WC - Mod 3
WC - Mod 3
transmitter adapts its transmission mode in accordance with the channel. Depending on
the condition of the channel, the transmitter could be adapting one or more of the
following: constellation size, code rate, and power.
Optimization criterion:
Maximize throughput
2
Adaptive modulation systems invariably require some channel information at the transmitter.
This could be acquired in time division duplex systems by assuming the channel from the
transmitter to the receiver is approximately the same as the channel from the receiver to the
transmitter.
Alternatively, the channel knowledge can also be directly measured at the receiver, and fed back to
the transmitter.
Adaptive modulation systems improve rate of transmission, and/or bit error rates, by exploiting
Especially over fading channels which model wireless propagation environments, adaptive
modulation systems exhibit great performance enhancements compared to systems that do not
exploit channel knowledge at the transmitter.
3
In adaptive transmission we estimate the power gain or received SNR at time i and
The most common parameters to adapt are the data rate R[i], transmit power S[i], and
4
An estimate ˆg[i] of the channel power gain g[i] at time i is available to the receiver after
an estimation time delay of ie and that this same estimate is available to the transmitter
after a combined estimation and feedback path delay of id = ie + if .
The availability of this channel information at the transmitter allows it to adapt its
We assume that the feedback path does not introduce any errors, which is a reasonable
assumption if strong error correction and detection codes are used on the feedback
path.
The rate of channel variation will dictate how often the transmitter must adapt its
transmission parameters, and will also impact the estimation error of g[i].
5
There are many parameters that can be varied at the transmitter relative to the channel
gain .
This adaptive techniques associated with variation of the most common parameters:
data rate, power, coding, error probability, and combinations of these adaptive
techniques.
6
In variable-rate modulation the data rate R[γ] is varied relative to the channel SNR
γ.
This can be done by fixing the symbol rate Rs = 1/Ts of the modulation and using
In contrast, changing the constellation size or modulation type with a fixed symbol
rate is fairly easy, and these techniques are used in current systems.
7
If a discrete set of modulation types or constellation sizes are used, each value of γ is
mapped to one of the possible modulation schemes. This is done to maintain the BER below a
given value.
8
Adapting the transmit power alone is generally used to compensate for SNR variation due
to fading.
The goal is to maintain a fixed bit error probability or, equivalently, a constant
received SNR.
The power adaptation thus inverts the channel fading so that the channel appears as an
S(γ) σ
The power adaptation for channel inversion is given by = ,
S γ
σ equals the constant received SNR.
10
It is possible adapt the instantaneous BER subject to an average BER constraint P b’.
In fading channels the instantaneous error probability varies as the received SNR γ varies,
This is not considered an adaptive technique since the transmitter does not adapt to γ.
Thus, in adaptive modulation error probability is typically adapted along with some other
11
In adaptive coding different channel codes are used to provide different amounts of
coding gain to the transmitted bits.
For example. a stronger error correction code may be used when γ is small, with a
weaker code or no coding used when γ is large.
RCPC codes consist of a family of convolutional codes at different code rates Rc = k/n.
The basic premise of RCPC codes is to have a single encoder and decoder whose error
correction capability can be modified without transmitting certain coded bits
12
(puncturing the code).
RCPC codes have a rate-compatibility constraint so that the coded bits associated with a high-
rate (weaker) code are also used by all lower-rate (stronger) codes.
Thus, to increase the error correction capability of the code, the coded bits of the weakest code
are transmitted along with additional coded bits to achieve the desired level of error
correction.
The rate compatibility makes it very easy to adapt the error protection of the code, since the
same encoder and decoder are used for all codes in the RCPC family, with puncturing at the
transmitter to achieve the desired error correction.
Decoding is performed by a Viterbi algorithm operating on the trellis associated with the
lowest rate code, with the puncturing incorporated into the branch metrics.
Puncturing is a very effective and powerful adaptive coding technique, and forms the basis of
In this case joint optimization of the different techniques is used to meet a given
performance requirement.
efficiency.
sections.
14
Adaptive MQAM varies both the rate and the transmit power
to maximize the throughput under the constraint of fixed
average transmit power and the constraint of fixed
instantaneous BER
15
Quadrature amplitude modulation (QAM) is a popular scheme for high-rate, high bandwidth
efficiency systems.
𝑛 = 1,2, … , 𝑀2
The combined amplitude and phase modulation results in the simultaneous transmission of
log2 M1 M2 bits/symbol
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17
Adaptive modulation where the rate and power of MQAM is varied to maximize spectral
Basic idea: adapt at transmitter relative to channel fade level (borrows from capacity ideas).
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Adaptive modulation where the rate and power of MQAM is varied to maximize spectral efficiency
while meeting a given instantaneous Pb target.
Basic idea: adapt at transmitter relative to channel fade level (borrows from capacity ideas).
Parameters to adapt (degrees of freedom) include constellation size, transmit power, instantaneous
BER, symbol time, coding rate/scheme, and combinations.
Optimization criterion for adaptation is typically maximizing average rate, minimizing average
power, or minimizing average BER.
Constellation size and power adapted to maximize average throughput given an instantaneous BER
constraint.
BER bound BER(γ) = .2 exp[−1.5γP(γ)/((M − 1)S)] inverted to get adaptive constellation size M[γ]
below with K = −1.5/ln(5 · BER) that meets the BER constraint for any adaptive power policy P[γ]:
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Optimal power adaptation P(γ) found by maximizing average throughput E[log2 (M[γ])] =
E[log2 (1 + KγP(γ)/P) relative to P(γ).
Optimal power adaptation is the same waterfilling as the capacity-achieving strategy with an
effective power loss K.
Optimal rate adapation found by substituting optimal power adaptation into M(γ), yielding
R(γ) = log2 (γ/γK), γ > γK, where γK is cutoff value for the water-filling power policy.
Same optimal power and rate adaptation as the capacity-acheiving strategies with an
effective power reduction K = −1.5/ ln(5 · BER).
Throughput is within 5-6 dB of channel capacity. • Different modulations and BER bounds
result in different adaptive policies.
20
Constellation restricted to finite set {M0 = 0, M1, . . ., MN−1}
Power control based on channel inversion; maintains constant BER within region Rj.
Restricting the size of the constellation set in adaptive modulation leads to negligible
performance loss.
21
Additional coding gain can be achieved with adaptive modulation by superimposing trellis
Specifically, by using the subset partitioning inherent to coded modulation, trellis or lattice
codes designed for AWGN channels can be superimposed directly onto the adaptive
modulation with the same approximate coding gain.
The basic idea of adaptive coded modulation is to exploit the separability of code and
MQAM, since the channel coding gain is essentially independent of the modulation.
Therefore adjust the power and rate (number of levels or signal points) in the transmit
constellation relative to the instantaneous SNR without affecting the channel coding gain
22
23
Let Gc denote the coding gain of the coset code.
The source coding (modulation) works as follows. The signal constellation is a square lattice
with an adjustable number of constellation points M. The size of the MQAM signal
constellation from which the signal point is selected is determined by the transmit power,
which is adjusted relative to the instantaneous SNR and the desired BER.
24
25
Narrowband MIMO Model
A narrowband point-to-point communication system of Mt transmit and Mr receiver
26
Simply as y = Hx + n. Here x represents the Mt-dimensional transmitted symbol, n is the Mr-
dimensional noise vector, and H is the Mr × Mt matrix of channel gains hij representing the
gain from transmit antenna j to receive antenna i.
We assume a channel bandwidth of B and complex Gaussian noise with zero mean and
For simplicity, given a transmit power constraint P we will assume an equivalent model
with a noise power of unity and transmit power P/σ²n = ρ, where ρ can be interpreted as
the average SNR per receive antenna under unity channel gain.
or, equivalently, that Tr(Rx) = ρ, where Tr(Rx) is the trace of the input covariance matrix
Rx = E[xxT].
27
Different assumptions can be made about the knowledge of the channel gain matrix H at the
transmitter and receiver, referred to as channel side information at the transmitter (CSIT) and
channel side information at the receiver (CSIR), respectively.
For a static channel CSIR is typically assumed, since the channel gains can be obtained fairly
If a feedback path is available then CSIR from the receiver can be sent back to the transmitter to
provide CSIT.
When the channel is not known at either the transmitter or receiver then some distribution on
The most common model for this distribution is a zero-mean spatially white (ZMSW) model,
where the entries of H are assumed to be i.i.d. zero mean, unit variance, complex circularly
symmetric Gaussian random variables.
28
When both the transmitter and receiver have multiple antennas, there is another mechanism for
performance gain called multiplexing gain.
The multiplexing gain of a MIMO system results from the fact that a MIMO channel can be
decomposed into a number R of parallel independent channels. By multiplexing independent data
onto these independent channels, we get an R-fold increase in data rate in comparison to a system
with just one antenna at the transmitter and receiver. This increased data rate is called the
multiplexing gain.
In this section we describe how to obtain independent channels from a MIMO system.
Consider a MIMO channel with Mr × Mt channel gain matrix H known to both the transmitter and
the receiver.
Let RH denote the rank of H. From matrix theory, for any matrix H we can obtain its singular value
decomposition (SVD) as H = UΣV, where U and V are unitary matrices
29
The parallel decomposition of the channel is obtained by defining a transformation on the
channel input and output x and y through transmit precoding and receiver shaping.
In transmit precoding the input to the antennas x is generated through a linear transformation
on input vector 𝒙
as x = 𝑽𝑯 𝒙
.
Receiver shaping performs a similar operation at the receiver by multiplying the channel
The transmit precoding and receiver shaping transform the MIMO channel into RH
31
Channel capacity depends on what is known about the channel gain matrix or its distribution at
Throughout this section it is assumed that the receiver has knowledge of the channel matrix H.
The capacity is given in terms of the mutual information between the channel input vector x
The definition of entropy yields that H(Y|X) = H(N), the entropy in the noise.
Since this noise n has fixed entropy independent of the channel input, maximizing mutual
32
information is equivalent to maximizing the entropy in y.
The mutual information of y depends on its covariance matrix, which for the narrowband
maximized
The MIMO capacity is achieved by maximizing the mutual information over all input
covariance matrices Rx
We now consider this maximizing under different assumptions about transmitter CSI.
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a) Channel Known at Transmitter: Waterfilling
The MIMO channel capacity for a fixed channel matrix H known at the transmitter and receiver.
The capacity equals the sum of capacities on each of the independent parallel channels with the
transmit power optimally allocated between these channels. This optimization of transmit power
across the independent channels results from optimizing the input covariance matrix to maximize
the capacity formula.
The capacity can also be expressed in terms of the power allocation Pi to the ith parallel channel as
where ρi = Pi/σ²n and γi = σ²i P/σ²n is the SNR associated with the ith channel at full power.
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The water-filling power allocation is given by ,
Capacity under perfect CSIT and CSIR can also be defined on channels where there is a
single antenna at the transmitter and multiple receive antennas (single-input multiple-
output or SIMO) or multiple transmit antennas and a single receive antenna (multiple-input
single-output or MISO). These channels can only obtain diversity gain from the multiple
antennas.
The receiver knows the channel but the transmitter does not. Without channel information,
the transmitter cannot optimize its power allocation or input covariance structure across
antennas.
The best strategy should be to allocate equal power to each transmit antenna, resulting in an
ρ
input covariance matrix equal to the scaled identity matrix: Rx = IMt .
Mt 35
Mutual information given by,
Capacity,
Defining M = min(Mt, Mr), this implies that as M grows large, the MIMO channel capacity in the
In a static channel if the average mutual information is not known then the rate of transmission is
unknown.
In such case capacity is given by Outage capacity ( probability that transmitted data will not be
received correctly)
36
As SNR grows large, capacity also grows linearly with M = min(Mt,Mr) for any Mt and Mr.
These results are the main reason for the widespread appeal of MIMO techniques: even if the
channel realization is not known at the transmitter, the capacity of MIMO channels still grows linearly
with the minimum number of transmit and receiver antennas, as long as the channel can be
accurately estimated at the receiver.
Thus, MIMO channels can provide very high data rates without requiring increased signal power or
bandwidth.
At very low SNRs transmit antennas are not beneficial: capacity only scales with the number of
receive antennas independent of the number of transmit antennas.
Lack of CSIT does not affect the growth rate of capacity relative to M, at least for a large number of
antennas, it does complicate demodulation.
Specifically, without CSIT the transmission scheme cannot convert the MIMO channel into non-
interfering SISO channels. 37
2. FADING CHANNELS
Now that the channel gain matrix experiences flat-fading (H varies with time), so the gains hij
As in the case of the static channel, the capacity depends on what is known about the channel
There are two possibilities for allocating power under ergodic capacity.
Short term power constraint (Power associated with each channel realization must equal
38
A less restrictive constraint is a long-term power constraint, where we can use different
Long-term power constraint allows for two-dimensional water-filling across both space and
time.
Consider now a time-varying channel with random matrix H known at the receiver but not the
transmitter.
Outage capacity can be improved by not allotting power to one or more Tx antennas,
b) No CSI at the Tx or Rx
For general fading process, no multiplexing gain associated with multiple antennas when
there is no Tx or Rx CSI
40
In the case of flat fading channel ergodic capacity or the outage capacity is used
41
MIMO Systems can provide two types of gain
In this setting, the same symbol, weighted by a complex scale factor, is sent over each transmit
antenna, so that the input covariance matrix has unit rank. This scheme is also referred to as
MIMO beamforming*.
As indicated in the figure, the transmit symbol x is sent over the ith antenna with weight vi.
On the receive side, the signal received on the ith antenna is weighted by ui.
Both transmit and receive weight vectors are normalized so that ||u|| = ||v|| = 1. The resulting
y = u∗Hvx + u∗n,
*Unfortunately, beamforming is also used in the smart antenna to describe adjustment of the 43
transmit or receive antenna directivity in a given direction.
Beamforming provides diversity gain by coherent combining of the multiple signal paths.
y=u*Hvx + u*n
where if n = (n1, . . . , nMr ) has i.i.d. elements, the statistics of u∗n are the same as the
If H is known, the received SNR is optimized by choosing u and v as the principal left and
The corresponding received SNR can be shown to equal γ = λmaxρ, where λmax is the
When the channel is not known at the transmitter, the transmit antenna weights are all equal.
45
The previous sections suggest two mechanisms for utilizing multiple antennas to improve
One option is to obtain capacity gain by decomposing the MIMO channel into parallel channels
and multiplexing different data streams onto these channels. This capacity gain is also referred
to as a multiplexing gain/Spatial multiplexing.
However, the SNR associated with each of these channels depends on the singular values of the
channel matrix.
Alternatively, beamforming can be used, where the channel gains are coherently combined to
It has primarily focused on block fading channels with receiver CSI only .
When both transmitter and receiver know the channel the tradeoff is relatively
straightforward: grouped for diversity gain and then the multiplexing gain corresponds to the
new channel with reduced dimension due to the grouping.
For the block fading model with receiver CSI only, as the blocklength grows asymptotically
large, full diversity gain and full multiplexing gain can be obtained simultaneously.
For finite blocklengths it is not possible to achieve full diversity and full multiplexing gain
A simple characterization of this tradeoff is given for block fading channels with blocklength
d if the data rate (bps) per unit Hertz R(SNR) and probability of error Pe(SNR) as functions of
SNR satisfy
48
The above function is plotted in the below given figure.
49
Since a MIMO channel has input-output relationship y = Hx + n, the symbol
transmitted over the channel each symbol time is a vector rather than a
scalar, as in traditional modulation for the SISO channel. Moreover, when
the signal design extends over both space and time, it is typically
referred to as a space-time code.
50
MIMO systems makes use of space-time block codes to allow the transmission
of many number of copies of an information stream over a number of
antennas and to utilize the multiple received data units to enhance the
capability of data transfer.
Space time coding helps to combat major problems like fading and thermal
noise because of the use of number of copies of data .
In the space time block coding scheme, the stream of data is encoded in the
form of blocks before the transmission takes place.
These blocks of data are segregated over multiple antennas and spacing in time
domain is also done.
The general representation method used for representing space time block
51
code is by a matrix as shown below:
Time slot is represented by each row and one antenna’s transmission in time domain is
52
Space-time trellis codes makes use of a scheme in which the
transmission of redundant copies of data in done in both time and
space by making use of multiple numbers of antennas.
These copies of the redundant data sets are utilized by the receiver
Space-time trellis codes are able to give coding and diversity gain along
trellis codes. 53
Spatial multiplexing is a technique widely used in MIMO communications
54
Bell Labs Layered Space Time (BLAST) architectures are a family of
architectures which came into view for systems which employs multiple antenna
arrays at both the transmitter and receiver end.
55
The overall spectral efficiency can be thus increased as the multiple numbers of streams
56
In this article, we only consider the overview of the various BLAST architectures. The
1) D-BLAST architecture
2) V-BLAST architecture
57
Bell Labs Layered Space Time (BLAST) architectures are a family of architectures which
came into view for systems which employs multiple antenna arrays at both the
transmitter and receiver end.
The layered design of D-BLAST architecture has number of layers equal to the number
of antennas in which each layer is coded independently.
The major advantage of the D-BLAST architecture is that it fully utilizes the spatial and
time diversity.
Due to full utilization of spatial and time diversity it requires multiple numbers of
decoders which introduces the drawback of complexity.
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V-BLAST Architecture
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Turbo BLAST Architecture
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