central problem in system’s data throughput is the sum of
communications is the throughputs of all the subchannels,
reliably and effi-
ciently transmitting
information signals
over imperfect chan-
A
nels. One successful
approach to achiev-
ing high-speed data
transmission is mul-
ticarrier modulation
(MCM), often also
called multitone
modulation. The
principle of MCM is
to divide the transmission channel
into a number of orthogonal subchan-
nels or subcarriers. This channel par-
titioning method attempts to con-
struct a set of parallel subchannels
that are largely independent.
Channel partitioning consists of
modulation and demodulation using
suitable basis functions. Unitary trans-
forms, that is orthonormal bases, are
usually chosen so as to preserve the
energy and independence of individual
samples transmitted over subchannels.
A block diagram of a generic multi-
carrier modulation scheme is shown in
Fig. 1. An incoming data stream is
divided into several parallel streams
and each is modulated using a subcarri-
er. The amount of energy and informa-
tion carried on each subchannel can be
optimized for efficient transmission
depending on the channel.
If each subchannel is excited with
independent information, then detection
can be done at the receiver by process-
ing the output samples obtained inde-
pendently on each subchannel. The ori-
gins of this idea can be traced to the
Collins Kineplex system created about
four decades ago, where the principle of
transmitting a data stream by dividing it
into several parallel streams, each mod-
ulated by a subcarrier, was applied.
In a single channel, serial data
transmission system, symbols are
transmitted sequentially, with each
data symbol occupying the entire
available bandwidth. Single channel
communication is usually far more
susceptible to inter symbol interfer-
© ARTVILLE
ence than multicarrier modulation.
In multitone modulation, since the
entire channel bandwidth is divided
into several narrow subbands, the fre-
quency response over each individual
subband is relatively flat. Each sub-
channel occupies only a small fraction
of the original bandwidth. Since the
16
Authorized licensed use limited to: National Cheng Kung University. Downloaded on January 24, 2010 at 03:23 from IEEE Xplore. Restrictions apply.
contributed to a great extent in reduc-
ing the implementation complexity.
the data rate per subchannel in a multi-
carrier system is only a fraction of the
data rate of a conventional single carri-
er system having the same throughput.
This feature allows for system
designs supporting high data rates
while maintaining symbol durations
much longer than the memory of the
channel. As a result, we avoid complex
Principles
of
OFDM
Ashish Pandharipande
channel equalization. Another advan-
tage of this parallel modulation tech-
nique is its reduced susceptibility to
various forms of impulse noise.
Early proposed implementations of
multitone modulation were inherently
continuous time in nature. Discrete
time implementations were later pro-
posed based on the discrete Fourier
transform (DFT) implementation. Fast
Fourier transform (FFT) algorithms
0278-6648/02/$17.00 © 2002 IEEE
With advances in digital signal pro-
cessing (DSP) and very large scale
integration (VLSI) technologies, dis-
crete time implementations are now
used extensively. They have facilitated
adoption of this scheme by overcoming
earlier problems of high-speed memory
and large computation.
In the communications field, the
terms orthogonal frequency division
multiplexing (OFDM) and discrete mul-
titone (DMT) modulation are often
used interchangeably with multitone
modulation. OFDM can be defined
simply as a form of MCM where its
carrier spacing is selected so that each
subcarrier is orthogonal to the other
subcarriers. The difference between
OFDM and DMT is that discrete mul-
titone uses loading while OFDM uses a
fixed number of bits per subchannel.
Over the last decade, orthogonal fre-
quency division multiplexing has been
exploited for wideband communication
over mobile radio FM channels, asym-
metric digital subscriber lines (ADSL),
high-speed digital subscriber lines
(HDSL), very high-speed digital sub-
scriber lines (VHDSL), digital audio
broadcasting (DAB), digital video
broadcasting (DVB), and HDTV
terrestrial broadcasting.
Discrete multitone can also
be employed effectively in multi-
point-to-point environments like
hybrid fiber coax (HFC) networks so
long as the remote units are synchro-
nized within a certain tolerance.
Orthogonal frequency division multi-
plexing, especially Coded OFDM
(COFDM), has been studied and imple-
mented for digital TV and HDTV terres-
trial broadcasting, as well as digital
audio terrestrial and
satellite broadcasting.
Digital subscriber
line (DSL) technolo-
gy provides transport
of high rate digital information over
telephone subscriber lines. This is
accomplished by using sophisticated
digital transmission techniques, which
compensate for the various transmis-
sion impairments common to telephone
lines. Discrete multitone is the adopted
standard for ADSL, and a strong candi-
date for high-speed digital subscriber
lines and very high-speed digital sub-
scriber lines.
Discrete multitone is particularly
robust against the impairments that a
IEEE POTENTIALS
DSL commonly incurs. These impair- Acronym Glossary
ments are mainly due to signal attenua-
ADSL Asymmetric digital HFC Hybrid fiber coax
tion, crosstalk noise from signals pre-
subscriber lines IBI Interblock interference
sent on other wires in the same cable, CIR Channel impulse response ICBI Intercarrier-interblock
signal reflections, radio frequency noise COFDM Coded orthogonal interference
and impulse noise. frequency division ICI Intercarrier interference
The suitability of OFDM for digital multiplexing IDFT Inverse discrete Fourier
broadcasting has only been recently rec- CP Cyclic prefix transform
ognized and exploited. OFDM with DAB Digital audio broadcasting ISI Intersymbol interference
suitable coding has been adopted as the DFT Discrete Fourier transform MCM Multicarrier modulation/
new European DAB standard as well as DMT Discrete multitone Multitone modulation
for terrestrial digital video broadcasting modulation MMSE Minimum mean squared
DSL Digital subscriber line error
(DVB-T) systems.
DSP Digital signal processing OFDM Orthogonal frequency
Coded OFDM is particularly well DVB Digital video broadcasting division multiplexing
suited to provide reliable reception of DVB-T Terrestrial digital video QAM Quadrature amplitude
signals affected by strong distortions, as broadcasting modulation
is the case in terrestrial broadcasting. FEQ Frequency domain TEQ Time domain equalizer
Coded OFDM is also a strong competi- equalizer TIR Target impulse response
tor to vestigial sideband modulation and FFT Fast Fourier transform TZ Trailing zeros
quadrature amplitude modulation FIR Finite impulse response VHDSL Very high-speed digital
(QAM) for terrestrial HDTV. Coded HDSL High-speed digital subscriber lines
OFDM is also considered to be the only subscriber lines VLSI Very large scale integration
HDTV High definition television ZF Zero forcing
technique that makes single frequency
networks, proposed for television
broadcasting use in Europe, feasible.
M-point inverse discrete Fourier trans- terized by a finite impulse response
form of the sequence {X k }kM−1
= 0 results in with length, κ , and described by its
Basic OFDM model real samples xk given by samples {h k }κk = 0 . An effective method
We will now present a system model 
M−1 j2πkl
to counter intersymbol interference
of OFDM/DMT to show how the princi- xk = √1M xl e M , 0 ≤ k ≤ M−1. (ISI) is employment of a cyclic redun-
ples of this channel-coding scheme work. l=0 dancy of sufficient length to the
Let s(n) represent the data sequence Assume that the channel is charac- M-point block {xk }kM−1 = 0 . Such a cyclic
to be transmitted over the channel. This
data is divided into nonoverlapping
X o(n) b o Bits
blocks of b symbols. The b symbols are
X1(n) b 1 Bits
partitioned into M groups, with s (n)
bk symbols in the k-th group. Thus the S/P
Encoder
total number of bits per block, b, can be
written as XM -1 bM -1 Bits


M −1
(a)
b= bk .
k=0

X k (n) is the symbol transmitted over X o(n) x o(n)

the k-th carrier during the n-th symbol X 1(n)
x 1(n)
period. The collection of symbols Inverse Add x ' (n)
Orthonormal Cyclic P/S
[X0 (n), X1 , (n), , XM −1 (n)] is the Transformation Redundancy
n-th DMT symbol block, also called XM -1(n) x M -1 (n)
frame at time instant n. The samples
X k (n) could typically be pulse ampli-
tude modulation (PAM) or QAM sym- Channel
{hk }κ
bols. At the transmitter, an inverse dis- k=0
crete Fourier transform (IDFT) is per-
formed as a method of modulation. A yk
conjugate symmetry, ˆ o(n)
X ˆx o(n) + Noise
∗ Xˆ 1(n) ˆx 1(n)
Xk = XM −k , Remove xˆ ' (n)
Orthonormal Cyclic S/P
k = 1, . . . , M/2 − 1, Xk = 0, Transformation Redundancy
ˆ M -1(n)
X ˆx M -1 (n)
k = 0, M/2,
imposed on {X k } insures that the (b)
inverse discrete Fourier transform of the
sequence {X k } is real. Taking the Fig. 1 Simplified block diagram of a multicarrier system

APRIL/MAY 2002 17

Authorized licensed use limited to: National Cheng Kung University. Downloaded on January 24, 2010 at 03:23 from IEEE Xplore. Restrictions apply.

Noise
xk
CIR + TEQ
hk wk
Delay TIR
d bk
Fig. 2 Channel shortening scheme
redundancy also greatly simplifies the
equalization task.
Intersymbol interference can occur
in three different forms. Intercarrier
interference (ICI) is the interference
from symbols X l (n) in different carriers
to the symbol X k (n) of the same block.
Interblock interference (IBI) is the inter-
ference caused to the symbol X k (n) in a
particular carrier from symbols X k (m)
of the same carrier in different blocks.
Finally intercarrier-interblock interfer-
ence (ICBI) is the interference that may
occur from symbols X l (m) that neither
belong to the same carrier nor are in the
same block as the symbol X k (n).
Collectively, these three types of inter-
ferences will be termed intersymbol
interference (ISI).
Cyclic redundancy can be incorpo-
rated in the form of a cyclic symbol (or
zero) prefix (or extension/padding). In
the discussion to follow, the cyclic pre-
fix (CP) will be used to introduce
redundancy in the block
[x0 , x1 , . . . , x M−1 ]. To combat inter-
symbol interference effectively, the
cyclic prefix length has to be at least as
long as the channel impulse response
(CIR) length, k. This is done by
appending the last K symbols of
[x0 , x1 , . . . , x M−1 ] to itself to give the
block x =[x M−K , x M−K +1 , . . . , x M−1 ,
x0 , x1 , . . . , x M−1 ]. Padding of trailing
zeros (TZ) at the end of each inverse
fast Fourier transform modulated block,
instead of using a cyclic prefix, is an
alternate method to introduce redundan-
cy. Clearly, this trailing zeros technique
introduces the same amount of redun-
dancy as the cyclic prefix technique.
However, the trailing zeros tech-
nique assures channel-independent
retrieval of the transmitted symbol
blocks even when channel nulls are
located on a subcarrier. This is not pos-
sible with the use of the cyclic prefix.
However, it does come with the added
cost of increased receiver complexity.
The cyclic prefix causes the
sequence {xk } to appear periodic to the
18
Authorized licensed use limited to: National Cheng Kung University. Downloaded on January 24, 2010 at 03:23 from IEEE Xplore. Restrictions apply.
channel
clears the chan-
_ ek nel memory at
+
the end of each
+
input block. This
action makes
successive trans-
missions inde-
pendent. The
output from the
channel, with an
additive noise n k ,
may be written as
yk = h k ∗ xk + n k .
At the receiver, the first κ samples in
each symbol block may  be discarded to
obtain the block x̂0 , x̂1 , κ, x̂ M−1 ..
Taking the M-point discrete Fourier
transform of the received samples x̂k ,
we have the output samples

M−1 − j2πkl
X̂ k = √1M x̂l e M ,0≤k≤M−1.
l=0
On simplification, one can write
X̂ k = Ĥk X k + wk (5)
K − j2πik
where Ĥk = i=0 h i e M , and Wk are
the noise samples obtained from taking
the discrete Fourier transform of the
noise samples n k . In practice, the mod-
ulation and demodulation processes are
implemented using FFT algorithms thus
saving computational complexity.
An M-point fast fourier transform
requires computations to the order of M
log M. The computation efficiency is
particularly good if M is a power of 2.
Thus, to reduce the implementation
cost, M is chosen as a power of 2, and
not greater than 512. Note that for the
subchannels to be independent and
memoryless M has to be, strictly speak-
ing, infinite.
Referring to equation (5), it is clear
that symbol recovery can be achieved
using a complex one tap frequency
domain equalizer (FEQ). If a zero forc-
ing (ZF) criterion—which aims at can-
celing intersymbol interference regard-
less of the noise—is used, the complex
coefficients of the equalizer are simply
Ck , Z F = 1/ Ĥk .However, the zero forc-
ing linear equalizer fails if the channel
has spectral nulls.
To minimize the intersymbol inter-
ference and additive noise effects, the
equalizer coefficients can be optimized
using the minimum mean squared
error (MMSE) criterion. This opti-
mization yields
and   
 2
Ck,M M S E = Ĥk∗ /  Ĥk  + σw2 /σ X2 ,
where σw2 is the variance of the additive
noise, and σ X2 is the variance of the
transmitted data symbols.
Channel shortening
Practical channels in both wireless
and wired transmission applications
often have impulse response lengths
(approximated) that are quite large.
Additionally, the CIR length is seldom
in the designer’s control and also varies
with channel variations. Further, the use
of a length κ redundancy reduces the bit
κ
rate by a factor M+κ . This rate can be
substantial if the channel impulse
response length is very long.
Thus, a choice of a large κ and a
large M has to be made to attain rea-
sonable efficiency. But, this choice is
at the cost of additional computation-
al complexity.
This factor motivates the need for
channel shortening. The idea is to lin-
early equalize the channel impulse
response to a much shorter target
impulse response (TIR). The goal is to
design a time domain equalizer (TEQ),
Wk , such that the cascade of the chan-
nel h k and the TEQ Wk approximates,
in some sense, a finite impulse
response (FIR) and a target impulse
response (TIR) bk of length γ < κ. The
length of the target impulse response
and the cyclic prefix are usually fixed a
priori. They are not altered with
changes in the channel. Figure 2 shows
the block diagram of the time domain
equalization scheme.
Having achieved such a channel
shortening, we see that with the use of a
cyclic prefix of a length at least γ , the
output symbols are given as in (Eq. 5).
A one tap equalizer can then be used for
the recovery of the transmitted symbols.
Synchronization
In an orthogonal frequency division
multiplexing system, synchronization is
one of the important tasks to be per-
formed at the receiver. Synchronization
of an OFDM signal requires determining
the offsets in symbol timing and carrier
frequency. Time and frequency synchro-
nization between the transmitter and
receiver is crucial in terms of the perfor-
mance of an OFDM link.
Determining symbol timing means
estimating where the symbol block
begins. The estimation of the frame start
position determines the alignment of the
IEEE POTENTIALS
fast Fourier transform window in the
receiver with the useful portion of the
OFDM symbol. A false estimate leads
to intersymbol interference that may
disturb the orthogonality. It can also
cause essential degradation due to the
intercarrier interference.
Accurate synchronization of carrier
frequency is crucial, or else orthogonal-
ity between the multiplexed signals
may be lost. The resulting intercarrier
interference may severely degrade the
demodulator performance. OFDM
schemes in TV applications are particu-
larly sensitive to frequency offsets.
Frequency synchronization is usual-
ly performed in two stages—frequency
acquisition and frequency tracking—to
reduce overall complexity. The task of
the first stage is to solve the acquisition
problem by generating a coarse fre-
quency estimate as fast as possible.
With the help of this estimate, the sec-
ond stage should be able to lock and
perform the tracking task. Splitting the
synchronization structure into two steps
allows a large amount of freedom in the
design. It allows algorithms to be tai-
lored to the specific tasks to be per-
formed in each particular stage.
Loading algorithms
Each subchannel of an OFDM sys-
tem is associated with two transmission
parameters—transmitted power and
data rate. The problem of optimally
using the subchannels through efficient
allocation of power and data rate has
been extensively studied. Algorithms
for efficient use of channel resources
are known as loading algorithms.
Loading algorithms can be catego-
rized depending on the resource to be
optimized and the constraints involved.
In rate adaptive algorithms, one is
interested in maximizing the total data
rate subject to a total power constraint
and a certain probability of error:
 M−1
max b = i=0
bi
 M−1
subject to i=0
Pi = Pbudget ,
where Pi , bi are the subchannel powers
and bits allocated to each subchannel,
respectively. In margin adaptive algo-
rithms, the quantity to be minimized is
the total transmitted power subject to a
certain bit budget:
 M−1
min Ptotal = i=0
Pi
 M−1
subject to i=0
bi = bbudget .
APRIL/MAY 2002
Authorized licensed use limited to: National Cheng Kung University. Downloaded on January 24, 2010 at 03:23 from IEEE Xplore. Restrictions apply.
Conclusion • J.A.C. Bingham, ADSL, VDSL,
The adoption of discrete multitone and Multicarrier Modulation. New
for high rate communication in asym- York: Wiley, 2000.
metric digital subscriber lines sys- • J.S. Chow, J.C. Tu, J.M. Cioffi, “A
tems, and Coded OFDM for digital discrete multitone transceiver system
audio broadcasting has given impetus for HDSL applications,” IEEE J.
to considerable research activity in Select. Areas Commun., pp. 895-908,
this field. The goal is to exploit Aug. 1991.
OFDM capabilities for designing suit- • I. Kalet, “Multitone channel,”
ably modified systems for very IEEE Trans. Commun., pp. 119-124,
high-speed digital subscriber lines, Feb. 1989.
digital video and terrestrial broadcast- • T. Starr, J.M. Cioffi, P. Silverman,
ing, and high rate wireless and multi- Understanding Digital Subscriber Line
media communications. Technology. Englewood Cliffs, NJ:
The wireless environment is particu- Prentice-Hall, 1998.
larly challenging due to the fast varying
nature of the channel, multipath fading
and other interference effects. Coding About the author
in OFDM systems is required to further Ashish Pandharipande is currently
protect transmitted data from fading pursuing his doctoral degree in Electrical
and interference. Suitability of coding and Computer Engineering at the
schemes like concatenated coding, trel- University of Iowa. He obtained his
lis coded modulation, and turbo coding Masters degrees in Mathematics in 2001,
to different applications is of great and Electrical and Computer Engineering
interest and is presently under investi- in 2000, both from the University of
gation. Achieving multiple access with Iowa, and his Bachelors degree in
a combination of the desirable proper- Electronics and Communication
ties of OFDM is another area requiring Engineering in 1998 from the College of
further research and study. Engineering, Osmania University, India.
His current research interests are
Read more about it in Multicarrier and Wireless
• A. Bahai and B.R. Saltzberg, Communications, Multirate Signal
Multicarrier Digital Communication: Processing, and Coding Theory. Other
Theory and Applications of OFDM. interests include Discrete Mathematics,
Norwell, MA: Kluwer, 1999. Combinatorics, and Graph Theory.
MOVING?
Please notify us 4 weeks in advance. (Please print.)
Family, permanent address: New mailing address:
Name Name
Address Address
City State/Country Zip City State/Country Zip
With publication label, mail to: IEEE Service Center
445 Hoes Lane, PO Box 1331, Piscataway, NJ 08855-1331.
You can also call us at +1 800 678 4333 (US and Canada) or +1 732 981 0060
(everywhere else). Or you can fax your address changes to +1 732 981 9667.
For added convenience, you can now send your address changes
via E-MAIL and through our WEB SITE!
E-MAIL WEB
<addresschanges@ieee.org> <http://services1.ieee.org/
membersvc/coa/intro.htm>.
(You will need an IEEE Web account. You can
register at this site if you don’t have one.)
This notice of address change will apply to all publications to which you subscribe.
19