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From OFDM and SC-FDE
to EST Based Modulation
Professor Geoffrey Ye Li
School of Electrical and Computer Engineering
Georgia Institute of Technology, USA
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Contents
Overview of my Research
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST?
Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
2
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Contents
Overview of my Research
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST?
Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
3
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MIMO-OFDM
Channel estimation for MIMO-OFDM system with a large
number of transmit antennas under high mobility
environments
Signal detection for MIMO-OFDM: Complexity
performance trade-off
Transmission with partial CSI Interference avoidance and suppression
Multi-user MIMO
Various applications in current standards and systems
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Cross-Layer Optimization
Centralized Optimization: How to perform optimization with partial CSI?
Impact of MIMO on cross-layer optimization
performance?
Interference suppression and avoidance in
cellular systems
De-centralized Optimization:
Scheduling with limited CSI
Stability region of multi-carrier networks
Energy efficiency transmission
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Cognitive Radio
MIMO OFDM(A) based cognitive networks
Cooperative spectrum sensing for mobile networks
Dynamic spectrum allocation
Cross-Layer issues in CR nestworks
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OFDM for Wir eless Communications:
Channel Estimation
Y. (G.) Li, L. J. Cimini, Jr., and N. R. Sollenberger, Robust channel estimation
for OFDM systems with rapid dispersive fading channels, IEEE Trans. Commun.
vol. 46, pp. 902-915, July 1998. (Google citation: 488)
Y. (G.) Li, Pilot-symbol-aided channel estimation for OFDM in wireless
systems, IEEE Trans. Veh.T ech., vol. 49, pp. 1207-1215, July 2000. (Google citation: 262)
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OFDM for Wir eless Communications:
Co-Channel Interf er ence Suppr ession
Y. (G.) Li and N. R. Sollenberger, Adaptive antenna arrays for OFDM systems
with co-channel interference, IEEE T rans. C ommun., vol. 47, pp. 217-229, Feb.
1999. (Google citation: 142)
BASESTATION
R
D
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MIMO-OFDM: Channel Estimation
and Tr aining Sequence Design
Y. (G.) Li, N. Seshadri, and S. Ariyavisitakul, Channel estimation for OFDM
systems with transmitter diversity in mobile wireless channels, IEEE J.
Selected Areas Commun., vol. 17, pp. 461-471, March 1999. (Google citation:
417)
Y. (G.) Li, Simplified channel estimation for OFDM systems with multiple transmit
antennas, IEEE T rans. on Wireless C ommun., vol. 1, pp. 67-75, Jan. 2002. (Google citation: 263)
First MIMO-OFDM System !!!
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MIMO-OFDM:
Mor e Tr ansmit and Receive Antenna System
Y. (G.) Li, J. H. Winters, and N. R. Sollenberger, MIMO-OFDM for wireless
communications: signal detection with enhanced channel estimation, IEEE T rans.
C ommun., vol. 50, pp. 1471-1477, Sept. 2002. (Google citation: 262)
G. L. Stuber, J. Barry, S. McLaughlin, Y. (G.) Li, M. A. Ingram, and T. Pratt,
Broadband MIMO-OFDM wireless communications, Proc. of IEEE, vol. 92, pp.271-294,
Feb. 2004. (Google citation: 355)
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MIMO-OFDM:
Perfor mance Improvement by Pr e-Processing
Data
Input
Demultiplexer
Modulator
Modulator
4
4
Statistical Layer Rate
Allocation
Channel
Encoder
ChannelEncoder
J. Du, Y. (G.) Li, D. Gu, A. Molisch, and J. Zhang, ³Statistical rate allocation for layered
space-time system,´ to appear in IEEE Trans. Commun., vol. 55, no. 3, pp. 489-496,
March 2007.
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Cross-Layer Optimization for Str eaming Tr aff ic:
Theor etical Fr amework
Continuous frequency Discrete subcarriers
G.-C. Song and Y. (G.) Li, Cross-layer optimization for OFDM wireless
networks Part I and Part II, IEEE T rans. Wireless Commun., vol. 4,
no. 2, pp. 614 634, March 2005. (Google citation: 120+72)
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Cross-Layer Optimization for Best Effor t Tr aff ic
G. Song, Y. (G.) Li, and L. J. Cimini, Jr., Joint channel- and queue-
aware scheduling for multiuser diversity in wireless multicarrier
networks, to appear in IEEE T rans. Commun.
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Cross-Layer Optimization: Mor e
What happens if a network has different types of traffic?
G.-C. Song and Y. (G.) Li, ³Utility-based resource allocation and
scheduling in OFDM-based wireless networks,´ IEEE Commun.
Mag., vol. 43, no. 12, pp. 127 - 135, Dec. 2005.
How to evaluate performance theoretically?
G.-C. Song and Y. (G.) Li, ³Asymptotic throughput analysis for
channel-aware scheduling,´ IEEE Trans. Commun., vol. 54, no.
10, pp.1827-1834, Oct. 2006.
Stability of CSI aware random access?
G. Ganesan, Y. (G.) Li, and Frederick W. Vook, ³Stability region of
multicarrier channel aware Aloha,´ IEEE Trans. Inf. The., vol.
53, no. 9, pp. 3212-3218, Sept. 2007.
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Cognitive Radio: Cooper ative Spectr um Sensing
: Licensed user
: Cognitive user
Cognitive users should
not cause interference
to licensed users
Primary
G. Ganesan and Y. (G.) Li, ³Cooperative spectrum sensing in cognitive radio: Part I: two
user networks,´ IEEE Trans. Wireless Commun., vol. 6, pp. 2204-2213, June 2007.
G. Ganesan and Y. (G.) Li, ³Cooperative spectrum sensing in cognitive radio: Part II:
multiuser networks,´ IEEE Trans. Wireless Commun., vol. 6, pp. 2214-2222, June 2007.
G. Ganesan, Y. (G.) Li, B. Bing, and S.-Q. Li, ³Spatial-temporal sensing in cognitive radio
networks,´ IEEE J. Selected Areas Commun., vol. 26, pp. 5 ± 12, January 2008.
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Contents
Overview of my Research
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST?
Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
16
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Principles of OFDM (I)
17
How to communicate across an ISI channel with bandwidth W?
Single Carrier : Transmit at symbol rate
Multi Carrier :
Divide band into narrow sub-channels
Transmit at symbol rate for each sub-channels
N parallel transmission with rate each
Total rate
Avoids ISI when N is large that means symbol duration is long
1/ /T W N !
/W
/W W ! v !
N
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01
T
1 N
T
L
0 ( )G f 1
( )G f 1
( ) N G f
f
L L
Bandwidth =N
W !
Principles of OFDM (II)
Symbol duration in parallel using N subcarriers
Separation between adjacent subcarriers = (orthogonal condition)
18
1 ( ) N g t
0 ( ) g t
1( ) g t
M
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OFDM System
IFFT is used to implement N parallel orthogonal subcarriers
Inserting cyclic prefix (CP)
avoids interference between OFDM symbols
makes the convolution of IFFT values and channel impulse response ³circular´
makes the received signal after FFT as a multiplication of channel response and
data for each subcarrier (zero-forcing equalizer)
19
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Properties of OFDM
Pros:
Low-complexity signal detection for frequency-selective channels
potentially achieve channel capacity by adaptive modulation and power
loading according to SNR of each subcarrier [water-filling algorithm]
OFDMA: group subcarriers and allocate them to different users
Cons:
High peak-to-average power ratio (PAPR)
Sensitivity to Doppler: Channel variation within one OFDM symbol
duration incurs inter-carrier interference (ICI)
Applications: ADSL, Digital Video Broadcast (DVB), Digital Audio Broadcast (DAB),
Wireless LAN (IEEE 802.11a), Wireless MAN (WiMax IEEE 802.16),
Down-Link [base station to mobile] 3GPP LTE, etc.
20
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Contents
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST?
Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis
Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
21
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SC-FDE: Characteristics
Block transmission scheme employing cyclic prefix (CP)
No IFFT at the transmitter (single carrier)
MMSE frequency-domain equalization at the receiver
IFFT after the channel equalization at the receiver
D. Falconer et al. ³ Single carrier system with frequency-domain equalization
(SC-FDE),´ IEEE Comm. Mag. Vol. 40, Apr. 2002
22
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SC-FDE: Principle
Block diagram
23
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Properties of SC-FDE
Pros:
Each symbol occupies whole bandwidth frequency diversity
Low complexity frequency-domain equalization at the receiver (MMSE
equalization)
Low PAPR [no IFFT at the transmitter, good for uplink] Multiple access based on single-carrier frequency-domain multiple
access (SC-FDMA)
Applications:
Uplink [Mobile to Base Station] in 3GPP LTE [due to its low PAPR]
24
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Contents
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST?
Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis
Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
25
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EST Based Modulation
Block Diagram
26
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EST Based Modulation vs. SC-FDE
Similarities:
Transmit symbols in blocks employing CP
Use low-complexity frequency-domain equalization
í For the 1st iteration, EST-Based modulation performs the same as SC-FDE
Each symbol occupies the whole frequency band
Differences:
In SC-FDE, each symbol occupies a single symbol time
In EST Based Modulation, each symbol occupies whole block time
EST Based Modulation uses iterative symbol detector at the receiver PAPR of EST Based Modulation is comparable to that of OFDM
EST Based Modulation performs close to Matched Filter Bound (MFB)
27
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EST Based Modulation
OFDM and SC-FDE are special cases of EST based modulation
28
n x
n x~
nr ~
k R~
n xÖ
)(i
k A
)(i
nb
)(i
k
A)(i
n
b
If ³EST = IFFT´ and ³no feedback path´ It is OFDM
If ³EST = Identity´ and ³no feedback path´ It is SC-FDE
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Properties of EST Based Modulation
Block transmission scheme like OFDM and SC-FDE
Based on EST: EST spreads the symbol energy both in frequency and time
domain:
Frequency-domain spreading obtains frequency diversity
Time-domain spreading increases the reliability of feedback signal
Iterative scheme, but independent of channel coding
Different from turbo-like schemes
Near genie-aided (interference-free) performance
29
Frequency-domain spreading Time-domain spreading
OFDM 0% 100%
SC-FDE 100% 0%
Ideal ES
T 100% 100%
Spreading Characteristics of OFDM, SC-FDE, and Ideal EST
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Energy Spreading Transform (EST)
0 x
1 x
2 x
3 x
1 N
TIME DOMAIN
FREQUENCY
DOMAIN
Symbol vector Transform MatrixTransform
Spreading in time and frequency domain
: EST Matrix : Normalized Fourier transform matrix : Block size
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Ideal EST
31
Ideal EST is a unitary transform that satisfies:
Time-Domain Spreading Frequency-Domain Spreading
1) Magnitude condition:
2) Phase condition:
Phase should be randomly and symmetrically distributed
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Measures for Spreading
32
Time spreading measure: n-th time despreading factor of E
10, ee N n
10, ee N n
Range of despreading factors:
Perfect spreading No spreading
E
F
: EST matrix
(N by N )
: NormalizedFourier transfrommatrix (N by N )
N : lock sizeNotation
e
);( n s H
¡
E §
!
1
0
22
, )1
)(( N
l nl
H
N E!
);( n s F E );( n sT FE §
!
1
0
22
, )1
)(( N
l nl
N FE! !
);(),;( n sn s ¢
H
£
EE0 N
N 1e
Measure for the n-th column of FE
Measure for the n-th column of H E
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)},({ n s E ¤
iT d E )},({ n sV H
iT d E )},({ n s E
i F d E )},({ n sV
i F d Ei
E
H FE
1!
H FPE12
!
H H FPF13
!
T4!
TP15
!
TP16
H !
0
0
0
0
0
0
0
0 0
00
41089.4 v
41089.4 v
101059.4 v
101081.5 v
11099.9 v
41089.4
v
0
101045.9 v
21054.5
v
0
31043.3 v
41089.4 v
101073.4 v
)11( ee N n
:T :F
EST Design
33
How to Construct? Concatenate permutation and special unitary matrix:
What are their spreading properties?
(Normalized) Fourier transform and Hadamard transform are good
candidates for due to their fast algorithms
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EST: Frequency-Domain Spreading
34
ChannelFrequency Response
No Frequency Spreading
Perfect Frequency Spreading
1 H
0 H
2 H
TIME DOMAIN FREQUENCY DOMAIN
EST FFT
FFTEST
poor
good
k H
: Symbol Energy
Look at the frequency-domain operation: Multiplication
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EST: Time-Domain Spreading
35
Look at the time-domain (feedback) filter operation: Convolution
0Ö x
1Ö x
2Ö x
3Ö x
4Ö x
1Ö
N
0
~Ö x
1
~Ö x
2
~Ö x
3
~Ö x
4
~Ö x
1
~Ö
N x
EST
EST
poor
good
No Time Spreading
Perfect Time Spreading
1b 1b1b
0bsliding
Reference time n =1
Feedback Filter: nb
21011ÖÖ xb xbq !
21011
~Ö
~Ö xb xbq !
Feedback Filter Output
= Estimated Interference
for Cancellation
: Incorrectly-decided Symbol Energy
: Correctly-decided Symbol Energy N
2
1Incorrect energy =
Incorrect energy =
N : Block size
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Performance: Hard Decision
Asymptotic case (infinite N )
SINR for the n-th decision variable
SER (Averaged over block)
Threshold SNR: SNR at which
36
Law of large numbers:
(Independent of n)
elative frequency of error
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Simulation Parameters
Original Scheme:
1st Iteration: MMSE equalizer without feedback
From 2nd iterations: Matched filter + ISI canceller
Improved Scheme:
Optimum filters that maximize SINR
Block Size = 2048
Channels
Proakis-B
í Proakis-C
í
37
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Simulation: Original Scheme with Hard Decision
38
0 2 4 6 8 10 12 14 16 1810
-5
10-4
10-3
10-2
10-1
100
BER
SNR per bit (dB)
Simulation,N=2048
H FE !1
(Same as OFDM)
1st iter.
2nd iter.
3rd iter.
10th iter.
MFB
Analysis (Infinite N )
Simulation,N=2048 H
PFE !2
Simulation,N=2048
PTE !5(Hadamard)
(Fourier)
Proakis-B channel
Same as SC-FDE
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Simulation: Original Scheme with Soft Decision
Proakis-B channel
39
0 2 4 6 8 10 12 14 16 1810
-5
10-4
10-3
10-2
10-1
100
BER
SNR per bit (dB)
Simulation,N=2048 H
PFE !2
Simulation,N=2048
PTE !5
DFE with Perfect Feedback
2nd iter.
3rd iter.
1st iter.
10th iter.
4th
iter.
MFB
MLSD
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Simulation: Original Scheme
Proakis-C channel
40
0 5 10 15 2010
-5
10-4
10-3
10-2
10-1
100
Analysis (Infinite N ), 10th iter, Hard decision
Simulation, N=4096, 10th iter.
Hard decision
DFE with Perfect Feedback
Simulation, N=4096, 10th iter.
S oft decision
SNR per bit (dB)
BER
MFB
1st iter.
MLSD
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Effects of Block Size N
Proakis-B channel, SNR = 10 dB
41
1 2 3 4 5 6 7 8 9 1010
-5
10-4
10-3
10-2
10-1
100
N=128
N=256
N=512
N=1024
N=2048
N=4096
BER
Iteration
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Simulation: Improved Scheme with Hard Decision
Proakis-C channel
42
0 5 10 15 2010
-5
10-4
10-3
10-2
10-1
100
BER
SNR per bit (dB)
MFB
10th iter.
3rd iter.
2nd iter.
1st iter.
2nd iter.3rd iter.10th iter.
Original equalization(Simulation)
Improved equalization(Simulation)
Improved equalization(Analysis)
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0 5 10 15 2010
-5
10-4
10-3
10-2
10-1
100
Proakis-C channel
Simulation: Improved Scheme with Soft Decision
43
BER
SNR per bit (dB)
MFB
1st iter.
2nd iter.
3rd iter.
10th iter.
MLSD
Original equalization
(Simulation)
Improved equalization(Simulation)
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Contents
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST? Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis
Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
44
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MIMO Signal DetectionMIMO Signal Detection
Multiple-Input Multiple-Output (MIMO) system increases reliability and data
transmission rate for wireless communications
But, it introduces interference among different antennas
Therefore, low complexity receiver that resolve those interference is
necessaryDesired signal + interference + noise
nnn nHxr !
Transmitter
T n
R eceiver
Rn
]1[ v Rn ][ T R nn v ]1[ vT
n ]1[ v R
nk n ,)(H )
1,0(
T n
N ~
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EST Based MIMO Detection: Flat fading channels
Decision
S/P EST
Receiver
IEST: Inverse Energy Spreading TransformEST: Energy Spreading Transform
IESTP/S
S/P: Serial to Parallel Converter P/S: Parallel to Serial Converter
Transmitter
S/PEST
.
.
.
)(Ö i
nx
.
.
.
delay
: Forward Matrix : Feedback Matrix
1T
n
0
n x
n x~
0
R
n 1T
n
T n
T n
T n
T n
(i)A
(i)B
(i)A
(i)B
(i)D
0
1
.
.
.
)1(Ö i
nx
Hard or
Soft decision
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Performance Analysis (HardPerformance Analysis (Hard--Decision, Infinite N)Decision, Infinite N)
Iteration = 1: MMSE detector
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normalized by signal power
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0 1 2 3 4 5 60
0.01
0.02
0.03
0.04
0.05
0.06
0.07
nT=n
R=16
nT=n
R=8
nT=n
R=4
nT=n
R=2
0 1 2 3 4 5 60
0.005
0.01
0.015
0.02
0.025
0.03
0.035
0.04
0.045
0.05
nT=n
R=16
nT=nR=8
nT=n
R=4
nT=n
R=2
Characteristics of Rayleigh Fading ChannelsCharacteristics of Rayleigh Fading Channels
Distributions of K H
We can show that as :
1...
p s sm
H K 1...
p s s§
H Q
gp! RT nn
denotes convergence in mean square sense (MSS) p ... s s
and
Performance of the proposed receiver depends on and :
For a channel with high and/or threshold SNR will be high
H K H Q
H K H Q
Distributions of QH
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Simulation Results: Hard DecisionSimulation Results: Hard Decision
Number of transmit and receive antennas: 16!! RT
nn
Block Size: for simulation, for analysis1
! PFE EST:
2048! N g! N
Legend
EST-genie: genie-aided receiver
with ideal ST-EST.
F : (Normalized) Fourier transform matrix
-10 -5 0 5 10 1510
-4
10-3
10-2
10-1
100
Simulation
Anaysis
BER
SNR per bit (dB)
EST-genie
5th iter.
1st iter.
2nd iter.
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-10 -5 0 5 10 1510
-4
10-3
10-2
10-1
100
Simulation Results: Soft DecisionSimulation Results: Soft Decision
Number of transmit and receive antennas: 16!! RT
nn
Block Size: 1
! PFE EST:2048! N
Legend
- CONV-MMSE: conventional MMSEreceiver without an EST
- CONV-ODF: conventional ordereddecision-feedback receiver without anEST
- CONV-genie: conventional genie-aidedreceiver without an EST
- EST-genie: genie-aided receiver with the ideal ST-EST.
EST-genie
CONV-genie
CONV-MMSE
CONV-ODF
1st iter.2nd ± 5th iter.
BER
SNR per bit (dB)
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-5
0
5
10
15
20
25
30
C O N V - O D F
Ha rd decision (5th iter.)
Soft decision (5th iter.)
EST-gen ie
Simulation Results: Performance versus number of antennasSimulation Results: Performance versus number of antennas
410
R equires SNR/bit/antenna to achieve BER = for different number of antennas
Number of antennas, RT nn !
Required
SNR/bit/antenna
(dB)
42 8 16
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Contents
Orthogonal Frequency Division Multiplexing (OFDM)
S ingle-Carrier with Frequency-Domain Equalization (SC-FDE)
Energy S preading Transform (EST) based Modulation for Frequency-
Selective Channels
Why EST? Spreading in Time and Frequency Domain
System Description (Hard/Soft Decision)
Performance Analysis
Simulation Results
Extension to MIMO Systems
Extension to Doubly Selective Channels
52
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Extension to Doubly Selective Channels
Selective both in time and frequency
Matrix form:
53
Channel response at time n and lag l
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Doubly Selective Channels
Frequency domain:
Time domain:
54
Diagonal Off-diagonal
Circulant Matrix
Inter-carrier Interference (ICI)
(d-k)th Doppler freq. component
0th Doppler freq. component
Off-diagonal Matrix
Inter-symbol Interference (ISI)
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Summary
OFDM has perfect spreading in time, but no spreading in frequency
SC-FDE has perfect spreading in frequency, but no spreading in
time
For uncoded systems, the BER performance is in the order of
EST Based Modulation > SC-FDE > OFDM
EST based modulation spreads the symbol energy in both time- and
frequency domain
Increases reliability of feedback signal
Enables iterative signal detection without employing channel
coding
Performs close to MFB
Can be extended to doubly selected and MIMO channels55
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References
T. Hwang and Y. (G.) Li, Novel iterative equalization based on energy spreading transform, IEEE Trans. Signal Processing vol. 54, no. 1, pp. 1
90-203, Jan. 2006.
T. Hwang and Y. (G.) Li, Energy spreading transform based iterative
signal detection for MIMO fading channels, IEEE Trans. Wireless
C ommunications , vol. 5, no. 7, pp. 1746-1756, July 2006.
T. Hwang and Y. (G.) Li, Optimum filtering for energy spreading
transform based equalization, IEEE Trans. Signal Processing, vol. 55,
no. 3, pp. 1182-1187, March 2007.
T. Hwang, Y. (G.) Li, and Y. Yuan-Wu, Energy spreading transform for
down-link MC -C DMA, IEEE Trans. Wireless C ommun., vol. 7, no. 5, pp.
1522-1526, May 2008.