IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 29, NO.

1, JANUARY 2011

37

Cognitive Non-Continuous Carrier Interferometry Orthogonal Signal Division Multiplex Transmission In Autonomous Vehicular Communications
Chao Zhang, Member, IEEE
AbstractIn order to provide autonomous broadband communications among mobile vehicles, especially in an environment without xed terrestrial vehicular base stations, a Cognitive NonContinuous Carrier Interferometry Orthogonal Signal Division Multiplexing (Cognitive NCI-OSDM) transmission system is proposed in this paper. Specically, Orthogonal Signal Division Multiplexing (OSDM) provides the system with high transmission capacity and good adaptability to variable mobile speeds. Carrier Interferometry (CI) codes make a system with limited Peak to Average Power Ratio (PAPR) of the transmitted signal. The incorporation of adaptive OSDM scheme provides an efcient approach to control Inter-Carrier Interference (ICI). Moreover, the non-continuous scheme is quite suitable in cognitive radio applications. Compared with traditional broadband OFDM-based transmission, such as Non-Continuous OFDM (NC-OFDM) in IEEE802.22, Cognitive NCI-OSDM has advantages of higher transmission capacity and spectrum efciency, lower ICI, limited PAPR, adaptability to its cognitive environment and variable mobile speed. In this paper, the application system and the structure of Cognitive NCI-OSDM transmission is proposed for autonomous vehicular communications. Furthermore, the performance is evaluated, including the Bit Error Rate (BER), throughput, PAPR and Power of Inter-Carrier Interference (PICI). Finally, the system complexity, which is considered as the potential drawback when compared with an OFDM-based system, is investigated and conrmed to be controllable. The results reported in this paper show the promise of the proposed cognitive NCI-OSDM system and identify some possibilities for its future application in autonomous vehicular communications. Index TermsOSDM, OFDM, vehicular communications, carrier interferometry, cognitive radio, spectrum efciency, PAPR reduction.

I. I NTRODUCTION

UTONOMOUS vehicular communications refer to scenarios where mobile vehicles form an Ad Hoc network and transmit the information among each other [1]. Usually, there are two scenarios which utilize such kind of systems. The rst is where the mobile vehicles are far away from and not accessible to traditional broadband communication facilities from xed roadside base-stations. Broadband communications should be maintained among the mobile vehicles corresponding to requirements. The second scenario is where one mobile vehicle lacks the air interface for specic communication facilities but another mobile vehicle is equipped. Then, the mobile vehicle with such an air interface can be transformed into a

Manuscript received 5 January 2010; revised 7 May 2010 and 12 July 2010. C. Zhang is with School of Aerospace, Tsinghua University, Beijing, 100084, P. R. China (e-mail: zhangchao@tsinghua.edu.cn). Digital Object Identier 10.1109/JSAC.2011.110105.

relay station to provide data routing to other mobile vehicles. In this case, the data links between the terminal vehicles and relay stations are classied as autonomous vehicular communications. Under these circumstances, the requirements for the system are categorized as: 1) A exible frequency assignment scheme should be involved to adapt to dynamic changes in the environment. Therefore a cognitive radio scheme can be considered as a priority; 2) Broadband communications with high capacity and high spectrum efciency; 3) The scheme should be adaptable to variable mobile speed, e.g., 0350km/h; 4) An interference cancelation scheme should be developed to deal with a dynamic spectrum in the frequency domain. The Orthogonal Frequency Division Multiplexing (OFDM) transmission should be logically considered rst with regards to the above requirements. OFDM has been widely used in broadband wireless communications, such as WiFi, WiMax, and LTE [2]. In IEEE 802.22, Non-Continuous OFDM (NCOFDM) is adopted in the cognitive radio environment. For the detection of the spectrum holes, the NC-OFDM system activates corresponding subcarriers within the holes. This dynamic spectrum aggregation scheme provides the transmission with the advantages of higher spectrum efciency and greater user capacity [3]. So far, research into NC-OFDM has focused on the Peak-to-Average Power Ratio (PAPR) reduction, outof-band interference mitigation and complexity reduction such as use of a modied FFT algorithm [4]. In order to improve the performance of OFDM in terms of transmission rate and PAPR, Carrier Interferometry (CI) codes were introduced [5]. CI codes originated from an IDFT matrix, which results in a CI-OFDM system similar to a single carrier system with a cyclic prex. Although some literature argues the validity of the CI-OFDM system in complexity and innovation [6] [7], there is still an apparent signicance to employing CI codes in an NC-OFDM system, especially in the cognitive radio environment [4]. In [10], Non-Continuous CI (NCI) codes that originated from lower order CI codes are introduced into the NC-OFDM system to improve the performance in terms of Bit-Error-Rate (BER) and PAPR reduction. Moreover, Pseudo Carrier Interferometry (PCI) code sets, which have twice the number of codes compared with traditional CI code sets, are constructed in [11]. Comparatively, Non-Continuous PCI (NPCI) codes for NC-OFDM system also exist [10]. Recent literature [8] and [9] has provided a universal overlay/underlay OFDM-based framework to synthesize OFDM, MC-CDMA, CI-OFDM and TDCS schemes, amongst others.

0733-8716/11/$25.00 c 2011 IEEE

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IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 29, NO. 1, JANUARY 2011

Fig. 1. Concept of the autonomous vehicular communications with cognitive NCI-OSDM system.

Besides the traditional OFDM transmission, another scheme derived from IFFT named Orthogonal Signal Division Multiplexing (OSDM), also known as SD-OFDM, has been proposed to improve the Bit Error Rate (BER) performance and spectrum efciency under the frequency selective fading channel [12] [13]. By benetting from spreading gain in the time domain, OSDM outperforms the traditional OFDM. Specically, OSDM transmission omits the Guard Interval (GI) to increase the transmission rate and spectrum efciency. Although there were similar ideas that have appeared, such as [14], OSDM still provides an efcient signal design for spectrum efciency, e.g., the system proposed in [14] which inserts zeros to improve the performance in spectrum null channels. Since OSDM has a close relationship with OFDM, it is also confronted with the same problems of PAPR and Inter-Carrier Interference (ICI). Similar to the OFDM system, a CI-OSDM scheme combining CI codes and OSDM for adaptable transmission has been designed and evaluated in [15]. However, the scheme of an OSDM system with NCI codes, especially in a cognitive radio environment, is still understudied and has not been sufciently evaluated. As we know, the utilization of NCI codes in NC-OFDM leads to outstanding performance regarding BER, throughput, PAPR and ICI reduction [10]. Therefore, it provides natural incentive to continue the evaluation of the efciency of NCI codes in Non-Continuous OSDM (NC-OSDM). We name the resultant system a Cognitive Non-Continuous Carrier Interferometry OSDM (NCI-OSDM) system, which is designed for autonomous vehicular communications. Although, the complexity of OSDM is higher than that of the traditional OFDM, the capability to adaptively control the ratio of GI in one OSDM symbol leaves room for better performance in channel adaptation for ICI mitigation. Note that, since Doppler spread leads to ICI in mobile vehicle networks [16], the adaptive OSDM proposed in [15] must be involved in NCI-OSDM. In this paper, the system structure will be outlined and the strong performance of Cognitive NCI-OSDM will be conrmed. The rest of the paper is organized as follows: Section II provides an overview of the entire system architecture. Section III reviews preliminary knowledge about OSDM systems, adaptive OSDM schemes, and NCI codes. Section IV proposes the system structure of an NCI-OSDM system. Then, Section V

Fig. 2.

Conceptual gure of the cognitive process.

provides details of the performance evaluation. The application analysis of adaptive NCI-OSDM, segmented NCI-OSDM and the road-side base-station enhanced version of NCI-OSDM are discussed in Section VI. Finally, the conclusion is drawn in Section VII. II. S YSTEM OVERVIEW The proposed Cognitive NCI-OSDM system can be employed in autonomous vehicular communications as shown in Fig. 1. All the mobile vehicles (MVs) are equipped with Cognitive NCI-OSDM systems, among which MV1 has the capability to access the road-side base station (BS) using traditional vehicular mobile communications. Also, the train, denoted as TA, is facilitated with a Cognitive NCI-OSDM system for autonomous vehicular communication with mobile vehicles. As a conceptual model, there are three autonomous regions, AR1, AR2 and AR3. The Cognitive NCI-OSDM system can work in one of the following two modes. 1) Ad hoc mode: the autonomous region is between the mobile vehicles, such as AR1 and AR2 in Fig. 1. 2) Relay mode: the autonomous region is established with relay stations, such as AR3 in Fig. 1. In cognitive radio, autonomous vehicular communications will try to make use of temporarily unused areas of the spectrum which is assigned to primary users, e.g., TV spectrum in the UHF band. Since the frequency occupation is dynamic and not xed, the cognitive NCI-OSDM system will periodically scan the spectrum and nd the spectrum holes from the primary users. The spectrum holes are then aggregated to provide broadband communications. Figure 2 shows the process of cognition, in which the spectrum scan result of the UHF band is shown in the upper side as an example for illustrating the position of spectrum

ZHANG: COGNITIVE NON-CONTINUOUS CARRIER INTERFEROMETRY ORTHOGONAL SIGNAL DIVISION MULTIPLEX TRANSMISSION
M 1 M 1 M 1

39

1 0 WN N

0, 0,..., 0

1 WN k N

0, 0,..., 0

1 WN ( N N

1) k

0, 0,..., 0

Fig. 3.

Structure of the matched lter k .

holes. The cognition process can be divided into three steps as follows: 1) Spectrum sensing: scan for spectrum holes within a specic spectrum region. 2) Spectrum decision: decide and aggregate the spectrum holes. 3) Subcarrier assignment: for different users, NCI-OSDM will assign a different subset of subcarriers. All of the above steps will cycle with a xed time period. Additionally, in the Cognitive NCI-OSDM system, a xed frequency point is assigned to the control channel for negotiation between the mobile vehicles within the autonomous region. The detailed procedure will be described in Section IV. III. P RELIMINARY K NOWLEDGE Preliminary knowledge regarding the OSDM system and NCI codes are reviewed in this section. A. OSDM System The concept and construction algorithm of OSDM using the Kronecker product are reviewed in this section [13]. Let the N-dimensional Inverse DFT (IDFT) matrix be dened as 1 ij F1 = WN , N N 0 i N 1, 0 j N 1, (1) where
ij WN

(a) Symbol of OSDM

D0

D1 D2

D3

DN

DN

(b) Conceptural Spectrum of OSDM

Fig. 4.

Structure of the OSDM symbol.

The Kronecker product is dened between fk and Dk as k = = fk Dk 1 0 0 0 (dk,0 WN , dk,1 WN dk,M1 WN , N k k k dk,0 WN , dk,1 WN dk,M1 WN , 2k 2k 2k dk,0 WN , dk,1 WN dk,M1 WN , dk,0 WN
(N 1)k

, dk,1 WN

(N 1)k

dk,M1 WN

(N 1)k

). (6)

2 1 = exp( ij). N =
T T T (f0 , f1 , f2 , T , fk , T , fN 1 )T ,

Thus, k is a vector of length of N M . Then, N vectors of length N M , i. e., 0 = f0 D0 , 1 = f1 D1 , , N 1 = fN 1 DN 1 , have the property that any two vectors of 0 , 1 , , N 1 are cyclic orthogonal. IM is dened as a vector of length M : IM = (1, 0, 0, , 0). (7) In IM , one 1 and (M 1) zeros are included. When the signal k passes through a matched lter denoted as k = = (fk IM ) 1 k 0 (WN , 0, 0, , 0, WN , 0, 0, , 0 N (N 1)k WN , 0, 0, 0), (8)

(2)

Then F1 N (3)

where aT denotes the transpose of the vector a, fk , 0 k N 1, is the row vector of matrix FN and 1 (N 1)k 0 k 2k fk = (WN , WN , WN , , WN ). N D0 D1 . . . DN 1 = = = (d0,0 , d0,1 , , d0,M1 ) (d1,0 , d1,1 , , d1,M1 ) (dN 1,0 , dN 1,1 , , dN 1,M1 ). (5) (4)

(9)

Assume N data vectors D0 , D1 , , DN 1 of length M :

then the central part of length M in the output data is Dk . Whereas, when l = k, 0 l N 1, 0 k N 1, if l is inputted into the matched lter of k , then the central part, of length M , is always zero. The matched lter is shown in Fig. 3, with the coefcients shown directly. In a multipath environment, the received signal is the summation of the direct path signal and the signals from the

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IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 29, NO. 1, JANUARY 2011

reected paths. Similar to an OFDM system, if the maximum delay time of the multipath signal is denoted as NGI , it is easy to make a pseudo-periodic signal of length N M + NGI with pseudo-period N M from the signal k of length N M , as shown in Fig. 4(a) [17]. If the pseudo-periodic signal is inputted into the matched lter k of length N M , the desired data is outputted, and the multipath interference signal will be completely removed because of the GI and the cyclic orthogonality property of k . OSDM has higher spectrum efciency when compared with traditional OFDM and achieves better BER performance in a multipath environment. For a detailed description, refer to [12]. The conceptual gure of the spectrum of an OSDM system is shown in Fig. 4(b). The data set Dn , 0 n N 1, is transmitted on the nth subcarrier and the data on each subcarrier are received via the aforementioned matched lter scheme. Note that, in [14], there are zeros inserted between the symbols to prevent ISI. Even these zeros improve the performance in spectrum null channels, but the total system spectrum efciency is degraded. However, in OSDM, it is not necessary to insert any zeros between the input data [13]. B. Adaptive OSDM Scheme Since OSDM is based on a multi-carrier scheme, ICI occurs when there is a frequency off-set from the oscillator bias or doppler frequency shift due to a high speed mobile. Therefore, an Adaptive OSDM scheme is proposed in [15] to adaptively reduce the ICI according to the mobile speed. The idea behind Adaptive OSDM is transmission using a larger number of subcarriers and less complexity under the same transmission rate when the channel condition is good, or transmission with a lower number of subcarriers in poorer conditions, especially in a high speed mobile environment. Without loss of generality, we can make the assumption of the same transmission rate, i. e., N M is a xed number, where N is the number of subcarriers in the frequency domain, M is the length of the data vectors D0 , D1 , , DN 1 shown in (5). We can adjust N and M according to the channel state information (CSI), e.g., the coherent time tc of the timeselective fading channel. The principle is that if tc is smaller than a xed value, i.e., if Doppler spread of the channel becomes greater than a xed value, then M must be increased and N must be decreased. Otherwise, if the channel condition becomes better, the value of M will decrease and the value of N will increase, i.e., the system will approach traditional OFDM. As the mobile speed increases, the Doppler shift or spread becomes larger. However, due to the adaptive OSDM scheme, the frequency interval is increased. Consequently, the normalized frequency shift is decreased. Thus, the nal ICI is mitigated and controlled. Moreover, other anti-Doppler and ICI cancelation schemes can also be employed alongside adaptive OSDM to further decrease the interference, for example, Doppler diversity [18]. C. NCI Codes According to literature precedents [2] and [5], CI codes originate from an inverse DFT (or IDFT) matrix. In equations

(1), (2) and (3), the CI codes are dened as the rows of an IDFT matrix: (n) (n) (n) (CI) = N fn = (c0 , c1 , , cN 1 ) Cn =
n 2n (1, WN , WN , , WN (N 1)n

),

(10)

where n is the index for CI codes. In the cognitive radio system, a non-continuous multi-carrier system is applied as the basic transmission structure. If the number of all the subcarriers is N , the index vector for indicating whether or not a subcarrier is activated is dened as p = (p0 , p1 , , pi , , pN 1 ), where 0 i N 1, and pi = 1, ith subcarrier activated 0, ith subcarrier deactivated. (12) (11)

If there is a total of K sub-carriers that are activated, and N K sub-carriers that are deactivated, it can be assumed (CI) that there exist K dimensional CI codes Ck , 0 k K 1. Then, the NCI codes are constructed as per the following algorithm. Algorithm: 1: k = 0,i = 0,j = 0; (k) (k) 2: if pi =1 then i = cj , i = i + 1, j = j + 1; (k) 3: if pi =0 then i = 0, i = i + 1; 4: go back 2 until i = N ; (NCI) (k) (k) (k) = (0 , 1 , , N 1 ); 5: Ck 6: k = k + 1; 7: go back to 2 until k = K; 8: end. In literature precedent [11], the pseudo orthogonal CI (PCI) code set is introduced to increase the transmission rate of the multicarrier system. The PCI codes are dened as in (13), where 0, n = 0, 1, , N 1 (14) n = , n = N, N + 1, , 2N 1. N Therefore, the non-continuous PCI codes (NPCI codes) can be dened with K dimensional PCI codes via the above algorithm. Example: In the cognitive radio system, the total bandwidth is covered by a multi-carrier system with N = 8 sub-carriers. Due to the spectrum holes produced by the primary users, there are only K = 6 subcarriers that can be activated, i.e., there are N K = 2 subcarriers that are deactivated because they are positioned outside of holes in the spectrum. Without loss of generality, an index vector of p = (1, 1, 1, 1, 0, 0, 1, 1) can be assumed. Then NCI codes of length N can be created as in (15). IV. C OGNITIVE NCI-OSDM S YSTEM Similar to an NCI-OFDM system, the NCI codes can be employed in a non-continuous OSDM system to form an NCI-OSDM system. With NCI codes, a non-continuous OSDM system will benet from features such as higher transmission capacity, low PAPR and ICI. Furthermore, in a cognitive environment, the spectrum holes are detected. If noncontinuous OSDM system is involved, the corresponding subcarriers in the spectrum holes should be activated. Otherwise,

ZHANG: COGNITIVE NON-CONTINUOUS CARRIER INTERFEROMETRY ORTHOGONAL SIGNAL DIVISION MULTIPLEX TRANSMISSION

41

(PCI) n 2n Cn = (0 , 1 , , N 1 ) = (1, WN en , WN e2n , , WN

(n)

(n)

(n)

(N 1)n (N 1)n

(13)

C0 (NCI) C1 (NCI) C2 (NCI) C3 (NCI) C4 (NCI) C5

(NCI)

1 1 1 1 1 1

ej 2 ej 3 1 4 ej 3 5 ej 3

ej 4 ej 3 1 j 2 e 3 4 ej 3

2 3

1 1 1 1 1 1

0 0 0 0 0 0

0 0 0 0 0 0

ej 2 ej 3 1 j 4 e 3 2 ej 3

4 3

ej 4 ej 3 1 2 ej 3 ej 3

5 3

(15)

Spectrum hole

where M is the length of the vector Dk , 0 k K 1. The transmitted signal of dk,m is

# N1 1 X j(2nf (t+mT )) (k) j2fc t s(k,m) (t) = Re dk,m e n e g(t) , N n=0 (17) "

Spectrum Sensing

non-continuous OSDM subcarriers

Frequency

Spectrum Decision Frequency

where g(t) is the rectangular pulse shape and f is the frequency interval between the adjacent subcarriers. T is the sample period. The total transmitted signal for one NCIOSDM symbol is expressed as (18). B. Receiver Structure

Fig. 5.

Conceptual spectrum of non-continuous OSDM.

all subcarriers out of the spectrum holes remain deactivated. The conceptual spectrum of non-continuous OSDM is shown in Fig. 5. After sensing for the available spectrum holes, subcarriers within the spectrum holes will be assigned by the NCI-OSDM system. Assuming the total number of subcarriers is N and the frequency interval between subcarriers is f , then, in the proposed model, the gap between two spectrum holes, denoted as G, is limited by f G (N 2)f . In this section, the structures of transmitter and receiver are described. Additionally, the protocol of cognition is presented. A. Transmitter Structure In Fig. 6, the NCI-OSDM transmitter is presented. After a serial to parallel (S/P) module, the K data vectors,(D0 , D1 , , DK1 ), are spread by K NCI codes of length N . The resultant K sequence vectors are added element-wise. Then, the parallel Kronecker product of the nal sequence of length N with the subcarrier sequence f1 , f2 , , fN 1 , which is denoted by and has the operation indicated in (6), is taken. After attaching the Guard Interval (GI), the nal signal is modulated with the carrier frequency denoted as fc and sent out. The input data vectors are denoted as (D0 , D1 , , DK1 ) = {(d0,0 , d0,1 , , d0,M1 ), (d1,0 , d1,1 , , d1,M1 ), . . ., (dK1,0 , dK1,1 , , dK1,M1 )}, (16)

At the receiver end of the NCI-OSDM system, following transmission over the frequency-selective fading channel, each received subcarrier experiences a unique at fading. Assuming the transmitted signal s(t) is as per (18), the received signal is mathematically characterized by (19), where A is a parameter used to establish the symbol energy, an and n are respectively the fading parameter and phase offset, introduced into the nth subcarrier by the frequency-selective fading channel. Moreover, n(t) is Additive White Gaussian Noise (AWGN). Figure 7 depicts the NCI-OSDM receiver for detection of the K data vectors. The receiver converts the incoming signal r(t) into the baseband signal rB (t). Then, rB (t) is inputted into a combiner array denoted by M0 , M1 , , MK1 . After that, the output is handled by a parallel to serial (P/S) module to produce the nal output data sequence. The inner structure of the combiner is shown in Fig. 4(b). Without loss of generality, taking Mk as the example, the input signal rB (t) passes the matched lter MF0 , MF1 , , MFK1 separately. The structure of the matched lter is shown in Fig.3. The output is multiplied by the conjugate of the NCI codes and forms the decision (k,m) (k,m) (k,m) , r1 , , rN 1 ). The combination of the vector as (r0 decision vectors into the decision variable dk,m is completed with a Minimum Mean-Square Error Combining (MMSEC) strategy. Then, the successive demodulation operation continues. MMSEC offers a performance close to that of the optimal Maximum Likelihood (ML), which can jointly minimize interference from other NCI codes and noise, while exploiting frequency diversity. The nal decision variable for data dk,m is
N 1

dk,m =
n=0

(k,m) rn

N a2 n

an . + N0 /2

(20)

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IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 29, NO. 1, JANUARY 2011

1 S(t) = Re N

M1 K1 N 1 m=0 k=0 n=0

dk,m ej(2nf (t+mT )) (k) ej2fc t g(t) n

(18)

M1 K1 N 1

r(t) = Re A
m=0 k=0 n=0

an dk,m ej(2nf (t+mT )) (k) ej(2fc t+n ) + n(t) n

(19)

D0

C0 NCI

f0 f1

D0 , D1 ,

, DK

D1

C1 NCI

e j2
1

fct

DK

CKNCI 1
1

fN

Fig. 6.

The transmitter structure of NCI-OSDM.

In the above description, the NCI codes are used in an NCIOSDM system. If NPCI codes are utilized, the difference in the number of codes should be noted, i.e., the number of NPCI codes is 2K rather then K for NCI codes [11]. In a similar way to a Multi-Carrier CDMA (MC-CDMA) system for PAPR reduction, Doppler frequency and/or carrier frequency offset will bring severe ICI and seriously affect the BER performance. Also, the inverse processes of the CI method and also of DFT-spreading are needed in the receiver. When the Doppler frequency and/or carrier frequency offset is included in the channel or system, this detrimental effect will be distributed to all the subcarriers. In the proposed NCI-OSDM system, An adaptive OSDM scheme is involved to limit the normalized frequency offset, so that the ICI is controlled whilst PAPR is reduced. The details of the adaptive OSDM system can be referred to in [15]. C. The Cognitive Protocol In cognitive radio, the activated and deactivated subcarriers are changeable, i.e., the availability of subcarriers is dynamic. Therefore, in real application, self-adaptive metrics can be employed to construct NCI and NPCI codes with variable length, which further yield an adaptive NCI-OSDM system. Usually, a cognitive radio management policy should be established for the each specic system [19]. For the cognitive NCI-OSDM system, the channels are divided into two categories, namely the control channel and the data channel. The control channel is assigned with xed frequency points for signalling messages, whereas the data channel is assigned with dynamic frequency points after negotiation between mobile vehicles. An example of cognitive protocol in the control channel is shown in Fig. 8. To ensure that communication can be established between MV1 and

M0
r t
Real to Complex

j2 fct

rB t

M1

P/S

d0,m, d1,m, , dK 1,m

MK

(a) The receiver of NCI-OSDM.

k * 0

MF0
1

r0
k *

k ,m

rB t

MF1
k * N 1

r1

k ,m

COMBINE

d k ,m

MFK

rN
1

k ,m 1

(b) The structure of combiner Mk . Fig. 7. The receiver structure of NCI-OSDM.

MV2, at the beginning of communications, the initialization starts from MV1 to MV2 with a signalling message of Spectrum Request (SR) that contains the information of detected spectrum holes of MV1. MV2 will reply with a Request Answer (RA) message that contains the spectrum holes of MV2. Then, MV1 will continue with spectrum decision and subcarrier assignment. A signalling message for Frequency Assignment Information (FAI) is sent to MV2 to inform about the detailed subcarriers expected to be used. However, if some parts of the subcarriers in the FAI are not available in MV2, MV2 can send a Re-Assignment Request (RAR)

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MV1

MV2

10

Spectrum Sensing SR RA

Spectrum Sensing

10

NCOFDM with QPSK NCOSDM with QPSK NCIOFDM with QPSK NCIOSDM with QPSK

10

BER

Spectrum Decision Subcarrier Assignment

Messages in Control Channel

10

FAI RAR FAI FAC Subcarrier Decision Data Channel Transmission

SR: Spectrum Request RA: Request Answer FAI: Fequency Assignment Information RAR: Re-Assignment Request FAC: Frequency Assignment Confirmation

10

10

10

10

15

20 Eb/N0(dB)

25

30

35

40

Subcarrier Decision

Fig. 9.

BER performance vs. Eb /N0 with fd /f = 0.01 .

10

t
Fig. 8.

t
The cognitive protocol in control channel.
BER

NCOFDM with QPSK NCOSDM with QPSK NCIOFDM with QPSK NCIOSDM with QPSK 10
1

TABLE I S IMULATION PARAMETERS N K M Length of GI Length of OFDM symbol Multipath prole 256 192 6 64 samples 320 samples 0, -3dB, -6dB

10

10

10

10

15

20 Eb/N0(dB)

25

30

35

40

message to clarify the available subcarriers. After that, MV1 will resend the FAI message. If all the claimed subcarriers in FAI are available for MV2, then MV2 will reply with a Frequency Assignment Conrmation (FAC) message. Once the subcarriers have been decided for all data channels, the data channel transmission can start. V. P ERFORMANCE E VALUATION In this section, the BER performance evaluation results are presented. Also, the throughput, PAPR and PICI are analyzed for an NCI-OSDM system. The adaptive OSDM is employed to prevent severe ICI in a high speed mobile environment. First, the simulation parameters are dened in Table I. A. BER Performance Figure 9 and Figure 10 illustrate the BER performance versus Signal to Noise Ratio (SNR) indicated by Eb /N0 in cases of the the normalized Doppler frequency offsets fd /f = 0.01(slow moving) and fd /f = 0.1 (fast moving), where fd denotes the maximum Doppler frequency shift and f denotes the subcarrier interval. In the simulation, four systems were considered, traditional NC-OFDM, NC-OSDM, NCI-OFDM and NCI-OSDM. For all cases, the simulation

Fig. 10.

BER performance vs. Eb /N0 with fd /f = 0.1 .

parameters are shown in Table I. All the systems transmitted K symbols over N subcarriers. The simulation assumed a threepath Rayleigh fading channel with frequency selectivity in the total bandwidth, but at fading over each of the N subcarriers. Specically, a correlation exists between the channel fading (ai ) corresponding to Ri,j = 1 1+(
fi,j 2 fc )

(21)

where Ri,j is the correlation between carrier is and js fading, fi,j is the frequency separation between those two carriers, and fc is the coherence bandwidth [11]. In a similar method to [5] and [11], in order to evaluate the primary transmission scheme, the BER for the pure data transmission without channel coding was studied. Referring to Fig. 9, in a slow moving state, the three systems, NCI-OFDM, NCI-OSDM and NC-OSDM, have diversity gain compared with NC-OFDM. For example, there was more than 5dB gain in the three systems compared with NC-OFDM in the case where BER = 103 . In this case, NCI-OSDM is superior to NCI-OFDM. This result is consistent with the fact that OSDM

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IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 29, NO. 1, JANUARY 2011

10

60 NCOFDM with QPSK NCOSDM with 16QAM NCIOFDM with 16QAM NCIOSDM with 16QAM

10

50

40 10 BER
2

PAPR 10
3

30

20
4

10

10

10

10

15

20 Es/N0(dB)

25

30

35

40

2000

4000 6000 Transmission Number

8000

10000

Fig. 11.

BER performance vs. Es /N0 with QPSK and 16QAM.

10 9

(a) PAPR of NC-OSDM signal.

outperforms OFDM, as announced in [13]. From Fig. 9, it also conrms that NC-OSDM outperforms NC-OFDM. This feature can be considered as directly inherited from OSDM and OFDM. Figure 10 shows the BER performance in a fast moving scenario, in which the maximum mobile speed is high, e.g., 350km/h. In the high speed mobile case, NCIOFDM, NC-OSDM and NC-OFDM suffered greatly from severe ICI. Only NCI-OSDM with an adaptive scheme was able to maintain a good BER performance. Figure 11 shows the BER performance versus Es /N0 , where Es is the energy per QPSK or 16QAM symbol in cases of the normalized doppler frequency offset fd /f = 0.03 . Figure 11 clearly indicates that NCI-OSDM has equivalent BER performance compared with the normal NC-OFDM when Es /N0 17dB. In this case, the spectrum efciency of NCI-OSDM was 2.4 times greater compared with the normal NC-OFDM system. Additionally, NC-OSDM had an equivalent BER performance as compared with NC-OFDM when Es /N0 26dB, the spectrum efciency was also 2.4 times greater compared with NC-OFDM. B. Throughput Analysis Figures 9 to 11 show that NCI-OSDM and NCI-OFDM enjoy lower transmission power relative to NC-OFDM. That means the NCI-OSDM and NCI-OFDM systems can achieve higher spectrum efciency. As with the above analysis of BER performance, since both NCI-OFDM and NCI-OSDM had more than 8dB gain, it is obvious that both of them have higher transmission rates compared with traditional NCOFDM. From Fig. 11, the frequency efciencies of NCIOSDM and NCI-OFDM are 2.4 and 2.0 times greater compared with the normal NC-OFDM system when Es /N0 17dB. Therefore, at this time, the transmission rate and the throughput of the system can also be estimated as 2.4 and 2.0 times greater than the NC-OFDM system. In addition, as with the PCI codes in a PCI-OFDM system [11], the number of NPCI codes is twice the number of NCI codes [10]. If NPCI codes are used instead of NCI codes, the transmission rate

8 7 6 PAPR 5 4 3 2 1 0 0 2000 4000 6000 Transmission Number 8000 10000

(b) PAPR of NCI-OSDM signal. Fig. 12. Simulation of PAPR.

is expected to be approximately two fold that of NCI-OSDM with NCI codes. C. PAPR Performance In an OFDM system, PAPR is the peak power per OFDM symbol versus the average power in the same symbol. Mathematically,
PAPR = max0<t<Ts |s(t)|2 . mean0<t<Ts |s(t)|2 (22)

The average power of OFDM is Pmean = N P0 , where P0 is the power of one carrier. For OFDM and OSDM, it is easy to show that (PAPROFDM )max = N [2]. For NC-OSDM and NCI-OSDM, the signals are simulated and shown in Fig. 12., showing that the NCI-OSDM system enjoys lower PAPR values. The average PAPR values for NCI-OSDM and NCOSDM are 32.37 and 1.62 respectively. According to the investigations on CI-OFDM in [11], the probability density functions (pdf) of PAPR for NC-OSDM and NCI-OSDM are studied and simulated with 104 symbols. The results are shown in Fig. 13. The pdf of NC-OSDM is

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0.05 0.045 Cumulative Probability P(PAPR<x) 0.04 0.035 Probability Density 0.03 0.025 0.02 0.015 0.01 0.005 0 0 10 20 PAPR 30 40 50

1 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 10 20 30 PAPR 40 50 60 NCOSDM NCIOSDM

(a) NC-OSDM.
0.5 0.45 0.4 0.35 Probability Density

Fig. 14.

The cdf of PAPR.

10

15

Normalized PICI (dB)

0.3 0.25 0.2 0.15 0.1 0.05

20

25

NCOSDM system NCIOSDM system

30

35 0 0 5 10 PAPR 15 20 40 0 0.02 0.04 0.06 0.08 0.1 0.12 Normalized Doppler frequency fd/f 0.14 0.16

(b) NCI-OSDM. Fig. 13. The pdf of PAPR. Fig. 15.

Normalized power of ICI.

spread over a large number of values, whereas, the pdf values for NCI-OSDM are quite limited to a small region close to the mean value, showing that NCI-OSDM not only gives small PAPR values, but also gives small PAPR deviations. Figure 14 shows the cumulative distribution function (cdf) for PAPR, i.e., P (PAPR < x). The cdf curves in Fig. 14 also support the idea that the PAPR performance of NCI-OSDM is superior to the performance of NC-OSDM. D. PICI Performance For multi-carrier transmission, ICI occurs when Doppler spread is caused by a high speed mobile. Therefore, the power of ICI (PICI) is a remarkable index to evaluate the interference caused by the high speed mobile. Figure 15 shows the PICI of NCI-OSDM and NC-OSDM. It can be quickly concluded that NCI-OSDM has relatively lower PICI compared with NC-OSDM, which shows that NCI-OSDM

appears more promising in high speed mobile environments such as express train communication systems or in sports cars.

E. Complexity Analysis Since NCI-OSDM utilizes a matched lter, the system enjoys better performance in terms of spectrum efciency and BER. However, the complexity of NCI-OSDM is higher than for traditional OFDM. In order to simplify the analysis, we can just estimate the number of multiplications. For an OFDM receiver, the number of multiplications in a FFT is N log2 N . For NCI-OSDM at least, the number of multiplications is N K +K 2. Therefore, if the number of subcarriers is extremely large, the complexity of NCI-OSDM is much higher than for OFDM. Otherwise, the complexity of NCI-OSDM is still controllable.

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IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 29, NO. 1, JANUARY 2011

c0 cos

S/P S/P

NCIOSDM NCIOSDM

GI GI

D/A D/A

c1 cos

cM 0 2 cos

M0 2

S/P S/P
Fig. 16.

NCIOSDM

GI GI

D/A
cM 0 1 cos
M0 1

NCIOSDM

D/A
Fig. 17. Base-station enhanced version of NCI-OSDM.

Segmented NCI-OSDM.

VI. A PPLICATION E NHANCEMENT OF NCI-OSDM T RANSMISSION A. Adaptive NCI-OSDM in Space Domain As proposed in Section III.B, NCI-OSDM already involves an adaption scheme for varying mobile speed. That is, the aim of adaptive OSDM is transmission using a larger number of subcarriers and less complexity under the same transmission rate when the channel condition is good, or transmission with a lower number of subcarriers in poorer conditions, especially in a high speed mobile environment. This scheme can be considered as an adaptation in time domain. Also, NCIOSDM is designed with cognitive technology to recognize the frequency spectrum holes, which can be classied as adaption in the frequency domain. Naturally, it is recommended that an NCI-OSDM system further involves location services, such as GPS, to offer adaption in space domain. In order to smoothly handover between different regions in the space domain, the specic database systems can be equipped to store empirical or historical data for spectrum holes. Some prediction algorithms can be generated to accelerate spectrum cognition for handover in the space domain, e.g., algorithms similar to Kalman lters. B. The Segmented NCI-OSDM System In [21], an adaptive subcarrier interval is introduced in the segmented OSDM system. However, the segmented OSDM can also be jointly used with NCI-OSDM, which creates a segmented NCI-OSDM system. Fig. 16 shows the structure of the segmented NCI-OSDM, in which M0 denotes the number of segments. In each segment, NCI-OSDM is employed to meet the elaborate requirements of the spectrum holes. C. Road-Side Base-Station Enhanced Version of NCI-OSDM Cognitive NCI-OSDM can provide broadband communications among mobile vehicles in the autonomous region. However, cognitive NCI-OSDM can also be enhanced with the use of base stations. For example, as shown in Fig. 17, both the downlink and uplink can be constructed with cognitive NCI-OSDM transmission. For the downlink transmission, the NCI codes or NPCI codes can be assigned to different users to form a Multi-Carrier CDMA (MC-CDMA) based on

NCI-OSDM. For an uplink, the different subcarriers can be assigned to different users to form an NCI-OSDMA scheme. In real applications, the base station can involve Cognitive NCI-OSDM as an alternative system to traditional broadband vehicular communications systems. VII. C ONCLUSION In this paper, a Cognitive Non-Continuous Carrier Interferometry Orthogonal Signal Division Multiplex (NCI-OSDM) system is proposed for autonomous vehicular communications to obtain higher spectrum efciency and BER performance. NCI-OSDM also benets from higher throughput, lower Peak to Average Power Ratio (PAPR) and lower power of InterCarrier Interference (PICI). The structure of NCI-OSDM is proposed and analyzed in-depth. The simulation results have revealed the following facts about Cognitive NCI-OSDM with an adaptive scheme for autonomous vehicular communications: 1) For BER, NCI-OSDM outperforms NCI-OFDM, NCOSDM and NC-OFDM systems; 2) For throughput and transmission rate, NCI-OSDM has the highest performance due to the best spectrum efciency; 3) For Peak to Average Power Ratio (PAPR), NCI-OSDM has a much smaller value compared with an NC-OSDM system; 4) For PICI, NCI-OSDM can effectively mitigate for ICI due to the NCI codes; 5) NCIOSDM has higher complexity due to the employment of a matched lter rather than FFT. If the number of subcarriers is not extremely large, then the complexity is controllable. The above results conrm the validity of Cognitive NCI-OSDM transmission for autonomous vehicular communications. ACKNOWLEDGMENT This research is supported by National Natural Science Foundation of China (NSFC60902002) and ASFC. R EFERENCES
[1] J. F. Hauris,Genetic Algorithm Optimization in a Cognitive Radio for Autonomous Vehicle Communications, International Symposium on Computational Intelligence in Robotics and Automation 2007 (CIRA 2007), pp. 427-431, June, 2007, [2] R. Van Nee and R. Prasad, OFDM for Wireless Multimedia Communications, Artech House Publishers, London, UK, 2000, ISBN: 0890065306. [3] X.-X. Zhong, Cognitive Radio Technology and Application, Publishing House of Electronics Industry, Beijing, 2008, ISBN: 9787121060076 [4] C. ZHANG, H. HAN, Broadband VHF communications via noncontinuous OFDM, IEEE/AIAA 28th Digital Avionics System Conference, Orlando, Florida, USA, Oct. 2009.

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[5] D. A. Wiegandt and C. R. Nassar, High performance OFDM via carrier interferometry, Int. Conf. Third Generation Wireless and Beyond, pp. 404-409, San Francisco, CA, 2001, [6] J. Lei, L. Wu, Comments on High-Throughput, High-Performance OFDM via Pseudo-Orthogonal Carrier Interferometry Spreading Codes, IEEE Trans. Commun., Vol. 55, No. 5, pp.1088-1088, May 2007. [7] Y. Kuang, K. Long, C. Wu, Q. Chen, Comments on High-Throughput, High-Performance OFDM via Pseudo-Orthogonal Carrier Interferometry Spreading Codes, IEEE Trans. Commun., Vol. 55, No. 1, pp.232-234, Jan. 2007. [8] V. Chakravarthy, X. Li, Z. -Q. Wu, M. A. Temple, F. Gaber, R. Kannan and A. Vasilakos, Novel overlay/unverlay cognitive radio waveforms using SD-SMSE framework to enhance spectrum efciency Part I: Theoretical framework and analysis in AWGN Channel, IEEE Trans. Commun., vol. 57, no. 12, pp. 3794-3804, December 2009. [9] V. Chakravarthy, X. Li, R. Zhou, Z. -Q. Wu, M. Temple, Novel overly/underlay cognitive radio waveforms using SD-SMSE framework to enhance spectrum efciency Part II: Analysis in fading channels, IEEE Trans. Commun., vol. 58, no. 6, pp. 1898-1876, June 2010. [10] C. ZHANG, Non-continuous carrier-interferometry codes, The Fourth International Workshop on Signal Design and its Application in Communicatoins (IEEE IWSDA 2009), Fukuoka, Japan, Oct. 2009. [11] D. A. Wiegandt, Z.-Q Wu, C.R. Nassar, High-throughput, highperformance OFDM via pseudo-orthogonal carrier interferometry spreading codes, IEEE Trans. Commun., Vol. 51, No. 7, pp. 1123-1134, July 2003. [12] N. Suehiro, C. Han and T. Imoto, Very efcient wireless usage based on pseudo-coherent addition of multipath signals using Kronecker product with rows of DFT matrix, Proc. International Simposium on Information Theory, pp.385, June 2003. [13] R. Jin, N. Suehiro, and C. Han, Performance of SD-method compared with OFDM method, Seventh International Conf. Computer and Information Technology, pp.486-490, 2007. [14] X.-G. Xia, Precoded and vector OFDM robust to channel spectral nulls and with reduced cyclic prex length in single transmit antenna systems, IEEE Trans. Commun., vol.49, no. 8, pp.1363-1374, Aug. 2001. [15] X.-M TAO, C. ZHANG, J.-H. LU, Adaptive CI-OSDM in timefrequency selective fading channel, IEICE Trans. Fund. Electron. Commun. & Comput. Sci., vol.E91CA, no.12, pp.3712-3721, Dec. 2008. [16] C.-X. Wang, X. Cheng, and D. I. Laurenson, Vehicle-to-vehicle channel

modeling and measurements: recent advances and future challenges, IEEE Commun. Mag., vol. 47, no. 11, pp. 96-103, Nov. 2009. [17] N. Suehiro, A signal design without co-channel interference for approximately synchronized CDMA systems, IEEE J. Sel. Areas Commun., vol. 12, no. 5, pp. 837-841, June 1994. [18] X.-M. Tao, C. Zhang, J.-H. Lu, Doppler diversity in MC-CDMA system with T-ZCZ sysequences for Doppler spread Cancellation, IEICE Trans. Fund. Electron. Commun. & Comput. Sci., v.E90-A, n.11, pp. 2361-2368, November 2007. [19] C.-X. Wang, H.-H. Chen, X. Hong, and M. Guizani, Cognitive radio network management: tuning in to real-time conditions, IEEE Veh. Technol. Mag., vol. 3, no. 1, pp. 28-35, March 2008. [20] Y. Li and L.J. Cimini, Jr., Bounds on the Interchannel Interference of OFDM in time-varying impairments, IEEE Trans. Commun., vol.49, no.3, pp.401-404, March 2001. [21] C. Zhang, H. Han, H. Yu, NC-OSDM transmission for ICI cancelation in high speed mobile systems, IEEE Second International Workshop on Cognitive Radio and Advanced Spectrum Management(CogART 2009), pp. 50-53, May 2009.

Chao Zhang received his B.E. degree from the School of Telecommunications, Xian Jiaotong University in 2000. After being awarded his M.E. degree from the Dept. of Elec. Engr., Tsinghua Univ. in 2002, he was selected into the Joint Doctoral Program of State Key Laboratories of China and Japan. He received his D. Engr. degree from Tsinghua Univ. in 2005 and Ph.D. degree from National Institute of Informatics (SOKENDAI), Japan, in 2006. Since 2005, he has been a faculty member of the School of Aerospace at Tsinghua Univ. So far, his research topics concentrate on next generation mobile communications, vehicular communications, aeronautical and astronautical communications and TT&C. He is the member of IEEE and IEICE.