Wireless Pers Commun

DOI 10.1007/s11277-013-1285-7

Generalized M-2M Mapping Scheme for SLM and PTS

Based OFDM Systems Without Side-Information

Ashish Goel · Prerana Gupta · Monika Agrawal

© Springer Science+Business Media New York 2013

Abstract Orthogonal frequency division multiplexing (OFDM) is an attractive multicarrier

modulation scheme, but it suffers from the problem of high peak-to-average power ratio
(PAPR). Selected mapping (SLM) and partial transmit sequences (PTS) are two well known,
distortion-less techniques with good PAPR reduction capabilities. But, both the methods
require side information (SI) about the phase rotation factors to recover the original data
signal at the receiving end. The transmission of SI not only results in data rate loss but also,
in BER performance degradation if SI gets corrupted over the channel. In this paper we have
proposed a new mapping scheme, named “M-2M Mapping scheme” for SLM and PTS based
methods to completely eliminate the requirement of SI at the receiver. In this scheme M data
points are mapped to the constellation points of 2M-ary modulation scheme using (1, j) as
the phase rotation factors. Some criteria are suggested with which the method is applied for
different constellation sizes, M = 4 to M = 16. The method can be easily coupled with
conventional SLM and PTS techniques. When compared with the existing methods like multi
point square mapping, which do not need SI, our technique is scalable and provides good
PAPR reduction capability with consistent BER performance.

Keywords Orthogonal frequency division multiplexing (OFDM) · Peak-to-average power

ratio (PAPR) · Selected mapping (SLM) · Partial transmit sequences (PTS) · Side-information
(SI)

A. Goel (B) · P. Gupta

ECE Department, J. P. Institute of Information Technology, Noida, UP, India
e-mail: ashish_rampur@rediffmail.com; ashish.goel@jiit.ac.in
P. Gupta
e-mail: gpr800@gmail.com
M. Agrawal
CARE, Indian Institute of Technology Delhi, Hauz Khas, New Delhi, India
e-mail: maggarwal@care.iitd.ernet.ac.in

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1 Introduction

Orthogonal frequency division multiplexing is a widely used modulation scheme [1] for
high data rate transmission in radio environment. In this multicarrier modulation scheme, the
total available bandwidth is divided into many narrowband subcarriers and the data symbols
are transmitted in parallel over these subcarriers. OFDM has already been proposed in many
wireless communication standards such as Digital Audio Broadcasting (DAB), Digital Video
Broadcasting (DVB), Wireless LAN (WLAN) IEEE 802.11, Wireless MAN (WMAN) IEEE
802.16 and IEEE 802.15.3a [2].
The benefits provided by OFDM system include high spectral efficiency, robustness
against multipath fading and narrowband interference. But, OFDM signal has high enve-
lope fluctuation and therefore results in high PAPR. For amplification of such a signal, the
transmitter power amplifier (PA) must have a large linear range, which makes PA costly and
inefficient; otherwise it results in out-of-band radiation and in-band distortion. Alternatively,
a power amplifier with limited linear range can also be utilized if a good PAPR reduction
scheme is used at the transmitter.
Non-distortion PAPR reduction techniques are available in literature, which do not result in
spectral re-growth; these include tone reservation [3], tone injection [4], active constellation
extension [5], sub-block weighting [6], selected mapping (SLM) [7] and partial transmit
sequences (PTS) [8]. SLM and PTS methods improve the statistics of PAPR and thereby
reduce the PAPR of OFDM signal. But, both the schemes require the information (SI) about
the phase rotation factors to recover the original information data block. Therefore, SI is
extremely important for such OFDM systems to maintain good BER performance. To avoid
data rate loss due to SI transmission, various SI embedding schemes [9–14] for SLM and
PTS based methods have been proposed in literature.
In [9–11] many SI embedding schemes have been proposed for SLM-OFDM system. In
[9], a scrambling based method is proposed by Breiling, Weinfurtner and Huber to eliminate
the requirement of SI. In [10], SI embedding is performed by increasing the power level of
certain number (locations) of subcarriers and the index of the subcarriers with higher powers
have one to one mapping with the index u, which is the desired SI. At the receiver, a technique
based on maximum-likelihood detection is used to retrieve the SI. However, in this method
[10] SI detection error varies with signal-to-noise ratio. In [11] a rectangular mapping is
proposed to eliminate the requirement of SI but it can be applicable only for M-ary PSK
modulations.
For PTS based methods, Jayalath and Tellambura proposed a maximum- likelihood decod-
ing [12] for eliminating the requirement of SI but its SI detection capability degrades at low
SNR. In [13] an SI embedding scheme is proposed by Cimini and Sollenberger for PTS
based method, which uses a marking algorithm at the transmitter and a decision statistic at
the receiver. The scheme proposed in [13] may not be reliable for a large constellation size
and is only applicable for M-ary PSK modulation schemes. A multipoint square mapping
PTS (MPSM-PTS) technique [14] is proposed by Zhou and Jiang, wherein the quaternary
data (0, 1, 2 and 3) is mapped to 16-QAM constellation points using four phase rotation
factors (1, j, −1, −j). Receiver combines the decision areas corresponding to the quaternary
data points and collectively decodes it. Decoding does not require the information about the
phase factors but the price paid for this advantage is the performance loss that results from
quaternary to 16-QAM mapping.
In conventional SLM or PTS scheme, entire OFDM symbol can be corrupted, if SI is
erroneously detected, whereas, this type of problem is avoided in MPSM [14]. Motivated by
MPSM scheme of [14], in this paper we have proposed a novel M-2M mapping scheme

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for M-ary PSK and M-ary QAM modulations to completely eliminate the requirement
of SI. Moreover, in the proposed M-2M mapping scheme only two phase rotation factors
(1, j) are used to map M data points to the constellation points of 2M-ary modulation scheme,
whereas in MPSM scheme four rotation factors (1, j, −1, −j) are used to map M data points
to the constellation points of 4M-ary modulation scheme. In case of MPSM mapping, the
constellation size after mapping is larger than proposed M-2M mapping scheme. Therefore,
proposed scheme results in lesser BER performance degradation in comparison to MPSM
[14]. The proposed scheme is generalized in the sense that it can be scaled to modulation of
different sizes and can be easily coupled with conventional PTS and SLM schemes. It has
been shown that proposed scheme performs similar to or better than the available MPSM
method.
This paper is arranged in seven sections. In Sect. 2, we briefly discuss the OFDM system
and PAPR. The conventional PTS and its phase factor optimization is discussed in Sect. 3. In
Sect. 4, we describe the conventional SLM scheme and the generation of phase sequence set.
The proposed mapping scheme along with its justification and coupling with SLM and PTS
is discussed in Sect. 5. Simulation results are presented and discussed in Sect. 6. Finally, we
conclude this paper in Sect. 7.

2 OFDM System and PAPR

Let {X k , k = 0, 1, . . . , N − 1} be a block of N data symbols obtained after performing

the M-ary PSK or M-ary QAM modulation on binary input data stream, where N is the
total number of subcarriers. The discrete time OFDM signal x[n] can be obtained from
{X k , k = 0, 1, . . . , N − 1} by performing the N point IDFT operation as follows:

N −1  
1  j2πkn
x[n] = √ X k exp , 0≤n ≤ N −1 (1)
N k=0 N

PAPR of OFDM signal: The PAPR is the ratio of peak power to the average power of OFDM
signal. For discrete-time OFDM signal (x[n]), it is defined as
  
max |x [n]|2
PAPR (d B) = 10 log10   (2)
E |x [n]|2

where E{.} is the expectation operator, max{.} gives the maximum value and |.| gives the
absolute value. In (1), if data symbols X k , k = 0, 1, . . . , N − 1 are added constructively
then it leads to a large peak formation in OFDM signal x[n].
In order to improve the accuracy of the result described in (2), an oversampling by a
factor α ≥ 4 has to be performed while calculating the IDFT of X k , k = 0, 1, . . . , N − 1 by
padding (α − 1) zeros.
The complementary cumulative distribution function (CCDF) of an OFDM signal is given
by [2]

CCDF(γ0 ) = Pr(PAPR(x[n]) > γ0 ) (3)

= 1 − (1 − exp(−γ0 )) N
(4)

where, γ0 is the given threshold value of PAPR.

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When oversampling is done by a factor α, the CCDF of OFDM signal given by (4) can
be written as

CCDF(γ0 ) = 1 − (1 − exp(− γ0 ))α N (5)

3 Partial Transmit Sequences and Phase Optimization

In this PAPR reduction scheme, a block of N modulated data symbols X k , k = 0, 1, . . . ,

N − 1 is partitioned into M < N disjoint sub-blocks. Several partitioning schemes are
available in [15], in our work we have considered adjacent partitioning scheme. The sub-
blocks are disjoint and after partitioning they are represented as [X (m), m = 0, 1, 2, . . . , M−
1], so that


M−1
N −1
{X k }k=0 = X (m) (6)
m=0

After partitioning, each of the sub-block is multiplied with phase rotation factors b(m) and
then, N point IFFT operation is performed on all of them to obtain M partial transmit
sequences xm ; m = 0, 1, 2, . . . , M − 1. All of the partial transmit sequences are combined
to obtain the time domain OFDM signal (x  ), which can be written as


M−1
x = b(m)xm (7)
m=0

where b(m) is the phase rotation factor for the mth partition. As seen from Fig. 1, M IFFTs
are required to calculate x  , which results in high computational complexity. Therefore, the
number of partitions (M) is restricted to 4 [8,14]. To find the OFDM signal x  with lowest
PAPR the following optimization criterion is utilized

o o o
[b(0) b(1)...b(M − 1)] = arg min max |x  | (8)
[b(0) b(1)... b(M−1)] 0≤n≤N −1

o o o
where [b(0) b(1) . . . b(M−1)] are the optimized phase rotation factors. In order to reduce the
computational complexity incurred due to the large number of additions and multiplications
involved in computation of x  , phase factors b(m) should be pure rotational, and therefore
must be chosen from the set B = {1, j, −1, − j}, here b(m) ∈ B.
o o o
In conventional PTS scheme [8] the information about [b(0)b(1) . . . b(M − 1)] must be
conveyed to the receiver for every OFDM symbol. Therefore, some redundant bits per OFDM
symbol are required to encode the SI into straight binary code, which results in loss of data
rate in OFDM system. The data rate loss will be further increased if any error control coding
technique like convolution or block code etc. is used for encoding the side information.

4 Selected Mapping and Generation of Phase Sequence Set

SLM is another promising, distortion-less PAPR reduction technique first described by Bäuml
et al. [7]. The block diagram of conventional SLM scheme is shown in Fig. 2. In this scheme, a
block of N modulated data symbols {X k }, 0 ≤ k ≤ N −1 is multiplied with a phase sequence

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Generalized M-2M Mapping Scheme

X(0)

N-IFFT
b(0)
X(1)
Partition N-IFFT
Division x’
X o , X1 ,…, XN-1 into block b(1)
and serial to
into
sub
+
parallel
blocks
conversion
X(M-1)

N-IFFT

b(M-1)

Phase Optimization SI

Fig. 1 Block diagram of conventional PTS-OFDM transmitter

1
Partition P
Into x1
IFFT
Blocks 2 Select
P
And x2 One
X IFFT o
Serial With xu
X0 , X1, ...,XN-1
To Minimum
Parallel U PAPR
P
Conversion xU
IFFT

Fig. 2 Block diagram of SLM-OFDM transmitter

set containing U phase vectors of length N to generate U independent data sequences.

Mathematically,
X ku = X k · Pku , 1 ≤ u ≤ U & 0 ≤ k ≤ N − 1 (9)
u N −1 , 1 ≤ u ≤ U has a length N and its elements, i.e. phase
Here, each phase  k }k=0
 vector {P 
j2πl
factors, Pku ∈ φl = exp W | 0 ≤ l ≤ W − 1 , where W denotes the total number
of phase factors. The generated U independent data sequences are represented by X u =
N −1
{X ku }k=0 , 1 ≤ u ≤ U and the corresponding discrete time domain OFDM signals x u , 1 ≤
u ≤ U are obtained as follows
N −1  
1  u j2πkn
x u [n] = √ X k exp , 0 ≤ n ≤ N − 1, 1 ≤ u ≤ U (10)
N N
k=0

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o
From these candidates, the transmitter selects one of the signals x u with the lowest PAPR for
transmission where [7]
o  
x u = arg min P A P R x u (11)
1≤u≤U

o o
where u, 1 ≤ u ≤ U is the index phase vector in the phase sequence set that provides the
o
lowest PAPR. To transmit u, log2 (U ) bits are required to encode the side information using
straight binary code. The SI bits are extremely important for data recovery and it may be
o
necessary to allocate few redundant bits to ensure accurate recovery of u.
The PAPR reduction capability of SLM based scheme mainly depends on the selection
of a phase sequence set. In [16], for W = 4, a phase sequence set is generated randomly
from phase set {±1, ± j} for achieving good PAPR reduction capability but, it requires large
number of bits to encode the SI. There are W N possible combinations of phase sequences;
therefore, log2 (W N ) bits per OFDM symbol are required to encode the SI, which results in
high data rate loss. In [17], the PAPR reduction is performed by choosing Hadamard matrix
as phase sequence set but, its PAPR reduction capability is very limited.
The binary chaotic sequence based phase sequence set generation scheme is proposed
in [18], its PAPR reduction capability is better than Hadamard sequence [17] and Shapario-
Rudin [18] sequence. The PAPR reduction capability of SLM-OFDM system has been further
improved by using rows of Riemann matrix as a phase sequence [19]. But in [11,20] it has been
shown that SER performance of [19] degrades by increasing the number of phase sequences.
In [11] it has been shown that modified chaotic sequence has consistent BER performance
and also provides good PAPR reduction capability over standard OFDM, Hadamard sequence
and modified Hadamard sequence [11]. Here, we briefly discuss the modified binary chaotic
sequence based phase sequence set generation.
A binary chaotic sequence [18] is a random non-periodic, non-converging sequence. A
binary chaotic sequence C = {Cn , 0 ≤ n ≤ N − 1}, of length N is generated by

Cn = yn+1  , 0≤n ≤ N −1 (12)

where, w denotes the greatest integer not exceeding w and

yn+1 = f (yn ) = 1 − λyn2 , 0 ≤ n ≤ N − 1, λ ∈ [1.4015, 1.99], yn ∈ (−1, 1) (13)

It is evident that binary chaotic sequence described by (12) and (13) results in Cn ∈ {1, −1}.
Here, a modified binary chaotic sequence {G n , 0 ≤ n ≤ N − 1} is generated by replacing
the elements Cn = −1 by j. Therefore, G n ∈ {1, j}.
The sequence {G n , 0 ≤ n ≤ N − 1} serves as the first phase sequence P 1 i.e. Pk1 =
G k ; 0 ≤ k ≤ N − 1. The u th phase sequence P u , 2 ≤ u ≤ U is obtained from P 1 after u − 1
right circular shifts.

5 M-2M Mapping for PTS and SLM Based Schemes

In this section, we first illustrate the proposed M-2M mapping scheme in detail and discuss
its coupling with SLM and PTS based OFDM systems. In order to illustrate the principle and
steps of the proposed mapping scheme, we consider the example of quaternary to 8-QAM and
quaternary to 8-PSK mapping. After that we generalize the method for higher modulations.

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Generalized M-2M Mapping Scheme

3 Im

0"

1
1
1"
2 0 Re
0

3
-1
3"

-2

-3 2"

-3 -2 -1 0 1 2 3

Fig. 3 Quaternary to 8-QAM mapping

Table 1 Quaternary data to 8-QAM constellation mapping

Quaternary data Mapped constella- Constellation symbols X k after multiplication with phase
tion points (X k ) factors (1, j)

Phase factor (1) Phase factor (j)

√ √ √
0 ( 3 + 1) + j 0 ( 3 + 1) + j 0 0 + ( 3 + 1)j
1 1 + j1 1 + j1 −1 + j 1
√ √ √
2 −( 3 + 1) − j 0 −( 3 + 1) − j 0 0 − ( 3 + 1)j
3 −1 − j 1 −1 − j 1 1 − j1

5.1 Quaternary to 8-QAM Mapping Scheme

In this scheme first binary bit stream is transformed into quaternary data points (0, 1,
2 and 3), which are then initially mapped to four distinct points of 8-QAM constellation,
in such a way that, they cover all eight points of 8-QAM after multiplication with phase
rotation factors (1, j). As shown in Fig. 3 and Table 1, the quaternary data points 0, 1, 2 and
√ √
3 are initially mapped to ( 3 + 1) + j0, 1 + j1, −( 3 + 1) − j0 and −1 − j1 and these are
indicated by circle, star, square and triangle, respectively. The initially mapped constellation
√ √
points {( 3 + 1) + j0, 1 + j1, −( 3 + 1) − j0, −1 − j1)} after multiplication with phase
√ √
rotation factor (j) are converted to {0 + ( 3 + 1)j, −1 + j1, 0 − ( 3 + 1) j, 1 − j1} and in
   
Fig. 3 these are denoted by 0 , 1 , 2 and 3 , respectively.
√
However, the positions of the initial mapped constellation points {( 3 + 1) + j0, 1 +
√
j1, −( 3 + 1) − j0, and −1 − j1} after multiplication with phase rotation factor (1), remain
unchanged. The two operations together can be seen as a mapping of one quaternary data point
to two possible constellation points, yielding eight distinct points of 8-QAM constellation.
Hence at the receiver, they can be decoded and de-mapped to recover the original data signal
without any side information. Hence, this scheme is an SI free scheme. Here, the reader is
bound to question the reason for this quaternary to 8-QAM mapping given in Table 1 and

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the choice of phase rotation factors (1, j), instead of conventional phase factors (1,−1). The
reason behind this mapping and the choice of the phase rotation factors (1, j) are given in sub
Sect. 5.1.1.

5.1.1 Selection Criteria for Quaternary to 8-QAM Mapping Using Phase Rotation
Factors (1, j)

In this sub section, we first discuss the procedure of quaternary to 8-QAM mapping and
then the various possible mapping schemes to map quaternary data points over 8-QAM
constellation using phase rotation factors (1, j) and (1, −1). All of these mapping schemes
are considered as examples to justify the choice of quaternary to 8-QAM mapping using
(1, j) as phase factors and to show the unsuitability of the phase rotation factors (1, −1)
for any quaternary to 8-QAM mapping to achieve PAPR reduction. The quaternary to
8-QAM mapping, proposed in the previous section is designed to keep in mind that half
of the initially mapped data points should have a phase difference of π radians with remain-
ing half of initially mapped points; this minimizes the peak formation in the resulting OFDM
signal [20].
When (1, j) are used as phase factors to map quaternary data over 8-QAM, the criteria for
choosing the set of four points (out of eight) for initial mapping of quaternary data may be
stated as follows:
• Any constellation point (P) can be picked randomly out of eight available points for
mapping of quaternary data 0.
• For a chosen point P, the constellation point located at a phase angle of π/2 radians is
eliminated from the choices of initial mapping of remaining three quaternary data points,
because it results after multiplication of point P with phase factor j and then it can be
mapped to the next constellation point.
• For a chosen point P, the constellation point located at π radians should be chosen for
initial mapping of any remaining quaternary data to avoid peak formation as discussed
above.
• Repeat the steps 2, 3 till all four quaternary data points initially map on the 8-QAM
constellation.
Reading the second column of Table 1 below X k , we can note that half of the initially mapped
√
constellation points {( 3 + 1) + j0, 1 + j1} have a phase difference of π radians with the
√
remaining half of the initially mapped constellation points {−( 3 + 1) − j0, −1 − j1)}.
The initial mapped constellation points are found to lie on the vertices of a parallelogram.
If we follow the above criteria to map the quaternary data points over 8-QAM constellation
using phase factors (1, j) then many such mapping schemes are possible but all of them are
nothing but flipped and/or rotated versions of the scheme presented in Fig. 3, one such case
is presented in Fig. 4a.
When (1, −1) are used as phase factors to map quaternary data over 8-QAM, the design
criteria would change to:
• Any constellation point (P) can be picked randomly out of eight available points for
mapping of quaternary data 0.
• For a chosen point P, the constellation point located at a phase angle of π radians is
eliminated from the choices of initial mapping of remaining three quaternary data points,
because it results after multiplication of point P with phase factor −1.
• For a chosen point P, the next quaternary data point can be mapped to any of the remaining
constellation points.

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Generalized M-2M Mapping Scheme

3 Im 3 Im
1 1
2 2
0 3"
1 1
0" 2
1" 3" Re
0" 0 Re
0 0

2 3
1 -1
2"
2"
2 -2

3
3 -3 1"

-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
(a) (b)
3 Im 3 Im
2 2
2 2

1 1
1 1
3 3"
0" 0 Re 0" 0 Re
0 0

1" 1"
-1 1
3" 3

-2 2

-3 2" 3 2"
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
(c) (d)
Fig. 4 Quaternary to 8-QAM constellation mapping and effect of phase rotations. (a) Proposed M-2M map-
ping scheme. (b) Quadrilateral mapping-1. (c) Quadrilateral mapping-2. (d) Quadrilateral mapping-3

• Repeat the steps 2, 3 till all four quaternary data points initially map on the 8-QAM
constellation.

Few possible schemes to map quaternary data points over 8-QAM constellation using
the above criteria are presented in Fig. 4b–d. We call these schemes as “Quaternary to
8-QAM quadrilateral(1)”, “Quaternary to 8-QAM quadrilateral(2)” and “Quaternary to
8-QAM quadrilateral(3)”, respectively. Any other mapping schemes using (1,−1) are found
to be flipped and/or rotated versions of the schemes shown in Fig. 4b–d.
In all of the mapping schemes shown in Fig. 4b–d, the quaternary data is initially mapped
to four different points of 8-QAM constellation and these are denoted by 0, 1, 2 and 3,
respectively. In all of these mapping schemes (1,−1) are chosen as phase rotation factors to
map quaternary data over 8-QAM, no two initially mapped constellation points are having a
phase difference of π radians between them.
A constellation point lying at a phase angle of π radians from any initially mapped
constellation point cannot be chosen as the initially mapped constellation point because it
is obtained after multiplication with a phase factor (−1). Therefore, all mapping schemes
presented in Fig. 4b–d violate the fact that half of initially mapped constellation points have a

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phase difference of π radians with remaining half of the initially mapped constellation points
and therefore, result in large peak formation as compared to the proposed mapping scheme
using (1, j) as phase rotation factors. Hence, all such cases are found unsuitable for quaternary
to 8-QAM mapping. It can be seen from Fig. 4c and d, the initially mapped quaternary data
points lie on the vertices of a quadrilateral having same shape, therefore they should have
identical PAPR performance.
To evaluate the PAPR performance of the mapping schemes presented in Fig. 4a–d, we
have performed computer simulation in MATLAB environment. Here, we have considered
an OFDM system in which quaternary data is initially mapped to four different points of
8-QAM using any one of the mapping schemes presented in Fig. 4a–d and no PAPR reduc-
tion scheme is utilized. In Fig. 5, the PAPR performances of the mapping schemes presented
in Fig. 4a–d are denoted by “Proposed M-2M Mapping (without reduction)”, “Quaternary to
8-QAM quadrilateral(1)”, “Quaternary to 8-QAM quadrilateral(2)” and Quaternary to
8-QAM quadrilateral(3) respectively.
As expected the PAPR performance denoted by “Quaternary to 8-QAM quadrilateral(2)”
and “Quaternary to 8-QAM quadrilateral(3)” are exactly same and both of them are found
to have the worst performances among all the four cases. The PAPR performance denoted
by “Quaternary to 8-QAM quadrilateral(1)” is found to be better than that of “Quaternary to
8-QAM quadrilateral(2)” and “Quaternary to 8-QAM quadrilateral(3)”. The PAPR perfor-
mance of proposed quaternary to 8-QAM mapping using (1, j) as phase rotation factors
is found to be the best and it is almost same as that of the standard OFDM system with
same number of subcarriers. Hence, phase rotation factors (1, j) are found suitable to map
quaternary data over 8-QAM in comparison to (1,−1).

5.2 Quaternary to 8-PSK Mapping Scheme

In this mapping scheme also, the original bit stream is first converted into quaternary data
points (0, 1, 2 and 3) and then these are mapped to constellation points of 8-PSK using phase
rotation factors (1, j). As shown in Fig. 6 and Table 2, the quaternary data points 0, 1, 2 and 3
are mapped to {1 + j0, 0.707 + j0.707, −1 + j0, −0.707 − j0.707}, and these are indicated
by circle, square, diamond and triangle, respectively. The initially mapped constellation
points {1 + j0, 0.707 + j0.707, −1 + j0, −0.707 − j0.707}, after multiplication with phase
rotation factor j, are converted to {0 +j, −0.707+j0.707, 0 −j, 0.707−j0.707}, respectively.
In Fig. 6 these are denoted by 0 , 1 , 2 and 3 , respectively whereas, the location of initially
mapped constellation points, after multiplication with phase factor 1, remains unchanged.
Also, this operation can be seen as mapping of one quaternary data point over two distinct
8-PSK constellation points. Hence, at the receiver they can be decoded and de-mapped to
recover the original data without any SI. In [11] the reasons behind this quaternary to 8-PSK
mapping of Table 2 are discussed in detail.

5.3 Extension to Higher Order Modulations

The proposed M-2M mapping can also be applied to higher order modulation schemes. In
Table 3 and Fig. 7a, we have presented an octal to 16-QAM mapping scheme. The octal data
points are initially mapped to eight distinct points of 16-QAM constellation denoted by 0, 1,
2,. . ., 6 and 7. These points after multiplication with phase rotation factor j are converted to
0 , 1 , 2 , . . ., 6 and 7 , and cover the remaining eight points of 16-QAM constellation.
The mapping scheme for octal to 16-PSK is given in Table 4 and shown in Fig. 7b.
Here, initially mapped octal data points are denoted by 0, 1, 2,…, 6 and 7 and these after

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0
10

Proposed M-2M Mapping (without reduction)

Quaternary to 8-QAM quadrilateral(1)
CCDF (Pr[PAPR>PAPR0]) Quaternary to 8-QAM quadrilateral(2)
Quaternary to 8-QAM quadrilateral(3)
-1
10

-2
10

-3
10
6 8 10 12 14 16 18 20 22
PAPR0 [dB]
Fig. 5 Comparison of PAPR performance for quaternary to 8-QAM mapping using phase factors (1, j) and
(1,−1)

Fig. 6 Quaternary to 8-PSK mapping

Table 2 Quaternary data to 8-PSK constellation mapping

Quaternary data Mapped constella- Constellation symbols X k after multiplication with phase
tion points (X k ) factors (1, j)

Phase factor (1) Phase factor (j)

0 1 + j0 1 + j0 0+j
1 0.707 + j0.707 0.707 + j0.707 −0.707 + j0.707
2 −1 + j0 −1 + j0 0−j
3 −0.707 − j0.707 −0.707 − j0.707 0.707 − j0.707

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Table 3 Octal data to 16-QAM constellation mapping

Octal data Mapped constella- Constellation symbols X k after multiplication with phase
tion points (X k ) factors (1, j)

Phase factor (1) Phase factor (j)

0 1 + j1 1 + j1 −1 + j 1
1 3 + j3 3 + j3 −3 + j 3
2 −1 + j 3 −1 + j 3 −3 − j 3
3 −3 + j 1 −3 + j 1 −1 − 3 j
4 −1 − j 1 −1 − j 1 1 − j1
5 −1 − j 3 −1 − j 3 3 − j1
6 1 − j3 1 − j3 3 + j1
7 3 − j1 3 − j1 1 + j3

5 8
Im
Im
4 6
4 0" 15" 3
1" 2 7" 1
3
4 14" 12"
2
3" 5 6 2

3 0" 0 6" 2
1 7 2" 1" 1 13" 0
Re Re
0 0
8 6" 9 9" 10" 15
2" 4 4" 7
-1 -2
4" 5" 10 13 14 11"
-2
5 3" 6 5" -4 12
11 7" 8"
-3
-4 -6

-5 -8
-5 -4 -3 -2 -1 0 1 2 3 4 5 -8 -6 -4 -2 0 2 4 6 8
(a) (b)

1.5
Im
2 7"
0"
1
1
1"
6"
0.5
3

4 0 Re
0
7
2"
-0.5
5 5"
6
3" 4"
-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5
(c)
Fig. 7 (a) Octal to 16-QAM mapping. (b) Hexadecimal to 32-QAM mapping. (c) Octal to 16-PSK mapping

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Generalized M-2M Mapping Scheme

Table 4 Octal data to 16-PSK mapping using (1, j) as phase rotation factors

Octal data Mapped constella- Constellation symbols X k after multiplication with phase
tion points (X k ) factors (1, j)

Phase factor (1) Phase factor (j)

0 1 + j0 1 + j0 0 + j1
1 0.707 + j0.707 0.707 + j0.707 −0.707 + j0.707
2 −0.383 + j 0.924 −0.3831 + j 0.924 −0.924 − j 0.383
3 −0.924 + j 0.383 −0.924 + j 0.383 −0.383 − j 0.924
4 −1 − j 0 −1 − j 0 0 − j1
5 −0.707 − j0.707 −0.707 − j0.707 0.707 − j0.707
6 0.383 − j 0.924 0.383 − j 0.924 0.924 + j 0.383
7 0.924 − j 0.383 0.924 − j0.383 0.3831 + j 0.924

Table 5 Hexadecimal data to

Hex data Mapped constella- Constellation symbols X k after multi-
32-QAM constellation mapping
tion points (X k ) plication with phase factors (1, j)

Phase factor (1) Phase factor (j)

0 1+j 5 1+j 5 −5 + j 1
1 1+j 1 1+j 1 −1 + j 1
2 1+j 3 1+j 3 −3 + j 1
3 3+j 5 3+j 5 −5 + 3 j
4 −3 + j 5 −3 + j 5 −5 − j 3
5 −3 + j 3 −3 + j 3 −3 − j 3
6 −1 + j 3 −1 + j 3 −3 − j 1
7 −5 + j 1 −5 + j 1 −1 − j 5
8 −5 − j 1 −5 − j 1 1 − 5j
9 −1 − j 1 −1 − j 1 1 − j1
10 −1 − j 3 −1 − j 3 3 − j1
11 −3 − j 5 −3 − j 5 5 − 3j
12 3 − j5 3 − j5 5 − j3
13 1 − j3 1 − j3 −3 − j 1
14 3 − j3 3 − j3 −3 − j 3
15 5 − j1 5 − j1 −1 − j 5

multiplication with factor j get converted to 0 , 1 , 2 ,…, 6 and 7 to cover the remaining
eight points of 16-PSK constellation.
For hexadecimal data, a similar mapping scheme shown in Table 5 and Fig. 7c can be
used for hexadecimal to 32-QAM mapping.
In all these mapping schemes, half of the initial mapped constellation points have a phase
difference of π radians with the remaining half of initially mapped constellation points, to
avoid peak formation.

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Table 6 De-mapping of 8-QAM constellation symbols to quaternary data points

Demodulated constellation symbols De-mapped constellation Recovered quaternary

point data
√ √ √
{( 3 + 1) + j 0, 0 + ( 3 + 1) j} ( 3 + 1) + j 0 0
{1 + j 1, −1 + j 1} 1 + j1 1
√ √ √
{−( 3 + 1) − j 0, 0 − ( 3 + 1) j} −( 3 + 1) − j 0 2
{−1 − j 1, 1 − j 1} −1 − j 1 3

Table 7 De-mapping of 8-PSK constellation symbols to quaternary data points

Demodulated constellation symbols De-mapped constellation Recovered quaternary

point data

{1 + j0, 0 + j} 1 + j0 0
{0.707 + j0.707, −0.707 + j0.707} 0.707 + j0.707 1
{−1 + j0, 0 − j} −1 + j0 2
{−0.707 − j0.707, 0.707 − j0.707} −0.707 − j0.707 3

5.4 M-2M De-Mapping Scheme

At the receiver, after subcarrier demodulation, an M-2M de-mapping scheme is used to

recover the M-ary data signal and then binary data signal is obtained using M-ary to binary
decoder. Quaternary to 8-QAM mapping scheme is a special case of M-2M mapping for
2M-ary QAM modulation with M = 4. The de-mapping of 8-QAM constellation points is
performed using Table 6 to recover the quaternary data points. According to the Table 6,
√ √
if any of the received data point is demodulated as {( 3 + 1) + j0, 0 + ( 3 + 1)j}, {1 +
√ √
j1, −1 + j1}, {−( 3 + 1) − j0, 0 − ( 3 + 1)j} or {−1 − j1, 1 − j1} then these are de-mapped
to quaternary data 0, 1, 2 or 3, respectively. Decoding of received data signal does not require
any information about the phase rotation factors thus eliminating the major constraint of PTS
and SLM techniques, i.e. the need of SI transmission.
Similarly, for quaternary to 8-PSK mapping scheme, as shown in Fig. 6, the de-mapping
of received data symbols are performed using Table 7 to recover the quaternary data points.
According to Table 7, if any of the received data point is demodulated as {1 + j0, 0 +
j1}, {0.707+j0.707, −0.707+j0.707}, {−1+j0, 0−j1} or {−0.707−j0.707, 0.707−j0.707}
then, they are de-mapped to quaternary data 0, 1, 2 or 3, respectively. In this de-mapping
scheme also, no SI is required to recover the quaternary data signal, hence, it completely
eliminates the transmission of SI in SLM and PTS based OFDM systems.
For other higher modulation schemes, as shown in Fig. 7a–c, a similar de-mapping scheme
as discussed above can be used to recover the M-ary data signal from 2M-ary demodulated
symbols.

5.5 Coupling of M-2M Mapping Scheme with Conventional SLM and PTS Methods

In order to combine the proposed mapping scheme with conventional SLM or PTS method,
the binary data input is first converted into M-ary data and then proposed M-2M mapping
is applied to initially map the M data points to the selected constellation points of 2M-ary

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Table 8 Variance of correlation

N = 64 N = 256
(VC) for Hadamard, SR and
Chaotic sequences
Hadamard sequence 1.09∗ 10−2 2.7∗ 10−3
Shapario–Rudin sequence 2.0∗ 10−3 5.4491∗ 10−4
Chaotic sequence 1.9376∗ 10−4 1.2574∗ 10−5

modulation scheme as discussed in Sects. 5.1, 5.2 and 5.3. After that conventional SLM or
PTS scheme is applied to reduce the PAPR of the OFDM signal. SLM or PTS based scheme
using proposed M-2M mapping scheme uses two phase rotations factor (1, j), whereas,
conventional SLM or PTS uses (1,−1) as phase factor.
If the proposed M-2M mapping scheme is to be coupled with PTS having four partitions
then a total of 8 iterations per OFDM symbol are required to obtain an OFDM signal with
minimum PAPR.
The PAPR reduction capability of SLM-OFDM system mainly depends on generation
of phase sequence set and total number of phase sequences contained in it. To achieve
good PAPR reduction capability using SLM based PAPR reduction scheme with proposed
M-2M mapping, in this paper, phase sequence set is generated using modified binary chaotic
sequence described in Sect. 4. The total number of phase sequences (U ) in a phase sequence
set can be varied to achieve desired PAPR reduction capability.
At the receiver to eliminate the requirement of SI, M-2M de-mapping scheme is used to
de-map 2M constellation points to M-ary data points.

6 Results and Discussion

In this paper we have considered an OFDM system with N = 256 data subcarriers and a
cyclic prefix of length 1/32 OFDM symbol duration is utilized to mitigate the effect of ISI.
We have used computer simulations to evaluate the PAPR and BER performances of the
scheme under consideration. In order to get good PAPR estimate, 10,000 OFDM symbols
and an oversampling factor α = 4 are considered in all simulations. For PTS based schemes
(including proposed scheme), 4 partitions using adjacent partitioning scheme are considered
to evaluate the PAPR performance. PTS-OFDM system with two phase factors (1, j), requires
8 iterations per OFDM symbol to get an OFDM signal with minimum PAPR. As mentioned in
[18], the PAPR reduction capability of SLM-OFDM system mainly depends on the correlation
between alternative sequences generated by SLM, lower is the value of correlation the better
is the PAPR reduction. We have also used variance of correlation (VC) as a metric to select
the phase sequence set to achieve the best PAPR reduction capability in SLM-OFDM. It can
be observed from Table 8 that chaotic sequence has lower variance of correlation as compared
to Hadamard and Shapario-Rudin sequence. Therefore, we have used chaotic sequence based
phase sequence set generation scheme to generate alternative OFDM signals.
The PAPR performances of the mapping schemes starting with quaternary, octal and
hexadecimal data are presented in Figs. 8, 9 and 10 respectively. The BER performances of
the mapping schemes under consideration are evaluated over AWGN and Stanford University
Interim (SUI)-5 fading channel and their performances are shown in Figs. 11 and 12 respec-
tively. The MPSM scheme of [14] starts with quaternary data points mapping, therefore, its
PAPR reduction and BER performances are compared with the proposed quaternary to 8-
QAM and quaternary to 8-PSK mapping schemes. Figure 8 shows the PAPR performance of

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0
10
Quat. to 8-QAM Using PTS
Orignal OFDM
Quat. to 8-QAM Using SLM
CCDF (PR(PAPR>PAPR0)) Quat. to 8-PSK Using PTS
Quat. to 8-PSK Using SLM
MPSM-PTS
-1
10 MPSM-SLM (U=8)

-2
10

-3
10
6 6.5 7 7.5 8 8.5 9 9.5 10 10.5 11
PAPR0 (dB)
Fig. 8 PAPR performance of mapping schemes starting with quaternary data

0
10
Octal to 16-QAM Using PTS
Original OFDM
Octal to 16-QAM Using SLM
Octal to 16-PSK Using PTS
CCDF (PR(PAPR>PAPR0))

Octal to 16-PSK Using SLM

-1
10

-2
10

-3
10
6 6.5 7 7.5 8 8.5 9 9.5 10 10.5 11
PAPR0 (dB)
Fig. 9 PAPR performance of mapping schemes starting with octal data

original OFDM system (without PAPR reduction), MPSM, proposed quaternary to 8-QAM
and quaternary to 8-PSK mapping for both SLM and PTS-OFDM system. As seen from
Fig. 8, the PAPR reduction capability of PTS based PAPR reduction scheme with proposed
quaternary to 8–QAM mapping is slightly better than that of MPSM and proposed quaternary
to 8-PSK mapping scheme. Whereas, PAPR reduction capabilities of SLM-OFDM system
using MPSM, proposed quaternary to 8-QAM or quaternary to 8-PSK mapping schemes are
almost same. SLM and PTS-OFDM using proposed quaternary to 8-QAM mapping provide
PAPR reduction capabilities of 2.4 and 2 dB, respectively for a complementary cumulative

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Generalized M-2M Mapping Scheme

0
PAPR Performance for HEX to 32-QAM Mapping
10
Hex to 32-QAM Using PTS
Orignal OFDM
Hex to 32-QAM Using SLM(U=8)
CCDF (PR(PAPR>PAPR0))

-1
10

-2
10

-3
10
6 6.5 7 7.5 8 8.5 9 9.5 10 10.5 11
PAPR0 (dB)
Fig. 10 PAPR performance of mapping schemes starting with hexadecimal data

Quaternary to 8-QAM
-1 Octal to 16-QAM
10
HEX to 32-QAM
MPSM
Quaternary to 8-PSK
Octal to 16-PSK

-2
10
BER

-3
10

-4
10
2 4 6 8 10 12 14 16
Eb/N0 (dB)
Fig. 11 BER performance comparison over AWGN channel

distribution function (CCDF) = 10−3 , in comparison to original OFDM signal, which is

almost same as the PAPR reduction capability of conventional PTS-OFDM system with two
phase factors [8]. In Figs. 11 and 12, we compare the BER performances of the aforesaid
methods over AWGN and 3-tap SUI-5 fading channel. To achieve a BER = 10−4 , the
proposed quaternary to 8-QAM and quaternary to 8-PSK mapping schemes require about 2
and 0.8 dB less E b /No respectively, than MPSM. The main reason behind this performance
gain achieved by proposed scheme is that it extends the constellation size by a factor of 2,
whereas, MPSM extends the constellation size by a factor of 4.

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 A. Goel et al.

Quaternary to 8-QAM
-1
10 Octal to 16-QAM
HEX to 32-QAM
MPSM
Quaternary to 8-PSK
Octal to 16-PSK

-2
10
BER

-3
10

-4
10
2 4 6 8 10 12 14 16 18 20
Eb/N0 (dB)
Fig. 12 BER performance comparison over SUI-5 fading channel

A comparison of the PAPR performances of mapping schemes starting with octal data
is shown in Fig. 9. In SLM and PTS based schemes, the PAPR reduction capability of the
proposed octal to 16-QAM mapping is about 0.4 dB better than that of the proposed octal data
to 16-PSK mapping. At the same time its BER performance over AWGN and SUI-5 fading
channel is also about 4 dB better than that of the proposed octal to 16-PSK mapping scheme.
SLM and PTS based PAPR reduction schemes using the proposed octal to 16-QAM mapping
provide a PAPR reduction capabilities of 2.7 and 2.2 dB, respectively for a CCDF = 10−3
over original OFDM signal, which is comparable with the PAPR reduction capability of
conventional PTS-OFDM system with two phase factors [8].
A comparison of PAPR performances of SLM and PTS based method using proposed
hexadecimal data to 32-QAM mapping with original OFDM signal is presented in Fig. 10.
The proposed hexadecimal to 32-QAM mapping in SLM and PTS based method provide a
PAPR reduction of 2.4 and 2.1 dB, respectively for a CCDF = 10−3 , over the original OFDM
signal.
In all mapping scheme, the PAPR reduction capability of SLM-OFDM system is better
than that of equivalent PTS-OFDM system. The justification of this PAPR performance loss
in PTS-OFDM system is given as under:
In PTS-OFDM system, the IFFT and multiplication by phase rotation factors operations
are commutative and can be mutually interchanged. Therefore, without any loss of generality
it can be assumed that multiplication with phase factors can be applied before IFFT operation
i.e. directly on the constellation symbols. Hence, PTS-OFDM signal can be viewed as SLM-
OFDM signal in which phase rotation on constellation symbols is applied in groups. A
PTS-OFDM system with M partitions when viewed as SLM-OFDM signal, all subcarriers
of m th group, 0 ≤ m ≤ M − 1 are multiplied with same phase rotation factor and therefore
resulting higher value of VC in comparison to SLM-OFDM system using Hadamard and
chaotic sequence. Hence, PAPR reduction capability of PTS-OFDM system is found to be
poorer than that of SLM-OFDM system using modified Hadamard and modified chaotic
sequences.

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Generalized M-2M Mapping Scheme

In conventional SLM or PTS-OFDM systems the SI has to be recovered from received data
signal, which is further used to recover the original data signal. But in case of SI corruption,
the entire OFDM symbol can be erroneously detected and therefore results in large BER
performance degradation [7,8], whereas MPSM and the proposed mapping schemes are
free from SI and therefore, no such BER performance degradation takes place. The only
price paid for the advantages provided by the proposed mapping scheme is the performance
loss that results from increased constellation size (points). The BER performance of the
M-2M mapping scheme degrades by increasing the value of M because it results in higher
constellation size.
In SLM scheme, for U = 8, the PAPR reduction capabilities of the MPSM, proposed
quaternary to 8-QAM and quaternary to 8-PSK are, almost same and the computational
complexity of all quaternary data mapping scheme is also equal.
MPSM utilizes four phase rotation factors (1, j, −1, −j) to map the quaternary data to
16-QAM constellation, which results in more number of constellation points than the pro-
posed quaternary to 8-QAM and quaternary to 8-PSK utilizing two phase rotation factors
(1,j), therefore, the BER performance is worse in case of MPSM. In MPSM, the choice of
four rotation factors (1, j, −1, −j) does not provide any gain in the PAPR reduction capa-
bility over the proposed scheme using only two phase rotation factors. However, the choice
of four rotation factors result in larger constellation mapping in comparison to the choice
of two phase factors, which results in more BER performance degradation in comparison to
the proposed scheme. Hence, for SLM-OFDM, the choice of more than two phase rotation
factors is not beneficial from PAPR reduction point of view. Therefore, M-2M mapping is
a better choice in comparison to MPSM to eliminate the requirement of SI in SLM-OFDM
system.

7 Conclusion

In this paper, a novel M-2M mapping scheme is proposed for SLM and PTS based methods
for PAPR reduction in OFDM system. The M-2M mapping scheme completely eliminates
the requirement of SI like MPSM. Therefore, proposed M-2M mapping scheme improves
the bandwidth efficiency of the OFDM system in comparison to the conventional SLM and
PTS schemes, where SI is required to be transmitted with every OFDM symbol. The M-2M
mapping scheme is a generalized mapping scheme, which can be applied to any type of
data (quaternary, octal, hexadecimal etc). The proposed M-2M mapping offers good PAPR
reduction capability, similar to existing MPSM scheme. The BER performances of SLM- and
PTS-OFDM utilizing M-2M mapping scheme is more than 1.5 dB better than that of MPSM
scheme, owing to the fact that there is a four-fold constellation extension in MPSM. The
SLM and PTS based methods using proposed mapping scheme provide a PAPR reduction of
more than 2 dB over the conventional OFDM signal. The PAPR performance of SLM-OFDM
system with modified chaotic sequence is better than that of equivalent PTS-OFDM system.

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Author Biographies

Ashish Goel was born in Rampur, India on January 1, 1979. He

received his B.Tech. degree in Electronics and Communications Engi-
neering from Institute of Engineering Technology Bareilly, India in
year 2002. He has received his M.Tech. and Ph.D. degrees from
Jayapee Institute of Information Technology, Noida, India in year
2004 and 2013 respectively. He joined, ECE department of Jayapee
Institute of Information Technology, Noida as a faculty member
in year 2004. His research interests include high speed
wireless communication systems; channel coding, MIMO-OFDM,
Mobility Management and Cryptography.

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Generalized M-2M Mapping Scheme

Prerana Gupta was born in Delhi, India on October 14, 1981. She
received her B.Tech. degree in Electronics and Communications Engi-
neering from Indira Gandhi Institute of Technology (GGSIPU), New
Delhi, India. She received her Ph.D. degree from Indian Institute
of Technology Roorkee. She joined Electronics & Communication
Engineering Department of Jaypee Institute of Information Technol-
ogy, Noida as Assistant Professor in year 2009. Her research inter-
ests include channel estimation and equalization techniques in doubly
selective systems, channel coding and MIMO-OFDM.

Monika Agrawal was born in Dehradun, India. She received the

B.Tech. degree in Electrical Engineering and the M.Tech. degree in
Electronics and Communication Engineering from the Regional Engi-
neering College, Kurukshetra, India, and the Ph.D. degree from the
Indian Institute of Technology, New Delhi, India, in 1993, 1995, and
2000, respectively. She was employed with Hughes Software Systems
(HSS), Gurgaon, India from 1999 to 2002. During 2001 she was a visit-
ing researcher in the Dept. of Systems and Control, Uppsala University,
Uppsala, Sweden. She joined C.A.R.E, I.I.T Delhi as Asst. Professor in
Jan.2003.

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