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Arman Farhang, Member, IEEE, Nicola Marchetti, Senior Member, IEEE, and Linda E. Doyle, Senior Member, IEEE

division multiplexing (GFDM) is recently being discussed as a candidate waveform for the fth generation of wireless communication systems (5G). GFDM is introduced as a generalized form of the

widely used orthogonal frequency division multiplexing (OFDM)

modulation scheme and since it uses only one cyclic prex (CP)

for a group of symbols rather than a CP per symbol, it is more

bandwidth efcient than OFDM. In this paper, we propose novel

modem structures for GFDM by taking advantage of the particular

structure in the modulation matrix. Our proposed transmitter is

based on modulation matrix sparsication through application of

fast Fourier transform (FFT) to reduce the implementation complexity. A unied demodulator structure for matched lter (MF),

zero forcing (ZF), and minimum mean square error (MMSE) receivers is also derived. The proposed demodulation techniques harness the special block circulant property of the matrices involved

in the demodulation stage to reduce the computational cost of the

system implementation. We have derived the closed forms for the

ZF and MMSE receiver lters. Additionally, our algorithms do not

incur any performance loss as they maintain the optimal performance. The computational costs of our proposed techniques are

analyzed in detail and are compared with the existing solutions

that are known to have the lowest complexity. It is shown that

through application of our structures a substantial amount of computational complexity reduction can be achieved.

Index Terms5G, GFDM, OFDM, FBMC, modem, MF, ZF,

MMSE.

I. INTRODUCTION

wireless systems for years, [1][3]. The advent of the

fth generation of wireless communication systems (5G) and

the associated focus on a wide range of applications from

those involving bursty machine-to-machine (M2M) like trafc

to media-rich high bandwidth applications has led to a requirement for new signaling techniques with better time and

frequency containment than that of OFDM. Hence, a plethora

of waveforms are coming under the microscope for analysis

and investigation.

Manuscript received December 02, 2014; revised July 10, 2015, August 17,

2015, and September 30, 2015; accepted November 05, 2015. Date of publication November 20, 2015; date of current version February 11, 2016. The associate editor coordinating the review of this manuscript and approving it for

publication was Dr. Ashish Pandharipande. This paper was supported by the

Science Foundation Ireland (SFI) by Grant Number 13/RC/2077. CONNECT

is funded under the SFI Research Centres Programme and is co-funded under

the European Regional Development Fund.

The authors are with the CTVR/CONNECT, The Telecommunications Research Centre, Trinity College Dublin, Ireland, Dublin2 (e-mail:

farhanga@tcd.ie; marchetn@tcd.ie; ledoyle@tcd.ie).

Color versions of one or more of the gures in this paper are available online

at http://ieeexplore.ieee.org.

Digital Object Identier 10.1109/TSP.2015.2502546

The limitations of OFDM are well documented. OFDM suffers from large out-of-band emissions which not only have interference implications but it also can reduce the potential for

exploiting non-contiguous spectrum chunks through such techniques as carrier aggregation. For future high bandwidth applications this can be a major drawback. OFDM also has high sensitivity to synchronization errors especially carrier frequency

offset (CFO). As a case in point, in multiuser uplink scenarios

where OFDMA is utilized, in order to avoid the large amount of

interference caused by multiple CFOs as well as timing offsets,

stringent synchronization is required which in turn imposes a

great amount of overhead to the network. This overhead is not

acceptable for lightweight M2M applications for example. The

presence of multiple Doppler shifts and propagation delays in

the received uplink signal at the base station (BS) results in some

residual synchronization errors and hence multiuser interference (MUI), [4]. The MUI problem can be tackled with a range

of different solutions that are proposed in [5][7]. However,

these lead to an increased receiver computational complexity.

Thus, one of the main advantages of OFDM, i.e., its low complexity, is lost. The challenge therefore is to provide waveforms

with more relaxed synchronization requirements and more localized signals in time and frequency to suit future 5G applications, without the penalty of a more complex transceiver.

There are many suggestions on the table as candidate waveforms [8][12]. In general, all of these signaling methods can be

considered as lter bank multicarrier (FBMC) systems. They

can be broadly broken into two categories, those with linear

pulse shaping [11], [12] and those with circular pulse shaping,

[8][10]. The former signals with linear pulse shaping have attractive spectral properties, [13]. In addition, these systems are

resilient to the timing as well as frequency errors. However,

the ramp-up and ramp-down of their signal which are due to

the transient interval of the prototype lter result in additional

latency issues. In contrast, FBMC systems with circular pulse

shaping remove the prototype lter transients thanks to their so

called tail biting property, [8]. The waveform of interest in this

paper is known as generalized frequency division multiplexing

(GFDM) and it can be categorized as an FBMC system with circular pulse shaping. The focus of the paper, more specically, is

on the design of a low complexity modem structure for GFDM.

GFDM has attractive properties and as a result has recently

received a great deal of attention. One of the main attractions

of GFDM is that it is a generalized form of OFDM which preserves most of the advantageous properties of OFDM while addressing its limitations. As Datta and Fettweis have pointed out

in [14], GFDM can provide a very low out-of-band radiation

which removes the limitations of OFDM for carrier aggregation. It is also more bandwidth efcient than OFDM since it

uses only one cyclic prex (CP) for a group of symbols in its

1053-587X 2015 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.

1508

Through circular ltering, GFDM removes the prototype lter

transient intervals and hence the latency. Additionally, its special block structure makes it an attractive choice for the low latency applications like IoT and M2M, [15]. Filtering the subcarriers using a well-designed prototype lter limits the intercarrier interference (ICI) only to adjacent subcarriers which reduces the amount of leakage between subcarriers and increases

the resiliency of the system to CFO as well as narrow band interference. In other words, GFDM has robustness to synchronization errors. As Michailow et al. report in [15], GFDM is

also a good match for multiple input multiple output (MIMO)

systems.

The advantages of GFDM come at the expense of an increased bit error rate (BER) compared with OFDM. This degradation is due to the fact that GFDM is a non-orthogonal waveform. Consequently, non-orthogonality of the neighboring subcarriers and time slots results in self-interference. To tackle this

self-interference, matched filter (MF), zero forcing (ZF) or minimum mean square error (MMSE) receivers can be derived [16].

Since, the MF receiver cannot completely remove the ICI, ZF

receiver can be utilized. However, due to its noise enhancement

problem, ZF receiver incurs some BER performance loss. Thus,

the MMSE approach can be chosen to reduce the noise enhancement effect and maximize the signal-to-interference plus noise

ratio (SINR). As MF, ZF and MMSE receivers involve large

matrix inversion and multiplication operations, they demand a

large computational complexity that makes them inefcient for

practical implementations. As an alternative solution, Datta et

al., [17], take a time domain successive interference cancellation approach. This solution can completely remove the effect of the self-interference. However, that solution is a computationally exhaustive procedure. In a more recent work from

the same research group, Gaspar et al., [18], take advantage of

the sparsity of the pulse shaping lter in frequency domain to

perform the interference cancellation in the frequency domain

and hence further reduce the computational complexity of the

receiver. Even though the solutions that are based on the results of [17] and [18] successive interference cancellation can

remove the self-interference, they can incur error propagation

problems. Recently, Matth et al., [19], have proposed a fast algorithm to calculate the ZF and MMSE receiver lters. Their

approach is based on the Gabor transform structure of GFDM.

Although matrix inversion is circumvented multiplication of the

ZF and MMSE matrices to the received signal is a bottle-neck

in this approach as the matrix to vector multiplication is a computationally expensive operation. To reduce the implementation

complexity of the ZF and MMSE demodulators, after efcient

calculation of the lter coefcients using the technique in [19],

the structure that is proposed in [15] can be utilized.

In this paper, we design a low complexity modem structure

for GFDM and therefore improve on the existing approaches.

The special structure of the modulation matrix is utilized to reduce the complexity of the transmitter. Compared with the existing GFDM transmitter [20], so far known to have the lowest

complexity, our proposed transmitter structure is more computationally efcient. Based on the lessons that we learned from ICI

cancellation in uplink OFDMA systems with interleaved sub-

IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 64, NO. 6, MARCH 15, 2016

complexity of the ZF and MMSE receivers compared with the

low complexity receiver structure that is proposed in [18]. To

be more specic, we take advantage of block circulant matrices

and some mathematical concepts discussed in [6] for the purpose of complexity reduction. We propose a unied structure for

the MF, ZF and MMSE receivers. This unied receiver structure

is benecial as only the lter coefcients need to be changed for

implementation of different receivers. These coefcients can be

saved on memory and be used if needed in different scenarios.

For instance, ZF receiver can be used instead of MMSE one at

high signal-to-noise ratios (SNRs). As our techniques are direct

and no approximation is involved, our proposed receivers do not

incur any performance loss compared with the optimal MF, ZF

and MMSE receivers. Another advantage of our receiver structure with respect to interference cancellation receivers is that

it is not iterative and hence the computations can run in parallel which can in turn reduce the overall processing delay of the

system. As our proposed modem structure is based on sparsication of the matrices that are involved, it also provides savings in

the memory requirements of the system. It is worth mentioning

that there are some similarities between our approach and Zak

transform which is used to derive the ZF and MMSE lter coefcients in [19], not their implementation. These similarities

are in utilization of the block Fourier transform matrices in the

calculation of Zak transform. However, in [19] no structure is

proposed for implementation of the ZF and MMSE lters at the

receiver. In contrast, the approach that we take in this paper is to

make the matrices involved sparse through using block Fourier

transform matrices and hence reduce the complexity of both

GFDM modulator and demodulator.

The rest of the paper is organized as follows.

Section II presents the GFDM system model. Sections III and

IV include the design and implementation of our proposed

GFDM transmitter and receiver structures, respectively. The

computational complexity of our modulator and demodulator

pair is analyzed in Section V. Performance optimality of the

proposed techniques is investigated in Section VI. Finally, the

conclusions are drawn in Section VII.

Notations: Matrices, vectors and scalar quantities are denoted by boldface uppercase, boldface lowercase and normal

letters, respectively.

and

represent the element in

the th row and th column of and the th element of , respectively and

signies the inverse of .

and

are

the identity and zero matrices of the size

, respectively.

is a diagonal matrix whose diagonal elements

are formed by the elements of the vector and

is a circulant matrix whose rst column is . The round-down

operator

, rounds the value inside to the nearest integer towards minus innity. The superscripts

and

indicate transpose, conjugate transpose and conjugate operations,

respectively. Finally,

and

represent the Dirac

delta function, -point circular convolution and modulo-N operations, respectively.

II. SYSTEM MODEL FOR GFDM

We consider a GFDM system with the total number of

subcarriers that includes

symbols in each block. In a

1509

GFDM block,

symbols overlap in time. Therefore, we

call

, overlapping factor of the GFDM system. The

vector

contains the complex data

symbols of the GFDM block where the

data vector

contains the data symbols to be

transmitted on the th subcarrier. To put it differently,

is

the data symbol to be transmitted at the th time slot on the

th subcarrier. The data symbols are taken from a zero mean

independent and identically distributed (i.i.d) process with the

variance of unity. In GFDM modulation, the data symbols to

be transmitted on the th subcarrier are rst up-sampled by the

factor of to form an impulse train

(1)

Then,

is circularly convolved

with the prototype lter and up-converted to its corresponding

subcarrier frequency. After performing the same procedure for

all the subcarriers, the resulting signals are summed up to form

the GFDM signal

, [16].

(2)

where is the th coefcient of the prototype lter.

Putting together all the transmitter output samples in an

vector

, the GFDM

signal can be represented as multiplication of a modulation

matrix of size

to the data vector , [16].

(3)

encompasses all signal processing

Modulation matrix

steps involved in modulation. Let

hold

all the coefcients of the pulse shaping/prototype lter with the

length

, the elements of can be represented as,

. Let

be the channel impulse

response. Thus, the CP length

needs to be longer than the

channel length

. The received signal which has gone through

the channel, after CP removal can be shown as

(6)

where is the complex additive white Gaussian noise (AWGN)

vector, i.e.,

is the noise variance,

and is the zero padded version of to have the

same length as . Due to the fact that is a circulant matrix, an

FDE procedure can be performed to compensate for the multipath channel impairments. With the assumption of having perfect synchronization and channel estimates, the equalized signal

can be obtained as

(7)

is

-point normalized discrete Fourier transwhere

form (DFT) matrix and

is a diagonal matrix whose diagonal elements are reciprocals of the elements of the vector obtained from taking

-point DFT of the zero padded version

of , viz., . The vector

is the output

of the FDE block.

In order to suppress or remove the ICI due to non-orthogonality of the subcarriers and estimate the transmitted data

vector from the equalized signal vector, three linear GFDM

receivers; namely, MF, ZF and MMSE detectors are considered

in this paper.

As it was discussed in, [16], the transmitted symbols can be

recovered through match ltering

(8)

However, MF receiver cannot completely remove the ICI.

Hence, ZF solution can be utilized to completely eliminate the

ICI that is caused by non-orthogonality of the subcarriers. The

ZF estimate of the transmitted data vector can be found as

(9)

(4)

Since

to can result in noise enhancement. This noise amplication

problem can be taken care of by utilizing the MMSE receiver

(5)

(10)

where is an

matrix whose rst column contains the

samples of the prototype lter and its consecutive columns are

the copies of the previous column circularly shifted by samples.

is an

diagonal

matrix whose diagonal elements are comprised of

concatenated copies of the vector

.

In GFDM systems, a CP which is longer than the channel

delay spread is added to the beginning of the block to accommodate the channel transient period. This enables the MF and ZF

receivers to use frequency domain equalization (FDE) to tackle

the wireless channel impairments and hence reduce the channel

equalization complexity. If

is the CP length, the last

elements of the vector are appended to its beginning in order

opposed to MF and ZF receivers in (8) and (9), respectively,

the channel distortions cannot be compensated using (7) before

MMSE receiver. Hence, the channel matrix is included in (10).

Fig. 1, depicts the baseband block diagram of a GFDM

transceiver when we have perfect synchronization in time and

frequency between the transmitter and receiver in an AWGN

channel. Fig. 1 summarizes the modulation and demodulation

process that is discussed above. It is worth mentioning that 's

for

are the prototype lter coefcients and

's are the receiver lter coefcients which can be taken from

the coefcients of MF, ZF or MMSE receiver lter in AWGN

channel. As it was mentioned in Section I, GFDM is a type

can be written as

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IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 64, NO. 6, MARCH 15, 2016

Therefore, GFDM transmitter and receiver can be thought of as

a pair of synthesis and analysis lter banks, respectively.

From (3) and (8) to (10), one realizes that direct matrix multiplications and inversions that are involved, demand a very large

computational complexity as all the matrices are of the size

, with being usually large, and such complexity may

not be affordable for practical systems. Therefore, in the remainder of this paper, low complexity techniques will be proposed that can substantially reduce the computational cost of

the synthesis and analysis lter banks that are shown in Fig. 1,

while maintaining the optimal performance.

III. PROPOSED GFDM TRANSMITTER

This section presents our proposed low complexity GFDM

transmitter design and implementation. In the following subsections, we will show how the synthesis lter bank of Fig. 1 can

be simplied to have a very low computational load.

A. GFDM Transmitter Design

Starting from (3), one can realize that direct multiplication

of the matrix

to the data vector is a complex operation

which demands

complex multiplications. Therefore,

complexity will be an issue for practical systems as the number

of subcarriers and/or the parameter

increases. Accordingly,

a low complexity implementation technique for GFDM transmitter has to be sought. To this end, (3) can be written as

(11)

normalized block DFT matrix

submatrices

and

. Validity of (11) is based on the fact that

. As it is derived in Appendix A, the resulting

matrix from multiplication of the block DFT matrix

into

is sparse and it is comprised of the prototype lter coefcients

scaled by

. From (11), it can be inferred that

is

also sparse since it is the conjugate transpose of

. Hence,

our strategy allows us to make the matrix

sparse and real

is the

where

that includes

to (11) and the denition of

can be implemented by

performing

DFT operations of size

on the data samples,

i.e., one per GFDM symbol. Let

where the

vector

contains

the th output of each DFT block, then (11) can be rearranged as

(12)

where

matrices 's have only

non-zero columns and

the sets of those column indices are mutually exclusive with

respect to each other. As a result,

will be a sparse vector

with only

non-zero elements located on the positions

. On the basis of the derivations that are

presented in Appendix A, the non-zero elements of

can

be obtained from -point circular convolution of

with the

th polyphase component of the prototype lter that is scaled

by

. Therefore, dening the non-zero elements of

as

the vector

, we get

where

(13)

In this subsection, implementation of the designed GFDM

transmitter in Section III.A is discussed. From the (11) to (13),

GFDM modulation, based on our design, can be summarized

into two steps.

1)

number of -point DFT operations, i.e., application of

-point DFT to each individual GFDM symbol which includes subcarriers. This can be efciently implemented

by taking advantage of the fast Fourier transform (FFT) algorithm.

2)

number of -point circular convolution operations.

1It is worth mentioning that GFDM is not limited to real-valued prototype

lters. Additionally, real-valued or complex-valued lters are applicable to the

proposed solutions in this paper.

1511

Fig. 2. Concatenation of (a) and (b) show the implementation of the proposed GFDM transmitter.

can be implemented by cascading the block diagrams shown in

Fig. 2(a) and (b), respectively. The blocks P/S convert the parallel FFT outputs to serial streams. All the commutators shown

in Fig. 2 turn counter clockwise. Both commutators located on

the right hand side of the Fig. 2(a) and (b) turn after one sample

collection. However, the one located on the left hand side of (b)

turns by one position after sending

samples to each -point

circular convolution block.

IV. PROPOSED GFDM RECEIVER

In this section, we derive low complexity ZF and MMSE receivers for GFDM systems. It is worth mentioning that our solutions are direct and hence lower complexity of these receivers

comes for free as they do not result in any performance loss,

thanks to the special structure of the matrix

. The characteristics of

will be discussed in the next subsection and

then we will derive our proposed receivers on the basis of those

traits.

A. Block-Diagonalization of the Matrix

The key idea behind our proposed GFDM receiver techniques

is to take advantage of the particular structure of the matrix

which is present in both ZF and MMSE receiver formulations. Using (5), one can calculate

and nd out that it

has the following structure

..

.

..

.

..

..

.

(14)

and hence

. Therefore, the

columns of

as shown in (14) are circularly shifted with

respect to each other. Accordingly,

is a block-circulant

matrix with blocks of size

. Following a similar line of

derivations as in [21] and [6],

can be expanded as follows

(15)

where

is an

block-diagonal matrix,

and 's are

block macan be derived as

(16)

As it is explained in Appendix B,

's can be derived from

polyphase components of the prototype lter.

(17)

where

is the th polyphase component

of and

is its circularly

folded version. As (17) highlights, 's are all real and circulant matrices.

B. Low Complexity MF Receiver

Based on (8), direct implementation of MF receiver involves

a matrix to vector multiplication which has the computational

cost of

complex multiplications. This procedure becomes highly complex for large values of

and/or

which

is usually the case. As discussed in Appendix A, multiplication

of

by the block DFT matrix results in a sparse matrix. Due

to the fact that

, similar to the transmitter ((11)),

(8) can be written as

(18)

where is a sparse matrix with only

non-zero elements

that are the scaled version of the prototype lter coefcients. Closed form of

is derived in

Appendix A and it is shown that the matrix is real valued and

comprised of the prototype lter elements. Non-zero columns

of the

block matrices 's are circularly shifted

copies of each other. Hence, multiplication of

and

is

equivalent to -point circular convolution of

equidistant

elements of

starting from the th position and circularly

folded version of the th polyphase component of scaled by

, viz.,

. Usually, the prototype lter coefcients are

real-valued. Thus,

is real-valued. Multiplication of

to

the vector

can be implemented by applying

number of

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IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 64, NO. 6, MARCH 15, 2016

and

. Therefore, we have

where

obtained as

(19)

can be

(20)

(26)

and

. Recalling circulant property of

from

(17), it can be understood that

is also circulant and can

be expanded as

where

2. Let

, we can write

where

(21)

Multiplication of matrix

to the vector is the rst source of

computational burden in ZF receiver which has computational

cost of

. However, this complexity can be reduced by

taking advantage of the sparsity of the matrix

as

it was suggested in the previous subsection. Equation (19) can

be written as

. Let

where

(22)

(27)

. Since, in MMSE receiver,

depends on

and the receiver cannot be

the matrix

simplied as in (19) or (23), circular convolution of (27) needs

to be calculated in the frequency domain, known as fast convolution, in order to have the lowest complexity. After obtaining

, the MMSE estimates of the transmitted symbols can be

found as

where

(28)

and inserting it into (22), we have

E. Receiver Implementation

(23)

where

scaled by

. Due to the fact that the the

coefcients of the prototype lter are known, the vectors 's

can be calculated ofine. Additionally, since the prototype

lter coefcients are real,

's are also real. From (23), one

may realize that calculation of the vector needs

number

of

-point circular convolutions. After acquiring , the ZF

estimates of the transmitted symbols can be obtained as

(24)

from requires

As can be inferred from (24), nding

number of -point inverse DFT (IDFT) operations.

D. Low Complexity MMSE Receiver for AWGN Channels

From (10), one may realize that in presence of channel matrix

is not block circulant

in the equations, the matrix

opposed to

. As a result, low complexity MMSE receiver

using DFT based matrix block diagonalization approach only

exists for AWGN channels. Hence, in this paper, we limit ourselves to such channels for the MMSE based GFDM receiver

design. It is worth noting that the MMSE receiver in AWGN

channel becomes relevant when ZF receiver leads to a large

amount of noise amplication. The MMSE estimate of the transmitted data block in the AWGN channel is simplied to

(25)

of the MF, ZF and MMSE receivers that we proposed in

Sections IV.B, IV.C and IV.D. As Fig. 3 depicts, the proposed GFDM receivers can be implemented by cascading

Fig. 3(a) and (b). It is worth mentioning that the commutator

on the right hand side of Fig. 3(a) will turn by one position

after collecting

samples from the th branch, i.e.,

vector

, in the clockwise direction. In the MF and

ZF receivers, the vectors

are replaced by 's and 's,

respectively, and in MMSE receiver, they will be replaced

by 's3. Due to the fact that in the MF and ZF receivers, the

vectors

and

are xed and only depend on the prototype

lter coefcients, they can be calculated ofine and hence there

is no need for their real-time calculation. However, in MMSE

receivers, the vectors

depend on the signal to noise ratio

and hence they should be calculated in real-time. As mentioned

earlier in Section IV.D, circular convolutions in our MMSE

receiver need to be performed by taking advantage of fast

convolution to keep the complexity low.

V. COMPUTATIONAL COMPLEXITY

In this section, the computational complexity of our proposed

GFDM transmitter and receiver structures are discussed and

compared to the existing ones that are known to have the lowest

complexity, [18], [20]. In both cases, total number of subcarriers and overlapping factor of

are considered.

2Since,

.

ZF receivers, the proposed MMSE receiver in this paper is only applicable to

AWGN channels.

1513

Fig. 3. Unied implementation of our proposed MF, ZF and MMSE-based GFDM receivers from cascading the block diagrams(a) and (b).

A. Transmitter Complexity

Table I presents the computational complexity of different

GFDM transmitter implementations based on the number of

complex multiplications (CMs).

As discussed in Section III.B, our proposed GFDM transmitter involves two steps. The rst step includes

number of

-point FFT operations that requires

CMs. The

second step needs number of -point circular convolutions.

Recalling (13), since

's are real-valued vectors, one may

-point circular convolution demands

realize that each

number of CMs. If

is a power of two, the complexity can

be further reduced by performing the circular convolutions in

frequency domain. This is due to the fact that circular convolution in time is multiplication in the frequency domain. Thus, to

perform each circular convolution, a pair of -point FFT and

IFFT blocks together with

complex multiplications to the

lter coefcients in frequency domain are required. However,

based on the results of [19],

cannot take even values as the

matrix becomes singular.

The complexity relationships that are presented in Table I are

calculated and plotted in Fig. 4 for

subcarriers with

respect to different values of overlapping factor . As the authors of [20] suggest,

is chosen for calculating their

GFDM transmitter complexity4. Due to the fact that direct multiplication of to the data vector demands a large number of

CMs and is impractical, we do not present it in Fig. 4. To give

a quantitative indication of the complexity reduction that our

proposed transmitter provides compared with the direct computation of the (3), in the same system setting as used for our

other comparisons, i.e.,

and

, complexity reduction of around three orders of magnitude can be

achieved. According to Fig. 4, for the small values of

our

proposed transmitter structure has a complexity very close to

that of OFDM5. However, as

increases the complexity of our

transmitter increases with a higher pace than OFDM. This is due

4Parameter

indicates the number of overlapping subcarriers, i.e., two adjacent subcarriers in GFDM transmission.

5For the purpose of having a fair comparison between OFDM and different

concateGFDM system implementations, an OFDM system transmitting

nated symbols having subcarriers is considered in this study.

TABLE I

COMPUTATIONAL COMPLEXITY OF DIFFERENT GFDM

TRANSMITTER IMPLEMENTATIONS

.

techniques and the OFDM transmitter technique for

to the overhead of

number of CMs compared with OFDM.

Compared with the transmitter structure that we are proposing

in this paper, for small values of up to 11, the transmitter proposed in [20] demands about two times higher number of CMs.

As

increases, complexity of our technique gets close to that

of the one proposed in [20]. GFDM transmitter of [20] is about

3 to 4 times more complex than OFDM.

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IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 64, NO. 6, MARCH 15, 2016

TABLE II

COMPUTATIONAL COMPLEXITY OF DIFFERENT GFDM RECEIVER TECHNIQUES

B. Receiver Complexity

Table II summarizes the computational complexity of different GFDM receivers in terms of the number of complex multiplications for two cases of AWGN and multipath channels. The

parameter is the number of iterations in the algorithm with interference cancellation and indicates the span of receiver lter

in the neighborhood of each subcarrier band6.

From Fig. 3, it can be understood that our proposed receivers

involve

and

numbers of -point circular convolutions

and -point IDFT operations, respectively. IDFT operations

can be efciently implemented using -point IFFT algorithm

which requires

CMs. As mentioned earlier, in the proposed MF and ZF receivers, the vectors have xed values and

hence can be calculated and stored ofine. Furthermore, 's are

real-valued vectors. Thus, the number of complex multiplications needed for number of -point circular convolutions is

.

In contrast to the MF and ZF receivers, in the MMSE receiver,

the vectors 's are not xed and depend on the signal-to-noise

ratio (SNR). Hence, they need to be calculated in real-time. To

this end, as highlighted in Section IV.D, in AWGN channels,

those operations can be performed by using -point DFT and

IDFT operations. Due to the fact that

is a

real-valued diagonal matrix, its inversion and multiplication to

only needs CMs. The resulting diagonal matrix

is multiplied into an

vector which needs

CMs. Since,

is not necessarily a power of 2, complexity

of -point DFT and IDFT operations in the implementation

of the circular convolutions is considered as

. Obviously, if

is a power of 2, a further complexity reduction by taking

advantage of FFT and IFFT algorithms is possible. Therefore,

the complexity of our proposed MMSE receiver only differs

from the MF and ZF ones in the implementation of the circular

convolution operations.

Table II also presents the complexity of the direct MF, ZF and

MMSE detection techniques, i.e., direct matrix multiplications

and solutions to the (9) and (10), respectively. Those solutions

involve direct inversion of an

matrix which has

6ZF and MMSE lters for each subcarrier have overlapping with more than

only the two adjacent subcarriers in frequency domain in contrast to the MF

lter, [15]. Based on the results of [15], depends on the choice of prototype

lter and can be as large as 16.

the complexity of

and two vector by matrix multiplications with the computational burden of

CMs. To

reduce receiver complexity, a number of solutions are proposed

in the literature, [15], [18], and their complexity is presented in

Table II. These solutions in essence are based on matrix sparsication techniques and their complexity depend on the choice

of prototype lter. However, the complexity of our proposed solutions is independent of the prototype lter choice.

The complexity formulas that are presented in Table II are

evaluated and plotted in Figs. 5 and 6 for different values of

overlapping factor

and

for the

receiver that is proposed in [18]. Based on the results of [18],

and

are considered for the SIC receiver.

and

are considered for the MF and ZF receivers proposed

in [15], respectively. For MMSE reception in AWGN channels,

the MMSE lter coefcients can be efciently calculated using

the results of [19] and then the receiver structure of [15] with

can be exploited. Due to the fact that the complexity of

MF, ZF and MMSE receivers with direct matrix inversion and

multiplications is prohibitively high compared with other techniques (the difference is in the level of orders of magnitude),

they are not presented in Figs. 5 and 6. However, to quantify the

amount of complexity reduction that our proposed techniques

provide for AWGN channel, in the case of

and

, our proposed MF/ZF receiver is three orders of magnitude and the proposed MMSE receiver is six orders of magnitudes simpler than the direct ones, respectively, in terms of the

required number of CMs. As Fig. 5 depicts, our proposed ZF receiver is around an order of magnitude and 2 to 5 times simpler

than the proposed receiver structures in [18] and [15], respectively. Our proposed MF receiver is around two times simpler

than the one in [15]. In addition, our proposed MMSE receiver

has around 2 to 3 times lower complexity than the ones in [18]

and [15], [19]. Apart from lower computational cost compared

with the existing receiver structures, our techniques maintain

the optimal ZF and MMSE performance as they are direct. Furthermore, their complexity is independent of the prototype lter

choice as opposed to the existing solutions. Finally, the ZF and

MMSE receivers that we are proposing are closer in complexity

to OFDM as compared to the receiver structures in [18] and [15]

that are over an order of magnitude more complex than OFDM.

Fig. 6, compares the complexity of our proposed MF and ZF

receivers with the ones proposed in [18] and [15] in the pres-

techniques with respect to each other and that of OFDM receiver in AWGN

and

.

channel when

1515

factor of

is used in all the simulations. Each GFDM

data block is comprised of

subcarriers and

symbols. In all the simulations of this section, the proposed low

complexity transmitter is used for evaluating performance of the

proposed receivers. Direct implementation of the transmitter,

i.e., (3) is used for calculating the BER of the direct solutions.

Each point, in our BER curves, is calculated based on 10 000

simulation runs.

Performance of the proposed ZF and MMSE solutions in

AWGN channel are investigated and compared with those of the

direct solutions7 in Figs. 7 and 8. It is worth mentioning that uncoded 64-QAM modulation scheme is considered in these simulations. As the gures show, the proposed techniques provide

the optimal ZF and MMSE performance with orders of magnitude lower computational complexity than the direct solutions.

As mentioned in Section IV.D, in presence of wireless

channel in (10) limits our proposed MMSE solution to AWGN

channels. Therefore, in Fig. 9, we evaluate the BER performance of our proposed ZF technique and compare it with the

direct ZF solution in presence of multipath channel. In the

BER results shown in Fig. 9, 16-QAM modulation scheme

with convolutional coding and the code rate of 1/2 is considered. Based on our results, the BER curve of the proposed ZF

technique coincides with that of the direct ZF. However, the

MMSE receiver is superior to the ZF one in terms of BER

performance. This is due to the noise amplication problem of

ZF receiver. Performance superiority of MMSE receiver over

the ZF one, i.e., around 2 dB, comes in expense of a substantial

amount of computational burden. Direct MMSE receiver of

(10) is 7 orders of magnitude more complex than the proposed

ZF receiver.

VII. CONCLUSION

techniques with respect to each other and that of OFDM receiver in presence

and

.

of multipath channel when

complexity is considered. As the gure depicts, our proposed

ZF receiver in this case is 4 and 1.5 times simpler than the SIC

receiver of [18] and the proposed structure in [15], respectively.

Finally, our proposed ZF receiver is only around 4 times more

complex than OFDM receiver in presence of multipath channel.

VI. NUMERICAL RESULTS

In this section, we present the bit error rate (BER) performance of our proposed ZF and MMSE techniques in presence of

AWGN and multipath channels. The multipath channel COST

207, [22], for typical urban area with 12 taps is considered. The

CP is chosen long enough to accommodate the wireless channel

delay spread. A root-raised cosine prototype lter with roll-off

demodulation techniques for GFDM systems. The proposed

techniques exploit the special structure of the modulation

matrix to reduce the computational cost without incurring any

performance loss penalty. In our proposed transmitter, block

DFT and IDFT matrices were used to make the modulation

matrix sparse and hence reduce the computational burden. We

designed low complexity MF, ZF and MMSE demodulators by

block diagonalization of the matrices involved. It was shown

that through this block diagonalization, a substantial amount

of complexity reduction in the matrix inversion and multiplication operations can be achieved. A unied demodulator

structure based on MF, ZF and MMSE criteria was derived.

The closed form expressions for the ZF and MMSE receiver

lters were also obtained. We also analyzed and compared the

computational complexities of our techniques with the existing

ones known so far to have the lowest complexity. We have

shown that all the proposed techniques in this paper involve

lower computational cost than the existing low complexity

techniques [15], [18], [20]. For instance, over an order of

magnitude complexity reduction can be achieved through our

ZF receiver compared with the proposed technique in [18].

7Direct solution involves direct inversion and multiplication of the matrices

involved, i.e., direct calculation of (9) and (10).

1516

IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 64, NO. 6, MARCH 15, 2016

and uncoded 64-QAM modulation

direct ZF solution for

scheme in AWGN channel.

and 16-QAM modulation

direct ZF and MMSE solutions for

scheme having convolutional coding with the code rate of 1/2 in presence of

multipath channel.

and

as

where 's are

trices that can be mathematically shown as

can be obtained

block ma-

(A.2)

where

we have

and (A.1)

(A.3)

where

and uncoded 64-QAM modthe direct MMSE solution for

ulation scheme in AWGN channel.

are involved makes our proposed modem structures attractive

for hardware implementation of the real time GFDM systems.

's are

vectors and

is a diagonal matrix whose main

diagonal elements are made up of

concatenated copies of the

vector . From (A.3) and (A.1), 's can be obtained as

(A.4)

APPENDIX A

DERIVATION OF

The key idea in the derivation of

is based on the fact

that inner product of two complex exponential signals with different frequencies is zero.

(A.1)

and hence the matrix are sparse. The matrix

has only

non-zero elements which are located on the circularly equidistant columns

. The elements of

two consecutive non-zero columns of

are circularly shifted

copies of each other. For instance, the second non-zero column

of

is a circularly shifted version of the rst non-zero one by

one sample. From (A.4), the rst non-zero column of

can be

1517

derived as

which is the circularly folded version of the th polyphase component of the

prototype lter. One can further deduce that the matrix is a

real one consisted of the prototype lter coefcients.

(B.4)

REFERENCES

APPENDIX B

CLOSED FORM DERIVATION OF

The polyphase components of the prototype lter

can be dened as the vectors

where

. As it is shown in

Appendix A,

is a sparse matrix with only

non-zero elements in each column. The elements of can be

mathematically represented as

(B.1)

where

and

. From (B.1), it can be deduced that each

group of

consecutive rows of , i.e., 's, whose non-zero

elements are comprised of the elements of the vectors

's,

is mutually orthogonal to the other ones. This is due to the

fact that the sets of column indices of

's with non-zero

elements are mutually exclusive with respect to each other.

The block-diagonal matrix , as derived earlier in (16), can be

calculated as

which can be rearranged as

.

Due to orthogonality of

's with respect to each other,

i.e.,

, it can be discerned that

has a

block-diagonal structure. Based on (B.1), only equidistant

columns of

's with circular distance of

are non-zero

and two consecutive and non-zero columns are circularly

shifted copies of each other with one sample. As a case

in point, consider

and (B.1). Therefore, the elements

and

illustrate that the consecutive and non-zero columns of

are

circularly shifted versions of each other. Using (B.1), one can

conclude that the same property holds for the other non-zero

columns of

and all the other 's.

The goal here is to derive a closed form for .

..

.

can be obtained as

(B.2)

is an

matrix comprised of

submatrices

which are all zero except the ones located on the main diagonal,

i.e.,

. From (B.1), it can be understood that the rst

non-zero columns of the matrices and

are equal to

and

, respectively and the rest of their non-zero columns

are circularly shifted version of their rst non-zero column. Removing zero columns of 's

(B.3)

where

and

are circulant matrices with the rst columns

equal to

and

, respectively. Since,

and

are

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[7] A. Farhang, A. J. Majid, N. Marchetti, L. E. Doyle, and B.

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Conf. (WCNC), Apr. 2014, pp. 10301035.

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[12] A. Farhang, N. Marchetti, L. Doyle, and B. Farhang-Boroujeny, Filter

bank multicarrier for massive MIMO, in Proc. IEEE Veh. Technol.

Conf. (VTC Fall), Sep. 2014, pp. 17.

[13] B. Farhang-Boroujeny, OFDM versus lter bank multicarrier, IEEE

Signal Process. Mag., vol. 28, no. 3, pp. 92112, 2011.

[14] R. Datta and G. Fettweis, Improved ACLR by cancellation carrier insertion in GFDM based cognitive radios, in Proc. IEEE Veh. Technol.

Conf. (VTC Spring), May 2014, pp. 15.

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Festag, and G. Fettweis, Generalized frequency division multiplexing

for 5th generation cellular networks, IEEE Trans. Commun., vol. 62,

no. 9, pp. 30453061, 2014.

[16] N. Michailow, S. Krone, M. Lentmaier, and G. Fettweis, Bit error rate

performance of generalized frequency division multiplexing, in Proc.

IEEE Veh. Technol. Conf. (VTC Fall), Sep. 2012, pp. 15.

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IEEE Veh. Technol. Conf. (VTC Fall), Sep. 2012, pp. 15.

[18] I. Gaspar, N. Michailow, A. Navarro, E. Ohlmer, S. Krone, and G. Fettweis, Low complexity GFDM receiver based on sparse frequency

domain processing, in Proc. IEEE Veh. Technol. Conf. (VTC Spring),

Jun. 2013, pp. 16.

[19] M. Matthe, L. Mendes, and G. Fettweis, Generalized frequency division multiplexing in a Gabor transform setting, IEEE Commun. Lett.,

vol. 18, no. 8, pp. 13791382, Aug. 2014.

[20] N. Michailow, I. Gaspar, S. Krone, M. Lentmaier, and G. Fettweis,

Generalized frequency division multiplexing: Analysis of an alternative multi-carrier technique for next generation cellular systems, in

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[21] T. De Mazancourt and D. Gerlic, The inverse of a block-circulant

matrix, IEEE Trans. Antennas Propag., vol. 31, no. 5, pp. 808810,

Sep. 1983.

[22] Digital Land Mobile Radio Communications Ofce for Off. Publ. Eur.

Commun., Final Rep., Luxembourg, 1989, COST 207.

1518

in telecommunications engineering from Azad

University of Najafabad, Iran, in 2007. He received

the M.Sc. degree in telecommunications engineering

from Sadjad University of Technology, Mashhad,

Iran, in 2010.

Currently, he is pursuing the Ph.D. degree in

Irish National Telecommunications Research Centre

(CTVR/CONNECT) at Trinity College Dublin,

Ireland. His research interests include wireless

communications, digital signal processing for communications, multiuser communications, and multicarrier systems.

degree in electronic engineering from the University

of Ferrara, Italy, in 2003. He received the Ph.D. degree in wireless communications in 2007, and also

received the M.Sc. degree in mathematics, in 2010,

both from Aalborg University, Denmark.

He is currently an Assistant Professor at Trinity

College Dublin, Ireland, where he holds the Ussher

Lectureship in Wireless Communications, and is a

member of the Irish National Telecommunications

Research Centre (CTVR/CONNECT). He worked

as a Research Assistant at the University of Ferrara during 20032004. He

then was a Ph.D. student during 20042007, and a Research and Teaching

Postdoctoral researcher during 20072010 at Aalborg University. His former

IEEE TRANSACTIONS ON SIGNAL PROCESSING, VOL. 64, NO. 6, MARCH 15, 2016

Siemens Networks, Huawei, Intel Mobile Communications, among others. His

research interests include: 5G Wireless Communication Systems, Cognitive

Radio and Dynamic Spectrum Access, Complex Systems Science, Integrated

Optical-Wireless Networks, Multiple Antenna Systems, Radio Resource Management, Small Cells and HetNets, and Waveforms. He authored 60 refereed

journals and conference papers, holds two patents, and wrote two books, and

four book chapters.

in electrical engineering from University College

Cork, Ireland, in 1989, and the M.Sc. and Ph.D.

degrees from Trinity College Dublin, Ireland, in

1992 and 1996, respectively.

She is a Professor of Engineering and The Arts

at Trinity College, University of Dublin. She is the

Director of CTVR/CONNECT, an SFI Research

center, focused on future networks and communications. CTVR/CONNECT is headquartered in Trinity

College, and comprises 10 academic institutions in

total and has more than 40 industry partners. Her expertise is in the elds of

wireless communications, cognitive radio, recongurable networks, spectrum

management, and creative arts practices. She has published widely in these

domains and leads a large research team within CTVR/CONNECT.

Prof. Doyle is a member of the Ofcom Spectrum Advisory Board in the UK.

She is a Fellow of Trinity College Dublin.

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