EEE 437

Wireless Communications
Dr. Md. Forkan Uddin
Professor
Dept. of EEE, BUET
Dhaka 1205, Bangladesh

1
 Vision
 Course syllabus covers background materials of wireless
communications
 Knowledge of networking is also very important
 We will focus on background materials for research in wireless
communications and networking
 Knowledge of this course will help to work in telecom industries
and to pursue research is wireless communications

2
 Outline
 Wireless communication systems, regulatory bodies
 Radio wave propagation
 Free-space and multi-path propagation
 Ray tracing models
 Empirical path loss models
 Large-scale and small-scale fading
 Power delay profile
 Doppler and delay spread, coherence time and bandwidth
 Statistical channel models
 Time-varying channel models
 Narrowband and wideband fading models
 Baseband equivalent model
 discrete-time model, space-time model, auto- and cross-correlation
 PSD, envelope and power distributions, scattering function.

3
 Outline (Contd..)
Channel capacity
 Flat fading channels - CSI, capacity with known/partially known/unknown CSI
 Frequency-selective fading channels - time-invariant channels, time-varying
channels
 Performance of digital modulations
 Error and outage probability, inter-symbol interference, MPSK, MPAM,
MQAM, CPFSK
 Diversity techniques
 Time diversity - repetition coding, beyond repetition coding
 Antenna diversity - SC, MRC, EGC, space-time coding
 Frequency diversity - fundamentals, single-carrier with ISI equalization,
DSSS, OFDM.
4
 Outline
 Space-time communications
 Multi-antenna techniques
 MIMO channel capacity and diversity gain
 STBC, OSTBC, QOSTBC, SM, BLAST
 Smart antennas
 Frequency-selective MIMO channels

 Broadband communications
 DSSS, FHSS, spreading codes
 RAKE receivers
 MC-CDMA
 OFDM
 OFDMA
 Multiuser detection
 LTE
 WiMAX
5
 Books
1. Wireless Communications by Andrea Goldsmith

2. Modern Wireless Communications by S. Haykin and M. Moher

3. Wireless Communications by T.S. Rapaport

4. Wireless Communications and Networking by J. W. Mark and

W. Zhuang

6
 Marks Distribution
 Attendance: 10%
 Class Tests: 20 % (Best 3 out of 4)
 Final: 70%

7
Wireless Communication Systems
 We can transfer voice, data, videos, images etc by wireless
communication services,
 Wireless communication systems also provide different services like
video conferencing, cellular telephone, paging, TV, Radio etc
 Different types of Wireless Communication Systems are developed since
variety of communication services are required

•Television and Radio Broadcasting •WLAN (Wi-Fi)

•Satellite Communication •Bluetooth
•Global Positioning System (GPS) •ZigBee
•Mobile Telephone System (Cellular •Paging
Communication) •Cordless Phones
• Radar •Radio Frequency Identification (RFID)
•Infrared Communication

8
 Wireless Communication Systems
Television and Radio Broadcasting are Simplex Communication System
where the information is transmitted only in one direction and all the users
receiving the same data

Satellite communication contains two main components like the space

segment and the ground segment. The ground segment consists of fixed or
mobile transmission, reception and the space segment, which mainly is the
satellite itself.

GPS or global positioning system is a subcategory of Satellite

communication used to help by providing different wireless services such as
speed, location, navigation, positioning using satellites.

Mobile Cellular Communication Systems provided data and voice

communication facility with mobility over a larger range of area

9
 Wireless Communication Systems
Radar is an electromagnetic sensor or detection system used to track, locate,
detect and identify different types objects at significant distances. The operation is
done by sending electromagnetic energy in the direction of objects (targets),
which observes the echoes.

IR is electromagnetic energy between microwaves and visible light. It is used

for security control, TV remote control, and short-range communications.

WiFi used by various electronic devices like smartphones, laptops for internet.
These networks allow users to connect only within close proximity to a router.
WiFi is very common in networking applications which affords portability
wirelessly.

Bluetooth technology permits to connect various electronic devices wirelessly to

a personal area for the transferring of data. Cell phones are connected to
hands-free earphones, mouse, wireless keyboard etc.

ZigBee technology is a low data rate, low power consumption, low cost,
wireless networking protocol targeted toward automation and remote control10
applications
 Wireless Communication Systems
Paging system allows one-way communication to a huge audience. It allows a
speaker to give clear, amplified commands throughout a capacity.

Radio Frequency Identification (RFID is used to exclusively identify a person,

object and animal. It is used in manufacturing, healthcare, shipping, home use,
retail sales, inventory management, etc. RFID and barcode technology are
used in related methods to track inventory. In real-time, the data which is stored
within the RFID tag can be updated. However, the data in the bar code is read-
only and cannot be altered. RFID tags need a power source whereas the bar
codes simply need the technology to read the bar code to include a power
source.

11
 Regulation Authority in BD
• Bangladesh Telecommunication Regulatory Commission
(BTRC)
 Bangladesh Telegraph and Telephone Board (BTTB) had the
sole monopoly until mobile phone technology flourished and
foreign companies (trans-national corporations) started
operating in Bangladesh
 Bangladesh Telecommunication Act (Act 18 of 2001) paved the
way for the establishment of Bangladesh Telecommunication
Regulatory Commission (BTRC) in 2002
 Functions of the BTRC
• To regulate establishment, operation and maintenance of telecom
services in Bangladesh
• To control and abolish discriminatory practice and ensure level
playing field for the operators for healthy competition
• To grant license for establishing, operating telecommunication
system, providing telecom services, using radio apparatus
• To issue technical acceptance certificates
• To allocate frequency, monitor and manage spectrum
• To renew, suspend or cancel license, permits and certificates
• To approve tariff and call charges among the operators
• To inspect telecom installation and terminal apparatus etc.
• To stop interference caused by one operator to the another's service
systems
• To seize illegal equipments and apparatus, arrest the offenders,
investigate into the commission of offence by its own officer and
submit charge sheet
 International Body
International telecommunication union (ITU)
Formed by the agreement of 20 countries of standardize
telegraph networks
Involved with telephony regulation, wireless radio
telecommunication and sound broadcasting
 In 1927, the union was involved in allocating frequency
bands for radio services
 In 1934, the union was named as ITU
ITU activities include co-ordation, development, regulation,
and standardization of internal telecommunications, as well as
the co-ordination of national policies
In 1993, the ITU went through reorganization into ITU-T
Telecommunication standard sector), ITU-R (Ratio
Communication sector) and ITU-D (Telecommunication
development center). 14
 International Body
Federal Communications Commission (FCC)
Its a regulatory body
 It is a government organization that regulates wire and radio
communications
Played an important role in the development of worldwide
specifications for radiation and susceptibility of electromagnetic
disturbances of telecommunications equipment

15
EEE 437: Wireless Communications

Wireless Propagation

Dr. Md. Forkan Uddin

Professor
Dept. of EEE, BUET, Dhaka 1205

1
 Wireless Propagation
• Radio wave propagation consists of three main attributes:
reflection, diffraction and scattering

2
 Multi-path Propagation and Ray Tracing

• Produce reflected, diffracted, or

scattered copies of the transmitted
signal
• These additional copies of the
transmitted signal, called multipath
signal components, can be attenuated
in power, delayed in time, and shifted
in phase and/or frequency from the
LOS signal path at the receiver
• In ray tracing ,a finite number of
reflectors with known location and
dielectric properties are considered
3
 Wireless Propagation
• Wireless Propagation: large scale and small scale
• Large scale variation of signal occurs due to distance and
shadowing
• Small scale variation of signal occurs due to the random
movement of environment particles
• Large scale models: free space, path loss model, two ray
ground reflection model and path loss with shadowing
• Small scale models: Rayleigh and Rican fading models

4
 Free Space Propagation Model
• Propagation with line of sight (LOS) ray

5
 Free Space Propagation Model
• Path loss with antenna gain

• Path loss without antenna gain

6
 Free Space Propagation Model
• Radiation fields: near filed and far field

• Far-field distance

• Conditions of far field

• Free space model can be rewritten as

7
Two-Ray Ground Reflection Model

9
Two-Ray Ground Reflection Model

10
 Two-Ray Ground Reflection Model

• Assuming,

11
Two-Ray Ground Reflection Model

12
Log Distance Path Loss Model
Path loss at reference or received
power at reference distance is
calculated by free space model

13
 Log Distance Path Loss Model with Log
Normal Shadowing

( y  )2

1 2 2
p( y)  e ( y  )2
 2 b 1 b 
2 2
P (a  y  b)   p ( y )dy  e dy
a  2 a
14
16
17
 Empirical Path Loss Models
• Okumura’s Model: The path loss formula of Okumura is given by

Okumura provided graphs for median attenuation and gain of environment 20

 Empirical Path Loss Models
Hata Model: Extension of Okumura’s Model

For small to medium sized cities

For larger cities at frequencies fc > 300 MHz

K ranges from 35.94 (countryside) to 40.94 (desert

21
Small Scale Multi-path Propagation
 Multipath propagation creates small scale fading effect
 Three main effects:

22
 Factors Influence Small Scale Fading
• Multipath Propagation
 Signals reach to destination with different phase, time and
amplitude
 Dispersion and inter symbol interference (ISI) occur
• Speed of mobile
 Relative speed results in random FM due to doppler shifts
• Speed of surrounding objects
 Relative speed of multipath objects results in random FM due to
doppler shifts
• Transmission bandwidth of the signal
 If bandwidth of channel is lower than signal bandwidth; the signal
distorted

23
 Doppler Shift
• The difference of propagation path length

• Phase change in received signal

• Change in frequency

• Thus, the carrier frequency continuously changes and results

in FM
24
Autocorrelation and Convolution

27
 Time-Varying Channel Impulse Response

• Let the transmitted signal

• The corresponding received signal is the sum of the line-of-

sight (LOS) path and all resolvable multipath components

28
 Time-Varying Channel Impulse Response

29
Time-Varying Channel Impulse
Response

30
 , .

Channel autocorrelation functions

• The statistical characterization of channel is determined by its
autocorrelation function

• Wide sense stationary (WSS) channel

joint statistics of a channel measured at two different times
depends only on the time difference
• For WSS channel autocorrelation function

31
 WSSUS
• In practice, the channel response associated with a given
multipath component of delay is uncorrelated with the
response associated with a multipath component at a
different delay since the two components are caused by
different scatterers
• Thus, wireless channel has uncorrelated scattering (US) and
channels that are WSS with US is known as WSSUS channels
• For a WSSUS channel, autocorrelation function

32
 Narrow band and Wide band
Fading Models
• When the delay spread σ is low compared to the inverse of the signal
bandwidth, then we called it narrow band. For narrowband, we use
Rayleigh and Rician distribution.
• When the signal is not narrowband, severe intersymbol interference (ISI)
occurs. For wide band, we use scattering function and power delay profile.

33
 Power delay profile
• The power delay profile/ the multipath intensity profile is
defined as the autocorrelation
• The power delay profile represents the average power
associated with a given multipath delay, and is easily
measured empirically
• The average delay

• RMS delay Spread

34
Example

35
Example

36
37
 Coherence bandwidth and Coherence Time

• Coherence bandwidth is a statistical measure of frequncy

range over which the channel can be considered as “Flat”

• Coherence time is the statistical measure of time duration

over which the channel impulse response is time invariant
• It is related to the Doppler shifts
• If fm is the maximum doppler shift, coherence time

38
 Scattering Function
• The scattering function for random channels is defined as the
Fourier transform of with respect to the
parameter:

• The scattering function characterizes the average output

power associated with the channel as a function of the
multipath delay and Doppler

39
40
 Small Scale Fading Models
 Two categories:
• Non line-of-sight (NLOS); LOS does not exist
Rayleigh fading model
• Line-of-sight (LOS) exists
Rician fading model

 Models provide the probability distribution function of the magnitude of voltage

envelope at an instance
 To determine the receiver power at any instance, we need to multiply the received
power without fading and shadowing by the power envelope given by fading
model ; then we need to add the shadowing effect

41
 Rayleigh Distribution

If N(t) is large, rI(t) and rQ(t) are Gaussian random processes

42
 Rayleigh Fading Model
• Used to describe the statistical time varying nature of wireless
signal with flat fading
• The received voltage envelope is provided by the Rayleigh
distribution as follows

which is the received power without fading and shadowing considering only
log-distance path loss
43
Rayleigh Fading Model

44
 Ricean Fading Model
• When a stationary non-fading component, i.e., LOS
component presents with the time varying nature of wireless
signal with flat fading, then Ricean distribution is used
• The received voltage envelope is provided as follows

45
Ricean Fading Model

46
EEE 437 Wireless Communication

Wireless Channel
Capacity

Dr. Md. Forkan Uddin

Professor
Department of EEE, BUET

Curtesy: Prof. Dr. Md. Farhad Hossain

 Channel Capacity
 Channel capacity limits is the maximum data rates that can be transmitted
over wireless channels with asymptotically small error probability, assuming no
constraints on delay or complexity of the encoder and decoder.
 Channel capacity was pioneered by Claude Shannon in the late 1940s,using a mathematical
theory of communication based on the notion of mutual information between the input and
output of a channel.

April 30, 1916 – February 24, 2001

 C. E. Shannon, “A Mathematical Theory of
Communication”, Bell System Technical Journal, vol.
27, pp. 379-423, 623-656, July, October, 1948
 Proposed Entropy as a measure of information
 Showed that Digital Communication is possible
 Derived the Channel Capacity formula
 Proved that reliable information transmission is
always possible if transmitting rate does not exceed
the channel capacity
 Shannon capacity is generally used as an upper
bound on the data rates that can be achieved under real
system constraints. 2
Discrete Memoryless Channel
Memoryless: Current output
depends on current input, not
p(x) on previous inputs

3
 Some Channel Models

Binary Asymmetric Channel

Binary Symmetric Channel

Binary Z-Channel
Binary Erasure Channel Binary Errors with Erasure Channel
4
 Channel Capacity
Shannon’s measure of information is the number of bits per symbol to represent the
amount of uncertainty/information/randomness in a data source, and is defined as
entropy.
H  X   E  log 2 p  x    xX p  x  log 2 p  x 

where X is the set of input alphabets having n members.

Example: Calculate the entropy H(X) of a binary source and plot it as a function of p(x=1) = p0.

p(x=0)
= 1 - p0
H(X) =
- (1-p0)log2(1-p0) - p0log2p0
p(x=1)
= p0 5
 Channel Capacity
Conditional Entropy: Quantifies the amount of information needed to
describe the outcome of a random variable given that the value of another random
variable is known (i.e., how much entropy of a random variable is remaining) .

Joint Entropy: It is a measure of the

information/uncertainty associated with a set
of variables.

H(X,Y) = H(X) + H(Y) – I(X;Y) 6

 Channel Capacity
Mutual Information I(X;Y): It quantifies
the "amount of information“ obtained about one
random variable through observing the other
random variable.

For independent X and Y,

I(X;Y) = 0

7
 Channel Capacity
Channel capacity per symbol (one sample of X): Maximum
information conveyed over all possible input probability
distributions.

If s samples are sent over a second, i.e., the channel is used s

times per second, then channel capacity becomes:

8
 Capacity: Example 1
The joint probability of a system is given by
y1 y2

Find:
1. Marginal entropies
2. Joint entropy
3. Conditional entropies
4. Mutual information
5. Channel capacity
6. Draw the channel model.
9
 Capacity: Example 1
Solution:

y1 y2

10
 Capacity: Example 2
Example: Calculate the capacity of the following BSC channel given
p(x = 1) = p0.

OR

H(X) = - (1-p0)log2(1-p0) - p0log2p0

H(X|Y) = ??
I(X,Y) =??
Differentiate I(X,Y) with respect to p0 and set to zero. Find p0 and
put it into I(X,Y) to find the capacity.
11
 AWGN Channel Capacity

y[i] = x[i] + n[i]

x[i]: Transmitted signal
y[i]: Received signal
n[i] : White Gaussian noise random process with PSD N0

Then maximizing input distribution is Gaussian, which results in the channel capacity:

P: Transmit power
B: Channel bandwidth
N0: Noise PSD
γ: SNR
12
 AWGN Channel Capacity: Example
Example 4.1: Consider a wireless channel where power falloff with distance
follows the formula Pr(d) = Pt(d0/d)3 for d0 = 10 m. Assume the channel has
bandwidth B = 30 KHz and AWGN with noise power spectral density of N0 = 10−9
W/Hz. For a transmit power of 1W, find the capacity of this channel for a
transmit-receive distance of 100 m and 1 Km.

Solution:
The received SNR:
γ = Pr(d)/(N0B) = 0.13/(10−9 × 30 × 103) = 33 = 15 dB for d = 100 m
γ = 0.013/(10−9 × 30 × 103) = 0.033 = −15 dB for d = 1000 m

The corresponding capacities are:

C = B log2(1 + γ) = 30000 log2(1 + 33) = 152.6 Kbps for d = 100 m
C = 30000 log2(1 + 0.033) = 1.4 Kbps for d = 1000 m

Note the significant decrease in capacity at farther distances, due to the path-loss
exponent of 3, which greatly reduces received power as distance increases.
13
 Flat Fading Channel Capacity

• An input message w is encoded into the codeword x, which is transmitted over the
time-varying channel as x[i] at time i. The added noise n[i] is AWGN.
• Assume a discrete-time channel with stationary and ergodic time-varying gain

• The channel power gain g[i], also called the channel state information (CSI),
follows a given distribution p(g), e.g., for Rayleigh fading, p(g) is exponential.
• We assume that g[i] is independent of the channel input x[i].
• g[i] can change at each time i, either as an i.i.d. process or with some correlation
over time.
• In a block fading channel, g[i] is constant over some block length T after which time
g[i] changes to a new independent value based on the distribution p(g). 14
 Flat Fading Channel Capacity

Capacity of this channel depends on what is known about g[i] at the transmitter
and receiver. We consider three different scenarios:
1. Channel Distribution Information (CDI): The distribution of g[i] is known to both
the transmitter and receiver.
2. Receiver CSI: The value of g[i] is known at the receiver at time i, and both the
transmitter and receiver know the distribution of g[i].
3. Transmitter and Receiver CSI: The value of g[i] is known at the transmitter and
receiver at time i, and both the transmitter and receiver know the distribution of g[i].
 Transmitter and receiver CSI allow the transmitter to adapt both its power and rate to
the channel gain at time i, and leads to the highest capacity of the three scenarios.

 Note that since the instantaneous SNR γ[i] is just g[i] multiplied by the constant ,
known CSI or CDI about g[i] yields the same information about γ[i]. 15
 Case 1: CDI known to both TX and RX
Consider the case where the channel gain distribution p(g) or,
equivalently, the distribution of SNR p(γ) is known to the transmitter
and receiver.

For i.i.d. fading, the capacity is given by

But, solving for the capacity-achieving input distribution p(x), i.e., the
distribution achieving the maximum of I(X;Y), can be quite complicated
depending on the fading distribution.

For these reasons, finding the capacity-achieving input distribution and

corresponding capacity of fading channels under CDI remains an open
problem for almost all channel distributions.
16
Case 2: CDI known to TX and RX, and CSI known to Rx
 In this vase, CSI g[i] is known at the receiver at time i.
Equivalently, γ[i] is known at the receiver at time i.
 Also assume that both the transmitter and receiver know
CDI.
 In this case, there are two channel capacity definitions
that are relevant to system design:
A) Shannon capacity, also called ergodic capacity, and
B) Capacity with outage

17
 Case 2A: Shannon (Ergodic) Capacity
 For the AWGN channel, Shannon capacity defines the maximum data rate that
can be sent over the channel with asymptotically small error probability.

 Since only the receiver knows the instantaneous SNR γ[i], the transmitter cannot
adapt its transmission strategy relative to the CSI.

 Shannon capacity of a fading channel with receiver CSI for an average power
constraint can be obtained as

 This is a probabilistic average, i.e., Shannon capacity is equal to Shannon

capacity for an AWGN channel averaged over the distribution of γ. That is why
Shannon capacity is also called ergodic capacity.
18
J1

Case 2A: Shannon (Ergodic) Capacity

By Jensen’s inequality,

E[f(X)]≤ ( [ ]) if f is concave

Thus the Shannon capacity of a fading channel with receiver CSI only is less
than the Shannon capacity of an AWGN channel with the same average SNR.

 In other words, fading reduces Shannon capacity when only the receiver has
CSI.

 If the receiver CSI is not perfect, capacity can be significantly decreased.

19
Slide 19

J1 Jannat, 8/26/2020
 Case 2A: Shannon (Ergodic) Capacity
Example 4.2: Consider a flat-fading channel with i.i.d. channel gain g[i] which can take on
three possible values: g1 = 0.05 with probability p1 = 0.1, g2 = 0.5 with probability p2 = 0.5,
and g3 = 1 with probability p3 = 0.4. The transmit power is 10 mW, the noise spectral density
is N0 = 10−9 W/Hz, and the channel bandwidth is 30 KHz. Assume the receiver has
knowledge of the instantaneous value of g[i], but the transmitter does not. Find the Shanon
capacity of this channel and compare with the capacity of an AWGN channel with the same
average SNR.

Solution: The channel has three possible received SNRs, γ1 = Ptg1/(N0B) = 0.01∗(0.052)/
(30000∗10−9) = 0.8333 = −0.79 dB, γ2 = Ptg2/(N0B) = 0.01 × (0.52)/(30000 ∗ 10−9) = 83.333 =
19.2 dB, and γ3 = Ptg3/(N0B) = 0.01/(30000 ∗ 10−9) = 333.33 = 25 dB.
The probabilities associated with each of these SNR values is p(γ1) = 0.1, p(γ2) = 0.5, and p(γ3) =
0.4. Thus, the Shannon capacity is given by

The average SNR for this channel is γ = 0.1(0.8333) + 0.5(83.33) + 0.4(333.33) = 175.08 = 22.43
dB. The capacity of an AWGN channel with this SNR is C = B log2(1 + 175.08) = 223.8 Kbps.
Note that this rate is about 25 Kbps larger than that of the flat-fading channel with receiver
CSI and the same average SNR. 20
 Case 2B: Capacity with Outage
 Capacity with outage is defined as the maximum rate that
can be transmitted over a channel with some outage probability
 Outage probability is the probability that the transmission
cannot be decoded with negligible error probability.
 The basic premise of capacity with outage is that a high
data rate can be sent over the channel and decoded correctly
except when the channel is in deep fading.
 By allowing the system to lose some data in the event of
deep fades, a higher data rate can be maintained if all data
must be received correctly regardless of the fading state.
 With this model, if the channel has received SNR γ during a
burst then data can be sent over the channel at rate Blog2(1 + γ)
with negligible probability of error.
21
 Case 2B: Capacity with Outage
 The transmitter fixes a minimum received SNR γmin and
encodes for a data rate C = Blog2(1 + γmin).
 The data is correctly received if the instantaneous received
SNR ≥ γmin
 If the received SNR < γmin, then the bits received over that
transmission burst cannot be decoded correctly
Probability of outage: pout = p(γ < γmin)
 The average rate correctly received over many transmission
bursts is Co = (1 − pout) Blog2(1 + γmin) since data is only correctly
received on (1 − pout) transmissions.
 The value of γmin is a design parameter based on the acceptable
outage probability.
22
 Case 2B: Capacity with Outage
 Capacity with outage is typically characterized by a plot of capacity versus outage. In this
figure, normalized capacity C/B = log2(1 + γmin) is plotted as a function pout = p(γ < γmin) for
a Rayleigh fading channel (γ exponential) with average γ = 20 dB.
 We see that capacity approaches zero for small outage probability, due to the requirement
to correctly decode bits transmitted under severe fading, and increases dramatically as
outage probability increases. However, these high capacity values for large outage
probabilities have higher probability of incorrect data reception.

Hints:
Rayleigh fading channel
(γ exponential)

23
 Case 2B: Capacity with Outage
Example 4.3: Consider a flat-fading channel with i.i.d. channel gain g[i] which can take on
three possible values: g1 = 0.05 with probability p1 = 0.1, g2 = 0.5 with probability p2 = 0.5,
and g3 = 1 with probability p3 = 0.4. The transmit power is 10 mW, the noise spectral density
is N0 = 10−9 W/Hz, and the channel bandwidth is 30 KHz. Assume the receiver has
knowledge of the instantaneous value of g[i], but the transmitter does not. Find the capacity
versus outage for this channel, and find the average rate correctly received for outage
probabilities pout < 0.1, pout = 0.1 and pout = 0.6.

Solution: From the previous example, three possible received SNRs:

γ1 = 0.8333, p(γ1) = 0.1; γ2 = 83.33, p(γ2) = 0.5; and γ3 = 333.33, p(γ3) = 0.4.
1

Capacity versus outage (pout = p(γ < γmin): F(γ) = p(γ≤ γ0)
0.6
p(γ)
0.5
0.4

0.1 0.1

γ1 = γ2 = γ3 = γ γ1 = γ2 = γ3 = γ
0.8333 83.33 333.33 0.8333 83.33 333.33 24
 Case 2B: Capacity with Outage
Capacity versus outage:
For time-varying channels with discrete SNR values, the capacity versus outage is a staircase
function.
For pout < 0.1, minimum received SNR for pout in this range of values is the weakest channel: γmin
= γ1, and the corresponding capacity is C = Blog2(1 + γmin) = 30000 log2(1.833) = 26.23 kbps.

For 0.1 ≤ pout < 0.6, γmin = γ2 and C = Blog2(1 + γmin) = 30000 log2(84.33) = 191.94 kbps.

For 0.6 ≤ pout < 1, γmin = γ3 and the C = B log2(1 + γmin) = 30000 log2(334.33) = 251.55 kbps.

251.55
C (kbps)

191.94

26.23
pout
0.1 0.6 1 25
 Case 2B: Capacity with Outage
Average rate correctly received:
For pout <0.1, data transmitted at rates close to capacity C0 = C = 26.23 kbps are always
correctly received since the channel can always support this data rate.
For pout = 0.1, we transmit at rates close to C = 191.94 kbps, but we can only correctly decode
these data when the channel SNR is γ2 or γ3, so the rate correctly received is C0 = (1 − 0.1)
*191940 = 172.75 kbps.
For pout = 0.6, we transmit at rates close to C = 251.55 kbps, but we can only correctly decode
these data when the channel SNR is γ3, so the rate correctly received is C0 = (1−0.6)*251550 =
100.62 kbps.

It is likely that a good engineering design for this channel would send data at a rate close to
191.94 Kbps, since it would only be received incorrectly at most 10% of this time and the
data rate would be almost an order of magnitude higher than sending at a rate
commensurate with the worst-case channel capacity.
However, 10% retransmission probability is too high for some applications, in which case
the system would be designed for the 26.23 Kbps data rate with no retransmissions.

26
Case 3: CDI & CSI both known to both TX & RX

 When both the transmitter and receiver have CSI, the transmitter can
adapt its transmission strategy relative to this CSI.
 In this case, there is no notion of capacity versus outage where the
transmitter sends bits that cannot be decoded, since the transmitter knows the
channel and thus will not send bits unless they can be decoded correctly.
 We will derive Shannon capacity assuming optimal power and rate
adaptation relative to the CSI.
 There are alternate capacity definitions, and their power and rate adaptation
strategies. 27
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)
Consider the Shannon capacity when the channel power gain g[i] is known to both the
transmitter and receiver at time i.
Let s[i] be a stationary and ergodic stochastic process representing the channel state,
which takes values on a finite set S of discrete memoryless channels.
Let Cs denotes the capacity of a particular channel s ∈S and p(s) denote the probability,
or fraction of time, that the channel is in state s.
The capacity of this time-varying channel is then given by

Now, the capacity of an AWGN channel with average received SNR γ is

Let p(γ) = p(γ[i] = γ) denote the pdf of the received SNR γ. Then the capacity of the
fading channel with transmitter and receiver CSI with no power adaptation is

(A)
28
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)

With this additional constraint, we cannot apply previous equation (A) directly to obtain
the capacity. However, we expect that the capacity with this power constraint will be
the average capacity given by (A) with the power optimally distributed over time. Thus,
we can define the fading channel capacity with the above average power constraint as:

(B)

It is proved that this capacity can be achieved, and any rate larger than this capacity
has probability of error bounded away from zero.

How to achieve the above capacity in (B)?

29
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)
How to achieve the above capacity in (B)?

The main idea is a “time diversity” system with multiplexed input and demultiplexed output.
We first quantize the range of fading (SNR) values to a finite set {γj : 1 ≤ j ≤ N}. For each γj, we
design an encoder/decoder pair for an AWGN channel with SNR γj .
The input xj for encoder γj has average power P(γj) and data rate Rj = Cj , where Cj is the capacity
of a time-invariant AWGN channel with received SNR P(γj)γj/P.
These encoder/decoder pairs correspond to a set of input and output ports associated with each γj .
When γ[i] ≈ γj , the corresponding pair of ports are connected through the channel. 30
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)

When γ[i] ≈ γj , the corresponding pair of ports are connected through the channel.

The codewords associated with each γj are thus multiplexed together for transmission, and
demultiplexed at the channel output.

This effectively reduces the time-varying channel to a set of time-invariant channels in

parallel, where the jth channel only operates when γ[i] ≈ γj .

The average rate on the channel given by (B) is just the sum of rates associated with each of the
γj channels weighted by p(γj), the percentage of time that the channel SNR equals γj. 31
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)
With constraint P(γ) > 0, the optimal power adaptation that maximizes capacity (B):

γ0: “cutoff” value found

(C)
from the power constraint

Optimal power allocation policy only depends on the fading distribution p(γ) through
the cutoff value γ0.
If γ[i] is below this cutoff, then no data is transmitted over the ith time interval, so the
channel is only used at time i if γ0 ≤ γ[i] < ∞.
(D)
Then the capacity formula:

The multiplexing nature of the capacity-achieving coding strategy indicates that capacity
(D) is achieved with a time-varying data rate, where the rate corresponding to
instantaneous SNR γ is Blog2(γ/γ0). Since γ0 is constant, this means that as the instantaneous
SNR increases, the data rate sent over the channel for that instantaneous SNR also increases.
Note that this multiplexing strategy is not the only way to achieve capacity (D): it can also
be achieved by adapting the transmit power and sending at a fixed rate. 32
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)
Since γ is time-varying, the maximizing power adaptation policy of (C) is a “water-
filling” formula in time. The curve below shows how much power is allocated to the
channel for instantaneous SNR γ(t) = γ. The water-filling terminology refers to the fact
that the line 1/γ sketches out the bottom of a bowl, and power is poured into the bowl to
a constant water level of 1/γ0. The amount of power allocated for a given γ equals (1/γ0
− 1/γ), the amount of water between the bottom of the bowl (1/γ) and the constant water
line (1/γ0).

The intuition behind water-filling is to take advantage of good channel conditions:

when channel conditions are good (γ large) more power and a higher data rate is
sent over the channel. As channel quality degrades (γ small), less power and rate
are sent over the channel. If the instantaneous channel SNR falls below the cutoff
value γ0, the channel is not used.
γ0 must satisfy following equation
to maintain the power constraint:

33
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)
Example 4.4: Assume the same channel as in the previous example, with a bandwidth of 30
KHz and three possible received SNRs: γ1 = 0.8333 with p(γ1) =0.1, γ2 = 83.33 with p(γ2) =
0.5, and γ3 = 333.33 with p(γ3) = 0.4. Find the ergodic capacity of this channel assuming both
transmitter and receiver have instantaneous CSI.

34
Case 3: Shannon Capacity (CDI and CSI both known to both TX and RX)

Comparing with the results of the previous example, we see that this rate is only slightly
higher than for the case of receiver CSI only, and is still significantly below that of an
AWGN channel with the same average SNR.

That is because, the average SNR for this channel is relatively high: for low SNR
channels, capacity in flat-fading can exceed that of the AWGN channel with the same
SNR by taking advantage of the rare times when the channel is in a very good state.

35
The END

36
 Stationary and Ergodic Process
A random process is strict-sense stationary or simply stationary if its statistical
properties (pdf, cdf, mean, variance, correlation function, etc.) do not change by time.

A random process is
called weak-sense
stationary or wide-sense
stationary (WSS) if its mean
function and its correlation
function do not change by shifts
in time.

Ergodic processes are a subset of

stationary processes.

A stochastic process Xr[k] is ergodic if the statistics taken along the time index, k, are the same as
the statistics taken along the realization axis, indexed by r.
37
EEE 437 Wireless Communication

Performance of Digital Modulation

Dr. Md. Forkan Uddin

Professor
Department of EEE, BUET

Curtesy: Dr. Md. Farhad Hossain

 A Communication System
Transmitter

Receiver

2
 Introduction
 Digital modulation consists of mapping a bit stream of finite length into an analog
signal for transmission over the channel.
 Detection consists of determining the original bit sequence based on the signal
received over the channel.
 The main considerations in choosing a particular digital modulation technique are
 high data rate
 high spectral efficiency (minimum bandwidth occupancy)
 high power efficiency (minimum required transmit power)
 robustness to channel impairments (minimum probability of bit error)
 low power/cost implementation
 Often these are conflicting requirements, and the choice of modulation is based on
finding the technique that achieves the best tradeoff between these requirements.
 Once the modulation technique is determined, the constellation size must be chosen.
Modulations with large constellations have higher data rates for a given signal bandwidth,
but are more susceptible to noise, fading, and hardware imperfections. 3
 Signal Space Analysis
 Digital modulation encodes a bit stream of finite length into one of several
possible transmitted signals.
 The receiver minimizes the probability of detection error by decoding the
received signal as the signal in the set of possible transmitted signals that is
“closest” to the one received.
 Determining the distance between the transmitted and received signals requires
a metric for the distance between signals.
 By representing signals as a vector in a vector space, we can have the metric for
the distance between signals.

QPSK

4
 Signal Space Analysis

 Let the source has M={m1, . . .,mM} set of all possible messages, where ith message
sequence mi = {b1, . . . , bK} ∈ M is a bit sequence of length K. There are M = 2K
possible sequences of K bits and thus K = log2M.
 The message mi has a probability pi of being selected for transmission, where sum of
all pi is equal to 1.
 Every T seconds, the system sends K = log2M bits of information through the channel
and thus, data rate R = K/T bps.
 Suppose message mi is to be transmitted over the channel during the time interval [0,
T). Since the channel is analog, the message must be embedded into an analog signal
for channel transmission. Thus, each message mi ∈ M is mapped to a unique analog
signal si(t) ∈ S = {s1(t), . . . , sM(t)}, where si(t) is defined on the time interval [0, T) and
has energy
5
 Signal Space Analysis
 Since each message represents a bit sequence, each signal si(t) ∈ S also represents
a bit sequence, and detection of the transmitted signal si(t) at the receiver is
equivalent to the detection of the transmitted bit sequence.
 When messages are sent sequentially, the transmitted signal becomes a sequence
of the corresponding analog signals and s(t) thus becomes

where si(t) is the analog signal corresponding to the message mi designated for the
transmission interval [kT, (k+1)T).
 An example of the transmitted signal s(t) = s1(t) + s2(t − T) + s1(t − 2T) + s1(t − 3T)
corresponding to the string of messages m1, m2, m1, m1 with message mi mapped to
signal si(t) is shown below.

6
 Signal Space Analysis
 In the AWGN model, transmitted signal is sent through an AWGN channel, where a
white Gaussian noise process n(t) of power spectral density N0/2 is added to form the
received signal r(t) = s(t) + n(t).
 Given r(t), the receiver must determine the best estimate of which si(t) ∈ S was
transmitted during each transmission interval [kT, (k + 1)T).
 This best estimate for si(t) is mapped to a best estimate of the message mi(t)∈ M and
the receiver then outputs this best estimate of the transmitted
bit sequence.
 The goal of the receiver design in estimating the transmitted message is to minimize
the average probability of message error:

over each time interval [kT, (k + 1)T).

 By representing the signals {si(t), i = 1, . . ., M} geometrically, we can solve for the
optimal receiver design in AWGN based on a minimum distance criterion. 7
 Geometric Representation of Signals
Any set of M real energy signals S = {s1(t), . . . , sM(t)} defined on [0, T) can be
represented as a linear combination of N ≤ M real orthonormal basis functions {φ1(t), . .
. , φN(t)}.
Thus, we can write each si(t) ∈S in terms of its basis function representation as

If all the signals {si(t)} are linearly independent, then N = M, otherwise N <M.
Example

Using Gram–Schmidt
orthogonalization process 8
 Geometric Representation of Signals
 We denote the coefficients {sij} as a vector si = (si1, . . . , siN ) ∈ RN which is
called the signal constellation point corresponding to the signal si(t). The
signal constellation consists of all constellation points {s1, . . . , sM}.
 si(t) can be obtained from si and si can be obtained from si(t). Thus, it is
equivalent to characterize the transmitted signal by si(t) or si.
 The representation of si(t) in terms of its constellation point si ∈ R N is called
its signal space representation and the vector space containing the
constellation is called the signal space.

One-dimensional signal space A two-dimensional signal space

9
 Geometric Representation of Signals

 The length of a vector in R N:

 The distance between two signal constellation points si and sk:

 Inner product of two signals:

10
 Q function

Some useful bounds for the Q function for x > 0:

11
 Performance in Wireless Channel

 We now consider the performance of the digital modulation techniques when used
over AWGN channels and channels with flat fading.
 There are two performance criteria of interest: the probability of error, defined
relative to either symbol or bit errors, and the outage probability, defined as the
probability that the instantaneous signal-to-noise ratio falls below a given threshold.
 Flat fading can cause a dramatic increase in either the average bit-error-rate or
the signal outage probability.
 Wireless channels may also exhibit frequency selective fading and Doppler shift.
 Frequency-selective fading gives rise to intersymbol interference (ISI), which
causes an irreducible error floor in the received signal.
 Doppler causes spectral broadening, which leads to adjacent channel interference
(typically small at reasonable user velocities).
12
 Performance in AWGN Channel
 In an AWGN channel, the modulated signal s(t) = R{u(t)ej2πfct} has noise n(t) added
to it prior to reception, where u(t) is the complex envelope of s(t).
 The noise n(t) is a white Gaussian random process with mean zero and power
spectral density N0/2. The received signal is thus, r(t) = s(t) + n(t).
 Received signal-to-noise power ratio (SNR): Ratio of the received signal power
Pr to the power of the noise within the bandwidth of the transmitted signal s(t).
 The received power Pr is determined by the transmitted power, and the path-loss,
shadowing, and multipath fading. AWGN channel models ignore the last three factors.
 The noise power is determined by the bandwidth of the transmitted signal and the
spectral properties of n(t). Specifically, if the bandwidth of the complex envelope u(t) of
s(t) is B, then the bandwidth of the transmitted signal s(t) is 2B. Since the noise n(t) has
uniform power spectral density N0/2, the total noise power within the bandwidth 2B is
PN = N0/2 × 2B = N0B. Eb: Signal energy per bit
 So the received SNR is given by Es: Energy per symbol
Ts: Symbol time
Tb: Bit duration/period
(Binary modulation:
13
Ts = Tb and Es = Eb)
 Performance in AWGN Channel
 The quantities γs = Es/N0 and γb = Eb/N0 are sometimes called the SNR per
symbol and the SNR per bit, respectively.
 For performance specification, we are interested in the bit error probability Pb as a
function of γb.
 However, for M-ary signaling (e.g., MPAM and MPSK), the bit error probability Pb
depends on both the symbol error probability and the mapping of bits to symbols. Thus,
we typically compute the symbol error probability Ps as a function of γs based on
the signal space concepts and then obtain Pb as a function of γb using an exact or
approximate conversion.
 The approximate conversion typically assumes that the symbol energy is divided
equally among all bits, and that Gray encoding is used so that at reasonable SNRs, one
symbol error corresponds to exactly one bit error. These assumptions for M-ary
signaling lead to the approximations:

14
 Error Probability: BPSK
With binary modulation, each symbol corresponds to one bit, so the symbol and bit
error rates are the same.

The transmitted signal s(t):

s1(t) = Ag(t) cos(2πfct) = Aφ1(t) to sent a 1 bit &
s2(t) = - Ag(t) cos(2πfct) = - Aφ1(t) to send a 0 bit.

dmin: Minimum distance in among constellation points

15
Error Probability: BPSK

16
 Error Probability: BPSK
Received signal Gaussian distributed:

or

Probability of error if s1 is transmitted:

17
 Error Probability: BPSK

Due to symmetry:

Average symbol probability of error:

(Symbols are considered equiprobable)

18
 Error Probability: QPSK
QPSK modulation consists of BPSK modulation on both the in-phase and
quadrature components of the signal. With perfect phase and carrier recovery, the
received signal components corresponding to each of these branches are orthogonal.
Therefore, the bit error probability on each branch is the same as for BPSK.
1. Exact symbol error probability equals the probability that either branch has a bit
error:

Since the symbol energy is split between the in-phase and

quadrature branches, we have γs = 2γb.

2. Union bound:

Writing this in terms of γs = 2γb = Es/N0 = A2/N0 yields

19
Error Probability: QPSK

20
 Error Probability: QPSK
3. Nearest-neighbor bound:
Minimum distance between constellation points:

With Gray encoding, we can approximate Pb from Ps:

Pb ≈ Ps /2
(since we have 2 bits per symbol)
Decision regions

The reflected binary code or Gray code is an ordering

of the binary numeral system such that two successive
values differ in only one bit (binary digit). 21
 Error Probability: QPSK
Example 6.1:
Find the bit error probability Pb and symbol error probability Ps of QPSK
assuming γb = 7dB. Compare the exact Pb with the approximation Pb = Ps/2
based on the assumption of Gray coding. Finally, compute Ps based on the
nearest-neighbor bound using γs = 2γb, and compare with the exact Ps.

22
 Error Probability: MPSK
For MPSK all of the information is encoded in the phase of the
transmitted signal.
Thus, the transmitted signal over one symbol time is given by

Comparing above si(t) with the generalized below form, we can get constellation points.

Here, g(t) is pulse shaping filter, which can be rectangular or any suitable pulse. Also, φ1(t) = g(t)
cos(2πfct) and φ2(t) = g(t) sin(2πfct) are the orthonormal basis functions with unit energy.
Constellation points or symbols (si1, si2):

Es = A2 & γs = A2/N0 23
 Error Probability: MPSK

Decision regions

An error occurs if the ith signal constellation point is transmitted and

The joint distribution of r and θ can be obtained through a bivariate transformation of

the noise n1 and n2 on the in-phase and quadrature branches

24
 Error Probability: MPSK
Since the error probability depends only on the distribution of θ, we can integrate out
the dependence on r, yielding

By symmetry, the probability of error is the same for each constellation point.
Thus, we can obtain Ps from the probability of error assuming the constellation point s1
= (A, 0) is transmitted, which is

A closed-form solution to this integral does not exist for M > 4, and hence the
exact value of Ps must be computed numerically.

25
 Error Probability: MPSK

Each point in the MPSK constellation has two nearest neighbors at distance dmin
= 2A sin(π/M). Thus, the nearest neighbor approximation to Ps is given by

26
Error Probability: MPSK

27
 Error Probability: MPSK
Example 6.2
Compare the probability of bit error for 8PSK and 16PSK assuming γb = 15 dB
and using the approximated Ps.

Note that Pb is much larger for 16PSK than for 8PSK for the same γb. This result is
expected, since 16PSK packs more bits per symbol into a given constellation, so for a fixed
energy-per-bit, the minimum distance between constellation points will be smaller. 28
 Error Probability: MPAM
Constellation points are:

Decision regions
for 8-PAM

Demodulations of MPAM:

Only a single basis function as MPAM is one-dimensional:

29
 Error Probability: MPAM
As MPAM is one-dimensional, it has no quadrature component (si2 = 0).
For MPAM all of the information is encoded into the signal amplitude Ai = (2i-1-M)d
Transmitted signal over one symbol time is given by

The amplitude of the transmitted signal takes on M different values, which implies
that each pulse conveys log2M = K bits per symbol time Ts.
Each of the (M-2) inner constellation points have two nearest neighbors at distance
2d. The outermost 2 points have only one neighbor at a distance 2d.
Minimum distance between the constellation points: dmin = mini,j |Ai − Aj | = 2d
Energy of ith symbol:

Average energy per symbol:

30
 Error Probability: MPAM
For inner constellation points:

For outermost constellation points:

Probability of symbol error Ps:

Probability of symbol error:

31
 Error Probability: MQAM

Decision Regions for 16-QAM

For MQAM, the information bits are encoded in both the amplitude and phase of
the transmitted signal.
Thus, both MPAM and MPSK have one degree of freedom in which to encode the
information bits (amplitude or phase), MQAM has two degrees of freedom.
As a result, MQAM is more spectrally-efficient than MPAM and MPSK, in that it can
encode the most number of bits per symbol for a given average energy. 32
 Error Probability: MQAM
Transmitted signal:

Energy of transmitted signal:

For square signal constellations, si1 and si2 take values:

Ai = (2i − 1 − L)d, i = 1, 2, . . ., L = 2l
l is the bit per dimension and bits/symbol = 2l.
MQAM Constellations size: M = L2
Minimum distance between signal points dmin = 2d, the same as for MPAM.
In fact, MQAM with square constellations of size M = L2 is equivalent to
MPAM modulation with constellations of size L on each of the in-phase and
quadrature signal components, each with half the energy of the original
33
MQAM system.
 Error Probability: MQAM
The symbol error probability for each branch of the MQAM system is same as that
of MPAM) with M replaced by L: and equal to the average
energy per symbol in the MQAM constellation.

(for each branch)

Exact probability of symbol error for the MQAM system:

The nearest neighbor approximation to probability of symbol error depends on

whether the constellation point is an inner or outer point. If we average the nearest
neighbor approximation over all inner and outer points, we obtain the MQAM
probability of error:

34
 Error Probability: MQAM
For nonrectangular constellations, it is relatively straightforward to show that the
probability of symbol error is upper bounded as

The nearest neighbor approximation for nonrectangular

constellations:

Mdmin: Largest number of nearest neighbors for any constellation point in the
constellation
dmin: Minimum distance in the constellation

35
 Approximate Error Probability: Coherent Detections
General form (approximated):

αM : Number of nearest neighbors to a constellation at the minimum distance

βM : A constant that relates minimum distance to average symbol energy

36
 Error Probability: Fading Channels
 In AWGN channel, the probability of symbol error Ps depends on the received
SNR or, equivalently, on γs.
 In a fading environment, the received signal power varies randomly over
distance or time due to shadowing and/or multipath fading.
 Thus, in fading γs is a random variables with distribution pγs(γ), and therefore
Ps(γs) is also random.
 The performance metric when γs is random depends on the rate of change of the
fading.
 Three different performance criteria that can be used to characterize the random
variable Ps:
1. Outage probability, Pout : It is the probability that γs falls below a given value
corresponding to the maximum allowable symbol error Ps.
2. Average error probability : It is Ps averaged over the distribution of γs.
3. Combined average error probability and outage: It is defined as the
average error probability that can be achieved at some percentage of time or
some percentage of spatial locations.
37
 Error Probability: Fading Channels
1. Outage probability Pout: If the signal power is changing slowly (Ts << Tc), then a
deep fade will affect many simultaneous symbols. Thus, fading may lead to large
error bursts, which cannot be corrected with coding of reasonable complexity.
Therefore, these error bursts can seriously degrade end-to-end performance. In this
case, acceptable performance cannot be guaranteed over all time or,
equivalently, throughout a cell, without drastically increasing transmit power.
Under these circumstances, an outage probability is specified so that the channel
is deemed unusable for some fraction of time or space.
2. Average probability of symbol error applies when the signal fading is on the
order of a symbol time (Ts ≈ Tc), so that the signal fade level is constant over
roughly one symbol time. Since many error correction coding techniques can
recover from a few bit errors, and end-to-end performance is typically not seriously
degraded by a few simultaneous bit errors, the average error probability is a
reasonably good figure of merit for the channel quality under these conditions.
3. Outage and average error probability are often combined when the channel is
modeled as a combination of large-scale and small-scale fading, e.g., log-
normal shadowing with fast Rayleigh fading. 38
Error Probability: Fading Channels

Deep fade (Ts ≈ Tc)

Deep fade (Ts << Tc)

39
 1. Outage Probability: Fading Channels
 The outage probability relative to γ0 (minimum SNR required for acceptable
performance) is defined as:

In Rayleigh fading, the outage probability becomes:

Inverting this formula shows that for a given outage probability Pout, the required
average SNR is

In dB, this means that 10log10(γs) must exceed the target 10log10(γ0) by
Fd = −10 log10[−ln(1 − Pout)] to maintain acceptable performance more than (1−Pout)
*100% of the time. The quantity Fd is typically called the dB fade margin. 40
Outage Probability: Fading Channels

41
 2. Average Probability of Error: Fading Channels
 The average probability of error is used as a performance metric when Ts ≈ Tc. Thus,
we can assume that γs is roughly constant over a symbol time.
 Then the averaged probability of error is computed by integrating the error
probability in AWGN over the fading distribution:

where Ps(γ) is the probability of symbol error in AWGN with SNR γ.

For a given distribution of the fading amplitude r (i.e., Rayleigh, Rician, log-normal,
etc.), we compute by making the change of variable as below
This follows from the fact that the probability contained in a
differential area must be invariant under change of variables.

In Rayleigh fading, the received signal amplitude r has the Rayleigh distribution,

and the signal power is exponentially distributed with mean 2σ2. 42

 Average Probability of Error: Fading Channels

The SNR per symbol Es/N0 for a given amplitude r is

Where is the PSD of the noise in the in-phase and quadrature branches.

 Differentiating both sides of this expression yields

Then, we get,

For binary signaling, this (pdf of SNR per symbol γs) becomes,

43
 Average Probability of Error: Fading Channels

For BPSK in AWGN channel,

Integrating this BPSK Pb over the above pdf of γb yields,

If we use the general approximation , then the

average probability of symbol error Ps in Rayleigh fading can be
approximated as

44
BPSK in Rayleigh Fading

BPSK

45
MQAM in Rayleigh Fading

MQAM

46
3. Combined Outage and Average Error Probability
When the fading environment is a superposition of both large-scale fading and
small-scale fading (i.e., log-normal shadowing and small-scale fading), a common
performance metric is combined outage and average error probability, where
outage occurs when the large-scale fading falls below some target value and the
average performance in non-outage is obtained by averaging over the small-scale
fading.
We use the following notation:
Let, γs denotes the random SNR for fixed path-loss, random shadowing and random
small-scale fading.
Let, denotes the (random) SNR per symbol for a fixed path-loss and random
shadowing, but averaged over small-scale fading. Its average value is . So, is
random due to shadow fading.
Let, denotes the average SNR per symbol for a fixed path-loss with averaging
over small-scale fading and shadowing.

An outage is declared when the received SNR per symbol due to shadowing and
path-loss alone, , falls below a given target value . 47
 Combined Outage and Average Error Probability
An outage is declared when the received SNR per symbol due to shadowing and
path-loss alone, , falls below a given target value , i.e., < .
When not in outage , the average probability of error is obtained by
averaging over the distribution of the small-scale fading conditioned on the mean
SNR:

The criterion used to determine the outage target is typically based on a

given maximum average probability of error, i.e., , where the target
must then satisfy

Clearly whenever , the average error probability will be below the target
value.
48
Q-function Table

49
The END

50
 Additional Information (David Tse)
We make the standard assumption that w(t) is zero-mean additive white Gaussian noise (AWGN) with
power spectral density N0/2, i.e., E[w(0)w(t)] = N0/2 δ(t).

Hence the discrete-time noise process w(m) is white, i.e., independent over time; moreover, the real and
imaginary components are i.i.d. Gaussians with variances N0/2.

Complex noise, w ∼ CN(0, N0)

The noise energy per complex symbol time is N0

The assumption of AWGN essentially means that we are assuming that the primary source of the noise is at
the receiver or is radiation impinging on the receiver that is independent of the paths over which the signal is
being received. This is normally a very good assumption for most communication situations.
The orthogonal modulation scheme considered here uses only real symbols and hence transmits only on the
I channel. Hence it may seem more natural to define the SNR in terms of noise energy per real symbol, i.e.,
N0/2. However, later we will consider modulation schemes that use complex symbols and hence transmit on
both the I and Q channels. In order to be consistent throughout, we choose to define SNR this way.

Channel tap gains: For Rayleigh fading, all the taps are modeled as: h ∼ CN(0, σ2). Then the magnitude |h|
of each tap is Rayleigh distributed and |h|2 is exponentially distributed. For flat fading, only one tap in the
channel model.
Usually, for Rayleigh fading, h ∼ CN(0, 1), where we normalize the variance to be 1.
Recall that we normalized the channel gain such that E[h2] = 1. 51
EEE 437 Wireless Communication

Diversity Techniques

Dr. Md. Forkan Uddin

Professor
Department of EEE, BUET
 What is Diversity?

Fading significantly degraded the system performance

 If the probability that the
channel gain is below a critical
level is P, then with L independent
channels, the probability is pL
 Diversity exploits the random
nature of radio propagation by
finding independent (or at least
highly uncorrelated) signal paths
for communication. 2
 What is Diversity?
 One of the most powerful techniques to mitigate the effects of fading
is to use diversity-combining of independently fading signal paths.

 Diversity-combining uses the fact that independent signal paths have

a low probability of experiencing deep fades simultaneously.

 The idea behind diversity is to send the same data over independent fading
paths (known as diversity branches).

 If the probability that the channel gain is below a critical level is p, then with L
independent channels, the probability is pL

 These independent paths are combined in some way such that the fading of
the resultant signal is reduced.

 Diversity techniques mitigating the effect of multi-path fading –

Microdiversity

 Diversity methods mitigating the effects of shadowing from buildings

and objects - Macrodiversity. 3
 Types of Diversity
1. Spatial/Space/Antenna diversity:
 Multiple transmit or receive antennas (an antenna array) are used, where the
elements of the array are separated in distance
 The same data is sent over independent fading paths
 No increase in transmit signal power or bandwidth
 Antenna separation must be enough to provide independent fading

 Channels from each antenna (h13, h23) to a third antenna

 Channels are uncorrelated when d12 > 1.5 λ
 Channels correlated, fade together when d12 ≤ λ
 This correlation distance depends on the radio environment around the pair
of antennas 4
 Types of Diversity
2. Time diversity achieved by transmitting the same signal at L different
times, where the time difference is greater than the channel coherence
time (the inverse of the channel Doppler spread)
Time diversity is achieved by averaging the fading of the channel over time. Typically,
the channel coherence time is of the order of tens to hundreds of symbols, and
therefore the channel is highly correlated across consecutive symbols. To ensure that
the coded symbols are transmitted through independent or nearly independent fading
gains, interleaving of codewords is required.
 Time diversity does not require increased transmit power, but it does decrease
the data rate since data is repeated in the diversity time slots rather than
sending new data in these time slots.
 Clearly time diversity can’t be used for stationary applications, since the
channel coherence time is infinite and thus fading is highly correlated over time.
 Time diversity is expensive. However, it is justified for critical traffic.

5
 Types of Diversity
3. Frequency diversity: Achieved by transmitting the same narrowband
signal with L different carrier frequencies, where the carriers are separated
by the coherence bandwidth of the channel.

Multipath fading: different effects on different frequencies

– Different subcarriers are independent of each other
• Frequency diversity is expensive. However, it is justified for critical traffic.

6
Types of Diversity

7
 Types of Diversity
4. Polarization diversity: Independent channels are implemented using the
fact that vertically and horizontally polarized paths are independent.

5. Angle diversity: Multiple receiver antennas with different directivity are

used to receive the same information-bearing signal at different angles.

8
 Spatial vs Time/Frequency Diversity
Spatial diversity
 No additional bandwidth required
 Increase of average SNR is possible
 Additional array gain is possible

Time/Frequency diversity
 Time/frequency is sacrificed
 No array gain
 Averaged receive SNR remains as that for
AWGN channel
9
 Space Diversity/ Diversity Combining
Most combining techniques are linear:
Output of the combiner is just a weighted sum of the
different fading paths or diversity branches.
 Selection Combining (SC)
 Maximal Ratio Combining (MRC)
 Equal gain combining (EGC)

General architecture of a linear combiner

10
 Selection Combining (SC) (1)
Principle: Select the diversity branch with the highest instantaneous SNR
 Only one branch is used at a time, so co-phasing of multiple branches is not
required
 But the RX must simultaneously and continuously monitor SNR on each branch.

(NOTE: Gi is the αi & αi is

the ri in the previous figure)

11
 Selection Combining (SC) (2)
Received signal in branch i: Note: If α is Rayleigh distributed
 α2 is exponentially distributed
 γi is exponentially distributed with
pdf
Instantaneous SNR on each branch i:
Eb/σ2 is the SNR without fading (σ2 = N0)

Average SNR on each branch:

The probability that a single branch has SNR less than some threshold γT (Rayleigh fading):

Probability that all M independent diversity branches receive signals are less than γT (i.e.,
outage):

(Assuming equal
average SNR for all
branches)
If we put γ instead of γT, we will get the CDF of
12
the output SNR γSEL of the selection combiner.
 Selection Combining (SC) (3)
Probability that SNR > γT for one or more branches:

Average SNR of the diversity combiner output signal:

13
 Selection Combining (SC) (4)
Thus the average SNR improvement offered by selection diversity as

 Thus, the average SNR gain increases with M, but not linearly. As the
number of branches increases, diversity gain suffers from diminishing returns.
 Selection diversity offers an average improvement in the link margin
without requiring additional transmitter power or sophisticated receiver
circuitry.
 It is easy to implement, however, it required the signals to be monitored
at a faster rate than the fading process.
 It is not an optimal diversity technique, because it does not use all of the M
possible branches simultaneously.
14
 Selection Combining (SC) (5)

The biggest gain is obtained by going from no diversity to two-branch

diversity. Increasing the number of diversity branches from two to three will give
much less gain than going from one to two, and in general increasing M yields
diminishing returns in terms of the SNR gain.
15
 Selection Combining (SC) (5)
Example:
Find the outage probability of BPSK modulation at Pb = 10−3 for a Rayleigh
fading channel with SC diversity for M = 1 (no diversity), M = 2 and M = 3.
Assume equal average branch SNRs 15 dB.

Solution:
A BPSK modulated signal with γb = 7 dB has Pb = 10−3. Thus, we have, γT = 7 dB.

Substituting γT = 100.7 and ᴦ = 101.5 into outage equation, we get –

Pout = 0.1466 for M = 1
Pout = 0.0215 for M = 2,
Pout = 0.0031 for M = 3.

We see that each additional branch reduces outage probability by almost an order of
magnitude.

16
 Maximal Ratio Combining (MRC)

Principle: The voltage signals from each of the M diversity branches

are co-phased to provide coherent voltage addition.
 The signal voltage on the ith branch becomes

17
 Maximal Ratio Combining (MRC)

Resulting signal
applied to the detector:

Assuming each branch has the same average noise power E[ni2] = σ2 =
N0), total noise power NT becomes -

18
 Maximal Ratio Combining (MRC)
The SNR at the detector, γM:

γM becomes maximum when Gi = αi (for i = 1, 2, …, M),

which is MRC

 SNR out of the MRC = Sum of the SNRs in each branch

19
Maximal Ratio Combining (MRC)

Pout =

20
 Maximal Ratio Combining (MRC)

 The average received SNR in MRC is simply the sum of the individual
average received SNR from each branch

21
Equal Gain Combining (EGC)

22
 Equal Gain Combining (EGC)
 MRC requires knowledge of the time-varying SNR on
each branch to provide for the variable weighting capability,
which can be very difficult to measure.
 In such cases, the branch weights are all set to unity, but the
signals from each branch are co-phased to provide equal gain
combining diversity.
 This allows the receiver to exploit signals that are
simultaneously received on each branch.

23
 Equal Gain Combining (EGC)

SNR out of the equal gain combiner:

Average received SNR:

As αi is Rayleigh distributed,

E[Rayleigh]=
E[Exponential]=P

24
 Equal Gain Combining (EGC)
The performance of EGC is superior to selection diversity, however,
marginally inferior to MRC.

25
 Transmitter Diversity
• Space, time, frequency and polarization diversity are receiver diversity
• In transmitter diversity, transmitter sends multiple versions of the same
signal, through multiple antennas
• Types: Open loop and closed loop
• Open loop
 Send redundant versions of the same signal (symbol), over multiple time
slots, and through multiple antennas
 Encode the symbols differently for different time slots and TX antennas
• Close Loop
 Send redundant versions of the same signal (symbol), over the same time
slot with pre-processing
 Encode the symbols differently for different TX antennas

26
 Open Loop Transmit Diversity

• Use space time coding

• Space-time codes provide spatial diversity gain without
requiring channel knowledge at the transmitter
• Trellis space time codes : complex but best performance in
slow fading environment
• Layered space time codes: easy to implement but not accurate
due to error propagation effect
• Block space time codes : best trade-off of performance vs
complexity

27
 Alamouti Code

• Alamouti code is the first STBC that provides full diversity at

full data rate for two transmit antennas

• Two modulated symbols s1 and s2

28
 Alamouti Code

• The first row represents the first transmission period and the
second row the second transmission period
• During the first transmission, the symbols s1 and s2 are
transmitted simultaneously from antenna one and antenna two
respectively
• In the second transmission period, the symbol −s∗2 is
transmitted from antenna one and the symbol s∗1 from transmit
antenna two

29
Alamouti Code

30
 Alamouti Code: Received Signal

• Channel gains with receiver: h1(t) for transmit antenna one and
h2(t) for transmit antenna two

• r1 and r2 are the received signals at time t and t + T

• n1 and n2 are complex random variables representing receiver
noise and interference.

31
 Alamouti Code: EVCM
Equivalent virtual MIMO channel matrix (EVCM)

32
 Alamouti Code: Receiver Combining

• The channel state information is collected by receiver

s = H Hv y

• Maximum likelihood detection

33
Alamouti Code: BER Performance

34
 STBC/OSTBC

• Alamouti code can be generalized to an arbitrary number of

antennas
• A Space-Time code is defined by an m x Nt transmission
matrix
Nt – number of TX antennas
m– number of time periods for transmission of one
block of coded symbols
• A STBC is called orthogonal STBC if

• Example of orthogonal STBC

35
 OSTBC

• 3 antennas, 4 symbols in
8 time slots
• Coding rate ½
(4 symbols in 8 timeslots)

• 4 antennas, 4 symbols in
8 time slots
• Coding rate 1/2

36
 OSTBC

• With rate ¾
• 3 symbols in 4 time slots

37
 OSTBC

• With rate ¾
• 3 symbols in 4 time slots

38
 OSTBC

• Fractional code rate

• Reduced Spectral efficiency
• Non-square transmission matrix

39
OSTBC Performance

40
 Close Loop Transmit Diversity
• Send redundant versions of the same signal (symbol), over the
same time slot
• Encode the symbols differently for different TX antennas, i.e.,
weight the symbols on different antennas, following a pre-
coding algorithm
• Pre-coding design requires feedback of channel state
information (CSI)

41
 Close Loop Transmit Diversity

• Why pre-coding?
• Signals from different antennas need to sync (align) their
phases
• But the different channels (between TX antennas and RX
antenna) distort signals differently, causing phase offset

42
 Close Loop Transmit Diversity

• How does pre-coding help?

• Pre-coding: TX compensates the phase offset, and aligns the
phases of signals going through different channels

43
 Frequency Diversity
• Narrowband flat fading channels are modeled by a single-tap filter, as most
of the multipaths arrive during one symbol time
• In wideband channels, the transmitted signal arrives over multiple symbol
times and the multipaths can be resolved at the receiver
• The frequency response is no longer flat, i.e., the transmission bandwidth
W is greater than the coherence bandwidth Wc of the channel.
• When transmission (signal) bandwidth W is greater than the channel
coherence bandwidth Wc of the channel, frequency diversity can be
achieved

44
 Frequency Diversity
• With discrete-time baseband model of the wireless channel, the sampled output at
time m denoted by y[m] can be written as

Here, hl[m] denotes the lth

channel filter tap at time m; tap
gains hl are assumed to be
independent

• To understand the concept of frequency diversity in the simplest setting, consider first the
oneshot communication situation when one symbol x[0] is sent at time 0, and no symbol is
transmitted after that. The receiver observes
 Frequency Diversity
• If the channel response has a finite number of taps L, then the delayed
replicas of the signal are providing L branches of diversity in detecting
x[0] and this diversity is achieved by the ability of resolving the multi-
paths at the receiver due to the wideband nature of the channel, and is
called frequency diversity.

• A simple communication scheme can be built on the above idea by sending

an information symbol every L symbol times to achieve maximal diversity
gain of L but it is very wasteful of degrees of freedom: only one symbol
can be transmitted every delay spread (every L symbol times)

• If one tries to transmit symbols more frequently, inter-symbol interference

(ISI) occurs as the delayed replicas of previous symbols interfere with the
current symbol.

46
 Frequency Diversity
How to deal with the ISI while at the same time exploiting the inherent
frequency diversity in the channel?

There are three common approaches:

 Single-carrier systems withequalization
 Direct-sequence spread-spectrum (DSSS)
 Multi-carrier systems: OFDM

An important conceptual point is that, while frequency diversity is something

intrinsic in a wideband channel, the presence of ISI is not, as it depends on the
modulation technique used.

For example, under OFDM, there is no ISI, but sub-carriers that are separated by
more than the coherence bandwidth fade more or less independently and hence
frequency diversity is still present.

47
Single-carrier systems with equalization
• By using linear and non-linear processing at the receiver, ISI
can be mitigated to some extent
• Optimal ML detection of the transmitted symbols can be
implemented using the Viterbi algorithm
• However, the complexity of the Viterbi algorithm grows
exponentially with the number of taps, and it is typically used
only when the number of significant taps is small
• Alternatively, linear equalizers attempt to detect the current
symbol while linearly suppressing the interference from the
other symbols, and they have lower complexity

48
Direct-sequence spread-spectrum (DSSS)

• data rate R bits/s in a spread

• spectrum system is typically much smaller
than the transmission bandwidth W Hz
• Per user data rate R bits/s in a spread spectrum system is typically much smaller than
the transmission bandwidth W Hz
• Very few bits are transmitted per degree of freedom per user
• Because the symbol rate per user is very low in a spread spectrum system, ISI is
typically negligible and equalization is not required
• Moreover, a much simpler receiver called the Rake receiver can be used to extract
frequency diversity
• A rake receiver utilizes multiple correlators to separately detect the M strongest
multipath components
• Multipath components are delayed copies of the original transmitted wave traveling
through a different echo path, each with a different magnitude and time-of-arrival at the
receiver.
49
Orthogonal frequency division multiplexing (OFDM)

• If the channel is linear time-invariant (LTI), sinusoids are eigenfunctions and

they get transformed in a particularly simple way.
• ISI occurs in a single-carrier system because the transmitted signals are not
sinusoids
• Basic idea behind OFDM:
If the channel is underspread (i.e., the coherence time is much larger than the delay
spread) the channel is approximately LTI and hence, transformation into the
frequency domain can be a fruitful approach for communication over frequency-
selective channels

Applications of OFDM/OFDMA: LTE, WiMAX, DSL, ADSL, PLC, Digital TV, WLAN

50
 OFDM (Orthogonal frequency division multiplexing)
Basic idea of OFDM:

51
 OFDM
We begin with the discrete-time baseband model

For simplicity, we first assume that for each l, the lth tap is not changing with m
and hence the channel is linear time-invariant. Again assuming a finite number
of non-zero taps L = TdW (Td: delay spread), we can rewrite the channel model

Sinusoids are eigenfunctions of LTI systems, if they are of infinite duration. If we

transmit over only a finite duration, say Nc symbols, then the sinusoids are no longer
eigenfunctions. One way to restore the eigenfunction property is by adding a cyclic
prefix to the symbols. For every block of symbols of length Nc, denoted by

We create an Nc +L−1 input block as

52
 OFDM
That means, we add a prefix of length L−1 consisting of data symbols rotated
cyclically.

Time domain
data symbols
N = Nc
Time domain
OFDM symbol
Frequency domain
data symbols

Time domain
53
 OFDM

(L−1)
symbols Time domain

With this input to the channel, consider the output

The ISI extends over the first (L−1) symbols and the receiver ignores it by
considering only the output over the time interval m ∈ [L, Nc + L−1]. 54
 OFDM

Denoting the output of length Nc by (time-domain)

Time domain

and the channel by a vector of length Nc

Time domain
x= [ , −1 , − 2 ,…., + − 1 ,….]

d= [ 0 , −1 , − 2 ,…., − + 1 ,…..]

Due to the additional cyclic prefix, the output over this time interval (of length Nc) is

m ∈ [L, Nc + L−1]
55
OFDM

rotation

N = Nc

56
 OFDM

Cyclic Prefix converts the linear convolution into a circular convolution

Thus, output y of length Nc can be written as (A)

Here, is a vector of i.i.d. CN(0, N0) random

variables.

The notation ⊗ denotes the cyclic / circular convolution.

Now, using the following identity,

57
 OFDM
Taking the discrete Fourier transform (DFT) of both sides of (A) , we can write in
frequency domain,

Also, DFT of the symbols,

58
 OFDM: Matrix Notation

Here, C is a circulant matrix, i.e., the rows are cyclic shifts of each other.

U is the unitary matrix (DFT matrix) with its (k, n)th entry equal to
U-1: Nc × Nc
IDFT matrix

Λ (Nc × Nc) is the diagonal matrix with diagonal entries √Nc times the DFT of h, i.e.,

59
 OFDM: Matrix Notation
Output y in equation (A) can thus be written as

Time domain

Time domain
Frequency Frequency
domain Domain
N = Nc

d y
h
U-1 U
60
 OFDM: Operation Summary
 The data symbols modulate Nc tones or sub-carriers, which occupy the bandwidth W and are
uniformly separated by W/Nc Hz.
 The data symbols on the sub-carriers are then converted (through the IDFT) to time domain.
 The procedure of introducing the cyclic prefix (CP) before transmission allows for the removal
of ISI. The receiver ignores the part of the output signal containing the CP (along with the ISI
terms) and converts the length Nc symbols back to the frequency domain through a DFT.
 The data symbols on the sub-carriers are maintained to be orthogonal as they propagate through
the channel and hence go through narrowband parallel sub-channels.
 DFT and IDFT can be very efficiently implemented (using FFT) whenever Nc is a power of 2.
Time domain
Frequency Frequency
domain Domain

d y
h
U-1 U
61
OFDM: Transmitter (including passband moduation)

Frequency Time
domain domain

62
OFDM: Receiver (including passband moduation)
Time Frequency
domain domain

63
 OFDM Trade-off
• The OFDM scheme converts communication over a multipath channel
into communication over simpler parallel narrowband sub-channels.
• However, this simplicity is achieved at a cost of underutilizing two
resources, resulting in a loss of performance.
 First, the CP occupies an amount of time which cannot be used to
communicate data. This loss amounts to a fraction L/(Nc + L) of the total
time.
 The second loss is in the power transmitted. A fraction L/(Nc + L) of
the average power is allocated to the CP and cannot be used towards
communicating data.
Apart from an underutilization of time due to the presence of the CP, as
mentioned earlier that additional power is required due to the CP.

64
 OFDM Trade-off
• To minimize the overhead (in both time and power) due to the cyclic prefix,
we prefer to have Nc as large as possible.
• The time-varying nature of the wireless channel, however, constrains the
largest value Nc can reasonably take.
• OFDM schemes that put a zero signal instead of the CP have been
proposed to reduce power loss. However, due to the abrupt transition in
the signal, such schemes introduce harmonics that are difficult to filter in
the overall signal.
• Further, the CP can be used for timing and frequency acquisition in
wireless applications, and this capability would be lost if a zero signal
replaced the CP.

65
 OFDM Block Length Nc (2)
Time Domain:
If the channel is slowly time varying, then the coherence time Tc is much larger than
the delay spread Td (the underspread scenario). For underspread channels, the block
length of the OFDM communication scheme Nc can be chosen significantly larger
than the multipath length L = TdW = Td/Ts (Ts = 1/W = sampling interval = symbol
duration), but still much smaller than the coherence block length TcW = Tc/Ts. That is,
L << Nc < TcW. Under these conditions, the channel model of linear time invariance
approximates a slowly time-varying channel over the block length Nc, while keeping
the overhead small.

Frequency Domain:
For a block length of Nc , inter-sub-carrier spacing equal to W/Nc. In a wireless
channel, the Doppler spread introduces uncertainty in the frequency of the received
signal; the Doppler spread is inversely proportional to the coherence time of the
channel: Ds = 1/(4Tc ). For the inter-sub-carrier spacing to be much larger than the
Doppler spread (i.e., W/Nc >> 1/4Tc), the OFDM block length Nc should be
constrained to be much smaller than TcW. This is the same constraint as above.
66
 OFDM: IEEE 802.11 (Wi-Fi) Case Study
• The IEEE 802.11 Wireless LAN standard family (popularly known as Wi-Fi) consists of
a series of half-duplex over-the-air modulation techniques that use the same basic protocol.

• The 802.11 protocol family employs carrier-sense multiple access with collision
avoidance whereby equipment listens to a channel for other users (including non 802.11
users) before transmitting each packet.

• The base version of the standard was released in 1997.

• 802.11-1997 was the first wireless networking standard in the family, but 802.11b was the
first widely accepted one, followed by 802.11a, 802.11g, 802.11n, and 802.11ac.

• Other to a previous specification. standards in the family (c–f, h, j) are service amendments
that are used to extend the current scope of the existing standard, which may also include
corrections

• Wi-Fi generations 1- 6 refer to the 802.11b, 802.11a, 802.11g, 802.11n, 802.11ac, and
802.11ax protocols, in that order.

67
 OFDM: 802.11 (Wi-Fi) Case Study
• For example, the IEEE 802.11a Wireless LAN standards, which occupies 20 MHz of
bandwidth in the 5 GHz unlicensed band, is based on OFDM. The IEEE 802.11g standard is
virtually identical, but operates in the smaller and more crowded 2.4 GHz unlicensed ISM
band.

• In 802.11a, N = 64 subcarriers are generated, although only 48 are actually used for data
transmission, with the outer 12 zeroed in order to reduce adjacent channel interference,
and 4 used as pilot symbols for channel estimation.

• The CP consists of L-1 = 16 samples, so the total number of samples associated with each
OFDM symbol, including both data samples and the cyclic prefix, is 80. The transmitter
gets periodic feedback from the receiver about the packet error rate, which it uses to pick an
appropriate error correction code and modulation technique.

• The same code and modulation must be used for all the subcarriers at any given time. The
error correction code is a convolutional code with one of three possible coding rates: r = 1/2 ,
2/3, or 3/4. The modulation types that can be used on the sub-channels are BPSK, QPSK,
16QAM, or 64QAM.

68
The END

69
EEE 437 Wireless Communication

Space-Time Communications

Dr. Md. Forkan Uddin

Professor
Department of EEE, BUET
 Space-Time (ST) Configurations
The use of multiple antennas at the receiver and/or transmitter in a
wireless system, popularly known as space-time (ST) wireless or multi-
antenna communications or smart antennas.

2
 ST Communications Benefits

 Higher data rates

 Improved spectral
efficiency
 Better user coverage
 Fewer dropped calls/
improved link reliability

Data rate (at 95% reliability) vs SNR for different antenna

configurations. Channel bandwidth is 200 KHz. 3
 ST Communication System

MT transmit MR receive
antennas antennas

 The input data bits enter a ST coding block that adds parity bits for protection against noise and
also captures diversity from the space and possibly frequency or time dimensions in a fading
environment. After coding, the bits (or words) are interleaved across space, time and frequency
and mapped to data symbols (such as QAM) to generate MT outputs.
 MT symbol streams may then be ST pre-filtered before being modulated with a pulse shaping
function, translated to the passband via parallel RF chains and then radiated from MT antennas.
 These signals pass through the radio channel where they are attenuated and undergo fading in
multiple dimensions before they arrive at the MR receive antennas. Additive thermal noise in the
MR parallel RF chains at the receiver corrupts the received signal.
 The mixture of signal plus noise is matched-filtered and sampled to produce MR output streams.
Some form of additional ST post-filtering may also be applied. These streams are then ST de-
interleaved and ST decoded to produce the output data bits. 4
 Signal Models: SISO Channel

If a signal s(t) is
transmitted, the
received signal:

5
 Signal Models: SIMO Channel

Signal received at the ith receive antenna

Signals received at the MR receive antennas by the MR × 1 vector

6
Signal Models: MISO Channel

7
Signal Models: MIMO Channel

Tx antenna

Rx antenna

8
 Sampled Signal Model: SISO channel
If a sequence of data symbols s[l] (l = 0, 1, 2, . . . ) is to be transmitted, then the received signal

where Ts is the duration of a single symbol (1/Ts ≈ B, the bandwidth of transmission)

and n(t) is additive noise.
If this signal is sampled at instants t = kTs +Δ (k = 0, 1, 2, . . . ), where Δ is the sampling delay,
then the sampled signal response is

and may be rewritten as

h[l] (l = 0, 1, 2, . . ., L − 1) is the Ts spaced sampled channel.

9
L is the channel length measured in sampling periods.
 Sampled Signal Model: SISO channel

Frequency flat channel

Frequency selective channel

T successive received signal samples are therefore

10
 Sampled Signal Model: SISO channel
Frequency selective channel (…contd)

The input–output relation for frequency selective fading can alternatively be expressed as

11
 Sampled Signal Model: MIMO channel
Frequency flat channel

Zero-Mean Circulant Symmetric Complex

Gaussian
Independent, zero mean and equal variance.

where y[k] is the received signal vector with dimension MR × 1, s[k] is the transmit
signal vector with dimension MT × 1 and n[k] is the MR × 1 spatio-temporally white
ZMCSCG noise vector with variance No in each dimension.

Since the output at any instant of time is independent of inputs at previous times, we
can drop the time index k for clarity and express the input–output relation simply as

MR × 1

MR × 1 MR × MT MT × 1 12
 Sampled Signal Model: MIMO channel

Frequency selective channel

Both of length L

13
Sampled Signal Model: MIMO channel

14
Channel Capacity: Flat fading MIMO Channel
The maximum error-free data rate that a channel can support is
called the channel capacity.
Input–output relation for the MIMO channel
Zero-Mean Circulant Symmetric
Complex Gaussian
A complex Gaussian RV, Z = X + jY
is ZMCSCG if X and Y are
independent real Gaussian RV with
where zero mean and equal variance.

 y is the MR × 1 received signal vector

 s is the MT × 1 transmitted signal vector
 n is the MR × 1 ZMCSCG noise with covariance matrix E{nnH} = NoIMR
 Es is the total average energy available at the transmitter over a symbol period.
 The covariance matrix of s, Rss = E{ssH}, (s is assumed to have zero mean) must
satisfy Tr(Rss) = MT in order to constrain the total average energy transmitted over a
symbol period [Tr( ) is the Trace of a matrix].
15
 MIMO
Communications
(Deterministic Channel
& Perfectly Known at the
Receiver) 16
Channel Capacity: Flat fading MIMO Channel

H is Deterministic and Known at the Receiver:

f(s) is the probability distribution of the vector s
I(s; y) is the mutual information between vectors s and y
Type equation here.
H(y) is the differential entropy of the vector y
H(y|s) is the conditional differential entropy of the vector
y, given knowledge of the vector s.
H(Hs|s) =0 since H is deterministic, entronpy is zero
Since the vectors s and n are independent, H(n|s) = H(n)
Thus maximizing I(s; y) is equivalent to the maximizing H(y)
Covariance matrix of y:

17
Channel Capacity: Flat fading MIMO Channel

18
Channel Capacity: Flat fading MIMO Channel

det(AB) = det(A) det(B)

19
Channel Capacity: Flat fading MIMO Channel
Case I: H is Unknown to the Transmitter (slide 1):
Vector s may be chosen to be statistically non-preferential:
This implies: signals are independent and equi-powered (= Es/MT) at the transmit antennas.

(Eigen decomposition, Q: Unitary matrix, Λ: Diagonal matrix)

A: (m × n) matrix; B: (n × m) matrix

Q and Λ:
MR × MR matrix

r is the rank of the channel; diagonal elements of Λ are λi (i = 1, 2, . . ., r ),

which are the positive eigen values of HHH.
 Thus the capacity of the MIMO channel is the sum of the capacities of r
SISO channels, each having power gain λi (i = 1, . . ., r) and transmit power
Es/MT 20
Channel Capacity: Flat fading MIMO Channel
Case I: H is Unknown to the Transmitter (slide 2)
Given a fixed total channel power transfer, Frobenius norm
, what is the nature of the channel H that maximizes capacity?

ζ=M2
Squared Frobenius norm of H:

The capacity of an orthogonal MIMO channel is therefore M times the scalar

channel capacity. 21
Channel Capacity: Flat fading MIMO Channel
Case II: H is Known to the Transmitter (slide 1)
When the channel is known at both the transmitter and receiver, the individual channel
modes may be accessed through linear processing at the transmitter and receiver.

 Consider a ZMCSCG signal vector s of dimension r × 1, where r is the rank of the

Channel H to be transmitted.
 The vector is multiplied by the matrix V prior to transmission.
 At the receiver, the received signal vector y is multiplied by the matrix UH.
Singular value decomposition

22
 Channel Capacity: Flat fading MIMO Channel
Case II: H is Known to the Transmitter (slide 2)
Previous equation shows that with channel knowledge at the transmitter, H can be explicitly
decomposed into r parallel SISO channels satisfying

Singular value decomposition

If λi ≥ λi+1

23
Channel Capacity: Flat fading MIMO Channel
Case II: H is Known to the Transmitter (slide 3)

Since the transmitter can access the spatial sub-channels, it can allocate variable energy
across the sub-channels to maximize the mutual information. The mutual information
maximization problem now becomes

(using Water-pouring/Water-filling algorithm)

24
 Water-Pouring/Filling Algorithm (1)
Setting the iteration count p to 1, we first calculate the constant μ

Using the value of μ found above, the power allocated to the ith sub-channel can be
calculated using

count p incremented by 1.

The optimal water-pouring power allocation strategy is found when power allocated
to each spatial sub-channel is non-negative.

The capacity of the MIMO channel when the channel is known to the transmitter is
necessarily greater than (or equal to) the capacity when the channel is unknown to
the transmitter.
25
Water-Pouring/Filling Algorithm (2)

26
 MIMO
Communications
(Random Channel
and Perfectly Known at
the Receiver) 27
Channel Capacity: Flat fading MIMO Channel
Let consider the cases of random MIMO channels.
 For now, we assume the elements of H, hi,j (i = 1, 2, . . ., MR, j = 1, 2, . . ., MT) are
normalized so that E{|hi, j|2} = 1.
 Each realization of the fading channel has a maximum information rate associated
with it depending on whether the channel is known or unknown to the transmitter.
The signal received at the ith receive antenna, yi, is given by

 hi: Vector of dimension 1 × MT , represents the ith row of H

 ni: ith element of n.
 Since E{|hi, j|2} = 1 and Tr(Rss) = MT, it follows that E{|yi |2} = Es + No
 Average received SNR at the ith receive antenna is ρ = Es/No
 Es/(MTN0 ): Average SNR at any receive antenna contributed by a single transmit
antenna (assuming equal power allocation).
 Clearly, if MT = MR = 1, ρ is the average SNR at the receiver.
28
 Ergodic Capacity (1)
The ergodic capacity of a MIMO channel is the ensemble average of the
information rate over the distribution of the elements of the channel matrix H.
Ergodic capacity is also called the Shannon capacity of the channel.

When the channel is unknown to the transmitter, the ergodic capacity is given by

Ergodic capacity when the channel is known to the transmitter is the ensemble
average of the capacity achieved when the waterpouring optimization is performed for
each realization of H, and is given by

29
 Ergodic Capacity (2)

Channel is unknown to the transmitter

30
 Ergodic Capacity (3)
MT = MR = 4
Hw MIMO channel

Q. Explain why the gap in capacity between the channel known and unknown cases
decreases at higher SNR for Hw MIMO channels with MT = MR = M.
31
 Outage Capacity (1)
 Outage analysis quantifies the level of performance (in this case capacity) that is
guaranteed with a certain level of reliability.
 q% outage capacity Cout,q is defined as the information rate that is guaranteed for
(100 − q)% of the channel realizations, i.e., P(C ≤ Cout,q) = q%

CDF of information rate for

the Hw MIMO channel with
MT = MR = 2 and a SNR of
10 dB.
32
 Outage Capacity (2)

Channel is unknown
to the transmitter

 Outage capacity increases with SNR and is higher for larger antenna configurations.

33
 Outage Capacity (3)
MT = MR = 4
Hw MIMO channel

10% outage capacity of a MT = MR = 4 Hw MIMO channel with

and without channel knowledge at the transmitter.
34
Spatial Diversity
(Perfect Channel Knowledge at
the Receiver)

35
 Diversity Gain (1)
• Diversity provides the receiver with multiple (ideally independent)
looks at the same transmitted signal
• Assume that a symbol s, drawn from a scalar constellation with unit
average energy, is to be transmitted.
• There are M identical independent Rayleigh fading links between the
transmitter and receiver.
• Received signal

 Es/M is the symbol energy available to the transmitter for each of the M diversity
branches
 yi is the received signal corresponding to the ith diversity branch
 hi is the channel transfer function corresponding to the ith diversity branch
 ni is additive ZMCSCG noise with variance No. Furthermore, consider E{ninj*} = 0,
which ensures that the additive noise is uncorrelated across the diversity branches.
36
 Diversity Gain (2)
• Given multiple faded versions of the transmitted signal s, the post-processing SNR
η at the receiver can be maximized through a technique known as maximal ratio
combining (MRC).
• Assuming perfect channel knowledge at the receiver, the M received signals are
combined according to

• SNR η is given by

where ρ = Es/No may be interpreted as the average SNR at the receive antenna in a SISO
fading link.
• Assuming ML detection at the receiver, the corresponding probability of symbol error is

37
 Diversity Gain (4)
Applying the Chernoff bound, Pe can be upper-bounded as,

x=|h|^2 with unit power

f(x)=exp(-x)

In the high SNR regime (ρ >>1),

38
 Coding Gain vs Diversity Gain
While both diversity and coding improve system performance (decrease error rate), the nature of
these gains is very different. While diversity gain manifests itself in increasing the magnitude
of the slope of the SER curve, coding gain shifts the error rate curve to the left. The SER for
a system employing both coding and diversity techniques at high SNR can be approximated by

 c is a scaling constant specific to

the modulation employed and the
nature of the channel
 γc (γc ≥ 1) denotes coding gain
 M is the diversity order of the
system

The SNR advantage due to diversity gain increases with increasing diversity order and lower
target error rate. On the other hand, the coding gain is typically constant at a high enough SNR.
39
 Spatial Diversity: Receive Antenna Diversity (1)
Consider a system with a single antenna at the transmitter and multiple antennas at
the receiver (SIMO channel).
Assuming flat fading conditions, the channel vector h for such a system is given by

Assuming that the symbol s to be transmitted is drawn from a scalar constellation with
unit average energy, the input-output relation for the channel may be expressed as
y is the MR × 1 received signal vector
n is MR × 1 ZMCSCG noise vector with E{nnH} = NoIMR.

To maximize the received SNR, the receiver performs MRC, and output z becomes

Since the noise vector n is spatially white, the SNR at the receiver η is given by

40
 Spatial Diversity: Receive Antenna Diversity (2)
If the separation between the antennas at the receiver is greater than the coherence
distance (DC) and if we assume a rich scattering environment, then h = hw.
Average probability of symbol error for such a channel is given by

In the high SNR regime,

Thus the diversity order of the system is equal to the number of antennas at the
receiver MR. Furthermore, since E{||h||F2} = MR for h = hw, the average SNR at the
receiver, E{η}, is given by

Hence, in addition to diversity gain, the average SNR at the receiver is enhanced
by a factor of MR over a standard SISO link due to array gain which is expressed as
10 log10MR in dB. 41
 Spatial Diversity: Receive Antenna Diversity (3)
 BPSK modulation
 AWGN SISO channel (no fading)

With MR = 4, system outperforms an

AWGN link for a target BER greater
than 10−5. This can be explained by
the role of array gain (which is 6 dB
for four antennas) which provides
the initial advantage. However, at
lower target BER, the penalty due to
fading overwhelms the array gain
advantage.

Receive diversity techniques are capable of extracting full diversity gain and
array gain. Performance improvement is proportional to the number of receive
antennas used. However, deploying multiple antennas at the terminal receiver is often
not feasible due to cost or space limitations. Instead, multiple antennas at the
transmitter in combination with transmit antenna diversity techniques is more popular.
42
Spatial Diversity: Transmit Antenna Diversity (1)
Exploiting spatial diversity in systems with multiple antennas at the transmitter
requires that the signal be pre-processed or pre-coded prior to transmission.
Why is the pre-processing of the transmit signal required?
Consider a symbol s that is to be transmitted over a system with two transmit antennas
and a single receive antenna. A simplistic attempt to exploit diversity would be to
transmit the signal from both transmit antennas at the same time. Assuming a flat
fading environment, where the channel signatures corresponding to the transmit
antennas are given by h1 and h2, the received signal y may be expressed as

Es is the average energy available at the transmitter over a symbol period evenly
divided among the transmit antennas and n is the ZMCSCG noise at the receiver. Now
the sum of two complex Gaussian random variables is also complex Gaussian (h1 +
h2)/sqrt(2) is ZMCSCG with unit variance. So we get
where h is ZMCSCG with E{|h|2} = 1.

Therefore, this naive technique does not provide diversity. 43

Spatial Diversity: Transmit Antenna Diversity (2)
Case I: Channel unknown to the transmitter: MISO
We assume two antennas at the transmitter and a single receive antenna.
Alamouti scheme:

1st symbol 2nd symbol

period period

We assume that the channel remains constant over the two symbol periods, and is
frequency flat. Therefore, h = [h1, h2] and the signals y1 and y2 received over the two
symbol periods are given by
n1 and n2 are ZMCSCG noise with
E{|n1|2} = E{|n2|2} = No and Es/2 is the
average transmit energy per symbol
period per antenna.

44
Spatial Diversity: Transmit Antenna Diversity (3)
Case I: Channel unknown to the transmitter: MISO (contd.)

Hence, the effective channel output for symbols si (i = 1, 2) becomes

and the received SNR, η, per symbol is given by

Assuming h = hw, for high SNR regime

45
 Spatial Diversity: Transmit Antenna Diversity (4)
Case I: Channel unknown to the transmitter: MISO (contd.)
 The Alamouti scheme therefore extracts a diversity order of 2 (full MT diversity), even in the
absence of channel knowledge at the transmitter.

 Thus, the absence of channel knowledge at the transmitter does not allow array gain.

While both schemes outperform a

SISO fading link and extract the
same diversity gain (the SER
curves have the same slope),
receive diversity (MT = 1, MR = 2)
outperforms the Alamouti scheme
(MT = 2, MR = 1) (transmit
diversity) because of array gain.

46
 Spatial Diversity: Transmit Antenna Diversity (5)
Case II: Channel known to the transmitter: MISO
The vector channel:

To exploit spatial diversity, the same signal is transmitted from each transmit
antenna after being weighted appropriately, so that the signals arrive in phase at the
receive antenna and add coherently. The signal at the receiver is given by

 y is the received signal

 w is a weight vector of dimension MT × 1
 n is ZMCSCG noise.

 w must be chosen subject to ||w||F2 = MT, to ensure that the average total power of the
transmitted signal is Es .
 Clearly, w that maximizes the received SNR is given by

 This scheme is known as transmit-maximal ratio combining (transmit-MRC).

 The SNR at the receiver η is given by

47
 Spatial Diversity: Transmit Antenna Diversity (6)
Case II: Channel known to the transmitter: MISO (contd.)
If h = hw, then the average probability of symbol error
in the high SNR regime is upper-bounded by

The average SNR at the receiver

is improved by a factor of MT over
a SISO link, and is the transmit
SISO Link array gain. Hence, if perfect
channel knowledge is available to
MISO: MT = 2 the transmitter, transmit-MRC
will deliver array gain and
diversity gain.

Transmit-MRC outperforms the

Alamouti scheme on account of
BPSK modulation array gain while providing the
same diversity gain. 48
 Spatial Diversity: Transmit Antenna Diversity
Case III: Channel unknown to the transmitter: MIMO
 Consider a MIMO system with MT = 2, MR = 2 and use Alamouti scheme.
 We assume that the channel remains constant over consecutive symbol periods.
 Assume also a frequency flat channel.

Signals received at the receive antenna array over consecutive symbol periods are y1 and y2.

n1, n2, n3 and n4 are uncorrelated ZMCSCG noise samples with E{|ni|2} = No (i = 1, 2, . . ., 4).

As in the MISO channel (with the channel unknown to transmitter), the energy available at the
transmitter is evenly divided between the transmit antennas.

The receiver now forms a signal vector y according to

49
 Spatial Diversity: Transmit Antenna Diversity
Case III: Channel unknown to the transmitter: MIMO (contd.)

Hence, the effective channel for either data symbol si (i = 1, 2) becomes

with the corresponding received SNR given by

50
 Spatial Diversity: Transmit Antenna Diversity
Case III: Channel unknown to the transmitter: MIMO (contd.)
Assuming H = Hw, it follows that the average probability of symbol error in the high
SNR regime is upper-bounded by

Therefore, the Alamouti scheme extracts order MT MR diversity (= 4 in this case),

though channel knowledge is not available to the transmitter.

Therefore, in the absence of channel knowledge at the transmitter, the Alamouti

scheme is capable of extracting only receive array gain.

Alamouti technique may be used to extract diversity in MIMO systems with two
transmit antennas and any number (MR) of receive antennas – we get 2MR order
diversity (full diversity) and an array gain of MR.
51
 Spatial Diversity: Transmit Antenna Diversity
Case IV: Channel known to the transmitter: MIMO
 We consider a system with MR X MT MIMO system.
 When the channel is known to the transmitter, spatial diversity may be extracted
through a technique known as dominant eigenmode transmission. Here, as with
transmit-MRC for MISO systems, the same signal is transmitted from all antennas in
the transmit array with weight vector w.

The received signal vector is then given by

y is the MR × 1 received signal vector
H is the MR × MT channel transfer function
w is the MT × 1 complex weight vector
n is spatially white ZMCSCG noise
We note that w must satisfy ||w||F2 = MT to maintain total average transmitted energy
Let the receiver form a weighted sum of antenna outputs according to

g is a MR × 1 vector of complex weights

52
 Spatial Diversity: Transmit Antenna Diversity
Case IV: Channel known to the transmitter: MIMO (contd.)
SNR at the receiver, η:

Maximizing the SNR at the receiver is equivalent to maximizing

With the appropriate (SNR maximizing) choice of w and g, the effective input–output
relation for the channel reduces to
n is ZMCSCG noise with variance No
σmax2 = λmax , where λmax is the maximum
eigenvalue of HHH

SNR at the receiver: Therefore, array gain = E{λmax} in

dominant eigenmode transmission
λmax may be upper- and lower-bounded according to
r is the rank of H
53
 Spatial Diversity: Transmit Antenna Diversity
Case IV: Channel known to the transmitter: MIMO (contd.)
Since H = Hw is full-rank with probability 1, r = min(MT , MR). Hence,
the average SNR at the receiver may be upper- and lower-bounded as

Thus, array gain when the channel is known to the transmitter is greater
than or equal to the array gain when the channel is unknown.

SER at high SNR:

Thus, SER must maintain a slope of magnitude MT MR, as a function of

SNR (on a log–log scale). Hence, we can conclude that dominant
eigenmode transmission extracts a full diversity order of MT MR. 54
 Spatial Diversity: Transmit Antenna Diversity
Case IV: Channel known to the transmitter: MIMO (contd.)

BPSK modulation
MT = 2, MR = 2

 As expected, both schemes

extract the same order of
diversity.
 However, dominant
eigenmode transmission
outperforms the Alamouti
scheme due to the higher
array gain.

55
 Spatial Diversity: Summary

Array gain and diversity order for different multiple antenna

configurations (Channel known to the receiver):

(CU = channel unknown to the transmitter

CK = channel known to the transmitter)
56
 Spatial
Multiplexing
(SM)
57
 Spatial Multiplexing (SM)
 SM (a special case of ST coding) sends MT independent
symbols per symbol period, so rs = MT
 Depending on the choice of ST coding, rs ϵ [0, MT]
 Two types - Uncoded and Coded SM
 For uncoded SM, diversity order is MR
 SM with no coding may be considered as a ST code with
spatial rate MT with MR order diversity

58
 Coded SM: Horizontal Encoding (HE)
Horizontal encoding (HE)

 Bit stream is first demultiplexed into MT separate streams.

 Each stream undergoes independent temporal coding, interleaving and symbol
mapping, and is transmitted from one antenna.
 The spatial rate is clearly rs = MT =N/T
 The signaling rate =qK/T=qrtMT bits/transmission, where frame length =T, temporal
code rate, K/N= rt
 HE scheme (like uncoded SM) can at most achieve MR order diversity, since any given
symbol is transmitted from only one transmit antenna and received by MR receive
antennas. This is a source of the sub-optimality of this particular encoding architecture.
 But it does simplify receiver design.
 Coding gain depends on the strength of the temporal code
 Array gain of MR is achievable. 59
 Coded SM: Vertical Encoding (VE)
Vertical encoding (VE)

 Bit stream undergoes temporal coding, interleaving and symbol mapping after which
it is demultiplexed into MT streams that are transmitted over the antennas.
 This form of encoding can reach optimality since potentially each information bit can
be spread across all antennas.
 However, VE requires joint decoding of the substreams at the receiver and can be
very complex.
 The spatial rate is rs = MT and the signaling rate is qrtMT bits/transmission.
 Since the information symbols are spread over more than one antenna, VE can
achieve a diversity order greater than MR.
 Coding gain will depend on the temporal code design and array gain of MR is
achievable.
60
 Coded SM: Diagonal Encoding (DE)
Diagonal encoding (DE)

 Incoming data stream first undergoes HE encoding, after which each

codeword is split into frames/slots.
 These frames pass through a stream rotator that rotates the frames in a
round robin fashion so that the bit stream–antenna association is
periodically cycled.
 Making the codeword large enough ensures that the codeword from
any one demultiplexed stream is transmitted over all MT antennas.

61
 Coded SM: D-BLAST Encoding
D-BLAST Numerals represent layers
encoding belonging to the same codeword

 The D-BLAST transmission technique follows DE type encoding strategy

(includes an initial wasted triangular block where no transmission takes place).
 This initial wastage is required to enable optimal decoding.
 The spatial rate is MT and the signaling rate is qrtMT bits/transmission.
 D-BLAST like schemes can achieve full MTMR diversity if the temporal
coding with stream rotation is optimal (Gaussian code books with infinite block
size). Coding gain will depend on the temporal code design and an array gain of
MR is achievable.
62
Some Useful
Identities
63
 Some Identities and Properties
IID (spatially white) MR × MT MIMO channel Hw

Correlated channels imply that elements of H are correlated

R is the MT MR × MT MR covariance matrix:

R is a positive semi-definite Hermitian matrix

If R = IMT MR, then H = Hw

64
 Some Identities and Properties
Singular values of H (MR x MT matrix with rank r)
U: MR × r matrix
V: MT × r matrix
σi ≥ 0 and σi ≥ σi+1,
σi is the ith singular value of H

HHH is an MR × MR positive semi-definite Hermitian matrix.

 Eigen decomposition of HHH = QΛQH
Q is an MR × MR matrix satisfying
QHQ = QQH = IMR and Λ = diag{λ1, λ2,· · ·, λMR} with λi ≥ 0.

If λi ≥ λi+1

Since H is random, λi (eigenvalues of HHH) is also a random variable.

65
 Some Identities and Properties
The squared Frobenius norm of H:
HHH is an MR × MR
positive semi-definite
Hermitian matrix.

The statistics of determines diversity performance.

A Hermitian matrix is a complex square matrix that is equal to its own conjugate transpose.

66
 Some Identities and Properties
Orthogonal matrix:
A square matrix Q with real numbers is said to be an orthogonal matrix, if its
transpose is equal to its inverse matrix (i.e., QT = Q-1) or we can say, when the product
of a square matrix and its transpose gives an identity matrix (=> QTQ = QQT = I), then
the square matrix is known as an orthogonal matrix. An orthogonal matrix Q is
necessarily invertible and unitary.

Unitary matrix:
In linear algebra, a complex square matrix U is unitary if its conjugate transpose UH is
also its inverse, that is, UUH= UHU = I.

Trace of a square matrix:

In linear algebra, the trace of a square matrix A, denoted tr(A), is defined to be the sum
of elements on the main diagonal (from the upper left to the lower right) of A.
Rank of matrix:
1. If A is a m-by-n matrix, Rank(A) ≤ min(m, n)
2. Rank(AB) ≤ min(rank(A), rank(B))
3. Rank(AAH) = Rank (AHA) = Rank (A) = Rank (AH)

67
 References
Text Book:
Introduction to Space-Time Wireless Communications – A.
Paulraj, R. Nabar and D. Gore
(Cambridge University Press)

Chapter: 3, 4, 5, 6

68
 Additional Information (David Tse)
We make the standard assumption that w(t) is zero-mean additive white Gaussian noise (AWGN) with
power spectral density N0/2, i.e., E[w(0)w(t)] = N0/2 δ(t).

Hence the discrete-time noise process w(m) is white, i.e., independent over time; moreover, the real and
imaginary components are i.i.d. Gaussians with variances N0/2.

Complex noise, w ∼ CN(0, N0)

The noise energy per complex symbol time is N0

The assumption of AWGN essentially means that we are assuming that the primary source of the noise is at
the receiver or is radiation impinging on the receiver that is independent of the paths over which the signal is
being received. This is normally a very good assumption for most communication situations.
The orthogonal modulation scheme considered here uses only real symbols and hence transmits only on the
I channel. Hence it may seem more natural to define the SNR in terms of noise energy per real symbol, i.e.,
N0/2. However, later we will consider modulation schemes that use complex symbols and hence transmit on
both the I and Q channels. In order to be consistent throughout, we choose to define SNR this way.

Channel tap gains: For Rayleigh fading, all the taps are modeled as: h ∼ CN(0, σ2). Then the magnitude |h|
of each tap is Rayleigh distributed and |h|2 is exponentially distributed. For flat fading, only one tap in the
channel model.
Usually, for Rayleigh fading, h ∼ CN(0, 1), where we normalize the variance to be 1.
Recall that we normalized the channel gain such that E[h2] = 1. 69
EEE 437 Wireless Communication

Broadband Communications

Dr. Md. Forkan Uddin

Professor
Department of EEE, BUET
Multi-Carrier CDMA
(MC-CDMA)

2
 DS-CDMA
DS-CDMA Modulation

DS-CDMA Transmitter
for jth user

Ref: S. Hara and R. Prasad, “Overview of Multicarrier CDMA,” IEEE Communication Magazine, pp. 126-133, 1997.
3
 Multi-Carrier CDMA (MC-CDMA) (1)
MC-CDMA
Principle (1)

MC-CDMA
Transmitter for jth user

 MC-CDMA transmitter spreads the original data stream over different subcarriers using
a given spreading code in the frequency domain.
 In other words, a fraction of the symbol corresponding to a chip of the spreading code is
transmitted through a different sub-carrier.
 GMC = Processing gain and Nc = Number of sub-carrier. In the figure, GMC = Nc . 4
 MC-CDMA (2)
MC-CDMA
Principle (2)

Multi-carrier modulation can be realized by using the low complexity OFDM operation.

5
 MC-DS-CDMA (2)

MC-DS- MC-DS-CDMA
CDMA Transmitter for jth user
Principle

 Serial-to-parallel block converts the high rate data into low rate parallel sub-streams.
 Then, the data symbols on each sub-channel are spreaded with a user specific spreading code
in the time direction, which corresponds to direct sequence spreading on each sub-channel.
 MC-DS-CDMA systems with narrowband sub-channels typically use high numbers of sub-carriers and
6
can be efficiently realized by using the OFDM operation.
 MC-DS-CDMA (2)
MC-DS-CDMA
Principle (2)

7
 OFDM and OFDMA

 In OFDM systems, only a single user can transmit on all of the sub-carriers at any given time.
To accommodate multiple users, a strictly OFDM system must employ Time Division Multiple
Access (TDMA) (separate time frames) or Frequency Division Multiple Access (FDMA)
(separate channels). Neither of these techniques is time or frequency efficient. The major
drawback to this static multiple access schemes is the fact that different users seeing the
wireless channels (sub-carriers) differently is not being utilized.
 OFDMA is the multi-user OFDM technology where users can be assigned on both TDMA
and FDMA basis where a single user does not necessarily need to occupy all the sub-
carriers at any given time. In other words, a subset of subcarriers is assigned to a particular
user. This allows simultaneous low data rate transmission from several users as well as
it can be dynamically assigned to the best non-fading, low interference channels for a
particular user and avoid bad sub-carriers to be assigned. 4G LTE and Wi-Fi 6 use
8
OFDMA.
4G Long-Term Evolution
(LTE) System

9
 Evolution from 1G to 4G

 The Third-Generation Partnership Project (3GPP) is the

standards-developing body that specifies the 5G, 4G
LTE/LTE-Advanced, as well as the 3G UTRA and 2G GSM
systems.
 3GPP is a partnership project formed by the standards bodies
https://www.3gpp.org/
ETSI, ARIB, TTC, TTA, CCSA, and ATIS.
10
 Evolution from 3G to 5G

High Speed Downlink Packet Access (HSDPA)

TD-SCDMA (Time Division-Synchronous CDMA)
System Architecture Evolution (SAE)

R12 March 2015 LTE-Advanced

R13 March 2016 LTE-Advanced Pro
R14 June 2017 LTE-Advanced Pro 11
 Enhancement of LTE

Evolved Packet Core (EPC)

System Architecture Evolution (SAE)
Multimedia Broadcast Multicast Service (MBMS)
Inter-Cell Interference Coordination (ICIC)
Coordinated multipoint (CoMP) 12
 LTE Architecture

EPC

E-UTRAN

E-UTRAN: Evolved Universal Terrestrial Radio Access Network

EPC: Evolved Packet Core
eNodeB: Enhanced Node B
MME: Mobility Management Entity S1 interface to EPC/MME
S-GW: Serving Gateway S1 user-plane: S1-u
P-GW: Packet Data Network Gateway/ Packet Gateway S1 control-plane: S1-c
HSS: Home Subscriber Service 13
PCRF: Policy and Charging Rules Function
 LTE Architecture: RAN
 The LTE RAN, also known as E-UTRAN, uses a flat architecture with a single type
of node - the eNodeB.
 The eNodeB is responsible for all radio-related functions including, scheduling, radio-
resource handling, retransmission protocols, coding and various multi-antenna
schemes.
 The eNodeB is connected to the EPC by means of the S1 interface, more
specifically to the S-GW by means of the S1 user-plane part, S1-u, and to the MME
by means of the S1 control-plane part, S1-c.
 One eNodeB can be connected to multiple MMEs/S-GWs for the purpose of load
sharing and redundancy.

EPC

14
 LTE Architecture: RAN
• The X2 interface, connecting eNodeBs to each other, is mainly used to support
active mode mobility.
• X2 interface may also be used for multi-cell Radio Resource Management (RRM)
functions, such as Inter-Cell Interference Coordination (ICIC).
• The X2 interface is also used to support CoMP transmission and lossless
mobility between neighboring cells by means of packet forwarding.
• The EPC is responsible for functions not related to the radio access, but needed
for providing a complete mobile-broadband network.
• EPC includes, authentication, charging functionality, and setup of end-to-end
connections. Handling these functions separately, instead of integrating them into
the RAN, is beneficial as it allows for several radio-access technologies to be
served by the same core network. EPC

15
 LTE Architecture: EPC (1)
 EPC supports access to the packet-switched domain only, with no access to the circuit-
switched domain.
 It consists of several different types of nodes, some of which are briefly described
below.
 Mobility Management Entity (MME)
 It is the control-plane node of the EPC
 Its responsibilities include connection/release of bearers to a terminal, handling
of IDLE to ACTIVE transitions, and handling of security keys.
 Serving Gateway (S-GW)
 It is the user-plane node connecting the EPC to the LTE RAN.
 The S-GW acts as a mobility anchor when terminals move between eNodeBs
as well as a mobility anchor for other 3GPP technologies (GSM/GPRS and
HSPA)
 Collection of information and statistics necessary for charging is also handled
by the S-GW.

16
 LTE Architecture: EPC (2)
 Packet Data Network Gateway (PDN Gateway, P-GW)
• It connects the EPC to the internet
• Allocation of the IP address for a specific terminal is handled by the P-GW, as well as
quality-of-service (QoS) enforcement according to the policy controlled by the PCRF
• The P-GW is also the mobility anchor for non-3GPP radio-access technologies, such as
CDMA2000, connected to the EPC.
 Policy and Charging Rules Function (PCRF)
• It is responsible for QoS handling and charging
• PCRF provides the QoS authorization that decides how a certain data flow will be treated in the
Policy Control Enforcement Function (PCEF) and ensures that this is in accordance with the
user’s subscription profile.
 Home Subscriber Service (HSS)
• This node contains a database of subscriber information
• It allows mobile network operators (MNOs) to manage customers in real-time and in a cost-
effective manner
• The role of the HSS is to provide subscriber profile and authentication information
• The database stores information about subscribers to help in the authorization, details of
devices, as well as the user’s location and service information.

17
 LTE Physical Transmission Structure
 LTE OFDM subcarrier spacing equals 15 kHz for both downlink and uplink.
 In addition to the 15 kHz subcarrier spacing, a reduced subcarrier spacing of 7.5 kHz, with a
corresponding OFDM symbol time that is twice as long, is also defined for LTE.
 LTE transmissions are organized into frames of length 10 ms, each of which is divided into ten
equally sized subframes of length 1 ms.
 Each subframe consists of two equally sized slots of length Tslot = 0.5 ms, with each slot
consisting of a number of OFDM symbols including cyclic prefix (CP).
 To provide consistent and exact timing definitions, different time intervals within the LTE
specifications are defined as multiples of a basic time unit Ts = 1/(15000*2048). The basic time
unit Ts can thus be seen as the sampling time of an FFT-based transmitter/receiver
implementation with an FFT size equal to 2048.
 The time intervals can also be expressed as Tframe = 307200Ts, Tsubframe= 30720Ts and Tslot =
15360Ts for the frame, subframe and slot durations respectively.
 The 15 kHz LTE subcarrier spacing corresponds to a useful symbol time Tu = 1/15000 = 2048Ts
or approximately 66.7 ms. The overall OFDM symbol time is then the sum of the useful
symbol time and the CP length TCP.
 LTE defines two CP lengths, the normal CP and an extended CP, corresponding to seven and
six OFDM symbols per slot respectively.
 It can be noted that, in the case of the normal CP, the CP length for the first OFDM symbol of a
slot is somewhat larger compared to the remaining OFDM symbols. The reason is simply to fill
18
the entire 0.5 ms slot, as the number of basic time units Ts per slot is not divisible by seven.
Physical Transmission Structure

19
 Physical Transmission Structure

 A resource element (RE), consisting of one subcarrier during one OFDM symbol, is the smallest
physical resource in LTE.
 REs are grouped into resource blocks (RBs), where each RB consists of 12 consecutive
subcarriers in the frequency domain and one 0.5 ms slot in the time domain.
 Each RB thus consists of 7*12 = 84 REs in the case of a normal CP and 6*12 = 72 REs in the
case of an extended CP.
 Although RBs are defined over one slot, the basic time-domain unit for dynamic scheduling in
LTE is one subframe, consisting of two consecutive slots ( i.e., for 1 ms).
 The minimum scheduling unit, consisting of two time-consecutive RBs within one subframe, is
referred to as a RB pair. 20
 Physical Transmission Structure
 The LTE physical-layer specifications allow for a carrier to consist of any number of resource
blocks in the frequency domain, ranging from a minimum of six resource blocks up to a
maximum of 100 resource blocks.
 This corresponds to an overall transmission bandwidth ranging from roughly 1 MHz up to in the
order of 20 MHz with very fine granularity and thus allows for a very high degree of LTE
bandwidth flexibility.

21
 LTE Duplex Schemes

DwPTS: Downlink Pilot Time Slot

UpPTS: Uplink Pilot Time Slot
GP: Guard period

 FDD operation: Uplink and downlink are carried on different carrier frequencies, denoted fUL
and fDL. During each frame, there are thus ten uplink subframes and ten downlink subframes.
Thus, uplink and downlink transmission can occur simultaneously within a cell.

 TDD operation: There is a single carrier frequency. Uplink and downlink transmissions are
separated in the time domain. As seen in the figure, some subframes are allocated for uplink
transmissions, and some subframes are allocated for downlink transmission, with the switch
between downlink and uplink occurring in a special subframe (subframe 1 and, for some22
downlink/uplink configurations, also subframe 6).
 LTE Duplex Schemes: TDD

 In TDD, there are about 7 frame configurations, based on different DL/UL partition.
Downlink/Uplink ratio can vary. An operator can choose a specific TDD configuration
depending on the service requirements.
 Frame always starts with a Downlink subframe, used for advertising the frame descriptor
information, i.e., PCFICH and PDCCH. UE hence learns the frame structure in the subframe.
 3rd subframe is always used for Uplink transmission
 When switching from Downlink to Uplink, there is need for a special subframe and no
special subframe is need when switching from Uplink to Downlink.
 DwPTS is considered as a “normal” DL subframe and carries reference signals and control
information as well as data for those cases when sufficient duration is configured. It also carries
primary synchronization signal (PSS).
 GP is used to control the switching between the UL and DL transmission. During GP, neither downlink
nor uplink transmissions occur. GP should be sufficiently large to provide the necessary time for
the circuitry in base stations and the terminals to switch from downlink to uplink.
 UpPTS is primarily intended for sounding reference signals (SRS) transmission from UE. Mainly used
for RACH transmission. No data transmission occurs during UpPTS.
23
LTE Duplex Schemes: TDD

24
LTE Technologies

25
 Channel-dependent Scheduling and Rate Adaptation

 The scheduler controls, for each

time instant, to which users the
different parts of the shared resource
should be assigned.
 The scheduler also determines the
data rate to be used for each
transmission. Thus, rate adaptation
can be seen as a part of the
scheduling functionality.

 The scheduler is a key element and to a large extent determines the overall system
performance, especially in a highly loaded network. A substantial gain in system capacity can be
achieved if the channel conditions are taken into account in the scheduling decision, which is
known as channel-dependent scheduling. Due to the use of OFDM in both the downlink and
uplink transmission directions, the scheduler has access to both the time and frequency
domains. In other words, the scheduler can, for each time instant and frequency region, select
the user with the best channel conditions. Scheduling decisions are taken once per 1 ms. 26
 Inter-Cell Interference Coordination (ICIC)
 LTE is designed to operate with a one-cell frequency reuse, implying that the same carrier
frequency can be used at neighboring transmission points and thus inter-cell interference is
obvious.
 System efficiency as well as end-user quality can be improved if transmissions from neighboring
transmission points are coordinated in such a way that the most severe interference situations
can be avoided.
 LTE defined a set of messages that can be exchanged between eNodeBs using the X2
interface. These messages provide information about the interference situation experienced by
the eNodeB issuing the message and can be used by a neighboring eNodeB receiving the
message as input to its scheduling process, thereby providing a means for at least partly
coordinating the transmissions and controlling the interference between cells of different
eNodeBs (Coordinated multi-point transmission - CoMP).

Downlink
CoMP

27
 Hybrid ARQ with Soft Combining
• Incorrectly received coded data blocks are often stored at the receiver rather than
discarded, and when the re-transmitted block is received, the two blocks are
combined. This is called Hybrid ARQ with soft combining
• Fast hybrid automatic repeat request (HARQ) with soft combining is used in LTE to
allow the terminal to rapidly request retransmissions of erroneously received transport
blocks and to provide a tool for implicit rate adaptation. Retransmissions can be
rapidly requested after each packet transmission, thereby minimizing the impact on
end-user performance from erroneously received packets.
• Incremental redundancy is used as the soft combining strategy and the receiver
buffers the soft bits to be able to perform soft combining between transmission
attempts.

HARQ = ARQ + FEC (Forward

Error Correction)/Soft Combining

28
Max number of re-transmissions for a MAC PDU in LTE is 4
 Multi-Antenna Transmission
 Use of multiple antennas is the key technology to reach many of the aggressive LTE
performance targets.
 Multiple transmit antennas at the base station can be used for transmit diversity and
different types of beamforming. The main goal of beamforming is to improve the
received SINR and, eventually, improve system capacity and coverage.
 Spatial multiplexing (MIMO) using multiple antennas at both the transmitter and
receiver is supported by LTE. Spatial multiplexing results in an increased data rate by
creating several parallel “channels. Alternatively, by combining the spatial properties
with the appropriate interference-suppressing receiver processing, multiple terminals
can transmit on the same time–frequency resource in order to improve the overall
cell capacity. In 3GPP, this is referred to as multi-user MIMO (MU-MIMO).

29
 Flexibility in Duplex Arrangements
 LTE supports both FDD and TDD (as discussed in earlier slides).
 LTE also supports half-duplex FDD at the terminal. In half-duplex FDD, transmission
and reception at a specific terminal are separated in both frequency and time. The
base station still uses full-duplex FDD as it simultaneously may schedule different
terminals in uplink and downlink. The main benefit with half-duplex FDD is the
reduced terminal complexity as no duplex filter is needed in the terminal.

30
 Bandwidth Flexibility
 An important characteristic of LTE is the support for a range of different transmission bandwidths
on both downlink and uplink.
 The main reason for this is that the amount of spectrum available for LTE deployment may vary
significantly between different frequency bands and also depending on the exact situation of the
operator. Furthermore, the possibility of operating in different spectrum allocations gives the
possibility for gradual migration of spectrum from other radio-access technologies to LTE.

31
 Carrier Aggregation
 In Carrier aggregation (CA), multiple component carriers are aggregated and jointly
used for transmission to/from a single terminal.
 Up to five component carriers, possibly each of different bandwidths, can be
aggregated, allowing for transmission bandwidths up to 100 MHz.
 Component carriers do not have to be contiguous in frequency, which enables
exploitation of fragmented spectrum.

32
 Relaying
 Relaying in LTE implies that the terminal communicates with the network via a relay
node that is wirelessly connected to a donor cell using the LTE radio-interface
technology. From a terminal point of view, a relay node appears as an ordinary cell.
 In essence, the relay is a low-power base station wirelessly connected to the
remaining part of the network.
 Relay nodes extends the coverage area.
 Relaying improves the SINR of the edge users or the users located in coverage hole.

33
 Heterogeneous Deployments
 Heterogeneous deployments refer to deployments with a mixture of network nodes
with different transmit power and overlapping geographical coverage.
 A typical example is placing small (micro/pico/femto) cells placed within the coverage
area of a macrocell.
 If the frequency used in the smaller cells is the same as the frequency used in the
macrocells, there is a risk of interference between the small cells and the macrocells.

34
 RAKE Receiver
• Multipath can occur in radio channel in various ways such as, reflection
and diffraction from buildings, and scattering from trees

• A RAKE receiver utilizes multiple correlators to separately detect M

strongest multipath components
• Several sub-receivers (here, M) are used which are known as “fingers”

35
 RAKE Receiver
• The outputs of each correlator are weighted to provide better estimate
of the transmitted signal than is provided by a single component
• Demodulation and bit decisions are then based on the weighted outputs
of the M correlators
• Each correlator detects a time-shifted version of the original CDMA
transmission, and each finger of the RAKE correlates to a portion of the
signal, which is delayed by at least one chip in time from the other fingers

36
 Detector Performance Metrics

• Probability of bit error: Pe  Q( SINR )

SNRrequired
• Asymptotic efficiency: a 
SNRreceived

• Near far resistance: A receiver is called as near far

resistant if there is no BER if noise tends to zero,
i.e., MAI generates zero BER


1 2
Q(k ) 
2 k 
exp( / 2)d 
37
 Multi-user Detector
 The primary idea of Multi User Detection (MUD) techniques
is to cancel the interference caused by other users. This is
done by exploiting the available side information of the
interfering users, rather than ignoring the presence of other
users like in Single User Detection (SUD) techniques.
 The idea of MUD was proposed by Sergio Verd´u in the early
1980’s
 Multi-User Detection considers all users as signals for each
other leading to joint detection
 Reduced interference leads to capacity increase
 It alleviates the near and far problems
 Can be implemented at either base station, mobile or both
– Size and weight requirements are not stringent for base station
– Therefore it is currently being implemented for mobile to base station.

38
Classification

39
 Optimal MLSE detector
 Maximum-likelihood sequence estimation (MLSE)
maximize a posteriori probability (MAP)
max P(d |(y(t) for all t))
 For synchronous CDMA:
 exhaustive search for all possibilities
 searches over 2^K possible combinations of the bits
 K users, N bits per user, complexity is 2^{NK}
 For asynchronous CDMA
 matched filter bank followed by Viterbi algorithms
 K users, N bits per user, complexity is 2^ K
 Shortcomings
 too complex for practical implementation
 requires knowledge of received amplitude and phase
40
 Linear Decorrelator Detector
Matched Filter .. bˆ1[i ]
User 1 .
Sync 1

Matched Filter .. bˆ2 [i ]

User 2 .
Sync 2

y(t) Matched Filter .. R-1

. bˆ3[i ]
User 3
Sync 3
.. ..
. .
Matched Filter .. bˆK [i ]
User K .
Sync K

41
 Output of a Matched Filter
• The outputs of matched filter for user k:
K
y k  Ak d k  
i 1
Ai d i  ki  n k
i k
• Ak: Received amplitude of the k-th user’s signal
• dk{-1,+1}: The bit transmitted by the k-th user
T
• ki =  ck (t ) ci (t ) dt , Crosscorrelation of the k-th and ith
0
user,
• ck : The normalized signature waveform of the k-th user
T
• nk=  0 w(t )ck (t )dt : Gaussian noise with zero mean and
variance equal to 2

42
 Linear Decorrelator Detector

 Output vector of the bank of K matched filter :

y=RAd+n
where y=[y1, y2, …, yK]^T
R={ki}, : Cross-correlation matrix
ki = T ck (t )ci (t )dt
0
A= diag [A1, A2, …, AK]^T
d=[d1, d2, …, dK]^T
n is zero mean Gaussian random vector with
covariance matrix equal to E[nn^T] = ^2
 Bit Decision:
bˆk sgn((R1y)k ) sgn((AdR1n)k )
43
 Linear Decorrelator Detector
Advantages:
• MAI completely removed and hence only noise remains
• substantial performance/capacity gains over the conventional
• no need to estimate the received amplitudes or user’s power
• does not require estimates of the channel parameters
• significant lower computational complexity than MLSE
detector
• BER independent of the signal energies
• optimal value of the near-far resistance performance metric
 Disadvantages:
• noise enhancement (similar to ZF equalizer)
• difficult to invert R in real time or low rank cases

44
Minimum Mean Square Error (MMSE)

• Minimize the mean square error

2
m in E  b My 
M  R K K  

• Optimal solution

M*=[R+^2A^(-2)]^ –1

Advantages:
 It minimizes the mean squared error between the actual data and the soft
outputs of the conventional detectors
 The MMSE detector takes the background noise in to account
 Better error probability performance, and no noise enhancement

Disadvantage:
 Use the knowledge of the received signal powers

45
 MMSE
Matched Filter .. bˆ1[i ]
User 1 .
Sync 1

Matched Filter .. bˆ2 [i ]

User 2 .
Sync 2

.. [R+2A-2]-1
y(t) Matched Filter
. bˆ3[i ]
User 3
Sync 3
.. ..
. .
Matched Filter
.. bˆK [i ]
User K .
Sync 3

46
Successive Interference Cancellation (SIC)

 The SIC detectors start to

subtract off the strongest
remaining signals in a
successive fashion from the rest
of the signals
 By canceling the strongest
signal from the rest we gain
most of the benefit and it is the
most reliable cancellation

47
 SIC
y(t) Bank of
y1[i ] bˆ1[i ] Store
Matched bˆ1[i ]
Filters
& select
maximum A1 (t  T )
Bank of
s1 (t  T ) Matched bˆ2 [i  1] Store
Delay Filters bˆ2 [i  1]
T z 2 (t ) & select
maximum
A2 (t  2T )

s 2 (t  2T ) z 3 (t )
Delay
2T ..
.. .
.
AK 1 (t  ( K  2)T )
bˆK 1[i  K  2]
s K 1 (t  ( K  2)T )
Bank of bˆK [i  K  1]
Delay
Matched Filters
(K-1)T z K (t ) & select maximum
48
 SIC
The required knowledge:
a: The signature waveform (PN code) of the desired user
b: The signature waveforms (PN code) of the interfering users
c: The timing of the desired user
d: The timings of each of interfering users
e: The received amplitudes of interfering users

Disadvantage:
 Requires so many information
Advantage:
 Implementation ease
49
 Partial Interference Cancellation
PIC
 Starts to simultaneously subtract off all of the users’ signals
from all of the others unlike the SIC that starts with the
strongest signal user
 It works better than SIC when all of the users are received with
equal strength since it is much easier to detect them and hence
decreases the probability of error

50
PIC

51
 SIC vs. PIC
SIC VS. PIC
The main disadvantages are:
1) If the strongest estimate is not highly 1) More vulnerable to near-far
reliable it results on performance issues
degradation 2) Complicated circuitry
2) As the power profile changes the
signals must be reordered
3) Every stage introduces a delay

The main advantages are:

1) The weakest user will see a 1) Because of the parallel
tremendous signal gain from the nature no delays/stage
MAI reduction since all of the required!
interfering channel will add up as 2) Simpler than other linear
signals to the weakest user. detectors
Hence every user is on a win-win
situation.
2) For severe conditions if we remove
the strongest user the rest of
weaker users will benefit hence
the signal can be recovered
3) Can recover from near-far effects
52
 Comparison of Detection Schemes

Detection scheme Required knowledge

Conventional Detector a, c
Optimum Detector a,b,c,d,e
Linear Decorrelating Detector a,b,c,d
MMSE Linear Multiuser Detector a,b,c,d,e
SIC and PIC a,b,c,d,e

a: The signature waveform of the desired user

b: The signature waveforms of the interfering users
c: The timing of the desired user
d: The timings of each of interfering users
e: The received amplitudes of interfering users
53
 Comparison of Detection Schemes

Detection scheme Advantage Disadvantage

Conventional Detector *Simplicity *Low capacity
Optimum Detector *High capacity *Exponential computational complexity
Linear Decorrelating *Near-Far resistance *Linear computational complexity
Detector *Substantial capacity gain *Worse BER in low SNR
MMSE Linear *Better BER than LDD in *Required estimation of amplitudes
Multiuser Detector low SNR *Required matrix inversion
Successive Interference *Near-Far resistance *A bit delay per stage of cancellation
Cancellation
Partial Interference *Near-Far resistance * Complicated circuit
Cancellation *Better BER than SIC
*No delay

54
The END

55