two. This particular observation is however not applicable less when compared to the variation in the energy spread
to general multi-path channels where the Doppler shifts need not be integer along the frequency domain in CP-OFDM (see Fig. 7).
multiples of ∆f .
11
5
46 NT
E[C] = 47 E[C] (where C is given by (43) and the
(N +1)T
4.5
expectation is w.r.t. the statistics of the channel path gains and
Spectral Efficiency (SE) (bits/s/Hz)
4 Doppler shift). Here the factor (NN+1)T T

accounts for the guard-
3.5
time overhead of T seconds between two consecutive OTFS
frame transmissions so as to avoid inter-frame interference. In
3
Theorem 4, we have shown that the DD domain modulation
2.5 in (21) is the same as OTFS modulation for sufficiently large
2 M and therefore we expect the SE achieved by DD domain
modulation in (21) and OTFS modulation to be the same.
1.5
For the en-route UAS channel model and OTFS modulation
1 parameters (M = 45, N = 46, ∆f = 2 KHz), through
0.5 exhaustive simulations we have indeed observed that the
0 5 10 15
Eff. Ratio of Tx. power to Rx. AWGN power (dB) SE achieved by DD domain modulation in (21) and OTFS
Fig. 8: SE for DD domain modulation and CP-OFDM. modulation is the same. Hence, in Fig. 8 we only plot the SE for
the DD domain modulation in (21). In DD domain modulation,
there is no transmission in the guard-time interval, and therefore
8) In prior work it is known that the Doppler domain in Fig. 8, for DD domain modulation the effective (Eff.) ratio of
resolution and the OTFS frame duration are inversely the transmitted power to the receiver AWGN power is 46ρ/47,
related [6]. However, in prior work, the effect of N on the where ρ is defined in Appendix J. For CP-OFDM, we consider
amount of energy spread in the DD domain has not been the SE averaged over the channel statistics (i.e., E[C ], see
ofdm
explicitly discussed in detail. In this paper, in Section (90) in Appendix L). This expression also takes into account the
VII we explicitly show that the amount of Doppler CP overhead. For each value of the Tx. power to Rx. AWGN
induced energy spread in the DD domain decreases with power ratio, we plot the maximum E[C ] optimized w.r.t. the
ofdm
increasing N (see Fig. 6). We also observe that for large number of sub-carriers (∈ {1, 2, · · · , 89, 90}) under the total
(M, N ) the fraction of interfered symbols is small which bandwidth constraint of 90 KHz. In Fig. 8 we observe that the
allows for low complexity joint DD domain demodulation. SE achieved by CP-OFDM decreases with increasing speed v.
For CP-OFDM the fraction of interfered symbols is The SE achieved by DD domain modulation is better than that
higher due to which joint demodulation of all sub-carriers achieved by CP-OFDM and is almost invariant of the speed v.
is not feasible. With separate demodulation of each CP-
OFDM sub-carrier, higher ICI with increasing Doppler X. C ONCLUSION
shift is expected to degrade performance severely. In this paper, using the ZAK representation of TD signals
we have derived an orthonormal basis of time and bandwidth
IX. N UMERICAL S IMULATION limited signals which are also localized in the DD domain. We
In this section, we study the SE performance of the consider DD domain modulation based on this orthonormal
DD domain modulation in (21) and CP-OFDM. We specif- basis and derive OTFS modulation. These information carrying
ically consider communication of control and non-payload orthonormal basis signals are highly localized in the DD
information between an Unmanned Aircraft System (UAS) domain when the time duration and bandwidth are large. This
and a Ground Station (GS) [25]. A widely accepted model reduces interference between information symbols modulated
for the en-route scenario is the two-path model, with a on different basis signals, thereby enabling low complexity joint
direct and DD domain demodulation which helps in achieving robustness
p a reflected path. The gain for the direct path is
h1 = Kf /(Kf + 1), while that for the reflected path is to mobility induced Doppler shift.
h2 ∼ CN (0, 1/(Kf + 1)) [26]. In [26] it is mentioned that
A PPENDIX A
Kf is typically 15 dB. The delay between these two paths is
P ROOF OF R ESULT 2
33 µs (i.e., τ1 = 0, τ2 = 33 µs). For an aircraft speed of v,
the Doppler shift for the first path is ν1 = vfc /c and that for From (1) it follows that
∞
√ X
the second path is ν2 = (vfc /c) cos (π − θ U), where fc is the Zx (τ + T, ν) = T x(τ + T + kT ) e−j2πkνT
carrier frequency, c = 3 × 108 m/s is the speed of light, U is k=−∞
a random variable uniformly distributed in the interval [0 , 1] ∞
√ X
◦
and θ = 3.5 is the Doppler beamwidth [26]. The channel =e j2πνT
T x(τ + (k + 1)T )e−j2π(k+1)νT
k=−∞
bandwidth is 90 KHz, time duration is 23 ms, and fc = 5.06 j2πνT
GHz [25]. We therefore choose M = 45, N = 46 and ∆f = 2 =e Z x (τ, ν). (50)
KHz (T = 1/∆f = 0.5 ms, M ∆f = 45 × 2 KHz = 90 KHz, From (1) it also follows that
∞
N T = 46 × 0.5 ms = 23 ms). √ X
In Fig. 8 we compare the SE achieved by DD domain Z x (τ, ν + ∆f ) = T x(τ + kT ) e−j2πk(ν+∆f )T
k=−∞
modulation in (21) with that achieved by CP-OFDM as a ∞
√ X
x(τ + kT ) e−j2πkνT
(a)
function of the ratio of the transmit (Tx.) power to the = T
receiver (Rx.) AWGN power, for different aircraft speed k=−∞
v = 0, 60, 120, 180 m/s. For DD domain modulation, we plot = Zx (τ, ν) (51)
12
∞ ∞
where step (a) follows from the fact that T ∆f = 1. ej2πf nT (same as T e−j2πf nT ), i.e.,
P P
f -domain is T
n=−∞ n=−∞
∞ ∞
−j2πf nT i
P P
A PPENDIX B T e = δ f− T . Since f = (ν −ν0 ), the term
P ROOF OF R ESULT 3 n=−∞ i=−∞
within brackets in the R.H.S. of step (b) is therefore given by
From (1) it follows that ∞ ∞
X X i
Z∆f ∞ h Z∆f T e−j2π(ν−ν0 )nT = δ ν − ν0 − . (57)
√ X −j2πνkT
i T
T Zx (t, ν)dν = T x(t + kT ) e dν . (52) n=−∞ i=−∞
0 k=−∞ 0 This equality can also be proved directly as follows.

∞ ∞
Since ∆f = 1/T and k ∈ Z we have X X ∆
T e−j2π(ν−ν0 )nT = T e−j2πf nT where f = (ν − ν0 )
Z∆f (
n=−∞ n=−∞
−j2πνkT 0 , k 6= 0
e dν = 1 . (53) K
,k = 0 X
0
T = lim T e−j2πf nT
K→∞
n=−K
Using (53) in (52) we get (6). From (1) it also follows that
= lim GK (f ) , where
ZT ∞ ZT K→∞
1 X
√ Zx (τ, f )e−j2πf τ dτ = x(τ + kT )e−j2πf (τ +kT ) dτ ∆ sin(π(2K + 1)f T )
T GK (f ) = T . (58)
0 k=−∞ 0 sin(πf T )
(k+1)T Z∞
∞
X Z GK (f ) is periodic with period 1/T , i.e., GK (f ) = GK (f +
x(t)e−j2πf t dt = x(t)e−j2πf t dt = Fx (f ) (54)
(a)
= 1/T ). Next, within any interval of length 1/T , the integral
k=−∞ kT
R 1/2T
−∞ of GK (f ) is unity since −1/2T GK (f ) df = 1. Also, for any
integer i, within the interval f ∈ Ti − 2T
1
, Ti + 2T
1

where step (a) follows from the substitution t = τ + kT in the of length
integral in the previous step. 1/T , the energy of GK (f ) is more and more localized around
f = i/T as K → ∞. Therefore, we have
A PPENDIX C ∞
X i
P ROOF OF L EMMA 1 lim GK (f ) = δ f− . (59)
K→∞
i=−∞
T
Using (6) from Result 3, the TD signal p(τ0 ,ν0 ) (t) having
ZAK representation Z(p,τ0 ,ν0 ) (τ, ν) in (8) is given by Using (59) in (58) we get (57). Using (57) in step (b) of (56),
√ Z ∆f we get the expression of Z(p,τ0 ,ν0 ) (τ, ν) in (8).
p(τ0 ,ν0 ) (t) = T Z(p,τ0 ,ν0 ) (t, ν) dν
0
∞
√ X Z ∞
∆fX A PPENDIX D
(a)
= T ej2πν0 nT δ(t − τ0 − nT ) δ(ν − ν0 − m∆f )dν P ROOF OF T HEOREM 1
n=−∞ 0 m=−∞
∞ Firstly, we see that
√ X j2πν0 nT
Z ∞
= T e δ(t − τ0 − nT ) (55) cx (τ0 , ν0 ) = p∗(τ0 ,ν0 ) (t) x(t) dt
n=−∞ −∞
∞
where step (a) follows from the expression for Z(p,τ0 ,ν0 ) (τ, ν) √ X Z ∞
e−j2πν0 nT
(a)
= T δ(t − τ0 − nT ) x(t) dt
in (8). Next, we show that the ZAK representation of the TD n=−∞ −∞
signal in the R.H.S. of (55) is Z(p,τ0 ,ν0 ) (τ, ν) (as given in (8)). √ X∞
e−j2πν0 nT x(τ0 + nT ) = Zx (τ0 , ν0 )(60)
(b)
Using (1), the ZAK representation of p(τ0 ,ν0 ) (t) is given by = T
∞ n=−∞
√ X
T p(τ0 ,ν0 ) (τ + nT )e−j2πνnT
n=−∞
where step (a) follows from the expression of p(τ0 ,ν0 ) (t) in (9)
∞ ∞ and step (b) follows from (1). Next
X X 0
−νn)T
ej2π(ν0 n δ(τ − τ0 + (n − n0 )T )
Z TZ ∆f Z TZ ∆f
=T (a)
n=−∞ n0 =−∞
cx (τ0 , ν0 )p(τ0 ,ν0 ) (t)dτ0 dν0 = Zx (τ0 , ν0 )p(τ0 ,ν0 ) (t)dτ0 dν0
0 0 0 0
∞ ∞
∞ ∞
(
(a)
X X Z T
=T ej2π(ν0 (k+n)−νn)T δ(τ − τ0 − kT ) (b)
X X
= x(τ0 + n1 T ) δ(t − τ0 − n2 T ) dτ0
n=−∞ k=−∞ 0
n1 =−∞ n2 =−∞
∞
" ∞
#
X X Z ∆f )
e−j2π(ν−ν0 )nT (56)
(b)
= ej2πν0 kT δ(τ − τ0 − kT ) T T e j2πν0 (n2 −n1 )T
dν0
k=−∞ n=−∞ 0
| {z }
where step (a) follows from replacing the summation variable =1 if n2 =n1 ,0 otherwise
0 ∆ 0 Dirac-delta at τ0 = t − n1 T
n with a new variable k = n − n. Step (b) follows from X∞ Z T z }| {
exchanging the order of summation w.r.t. the variables n = x(τ0 + n1 T ) δ(t − τ0 − n1 T ) dτ0
∆ n1 =−∞ 0
and k. For a given constant ν0 , let f = (ν − ν0 ). For a j k
∞ Dirac-delta at τ0 = t − t T
T
i
P
given T , let us consider the signal δ f − T which is Z T z }| {
i=−∞ (c) t t
= x τ0 + T δ t − τ0 − T dτ0 = x(t)
periodic in the f -domain with period 1/T . It is not difficult 0 T T
to check that the Fourier series expansion of this signal in the (61)
13
where step (a) follows from (60). Step (b) follows from Result 5: [see (4.4) in [21]] Let Za (τ, ν) and Zb (τ, ν) be
substituting the expressions for Zx (τ0 , ν0 ) from (1) and the the ZAK representation of TD signals a(t) and b(t) respectively.
expression for p(τ0 ,ν0 ) (t) from (9) into the R.H.S. in step (a). Consider their product c(t) = a(t)b(t). The ZAK representation
Step (c) follows from the fact that the only non-zero
term in of c(t) is given by
the summation in the previous step is for n1 = Tt . √ Z
∆f
Zc (τ, ν) = T Za (τ, ν − ν 0 )Zb (τ, ν 0 )dν 0

A PPENDIX E 0
∆f
ZAK R EPRESENTATION OF C ONVOLUTION OF TD S IGNALS √ Z
= T Za (τ, ν 0 )Zb (τ, ν − ν 0 )dν 0 . (64)
This result states that the ZAK representation of the
0
convolution of two time-domain (TD) signals is equivalent to
convolution of their ZAK representations in the delay domain. Proof: Starting with the R.H.S. in (64) we get
∆f
Result 4: [see (4.2) in [21]] Let Za (τ, ν) and Zb (τ, ν) be √ Z
the ZAK representation of a(t) and b(t) respectively. Consider T Za (τ, ν − ν 0 )Zb (τ, ν 0 )dν 0
R∞ 0
their TD convolution c(t) = a(t0 ) b(t − t0 ) dt0 . The ZAK ∞ ∞
"
−∞
√ X X
a(τ + k1 T )b(τ + k2 T )e−j2πνk1 T
(a)
= T
representation of c(t) is given by
k1 =−∞ k2 =−∞
ZT ∆f
#
1
Z
Za (τ − τ 0 , ν) Zb (τ 0 , ν) dτ 0 1 0
(k1 −k2 )T
Zc (τ, ν) = √ ej2πν dν 0
T ∆f 0
0 | {z }
ZT =1 if k1 =k2 , 0 otherwise
1 √ X∞
= √ Za (τ 0 , ν) Zb (τ − τ 0 , ν) dτ 0 . (62)
a(τ + k1 T )b(τ + k1 T ) e−j2πνk1 T = Zc (τ, ν) (65)
(b) (c)
T = T
0 |
k1 =−∞
{z }
=c(τ +k1 T )
Proof: Starting with the R.H.S. of (62) we have
where step (a) follows from (1). Step (b) follows from the fact
ZT
1 0 0 0 (a) that in the double summation in the previous step, only those
√ Za (τ − τ , ν)Zb (τ , ν)dτ =
T terms are non-zero for which k2 = k1 . Step (c) follows from
0
(1) and the fact that c(t) = a(t)b(t).
√ ∞
X ∞
X ZT
T e−j2π(k1 +k2 )νT a(τ − τ 0 + k1 T )b(τ 0 + k2 T )dτ 0 A PPENDIX G
k1 =−∞ k2 =−∞ 0 P ROOF OF T HEOREM 2
(k2Z+1)T
∞ ∞
√ X X −j2π(k1 +k2 )νT
Using Result 5 in Appendix F, for 0 ≤ τ < T , the ZAK
a(τ + (k1 + k2 )T − τ 00 )b(τ 00 )dτ 00
(b)
= T e representation of c(t) = p(τ0 ,ν0 ) (t) q(t) is given by
k1 =−∞ k2 =−∞ k2 T √ Z ∆f

(k2Z+1)T
 Zc (τ, ν) = T Z(p,τ0 ,ν0 ) (τ, ν 0 ) Zq (τ, ν − ν 0 ) dν 0
∞ ∞
√ X  X 0
e−j2πk3 νT  a(τ + k3 T − τ 00 )b(τ 00 )dτ 00 
(c)
= T √ Z ∆f

δ(τ − τ0 )δ(ν 0 − ν0 ) Zq (τ, ν − ν 0 ) dν 0
(a)
k3 =−∞ k2 =−∞k T = T
2 0
 ∞  √
√ X∞ Z = T δ(τ − τ0 ) Zq (τ, ν − ν0 ) (66)
−j2πk3 νT  00 00 00 
= T e a(τ + k3 T − τ )b(τ )dτ
k3 =−∞ where step (a) follows from the fact that Z(p,τ0 ,ν0 ) (τ, ν) is the
−∞
√ X ∞ ZAK representation of p(τ0 ,ν0 ) (t) (see Lemma 1), and also that,
0 0
e−j2πk3 νT c(τ + k3 T ) = Zc (τ, ν)
(d)
= T (63) for 0 ≤ τ < T and 0 ≤ ν < ∆f , Z(p,τ0 ,ν0 ) (τ, ν ) = δ(τ −
0
k3 =−∞ τ0 )δ(ν −ν0 ) (see (8)). Here Zq (τ, ν) is the ZAK representation
where step (a) follows from (1). In step (b) we have changed of q(t), and is given by
N −1−b T
X c−j2πνnT
τ
00 0
the integration variable to τ = τ + k2 T . Step (c) follows √ X ∞
−j2πνnT (a)
√
from replacing the summation variable k1 by k3 = k1 + k2 Zq (τ, ν) = T q(τ + nT ) e = T e
n=−∞ bT c
τ
since in step (b), k1 always appears as (k1 + k2 ). Step (d) n=−
follows from the fact that c(t) is the convolution of a(t) and √ j2πν b τ cT −jπν(N −1)T sin (πνN T )
R∞ = Te T e (67)
sin (πνT )
b(t), i.e., c(t) = a(t − t00 )b(t00 )dt00 . The last step follows
−∞ where step (a) follows from the fact that q(t) = 1 for 0 ≤
from (1). The second equality in the R.H.S. of (62) can be t < N T and is zero otherwise (see (13)). From (12) it follows
proved similarly. (q,s)
that ψ(τ0 ,ν0 ) (t) = p(τ0 ,ν0 ) (t) q(t) ? s(t) = c(t) ? s(t) and
therefore using Result 4 from Appendix E it follows that
A PPENDIX F 1
Z T
ZAK R EPRESENTATION OF P RODUCT OF TD S IGNALS Z ψ,τ ,ν
0 0 (τ, ν) = √ Zc (τ 0 , ν) Zs (τ − τ 0 , ν) dτ 0
T 0
T
This result states that the ZAK representation of the product
Z
δ(τ 0 − τ0 ) Zq (τ 0 , ν − ν0 ) Zs (τ − τ 0 , ν) dτ 0
(a)
=
of two time-domain (TD) signals is equivalent to convolution 0
of their ZAK representations in the Doppler domain. = Zq (τ0 , ν − ν0 ) Zs (τ − τ0 , ν) (68)
14
where step (a) follows from the expression of Zc (τ 0 , ν) in (66) sinc (l2 − l1 + M (n2 − n1 )) which is one only when l1 = l2
for 0 ≤ τ 0 < T . Here Zs (τ, ν) is the ZAK representation of and n1 = n2 , and is otherwise zero. This is because, l1 , l2 =
s(t) which is given by 0, 1, · · · , M −1 and therefore (l2 −l1 ) can never be a non-zero
∞
√ X integer multiple of M . This shows that α is a basis with M N
Zs (τ, ν) = T s(τ + nT ) e−j2πνnT orthonormal signals and is therefore M N -dimensional.
n=−∞
" ∞
#
(a)
√ Z M ∆f
j2πf τ
X j2π(f −ν)nT
= T e e df A PPENDIX I
0
|
n=−∞
{z }
P ROOF OF T HEOREM 5
∞
1
=T
P
δ(f −ν−m∆f ) The ZAK representation of y(t) is given by
m=−∞
N
∞ M ∆f
√ X 0
y(τ + n0 T )e−j2πνn T , 0 ≤ τ < T , 0 ≤ ν < ∆f
Z (a)
(b) 1 X j2πf τ Zy (τ, ν) = T
= √ δ(f − ν − m∆f ) e df.
T 0 | {z } n0 =0
m=−∞
Dirac-delta at f =ν+m∆f L
X
hi ej2πνi (τ −τi ) Zx (τ − τi , ν − νi ) + Zn (τ, ν)
(b)
j
ν
(M −1)− ∆f
k
= (71)
(c) 1 X i=1
= √ ej2πντ ej2πm∆f τ
T j
ν
k where step (a) follows from (1) and step (b) follows from Result
m=− ∆f
1. Here Zx (τ, ν) and Zn (τ, ν) are the ZAK representations of
1 sin(πM ∆f τ )
k j
ν
j2πντ −j2π ∆f ∆f τ
= √ e e ejπ(M −1)∆f τ (69) x(t) and n(t) respectively. From (21), the ZAK representation
T sin(π∆f τ )
of x(t) is given by
R M ∆f j2πf t N −1 M −1
where step (a) follows from the fact that s(t) = 0 e df (a) 1 X X
(see (14)). Step (b) follows from the standard equation Zx (τ, ν) = √ x[k, l]Zψ, lT , k∆f (τ, ν) (72)
∞ ∞ M N k=0 l=0 M N
ej2πf nT = T1 δ f−m
P P
T and the fact that T = 1/∆f .
n=−∞ m=−∞ where Zψ, lT , k∆f (τ, ν) is the ZAK representation of
M N
Step (c)
j follows from the fact thatj0 ≤kν + m∆f < M ∆f (q,s)
ν
k
ν
ψ(lT /M,k/N T ) (t) (see (16)). Step (a) follows from the linearity
for − ∆f ≤ m ≤ (M − 1) − ∆f . Indeed, using the of the ZAK representation (i.e., the ZAK representation of the
R.H.S. above as the expression for Zs (τ, ν), from (7) it can sum of two TD signals is the sum of their ZAK representations),
be checked that the Fourier transform of s(t) i.e., Fs (f ) = 1 (q,s)
and the fact that α(k,l) (t) = √M ψ
N (lT /M,k/N T )
(t) (see (19)).
RT (q,s)
√1
T
Zs (τ, f )e−j2πf τ dτ is one when f ∈ [0 , M ∆f ) and is From Theorem 2, the ZAK representation of ψ(lT /M,k/N T ) (t)
0 is given by
zero otherwise.
lT k∆f lT
Zψ, lT , k∆f (τ, ν) = Zq ,ν − Zs τ − ,ν
M N M N M
A PPENDIX H k∆f

k∆f sin π ν − N N T j2πν (τ − lT )
P ROOF OF T HEOREM 3 = e−jπ(ν− )(N −1)T
(a)
N e M
sin π ν − k∆f T
From the expression of α(k,l) (t) in (19) we have N
sin(πM ∆f τ − lT

)
j k
ν ∆f (τ − lT
N −1 N −1 ) ejπ(M −1)∆f (τ − lT
M)
" −j2π ∆f
Z ∞ M
∗ T X X j2π n1 k1N−n2 k2 e M (73)
sin(π∆f τ − lT

α(k1 ,l1 ) (t) α(k2 ,l2 ) (t) dt= e M
)
−∞ M N n =0 n =0 1 2
2 jπM ∆f

(l2 −l1 )T
+(n −n )T
where step (a) follows from the expressions of Zq (τ, ν) and
2 1
(M ∆f ) e M
Zs (τ, ν) in (17). Using (73) in (72) we get an expression
Z ∞ #
for Zx (τ, ν) in terms of the information symbols x[k, l], k =

l1 T l2 T
sinc M ∆f t − − n1 T sinc M ∆f t − − n2 T dt
−∞ M M 0, 1, · · · , N − 1, l = 0, 1, · · · , M − 1. Using this expression in
N −1 N −1
" (71) we then get an expression for Zy (τ, ν) in terms of the
T X X j2π n1 k1N (l2 −l1 )T

−n2 k2
(a) jπM ∆f +(n2 −n1 )T
= e e M information symbols x[k, l]. Using thisexpression, the sampled
M N n =0 n =0 0 0

1 2 DD domain signal Y [k 0 , l0 ] = Zy τ = lMT , ν = k N∆f is
#
(l2 − l1 )T given by (42).
(M ∆f )sinc M ∆f + (n2 − n1 )T
M
−1 −1
N N
"
(b) 1
X X j2π n1 k1 −n2 k2 jπM ∆f (l2 −l1 )T +(n −n )T
2 1
A PPENDIX J
= e N e M
P ROOF OF T HEOREM 6
N n =0 n =0
1 2
# In (42), Z[k 0 , l0 ] is given by
δ[l1 − l2 ]δ[n1 − n2 ] l0 T k0 ∆f

0 0
Z[k , l ] = Zn τ = ,ν =
M N
−1
N
!
1 X n (k1 −k2 )
j2π 1 N √ XN 0
lT

n0 k 0
=δ[l1 − l2 ] e = δ[l1 − l2 ]δ[k1 − k2 ](70) =
(a)
T n nT+ 0
e−j2π N (74)
N n1 =0 M
0n =0
R∞
where step (a) follows from the fact that −∞ W 2 sinc(W (t − where step (a) follows from the fact that the received TD
τ1 ))sinc(W (t − τ2 ))dt = W sinc(W
(τ2 − τ1 )). Step (b) follows
signal y(t) is limited to the interval [0 , (N + 1)T ). Let the
from the fact that sinc M ∆f (l2 −l M
1 )T
+ (n 2 − n 1 )T = information symbols x[k, l] ∼ i.i.d. CN (0, ρ). Then, since
15
the signals α(k,l) (t) belong to the orthonormal basis α (see

Theorem 3), from the first equation in (21) it follows that ( t
Z ∞ √1 ej2πk T
,0≤t<T
E 2
|x(t)| dt = M N ρ. (75) φk (t) = T
−∞
0 , otherwise
k = 0, 1, · · · , M − 1. (80)
Since the transmit signal x(t) has most of its energy in
the time-interval [0 , N T ), the average transmit power is
With a cyclic prefix equal to the path delay τ 0 , and information
M N ρ/N T = M ρ/T . Let the power spectral density (PSD)
symbols x[k], k = 0, 1, · · · , M − 1, the transmit CP-OFDM
of AWGN be unity. Since the communication bandwidth is
signal is
M ∆f , the AWGN power at the receiver is M ∆f . Therefore,
the ratio of the transmit power to the receiver noise power is
M −1
P

 x[k] φk (t) ,0≤t<T
M ρ/T 

 k=0
= ρ. (76) M −1
M ∆f xofdm (t) = . (81)
, −τ 0 ≤ t < 0
P
 x[k] φk (t + T )
0 0

 k=0
Let
the0 sampled DD domain signal Y [k , l ] =


k0 ∆f
0 , otherwise
lT
Zy τ = M , ν = N , k 0 = 0, 1, · · · , N − 1, l0 =
0, 1, · · · , M − 1 be organized into a vector y ∈ CM N ×1 , The received noise-free TD signal is given by
where the (k 0 M + l0 + 1)-th element of y is Y [k 0 , l0 ], 0
(t−τ 0 )
k 0 = 0, 1, · · · , N − 1, l0 = 0, 1, · · · , M − 1. Similarly, x[k, l] yofdm (t) = h0 ej2πν xofdm (t − τ 0 ) (82)
is organized into the information symbol vector x ∈ CM N ×1
where the (kM + l + 1)-th element of x is x[k, l]. Also, let where h0 is the channel gain of the single channel path. The
H̃ ∈ CM N ×M N be the effective DD domain channel matrix receiver removes the CP and computes
whose element in its (k 0 M +l0 +1)-th row and (kM +l +1)-th Z T
∆
column is h̃[k 0 , l0 , k, l] (h̃[k 0 , l0 , k, l] is defined in (42)). From Yofdm [m] = yofdm (t) φ∗m (t) dt
0
(42) it then follows that M −1
√ (a)
X
y = M N H̃ x + z (77) = x[k] Hofdm [m, k], m = 0, 1, · · · , M − 1,
k=0
where z ∈ CM N ×1 is the vector of noise samples, i.e., the ∆
Z T
0 0
0
0 0 0 0
(k M + l + 1)-th element of z is Z[k , l ]. Since the commu- H ofdm [m, k] = h ej2πν (t−τ ) φk (t − τ 0 ) φ∗m (t) dt
0
nication bandwidth is M ∆f and the PSD of AWGN is unity, τ0 0 0
= h0 e−j2π T (ν T +k) ejπ(ν T +k−m) sinc ν 0 T + k − m (83)

0
the noise samples n n0 T + lMT , n0 = 0, 1, · · · , N, l0 =
0, 1, · · · , M −1 are i.i.d. CN (0, M ∆f ). The covariance matrix where step (a) follows from substituting the R.H.S. of (81) in
of the noise vector z is denoted by Kz . The expression for (82), and then using the resulting expression for y (t) in the
ofdm
Kz follows from equation (22) in [22], i.e., the element of integral of the first equation in (83). From (83) it is clear that
Kz in its (k 0 M + l0 + 1)-th row and (kM + l + 1)-th column due to the channel induced Doppler shift ν 0 , an information
is given by symbol x[k] transmitted on the k-th sub-carrier is received as
Kz [k0 M + l0 + 1, kM + l + 1] = E Z[k0 , l0 ]Z ∗ [k, l] H[m, k]x[k] on the m-th sub-carrier. Since |Hofdm [m, k]|2 =

|h0 |2 sinc2 (ν 0 T + k − m) (see (83)), it follows that most of the


1
, k 0 = k , l0 = l

M N 1 +
 N 0
, k0 6= k , l0 = l , energy of x[k] is received in and around the m = bk + ν T c-
(a)
= M N N1


0 , l0 6= l th sub-carrier. Next, for a given k ∈ {0, 1, · · · , M − 1}, let
0 0 Gk denote the smallest cardinality set of sub-carrier indices
k , k = 0, 1, · · · , N − 1 , l , l = 0, 1, · · · , M − 1. (78)
such that the fraction of total energy of x[k] received in the
where step (a) can be derived from the expression of Z[k 0 , l0 ] sub-carrier indices in Gk is at least 0.99, i.e.,
in the R.H.S. of (74). From (77) it then follows that the spectral ∆
efficiency (SE) achieved by the DD domain modulation in (21) Gk = arg min |D|
|Hofdm [m,k]|2
P
is given by [24] m∈D

D⊆V such that P
|H [m,k]|2
≥0.99
ofdm
1 m∈V
C = log2 I + M N ρ H̃H Kz −1 H̃ = arg min |D| ,
MN P
sinc2 (ν 0 T +k−m)
1
log2 I + ρ H̃H K̃−1 H̃ ,
m∈D
= D⊆V such that ≥0.99
sinc2 (ν 0 T +k−m)
P
MN m∈V
∆ 1 ∆
K̃ = Kz (79) V = {0, 1, · · · , M − 1}. (84)
MN
where the elements of Kz are given by (78).
The fraction of information symbols which are interfered by
x[k] is then given by
A PPENDIX K
F RACTION OF I NTERFERED I NFORMATION S YMBOLS IN |Gk | − 1
Frac. of interfered symbols = . (85)
CP-OFDM M −1
In OFDM, the M orthonormal basis signals are
16
A PPENDIX L [6] P. Raviteja, K. T. Phan, Y. Hong and E. Viterbo, “Interference Cancellation

S PECTRAL E FFICIENCY (SE) OF CP-OFDM and Iterative Detection for Orthogonal Time Frequency Space Modulation,”
IEEE Transactions on Wireless Communications, vol. 17, no. 10, pp. 6501-
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X
ỹofdm (t) = hi ej2πνi (t−τi ) xofdm (t − τi ) + n(t) (86) Linear Equalization for OTFS Systems with Rectangular Waveforms,”
i=1 arXiv:1911.08133v1[cs.IT], www.arxiv.org, Nov. 2019.
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Derivation of OTFS Modulation from First

Doppler ... ...

in the DD domain with little inter-symbol interference. These

where ? denotes the TD convolution operator. Although the

(q,s) and ∆f /N respectively along the delay and Doppler domains.

R ∞From (21)j2πf we know that the TD signal xn (t) =

Fraction of Interfered Symbols

respectively for N = 23, 46, 92.

Next we compare the fraction of interfered information

4 Doppler shift). Here the factor (NN+1)T T

0 k=−∞ 0 This equality can also be proved directly as follows.

Zc (τ, ν) = T Za (τ, ν − ν 0 )Zb (τ, ν 0 )dν 0

the signals α(k,l) (t) belong to the orthonormal basis α (see

|h0 |2 sinc2 (ν 0 T + k − m) (see (83)), it follows that most of the

is given by [24] m∈D

A PPENDIX L [6] P. Raviteja, K. T. Phan, Y. Hong and E. Viterbo, “Interference Cancellation

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