COLLABORATIVE MULTIPLE INPUT MULTIPLE OUTPUT AND TURBO EQUALIZATION TECHNIQUES FOR THE UPLINK OF THE LTE-ADVANCED SYSTEM

A THESIS Presented to the Graduate School Faculty of Engineering, Alexandria University In Partial Fulfillment of the Requirements for the Degree

Of Master of Science

In Electrical Engineering By Karim Ahmed Samy Banawan

September 2012

COLLABORATIVE MULTIPLE INPUT MULTIPLE OUTPUT AND TURBO EQUALIZATION TECHNIQUES FOR THE UPLINK OF THE LTE-ADVANCED SYSTEM

Presented by Karim Ahmed Samy Banawan For The Degree of Master of Science In Electrical Engineering By Karim Ahmed Samy Banawan

Examiners' Committee: Prof. Said Mohamed El-Noubi Prof. Essam Abdel-Fattah Sourour Prof. Ayman yehia Ali El-Ezabi

Approved

Vice Dean for Graduate Studies and Research Prof.: Heba Wael Leheta

Advisors' Committee:
Prof.Dr. Essam Abdel-Fattah Sourour

ACKNOWLEDGEMENTS
All praise be to Allah, the lord of the worlds, most Gracious, most merciful. Foremost, I would like to express my sincere gratitude to my advisor Prof. Dr. Essam Sourour for the continuous support of my research, for his patience, motivation, enthusiasm, and immense knowledge. His guidance helped me in all the time of research and writing of this thesis. I could not have imagined having a better advisor and mentor for my Master study. Besides my advisor, I would like to thank the rest of my thesis committee: Prof. Said ElNoubi, Prof. Ayman El-Ezabi, for their encouragement, insightful comments, and hard questions. My sincere thanks also goes to Dr. Ahmed K. Sultan, and Dr.Karim G. Seddik, for their continuous support and help. Special thanks goes to my friends and colleagues specially Mohammed Karmoose ,and Yasser Yousri. Last but not the least; I would like to thank my family and my dear fiance Eman Ahdy who supports me all the time.

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ABSTRACT
In this thesis, we consider the application of the collaborative MIMO and turbo equalization (TEQ) schemes to the LTE-advanced system. LTE is the evolution of 3GPPs Universal Mobile Telecommunication System (UMTS) towards an all-IP network. LTE is being developed in Releases 8 and 9 of the 3GPP specifications and enhanced to have the LTE-advanced in releases 10, 11.The first release of LTE provides peak rates of 300 Mb/s, a radio-network delay of less than 5 ms, and a significant increase in spectrum efficiency compared to previous cellular systems. LTE supports Frequency Division Duplex (FDD) and Time Division Duplex (TDD), as well as a wide range of system bandwidths in order to operate in a large number of different spectrum allocations. LTE also constitutes a major step towards 4G requirements. The MIMO schemes have attracted attention due to its great advantages that promote it as a key technology for the upcoming 4G mobiles. These advantages include array gain, spatial diversity gain, spatial multiplexing gain, interference reduction, and dramatic increase the capacity of wireless channels because of the creation of independent radio channels. MIMO has become a key component for several broadband wireless communication standards. However, MIMO systems require complex transceiver circuitry and signal processing. Moreover, physical implementation of multiple antennas on a small node specially the uplink (UL) node of the LTE user equipment (UE) may not be realistic .So single-antenna radio and limited battery power, high network performance and low energy consumption have been very challenging issues in the design of LTE UL UEs. Those are the motives for using the concept of the collaborative MIMO spatial schemes (CSM). CSM works as the two or more users having UEs equipped with single or multiple antennas, each one of them transmits independent data stream from the others. Those users are collaboratively transmitting to same resource blocks (RBs), i.e. same frequency/time grid resource. Now, the eNodeB is receiving combined data from all collaborative users, eNodeB will then separate the data of each user using multiuser equalization techniques. The thesis is organized as the following: chapter 1 gives an introduction to the LTE system, collaborative MIMO system and turbo equalization techniques. In chapter 2, we provide a detailed literature review about physical uplink shared channel (PUSCH) processing of the LTE of the UMTS .we will also introduce the SCFDMA transmission and its differences from OFDMA transmission, the different subcarrier mapping schemes and the time domain representation of these schemes. we give also an overview about the LTE UL in which we consider the FDD frame structure , the basic transmission parameters , the demodulation reference signals generation and the PUSCH transmission procedure. Chapter 3, we start with introducing the collaborative MIMO concept. Then we proceed to construct the basic system model that will be used all over the context of thesis.

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Simulation model is studied in both single input single output case and CSM case for general number of transmitting and receiving antennas, and then we continue with describing the used channel model including different channel effects such that shadowing phenomenon, and flat and frequency selective fading channels in case of slow and fast fading channels. The chapter is also turning light system on the existent detection schemes for collaborative MIMO case identifying the pros and cons for each detector. The chapter ends with illustrative simulation results showing the main characteristics of each equalizer in different simulation scenarios considering perfect and imperfect channel estimation. We will then proceed in chapter 4 with our first contribution that include proposing a novel Initial guess ML (IGML) receiver which dramatically enhances the performance of the CSM system. The IGMLs complexity will grow exponentially with the modulation index only.We also provide a novel simplification for it using the QR decomposition. Moreover, we present two novel ordering techniques to enhance the performance of the SIC receiver, especially in the case of shadowing environments. A comprehensive study of the motivation of each novel scheme with study of channel imperfections and different channel conditions are also presented. In chapter 5,we begin with identifying the new MIMO modes introduced in the LTE-advanced, then we give a brief literature review of the precoding theory .Capitalizing from advantages of precoding the transmitted streams prior to transmission ,codebook precoding is discussed for LTE. The chapter thereafter will present system model modifications over the system model introduced in chapter 3. We propose then a combination between the collaborative system and the precoded MIMO whether ideally (Singular value decomposition (SVD) precoding) or suboptimally using codebook precoding. Then we propose a space frequency block code (SFBC) precoding for the uplink to achieve space diversity with spatial multiplexing gain achieved before using the collaborative system. The chapter eventually discusses the effect of these precoding schemes on the previously presented receiver schemes. In chapter 6, we introduce the Turbo Equalization (TEQ) technique as multiuser equalization technique for the CSM system. So, we are getting softer ,capitalizing from the performance gains of turbo codes and the turbo decoding algorithm. The TEQ is a joint equalization and decoding scheme which are done iteratively by passing the soft outputs generated by soft input soft output (SISO) equalizer to a SISO decoder and vice versa. This will enhance the overall link performance at the expense of increasing of receivers complexity and receivers delay. The chapter discusses the basic components of the TEQ receiver. Moreover we will extend this TEQ concept to precoded CSM system presented in chapter 5. We will also generalize the SFBC receiver in chapter 5 to operate in highly selective channels to maximize the frequency diversity exploited by the TEQ. Chapter 7 gives a comprehensive conclusion of the discussed work and gives a glance on the possible research work that can be appended to the presented thesis

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TABLE OF CONTENTS
ACKNOWLEDGEMENTS .............................................................................................................II ABSTRACT ................................................................................................................................... III TABLE OF CONTENTS ............................................................................................................ V LIST OF TABLES ..................................................................................................................... IX LIST OF FIGURES ..................................................................................................................... X LIST OF ABBREVIATIONS ............................................................................................... XIII CHAPTER ONE ........................................................................................................................... 1 INTRODUCTION ........................................................................................................................ 1
1.1 1.2 1.3 1.4 Historic view of the evolution of the mobile communications ........................................................ 1 Introduction to LTE ...................................................................................................................... 3 Introduction to MIMO technology ................................................................................................ 5 Introduction to collaborative MIMO (Virtual MIMO systems) ..................................................... 9

1.5 Introduction to Turbo codes ........................................................................................................... 11 1.5 1.6 Introduction to Turbo equalization (TEQ) .................................................................................. 12 Thesis organization and contributions ......................................................................................... 13

CHAPTER TWO ......................................................................................................................... 14 LITERATURE REVIEW OF SC-FDMA AND LTE UPLINK ..................................... 14
2.1 Introduction .................................................................................................................................... 14 2.2 Wide-band single-carrier transmission (SC-FDMA)....................................................................... 14 2.2.1 Introduction ........................................................................................................................................ 14 2.2.2 SC-FDMA generation ........................................................................................................................ 15 2.2.3 Subcarrier mapping schemes.............................................................................................................. 17 2.2.4 SC-FDMA receiver ............................................................................................................................ 21 2.2.5 Relation between SC-FDMA and OFDMA ....................................................................................... 22 2.2.6 Performance limits for linear frequency equalizers............................................................................ 23 2.3 Literature review for 3GPP LTE uplink ......................................................................................... 24 2.3.1 Introduction ........................................................................................................................................ 24

2.3.2 Physical resource blocks .................................................................................................................... 25 2.3.3 FDD frame structure .......................................................................................................................... 27 2.3.4 SC-FDMA signal parameters for LTE UL ......................................................................................... 28 2.3.6 Uplink reference signals ..................................................................................................................... 30 2.3.7 Uplink physical data processing (PUSCH processing) ...................................................................... 33

CHAPTER THREE .................................................................................................................. 35 COLLABORATIVE MIMO SYSTEM MODEL AND EXISTENT DETECTION SCHEMES .................................................................................................................................. 35
3.1 Introduction .................................................................................................................................... 35 3.2 Collaborative MIMO concept ......................................................................................................... 35 3.3 Transmitter description .................................................................................................................. 37 3.3.1Channel coding ................................................................................................................................... 38 3.3.2 Symbol mapping process ................................................................................................................... 39 3.3.3 Summary of the simulation parameters in our model ........................................................................ 40 3.4 Channel modeling ........................................................................................................................... 41 3.4.1 Large scale fading (Shadowing) model .............................................................................................. 41 3.4.2 Flat and frequency selective fading channel modeling ...................................................................... 42 3.4.3 Slow and fast fading channel modeling ............................................................................................. 43 3.4.4 Fading channel for collaborative MIMO channel (Spatial model) ..................................................... 44 3.5 Single user single output (SISO) receiver ........................................................................................ 45 3.5.1 Single user zero forcing equalizer (SISO ZF equalizer) .................................................................... 45 3.5.2 Single user minimum mean square error equalizer (SISO MMSE equalizer) .................................... 46 3.5.3 Channel estimation Schemes.............................................................................................................. 46 3.5.4 Simulation results and discussion ...................................................................................................... 48 3.6 Existent detection schemes for collaborative MIMO schemes ......................................................... 52 3.6.1 Frequency domain multiuser ZF equalizer ......................................................................................... 53 3.6.2 Frequency domain multiuser MMSE equalizer .................................................................................. 53 3.6.3 Frequency domain multiuser SIC equalizer ....................................................................................... 54 3.6.4 Simulation results and discussion ...................................................................................................... 56

CHAPTER FOUR ..................................................................................................................... 65 PROPOSED MULTIUSER EQUALIZATION TECHNIQUES ................................... 65

4.1 Introduction .................................................................................................................................... 65 4.2 Proposed optimal ordering for successive interference cancellation (optimal OSIC) ...................... 65 4.2.1 Motivation .......................................................................................................................................... 65 4.2.2 Optimal OSIC description (per-subcarrier ordering) ......................................................................... 66 4.2.3 Results and discussion........................................................................................................................ 67 4.2.4 Advantages and disadvantages ........................................................................................................... 67 4.3 Proposed suboptimal ordering for SIC (Suboptimal OSIC)............................................................ 68 4.3.1Motivation ........................................................................................................................................... 68

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4.3.2 Suboptimal OSIC description ............................................................................................................ 68 4.3.3 Results and discussions ...................................................................................................................... 69 4.3.4 Advantages and disadvantages ........................................................................................................... 69 4.4 Proposed Initial guess based Maximum likelihood Receiver (IGML receiver) ............................... 70 4.4.1Motivation ........................................................................................................................................... 70 4.3.2 IGML receiver description ................................................................................................................. 70 4.3.3 Results and discussions ...................................................................................................................... 72 4.3.4 Advantages and disadvantages ........................................................................................................... 72 4.5 Proposed simplified Initial guess based Maximum likelihood Receiver (simplified IGML receiver) .............................................................................................................................................................. 73 4.5.1 Motivation .......................................................................................................................................... 73 4.5.2 Overview of SD ................................................................................................................................. 73 4.5.3 Simplified IGML receiver description (QR-IGML receiver) ............................................................. 75 4.5.3 Results and discussions ...................................................................................................................... 76 4.5.4 Advantages and disadvantages ........................................................................................................... 77 4.6 Conclusions ..................................................................................................................................... 78

CHAPTER FIVE ....................................................................................................................... 79 COMBINED COLLABORATIVE AND PRECODED MIMO FOR THE UPLINK LTE-ADVANCED..................................................................................................................... 79
5.1 Introduction .................................................................................................................................... 79 5.2 Overview of the uplink enhancements of the LTE-advanced .......................................................... 79 5.3 Overview of the precoding theory ................................................................................................... 80 5.4 Codebook precoding for uplink of the LTE-advanced .................................................................... 81 5.5 System model modifications for the LTE UL with precoding ......................................................... 84 5.6 Combined collaborative and SVD-precoded MIMO for the uplink of the LTE-advanced .............. 86 5.6.1 Algorithm description ........................................................................................................................ 86 5.6.2 Results and discussions ...................................................................................................................... 87 5.6.3 Advantages and disadvantages ........................................................................................................... 89 5.7 Combined collaborative and Codebook-precoded MIMO for the uplink of the LTE-advanced ... 89 5.7.1 Algorithm description ........................................................................................................................ 89 5.7.2 Results and discussions: ..................................................................................................................... 91 5.7.3 Advantages and disadvantages ........................................................................................................... 94 5.8 Combined collaborative MIMO and space frequency block codes (SFBC) for the uplink of the LTE-advanced ...................................................................................................................................... 94 5.8.1 Algorithm description ........................................................................................................................ 94 5.8.2 Results and discussions ...................................................................................................................... 96 5.8.3 Advantages and disadvantages ........................................................................................................... 98 5.9 Effect of precoding to other equalization techniques....................................................................... 99

VII

5.10 Conclusions ................................................................................................................................... 99

CHAPTER SIX ........................................................................................................................ 101 TURBO EQUALIZATION FOR UPLINK OF LTE-ADVANCED ........................... 101
6.1 Introduction .................................................................................................................................. 101 6.2 Literature review about Turbo Equalization Technique ............................................................... 101 6.2.1 Philosophy of TEQ and Douillards TEQ ....................................................................................... 101 6.2.2 Literature review of TEQ methods................................................................................................... 102 6.3 System model modifications and Turbo Equalizer main components ........................................... 102 6.3.1 Subblock interleaver and rate matching (RM) ................................................................................. 103 6.3.2 Soft demodulator with priors (SISO demapper)............................................................................... 104 6.3.3 Soft mapper (SISO mapper) ............................................................................................................. 105 6.3.4 SISO decoder ................................................................................................................................... 105 6.4 TEQ Techniques for CSM of the LTE uplink .............................................................................. 106 6.4.1 Soft -PIC based Turbo Equalization (Soft PIC-TEQ) ...................................................................... 106 6.4.2 Soft initial guess Maximum likelihood receiver (Soft single IGML) extension to PIC-TEQ .......... 110 6.5 TEQ Techniques for Precoded CSM of the LTE-advanced .......................................................... 112 6.5.1 PIC-TEQ for SFBC precoded CSM in highly selective channels .................................................... 112 6.5.2 PIC-TEQ for Codebook and SVD precoded CSM .......................................................................... 118 6.6 Conclusions ................................................................................................................................... 123

CHAPTER SEVEN ................................................................................................................. 124 CONCLUSION AND FUTURE WORK ........................................................................... 124
7.1 Conclusion ..................................................................................................................................... 124 7.2 Future work ................................................................................................................................... 125

APPENDIX 1 ............................................................................................................................ 126 LIST OF PUBLICATIONS .................................................................................................. 126 REFERENCES AND BIBLIOGRAPHY .......................................................................... 127

................................................................................................................................. 2

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LIST OF TABLES
Table 1 LTE system attributes summary ............................................................................... 4 Table 2 LTE uplink transmission parameters ...................................................................... 29 Table 3 Spectrum flexibility parameters in LTE UL ........................................................... 29 Table 4 Optimal connections for rate 1/2 convolutional encoder ........................................ 39 Table 5 Puncturing patterns for rate convolutional encoders .......................................... 39 Table 6 Normalization factors for the LTE modulation schemes ........................................ 40 Table 7 Common simulation parameters ............................................................................. 41 Table 8 adaptive Modulation and V-MIMO configurations for MMSE equalizer.............. 63 Table 9 codebook precoders for two antenna ports ............................................................. 82 Table 10 codebook precoders for four antenna ports rank 1 ............................................... 82 Table 11 codebook precoders for four antenna ports rank 2 ............................................... 83 Table 12 codebook precoders for four antenna ports rank 3 ............................................... 83 Table 13 codebook precoders for four antenna ports rank 4 ............................................... 84 Table 14 signal to noise ratio limits for using the different ranks of the codebook precoded CSM ..................................................................................................................................... 94

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LIST OF FIGURES
Figure 1 Time line of Mobile communication Evolution ...................................................... 3 Figure 2 Classification of MIMO techniques ........................................................................ 8 Figure 3 MIMO modes depending on the availability of multiple antennas at the transmitter and/or the receiver ............................................................................................... 9 Figure 4 Simplified collaborative MIMO system model ..................................................... 10 Figure 5 SC-FDMA frequency domain generation ............................................................. 16 Figure 6 Subcarrier mapping schemes ................................................................................. 18 Figure 7 Subcarrier mapping implementation (a) Disturbed (b) localized .......................... 18 Figure 8 Comparison between time domain and frequency domain structures for different subcarrier mapping .............................................................................................................. 21 Figure 9 Differences between OFDMA and SC-FDMA detection and equalization processes .............................................................................................................................. 23 Figure 10 Resource block in LTE ........................................................................................ 26 Figure 11 Basic principles of DFTS-OFDM for LTE uplink transmission ......................... 27 Figure 12 LTE FDD (type 1) frame structure ...................................................................... 28 Figure 13 DRS generation in LTE UL................................................................................. 31 Figure 14 Transmission of uplink reference signals within a slot in case of PUSCH transmission ......................................................................................................................... 32 Figure 15 Generation of uplink RS sequence from linear phase rotation of a..................... 33 Figure 16 PUSCH physical layer processing ....................................................................... 34 Figure 17 LTE user equipments transmitters ...................................................................... 37 Figure 18 LTE Turbo encoder structure .............................................................................. 39 Figure 19 Symbol mapping schemes for LTE UL (gray coded) ......................................... 40 Figure 20 Single user receiver block diagram ..................................................................... 45 Figure 21 Comparison between different modulation and equalization techniques for SISO LTE uplink ........................................................................................................................... 49 Figure 22 Comparison between coding schemes for SISO LTE uplink .............................. 50 Figure 23 Effect of channel selectivity on LTE uplink ....................................................... 51 Figure 24 Effect of user mobility on the LTE uplink without channel interpolation .......... 52 Figure 25 2x2 SIC equalizer .............................................................................................. 55 Figure 26 Comparison between the existent multiuser equalization techniques for 2x2 VMIMO systems .................................................................................................................... 56 Figure 27 Effect of changing number of collaborative users (V-MIMO order) .................. 57 Figure 28 Effect of changing number of receiving antennas ............................................... 58 Figure 29 Effect of different modulation schemes for 2x2 collaborative MIMO system ... 59 Figure 30 Effect of channel selectivity of the multipath channel ........................................ 60 Figure 31 Effect of users mobility ...................................................................................... 60 Figure 32 Effect of channel estimation methods for MMSE and SIC-MMSE receivers .... 61 Figure 33 Effect of the MMSE channel estimation with spline interpolation in case of different users speeds ......................................................................................................... 62 Figure 34 Comparison between OFDM and SC-FDMA based collaborative MIMO systems ............................................................................................................................................. 62 Figure 35 Spectral Efficiency of different modulation and system configurations for uncoded V-MIMO system ................................................................................................... 64

Figure 36 performance of the optimal ordering of SIC in presence of shadowing variance of 12dB ................................................................................................................................ 67 Figure 37 performance of suboptimal ordering SIC with different modulation schemes ... 69 Figure 38proposed IGML receiver ...................................................................................... 71 Figure 39 performance if IGML for different modulation schemes .................................... 72 Figure 40 QR decomposition effect on user separation ....................................................... 74 Figure 41 Tree formation for sphere detection .................................................................... 75 Figure 42 performance of simplified IGML for different modulation schemes .................. 76 Figure 43 Comparison between all presented detection schemes for QPSK modulation ... 77 Figure 44 Overview of uplink physical channel processing for LTE-advanced ................. 80 Figure 45 SVD precoding .................................................................................................... 81 Figure 46 UEs transmitter block diagram ............................................................................ 84 Figure 47 eNodeB receiver .................................................................................................. 84 Figure 48 Comparison between SVD precoded CSM systems and unprecoded schemes .. 88 Figure 49 spectral efficiency achieved upon using the SVD precoded schemes ................. 88 Figure 50 Effect of selectivity on SVD precoded CSM system with 2 userrs , 4 Tx antennas , 8 Rx antenennas .................................................................................................. 89 Figure 51 Codebook precoded CSM Vs. ordinary CSM ..................................................... 91 Figure 52 Comparison between the selection criteria of the three precoders ...................... 91 Figure 53 Effect of selectivity on the codebook based precoding ....................................... 92 Figure 54 spectral efficiency achieved when using precoded 2 Tx antennas transmission . 92 Figure 55 spectral efficiency of precoded CSM of 4 transmitting antennas for different ranks ..................................................................................................................................... 93 Figure 56 SFBC precoded CSM Vs. unprecoded CSM....................................................... 97 Figure 57 Effect of selectivity along SFBC precoding ........................................................ 97 Figure 58 comparison between the presented precoding schemes ...................................... 98 Figure 59 Different Multiuser equalization Techniques for codebook precoding scheme .. 99 Figure 60 Douillard's TEQ................................................................................................. 101 Figure 61 LTE rate matching ............................................................................................. 103 Figure 62 SISO demapper idea .......................................................................................... 104 Figure 63 SISO mapper idea ............................................................................................. 105 Figure 64 Trellis diagram of one constituent encoder of the 3GPP LTE .......................... 106 Figure 65 proposed eNode B 2 users PIC-TEQ ................................................................. 107 Figure 66 performance of PIC-TEQ for conventional CSM with 2 users using different MCS ................................................................................................................................... 108 Figure 67 channel selectivity effect on the PIC-TEQ for the conventional CSM with 2 users using 16QAM ....................................................................................................... 109 Figure 68 performance comparison between MMSE , PIC-TEQ and single user ML-based TEQ .................................................................................................................................... 111 Figure 69 SFBC precoded 2x2 CSM with different MCS and equalization ..................... 115 Figure 70 performance of SFBC precoding with 4 receiving antennas and corresponding equalization techniques ...................................................................................................... 116 Figure 71 TEQ iterations effect on SFBC precoded CSM with 2 receiving antennas Eb/No=11dB ...................................................................................................................... 116 Figure 72 Effect of channel selectivity on TEQ of the SFBC precoded CSM .................. 117 Figure 73 Codebook and SVD precoding for 16QAM transmission and different rank/antenna configurations and 1 iteration TEQ .............................................................. 119

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Figure 74 Comparison between presented precoding and equalization techniques for 16QAM rank 1 transmission .......................................................................................... 120 Figure 75 PIC-TEQ of codebook precoded CSM of 2 users of with 2Tx antennas and 2 Rx antennas with different MCS ............................................................................................. 121 Figure 76 Effect of channel selectivity on the performance of codebook precoded CSM of rank 1 with 2 transmitting antennas and 2 Rx antennas with 16QAM 3/4 MCS .............. 122 Figure 77 TEQ iterations effect for ordinary, SFBC and rank 1 codebook transmission at 11dB ................................................................................................................................... 122

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LIST OF ABBREVIATIONS

Abbreviation
1G 2G 3G 3GPP 4G AMPS AWGN BER BLAST BLMMSE BPSK CAZAC CDM CDMA CDMA2000-1xEVDO CDMA2000-1xEVDV CDS CFO CIR CP CRC CSI CSM DFDMA DFE DFT DFT-S-OFDM DL DL-SCH Doppler PSD DRS DSPs EGC E-MBMS eNodeB EPC EPS ETSI E-UTRA E-UTRAN FDD FDE FDM

Description
First Generation of mobile communication systems Second Generation of mobile communication systems Third Generation of mobile communication systems
3G Partnership Projects

Forth Generation of mobile communication systems Analog Mobile Phone System Additive White Gaussian Noise Bit Error Rate Bell Labs Layered Space-Time scheme best linear MMSE estimator Binary Phase Shift Keying Constant Amplitude Zero Autocorrelation property Code Division Multiplexing Code Division Multiple Access CDMA 2000 Evolution-Data Optimized CDMA 2000 Evolution-Data and voice Channel Dependent Scheduling Carrier Frequency Offsets Channel Impulse Response Cyclic Prefix Cyclic Redundancy Check Channel State Information Collaborative Spatial Multiplexing scheme Distributed subcarrier mapping Decision Feedback Equalizer Discrete Fourier Transform DFT-spread OFDM Downlink Downlink shared channel Doppler power spectral density Demodulated Reference Signal Digital signal processors Equal Gain Combining Enhanced- Multimedia Broadcast Multicast Services Evolved NodeB Evolved Packet Core Evolved Packet System European Telecommunications Standards Institute Evolved UMTS Terrestrial Radio Access Evolved UMTS Terrestrial Radio Access Network Frequency Division Duplex Frequency Domain Equalization Frequency Division Multiplexing

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FDMA FER FFT GCL GERAN GSM HRPD HSPA hybrid-ARQ IDFT IFDMA IFFT IGML IID IMT-2000 Inter-RAT measurements ISI J-TACS LFDMA LLR LMMSE LMSC LS LTE LTE UL MAC MAP MBMS MCS MIMO MISO ML MLSE MME MMSE MRC MSE MU-MIMO NMT OFDM OFDMA OSIC PA PAPR PCCC PDCCH PDF PIC

Frequency Division Multilpe Access Frame Error Rate Fast Fourier Transform Generalized Chirp-Like sequences GSM EDGE Radio Access Network Global System for Mobile Communications High Rate Packet Data High Speed Packet Access Hybrid Automatic Repeat Request Inverse Discrete Fourier Transform Interleaved subcarrier mapping Inverse Fast Fourier Transform Initial guess ML Identical and Independently Distributed International Mobile Telecommunications 2000 Inter Radio Access Technology measurements Inter-Symbol Interference Japanese Total Access Communication System Localized subcarrier mapping Log Likelihood Ratio linear MMSE estimator LAN/MAN Standard Committee Least Square Long Term Evolution Long Term Evolution- Uplink Medium Access Control layer Maximum A-Posteriori algorithm Multimedia Broadcast Multicast Services Modulation and Coding Schemes Multiple-Input Multiple-Output Multiple-Input Single-Output Maximum likelihood Maximum Likelihood Sequence Estimation Mobility Management Entity Minimum Mean Squares Errors Maximum Ratio Combiner Mean Square Error Multi User MIMO Nordic Mobile Telephone Orthogonal Frequency Division Multiplexing Orthogonal Frequency Division Multiple Access Ordered Successive Interference Cancellation Power Amplifier Peak to the Average Power Ratio Parallel Concatenated Convolutional Code Physical Downlink Control Channel Probabilty Density Function Parallel Interference Cancellation

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PIC-TEQ PMI PRACH PUCCH QAM QPSK QPP QR-IGML RB RI RM RNC RS RSC SAE SC SC/FDE SC-FDMA SD SDMA SER SFBC SIC SIMO SINR SISO SISO (in chapter 6 only) SNR SRS STBCs STTCs SU-MIMO SVD SAE-GW TACS TB TDD TDMA TEQ TTI UE UL UL-SCH UMB UMTS UTRA UTRAN

Parallel Interference Cancellation based Turbo Equalization Precoding Matrix Indicator Physical Random Access Channel Physical Uplink Control Channel Quadrature Amplitude and phase Modulation Quadrature Phase Shift Keying Quadratic permutation polynomial QR based Initial Guess Maximum Likelihood Detector Resource Block Rank Indicator Rate Matching Radio Network Controller Reference Signal Recursive Systematic Convolutional System Architecture Evolution Selection Combining Single Carrier/Frequency Domain Equalizer Single Carrier Frequency Division Multiple Access Sphere Detection Space Division Multiple Access Symbol Error Rate Space Frequency Block Codes Successive Interference Cancellation Single-Input Multiple-Output Signal-to- Interference-plus- Noise Ratio Single Input Single Output Soft Input Soft Output Signal to Noise Ratio Sounding Reference Signal Space Time Block Codes Space-Time Trellis Codes Single-User MIMO Singular Value Decomposition System Architecture Evolution Gateway Total Access Communication System Transport Block Time Division Duplex Time Division Multiple Access Turbo Equalization Transmission Time Interval User Equipment Uplink Uplink Shared Channel Ultra Mobile Broadband Universal Mobile Telecommunication System Universal Terrestrial Radio Access Universal Terrestrial Radio Access Network

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V-MIMO VoIP WCDMA WiMAX WSSUS ZC ZF

Virtual-Multiple Input Multiple Output Voice Over Internet Protocol wideband CDMA Worldwide Interoperability for Microwave Access Wide Sense Stationary Uncorrelated Scattering ZadoffChu sequences Zero Forcing

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CHAPTER ONE INTRODUCTION

1.1 Historic view of the evolution of the mobile communications
The cellular wireless communications industry witnessed tremendous growth in the past decade with over four billion wireless subscribers worldwide [1]. The Long Term Evolution of UMTS is just one of the latest steps in an advancing series of mobile telecommunications systems. Arguably, at least for land-based systems, the series began in 1947 with the development of the concept of cells by the famous Bell Labs of the USA. The use of cells enabled the capacity of a mobile communications network to be increased substantially, by dividing the coverage area up into small cells each with its own base station operating on a different frequency [2]. The first mobile communication systems to see large-scale commercial growth arrived in the 1980s and became known as the First Generation (1G) systems. The 1G comprised a number of independently-developed systems worldwide (e.g., Analog Mobile Phone System (AMPS, used in America), Total Access Communication System (TACS, used in parts of Europe), Nordic Mobile Telephone (NMT, used in parts of Europe) and Japanese Total Access Communication System (J-TACS, used in Japan and Hong Kong)), using analog technology supported voice communication with limited roaming. Global roaming first became possible with the development of the digital Second Generation (2G) system known as Global System for Mobile Communications (GSM). The success of GSM was due in part to the collaborative spirit in which it was developed. By harnessing the creative expertise of a number of companies working together under the auspices of the European Telecommunications Standards Institute (ETSI), GSM became a robust, interoperable and widely-accepted standard. The 2G digital systems promised higher capacity and better voice quality than did their analog counterparts. Moreover, roaming became more prevalent thanks to fewer standards and common spectrum allocations across countries particularly in Europe. The two widely deployed 2G cellular systems are GSM and Code Division Multiple Access (CDMA). As for the 1G analog systems, 2G systems were primarily designed to support voice communication and text messaging. In later releases of these standards, capabilities were introduced to support data transmission. However, the data rates were generally lower than that supported by dial-up connections. The International Telecommunications Union (ITU-R) initiative on International Mobile Telecommunications 2000 (IMT-2000) paved the way for evolution to the Third Generation (3G). A set of requirements such as a peak data rate of 2 Mb/s and vehicular mobility support were published under IMT-2000 initiative. Both the GSM and CDMA camps formed their own separate 3G Partnership Projects (3GPP and 3GPP2, respectively) to develop IMT-2000 compliant standards based on the CDMA technology. The 3G standard in 3GPP is referred to as wideband CDMA (WCDMA) because it uses a larger 5MHz bandwidth relative to 1.25MHz bandwidth used in 3GPP2s CDMA2000 system. The 3GPP2 also developed a 5MHz version supporting three 1.25MHz subcarriers referred to as CDMA2000-3x. In order to differentiate from the 5MHz CDMA2000-3x standard, the 1.25MHz system is referred to as CDMA2000-1x or simply 3G-1x.

The first release of the 3G standards did not fulfill its promise of high-speed data transmissions as the data rates supported in practice were much lower than that claimed in the standards. A serious effort was then made to enhance the 3G systems for efficient data support. The 3GPP2 first introduced the High Rate Packet Data (HRPD) [3] system that used various advanced techniques optimized for data traffic such as channel sensitive scheduling, fast link adaptation and hybrid-ARQ, etc. The HRPD system required a separate 1.25MHz carrier and supported no voice service. This was the reason that HRPD was initially referred to as CDMA2000-1xEVDO (Evolution Data Only) system. The 3GPP followed a similar path and introduced High Speed Packet Access (HSPA) [4] enhancement to the WCDMA system. The HSPA standard reused many of the same dataoptimized techniques as the HRPD system. A difference relative to HRPD, however, is that both voice and data can be carried on the same 5MHz carrier in HSPA. The voice and data traffic are code multiplexed in the downlink. In parallel to HRPD, 3GPP2 also developed a joint voice data standard that was referred to as CDMA2000-1xEVDV (evolution data voice) [5]. Like HSPA, the CDMA2000-1xEVDV system supported both voice and data on the same carrier but it was never commercialized. In the later release of HRPD, VoIP (Voice over Internet Protocol) capabilities were introduced to provide both voice and data service on the same carrier. The two 3G standards namely HSPA and HRPD were finally able to fulfill the 3G promise and had been widely deployed in major cellular markets to provide wireless data access. While HSPA and HRPD systems were being developed and deployed, IEEE 802 LMSC (LAN/MAN Standard Committee) introduced the IEEE 802.16e standard [6] for mobile broadband wireless access. This standard was introduced as an enhancement to an earlier IEEE 802.16 standard for fixed broadband wireless access. The 802.16e standard employed a different access technology named Orthogonal Frequency Division Multiple Access (OFDMA) and claimed better data rates and spectral efficiency than that provided by HSPA and HRPD. Although the IEEE 802.16 family of standards is officially called Wireless MAN in IEEE, it has been dubbed Worldwide Interoperability for Microwave Access (WiMAX) by an industry group named the WiMAX Forum. The mission of the WiMAX Forum is to promote and certify the compatibility and interoperability of broadband wireless access products. The WiMAX system supporting mobility as in IEEE 802.16e standard is referred to as Mobile WiMAX. In addition to the radio technology advantage, Mobile WiMAX also employed a simpler network architecture based on IP protocols. The introduction of Mobile WiMAX led both 3GPP and 3GPP2 to develop their own version of beyond 3G systems based on the OFDMA technology and network architecture similar to that in Mobile WiMAX. The beyond 3G system in 3GPP is called evolved Universal Terrestrial Radio Access (evolved UTRA) [7] and is also widely referred to as Long-Term Evolution (LTE) while 3GPP2s version is called Ultra Mobile Broadband (UMB) [8]. Figure 1 shows an approximate time line for the Mobile communication evolution from 1G towards the Forth Generation (4G) [2].

Figure 1 Time line of Mobile communication Evolution

1.2 Introduction to LTE

The LTE as defined by the 3GPP is a highly flexible radio interface [9], [2]; its initial deployment of LTE is in 2010 and 2011. LTE is the evolution of 3GPPs Universal Mobile Telecommunication System (UMTS) towards an all-IP network in order to ensure the competitiveness of UMTS for the next 10 years and beyond. LTE was being developed in Releases 8 and 9 of the 3GPP specifications [10] .The first release of LTE provides peak rates of 300 Mb/s, a radio-network delay of less than 5 ms, a significant increase in spectrum efficiency compared to previous cellular systems, and a new flat radio-network architecture designed to simplify operation and to reduce cost. LTE supports both Frequency Division Duplex (FDD) and Time Division Duplex (TDD), as well as a wide range of system bandwidths in order to operate in a large number of different spectrum allocations. LTE also constitutes a major step towards IMTAdvanced. In fact, the first release of LTE already includes many of the features which are originally considered for future 4G systems. The multiple access scheme in LTE downlink is the OFDMA and uplink uses Single Carrier Frequency Division Multiple Access (SC-FDMA) [11]. SC-FDMA technique for uplink transmission have attracted appreciable attention because of its low Peak to the Average Power Ratio (PAPR) property compared with competitive OFDMA technique [12]. SC-FDMA has been adopted for uplink transmission to allow efficient terminal power amplifier design, which is relevant to the terminal battery life .SC-FDMA signal can be obtained using Discrete Fourier Transform (DFT) spread OFDMA, where DFT is applied to convert time domain input data symbols to the frequency domain before

feeding them into an OFDMA modulator. These multiple access solutions provide orthogonality between the users, simple frequency domain equalization in frequency selective channel, reducing the interference and improving the network capacity. The resource allocation in the frequency domain takes place with a resolution of 180 kHz resource blocks both in uplink and in downlink. The uplink user specific allocation is continuous to enable single carrier transmission while the downlink can use resource blocks freely from different parts of the spectrum. LTE offers a 100 Mbps download rate and 86 Mbps upload rate for every 20 MHz of spectrum. Support is intended for even higher rates, up to 326.4 Mbps in the downlink, using multiple antenna configurations as Table 1 [1]. To allow the use of both new and existing frequency bands, LTE provides scalable bandwidth from 1.25 MHz to 20 MHz in both the downlink and the uplink. LTE is optimized for low speeds (0 - 15 km/h) but will still provide high performance up to 120 km/h with support for mobility maintained up to 350 km/h. 3GPP is considering support for even higher speeds up to 500 km/h [13].
LTE system Attributes Bandwidth Duplexing Mobility Multiple access MIMO Peak data rate in 20MHz Modulation Channel coding Other techniques

1.25-20 MHz FDD, TDD , half-duplex FDD Up to 350 Km/hr Downlink: OFDMA Uplink: SC-FDMA Downlink: 2x2 , 4x2 and 4x4 Uplink: 1x2 and 1x4 Downlink: 173 and 326 Mb/s for 2x2 and 4x4 MIMO respectively Uplink: 86 Mb/s with 1x2 antenna configuration QPSK ,16QAM and 64QAM Turbo code Channel dependant scheduling, link adaptation, power control and hybrid ARQ
Table 1 LTE system attributes summary

The target in 3GPP Release 8 is to improve the network scalability for traffic increase and to minimize the end-to-end latency by reducing the number of network elements. All radio protocols, mobility management, header compression and all packet retransmissions are located in the base stations called evolved NodeB (eNodeB). eNodeB includes all those algorithms that are located in Radio Network Controller (RNC) in 3GPP Release 6 architecture. Also the core network is streamlined by separating the user and the control planes. The Mobility Management Entity (MME) is just the control plane element while the user plane bypasses MME directly to System Architecture Evolution (SAE) Gateway (GW). This Release 8 core network is also often referred to as Evolved Packet Core (EPC) while for the whole system the term Evolved Packet System (EPS) can also be used [13]. Discussion of the key requirements for the new LTE system led to the creation of a formal Study Item in 3GPP with the specific aim of evolving the 3GPP radio access technology to ensure competitiveness over a 10-year time-frame. Under the auspices of this Study Item, the requirements for LTE were refined and crystallized, being finalized in June 2005. They can be summarized as follows [2], [14]:

Reduced delays, in terms of both connection establishment and transmission latency; Increased user data rates: Peak data rates target 100 Mbps (downlink) and 50 Mbps (uplink) for 20 MHz spectrum allocation, assuming 2 receive antennas and 1 transmit antenna at the terminal. Note: These requirement values are exceeded by the LTE specification; Increased cell-edge bit-rate, for uniformity of service provision; Reduced cost per bit, implying improved spectral efficiency: Downlink target is 3-4 times better than release 6. Uplink target is 2-3 times better than release 6; Greater flexibility of spectrum usage, in both new and pre-existing bands; Simplified network architecture: Interworking with existing UTRAN/GERAN systems and non-3GPP systems shall be ensured. Multimode terminals shall support handover to and from UTRAN and GERAN as well as inter-RAT measurements; Seamless mobility, including between different radio-access technologies. The system should be optimized for low mobile speed (0-15 km/h), but higher mobile speeds shall be supported as well including high speed train environment as special case; Reasonable power consumption for the mobile terminal; Multimedia Broadcast Multicast Services (MBMS): MBMS shall be further enhanced and is then referred to as E-MBMS; Improved system performance compared to existing systems is one of the main requirements from network operators, to ensure the competitiveness of LTE and hence to arouse market interest.

1.3 Introduction to MIMO technology

Wireless system designers are facing a number of challenges. These include the limited availability of the radio frequency spectrum and a complex spacetime varying wireless environment. In addition, there is an increasing demand for higher data rates, better quality of service, and higher network capacity. The use of multiple antennas at the transmitter and receiver popularly known as Multiple-Input Multiple-Output (MIMO) technology constitutes a breakthrough in the design of wireless communication systems, and has rapidly gained in popularity over the past decade due to its powerful performanceenhancing capabilities. The core idea behind MIMO is that signals sampled in the spatial domain at both ends are combined is such a way that they either create effective multiple parallel spatial data pipes (therefore increasing the data rate), and/or add diversity to improve the quality (bit-error rate or BER) of the communication [15], [16], [17]. The benefits of MIMO technology that help to achieve significant performance gains are array gain, spatial diversity gain, spatial multiplexing gain and interference reduction [15]. Array gain Array gain is the increase in receive Signal to Noise Ratio (SNR) that results from a coherent combining effect of the wireless signals at a receiver. The coherent combining may be realized through spatial processing at the receive antenna array and/or spatial pre-processing at the transmit antenna array. Array gain improves resistance to noise, thereby improving the coverage and the range of a wireless network.

Spatial diversity gain The signal level at a receiver in a wireless system fluctuates or fades. Spatial diversity gain mitigates fading and is realized by providing the receiver with multiple (ideally independent) copies of the transmitted signal in space, frequency or time. With an increasing number of independent copies (the number of copies is often referred to as the diversity order), the probability that at least one of the copies is not experiencing a deep fade increases, thereby improving the quality and reliability of reception. A MIMO channel with transmit antennas and receive antennas potentially offers independently fading links, and hence a spatial diversity order of . Spatial multiplexing gain MIMO systems offer a linear increase in data rate through spatial multiplexing [18],[19], i.e., transmitting multiple, independent data streams within the bandwidth of operation. Under suitable channel conditions, such as rich scattering in the environment, the receiver can separate the data streams. Furthermore, each data stream experiences at least the same channel quality that would be experienced by a single-input single-output system, effectively enhancing the capacity by a multiplicative factor equal to the number of streams. In general, the number of data streams that can be reliably supported by a MIMO channel equals the minimum of the number of transmit antennas and the number of receive antennas, i.e., min( , ). Two key performance metrics associated with any communication system are the transmission rate and the Frame Error Rate (FER. Intuitively, for a fixed transmission rate, an increase in SNR will result in reduced FER. Similarly, at a fixed target FER, an increase in SNR may be leveraged to increase the transmission rate. Hence, a fundamental trade-off exists in any communication system between the transmission rate and FER. In the context of MIMO systems, this trade-off is often referred to as the diversitymultiplexing trade-off [20] with diversity signifying the FER reduction and multiplexing signifying an increase in transmission rate. The diversity multiplexing trade-off is central to MIMO communication theory . Interference reduction and avoidance Interference may be mitigated in MIMO systems by exploiting the spatial dimension to increase the separation between users. For instance, in the presence of interference, array gain increases the tolerance to noise as well as the interference power, hence improving the Signal-to- Interference-plus- Noise Ratio (SINR). Additionally, the spatial dimension may be leveraged for the purposes of interference avoidance, i.e., directing signal energy towards the intended user and minimizing interference to other users. Interference reduction and avoidance improve the coverage and range of a wireless network. In general, it may not be possible to exploit simultaneously all the benefits described above due to conflicting demands on the spatial degrees of freedom. However, using some combination of the benefits across a wireless network will result in improved capacity, coverage and reliability. As a historic view for MIMO schemes, a simple spatial diversity technique, which does not involve any loss of bandwidth, is constituted by the employment of multiple antennas at the receiver, where several techniques can be employed for combining the independently fading signal replicas, including Maximum Ratio Combining (MRC), Equal Gain Combining (EGC) and Selection Combining (SC) . Several transmit, rather than receive, diversity techniques have also been proposed in the literature [21],[22],[23]. In [22], Alamouti proposed a witty transmit diversity

technique using two transmit antennas, the key advantage of which was the employment of low-complexity single-receive-antenna-based detection, which avoids complex joint detection of multiple symbols. The decoding algorithm proposed in [22] can be generalized to an arbitrary number of receive antennas using MRC, EGC or SC.The idea can be extended to the frequency dimension as in space frequency block codes (SFBC). Alamoutis achievement inspired Tarokh et al. [23] to generalize the concept of transmit diversity schemes to more than two transmit antennas, contriving the generalized concept of space time block codes (STBCs). The family of STBCs is capable of attaining the same diversity gain as Space-Time Trellis Codes (STTCs) [21] at a lower decoding complexity, when employing the same number of transmit antennas. However, a disadvantage of STBCs when compared with STTCs is that they employ unsophisticated repetition-coding and hence provide no coding. An alternative idea invoked for constructing full-rate STBCs for complex-valued modulation schemes and more than two antennas was suggested in [24]. Here the strict constraint of perfect orthogonality of transmitted symbols was relaxed in favor of achieving a higher data rate. The resultant STBCs were referred to as quasiorthogonal STBCs [24]. The STBC designs offer, at best, the same data rate as an uncoded single antenna system, but they provide an improved BER performance compared with the family of single antenna-aided systems by providing diversity gains. In contrast to this, several high rate MIMO transmission schemes having a normalized rate (which is defined as the ratio between the number of symbols the encoder takes as its input and the number of spacetime coded symbols transmitted from each antenna) higher than unity have been proposed in the literature improving the attainable spectral efficiency of the system by transmitting different signal streams independently over each of the transmit antennas, hence resulting in a multiplexing gain. This class of MIMO subsumes the Bell Labs Layered Space-Time (BLAST) scheme and its relatives [25]. The BLAST scheme aims to increase the system throughput in terms of the number of bits per symbol that can be transmitted in a given bandwidth at a given integrity. In contrast to the family of BLAST schemes, where multiple antennas are activated by a single user to increase the users throughput, Space Division Multiple Access (SDMA) known also as collaborative MIMO [27] employs multiple antennas for the sake of supporting multiple users. SDMA exploits the unique user-specific Channel Impulse Response (CIR) of the different users for separating their received signals. On the other hand, in beamforming arrangements [27],[28], typically /2- spaced antenna elements are used for the sake of creating a spatially selective transmitter/receiver beam, where represents the carriers wavelength. Beamforming is employed for providing a beamforming gain by mitigating the effects of various interfering signals, provided that they arrive from sufficiently different directions. In addition, beamforming is capable of suppressing the effects of co-channel interference, hence allowing the system to support multiple users by angularly separating them. Again, this angular separation becomes feasible only on condition that the corresponding users are separable in terms of the angle of arrival of their beams. Figure 2 shows a classification of MIMO techniques discussed above

MIMO Techniques
Diversity Techniques
Receive Divesity *Max. Ratio Combining (MRC) *Equal Gain Combining (EGC) *Selection Combining (SC)

Multplexing Techniques Transmit Diversity *STBC *STTC *Quasi STBC.

Multiple access techniques

Beamforming

BLAST SDMA , VMIMO or collaborative MIMO

Beamforming designed for interference reduction

*Beamforming designed for SNR gain

Figure 2 Classification of MIMO techniques

Figure 3 shows the MIMO modes depending on the availability of multiple antennas at the transmitter and/or the receiver [2], such techniques are classified as SingleInput Multiple-Output (SIMO), Multiple-Input Single-Output (MISO) or MIMO. Thus in the scenario of a multi-antenna enabled base station communicating with a single antenna User Equipment (UE), the uplink and downlink are referred to as SIMO and MISO respectively. When a (high-end) multi-antenna terminal is involved, a full MIMO link may be obtained, although the term MIMO is sometimes also used in its widest sense, thus including SIMO and MISO as special cases. While a point-to-point multiple-antenna link between a base station and one UE is referred to as Single-User MIMO (SU-MIMO), collaborative MIMO (Multiuser (MU-MIMO) or virtual (V-MIMO)) features several UEs communicating simultaneously with a common base station using the same frequencydomain and time-domain resources. By extension, considering a multicell context, neighboring base stations sharing their antennas in virtual MIMO fashion to communicate with the same set of UEs in different cells will be termed multicell MU-MIMO. In LTE, MIMO technologies have been widely used to improve downlink peak rate, cell coverage, as well as average cell throughput [29]. To achieve this diverse set of objectives, LTE adopted various MIMO technologies including transmit diversity, SUMIMO, MU-MIMO, closed loop rank-1 precoding, and dedicated beamforming [30],[31],[32]. The SU-MIMO scheme is specified for the configuration with two or four transmit antennas in the downlink, which supports transmission of multiple spatial layers with up to four layers to a given UE. The transmit diversity scheme is specified for the configuration with two or four transmit antennas in the downlink, and with two transmit antennas in the uplink. The MU-MIMO scheme allows allocation of different spatial layers to different users in the same time-frequency resource, and is supported in both uplink and

downlink. The closed-loop rank-1 precoding scheme is used to improve data coverage utilizing SU-MIMO technology based on the cell-specific common reference signal while introducing a control signal message that has lower overhead. The dedicated beamforming scheme is used for data coverage extension when the data demodulation based on dedicated reference signal is supported by the UE.

Figure 3 MIMO modes depending on the availability of multiple antennas at the transmitter and/or the receiver [2]

1.4 Introduction to collaborative MIMO (Virtual MIMO systems)

The creation of independent radio channels using multiple antennas in the UE is difficult, so the idea of Collaborative spatial multiplexing (sometimes also referred to as Spatial Division Multiple Access (SDMA), Uplink MU-MIMO (UL MU-MIMO) or virtual MIMO (V-MIMO)) is attractive [33], [34], [35]. Collaborative spatial multiplexing (CSM) in Figure 4 [34] works as the following, two or more users having UEs equipped with single antenna in the vicinity, each one of them transmits independent data stream from the others. Those users are collaboratively transmitting to the same resource blocks (RBs), i.e. same frequency/time grid resource. The above transmission technique creates V-MIMO link in a sense of imagining that the collaborative users are just antennas for virtual large UE and at each antenna there is a different stream which works as the conventional spatial multiplexing idea. Now, the eNodeB is receiving combined data from all collaborative users, eNodeB will then separate the data of each user using multiuser equalization techniques.

The CSM technique increases the whole throughput of the uplink because the single RB is now reused among different users , achieves V-MIMO without increasing the complexity of the UEs ,and is capable of addressing the spatial correlation and complexity issues inherent in MIMO systems by distributing the antenna used for communication among a cluster of UEs in the neighborhood. Moreover it achieves a diversity gain from receiving different and independent replicas of the user data that when the multiuser interference is perfectly cancelled , the eNodeB can perform combining technique to benefit from multiuser diversity. In addition to providing higher capacity and better utilization of the available spectrum, V-MIMO may require less hardware and fewer RF chains than a MIMO device with the same number of antennas [36]. Traditional multiuser equalization techniques include Zero Forcing (ZF), Minimum Mean Squares Errors (MMSE) and Maximum likelihood (ML). ZF suffers from noise and interference enhancement. MMSE accounts for the SNR/SINR value and provides better performance. However, the optimal receiver is the ML which performs exhaustive search to find the symbols with minimum detection error. Unfortunately, the full-fledge ML receiver is abandoned when employing SC-FDMA signals since its complexity increases exponentially with the DFT-block size as well as the modulation index. To reduce complexity and maintain performance Successive Interference Cancellation (SIC) is a good choice. SIC is a Decision Feedback Equalizer (DFE) that sequentially demodulates UE signals, one at a time, and cancels its contribution from the received signal [25],[26]. Thus it is noted the variant of collaborative MIMO that is included in the WiMAX specification and has been proposed for 3GPP LTE. In order to support uplink MU-MIMO, LTE specifically provides orthogonal Demodulated Reference Signal (DRS) using different cyclic time shifts to enable the eNodeB to derive independent channel estimates for the uplink from each UE. As a maximum of eight cyclic time shifts can be assigned, SDMA of up to eight UEs can be supported in a cell. SDMA between cells (i.e. uplink inter-cell cooperation) is supported in LTE by assigning the same base sequence groups and/or RS hopping patterns to the different cells [2].

Figure 4 Simplified collaborative MIMO system model

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1.5 Introduction to Turbo codes

A turbo code can be thought of as a refinement of the parallel concatenated encoding structure plus an iterative algorithm for decoding the associated code sequence [37] .In insightful concept of turbo coding was proposed in 1993 in a seminal contribution by Berrou, Glavieux and Thitimajashima, who reported excellent coding gain results [38], approaching Shannonian predictions (achieves a bit-error probability of 10-5 using a rate 1/2 code over an additive white Gaussian noise (AWGN) channel and BPSK modulation at an /0 of 0.7 dB). The information sequence is encoded twice [39], with an interleaver between the two encoders serving to make the two encoded data sequences approximately statistically independent of each other. Often half-rate Recursive Systematic Convolutional (RSC) encoders are used, with each RSC encoder producing a systematic output which is equivalent to the original information sequence, as well as a stream of parity information. The two parity sequences can then be punctured before being transmitted along with the original information sequence to the decoder. This puncturing of the parity information allows a wide range of coding rates to be realized, and often half the parity information from each encoder is sent. Along with the original data sequence, this results in an overall coding rate of 1/2. Whereas, for conventional codes, the final step at the decoder yields hard-decision decoded bits (or, more generally, decoded symbols), for a concatenated scheme such as a turbo code to work properly, the decoding algorithm should not limit itself to passing hard decisions among the decoders [37]. To best exploit the information learned from each decoder, the decoding algorithm must effect an exchange of soft decisions rather than hard decisions .At the decoder two RSC decoders are used. Special decoding algorithms must be used which accept soft inputs and give soft outputs for the decoded sequence. These soft inputs and outputs provide not only an indication of whether a particular bit was a 0 or a 1, but also a likelihood ratio which gives the probability that the bit has been correctly decoded. The turbo decoder operates iteratively. In the first iteration the first RSC decoder provides a soft output giving an estimation of the original data sequence based on the soft channel inputs alone. It also provides an extrinsic output. The extrinsic output for a given bit is based not on the channel input for that bit, but on the information for surrounding bits and the constraints imposed by the code being used. This extrinsic output from the first decoder is used by the second RSC decoder as a-priori information, and this information together with the channel inputs are used by the second RSC decoder to give its soft output and extrinsic information. In the second iteration the extrinsic information from the second decoder in the first iteration is used as the a-priori information for the first decoder, and using this a-priori information the decoder can hopefully decode more bits correctly than it did in the first iteration. This cycle continues, with at each iteration both RSC decoders producing a soft output and extrinsic information based on the channel inputs and a-priori information obtained from the extrinsic information provided by the previous decoder. After each iteration the BER in the decoded sequence drops, but the improvements obtained with each iteration fall as the number of iterations increases so that for complexity reasons usually only between 4 and 12 iterations are used. In their pioneering proposal Berrou, Glavieux and Thitimajashima [38] invoked a modified version of the classic minimum BER Maximum A-Posteriori (MAP) algorithm due to Bahl et al. [40] in the above iterative structure for decoding the constituent codes [39].

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1.5 Introduction to Turbo equalization (TEQ)

Capitalizing on the great performance gains of turbo codes and the turbo decoding algorithm, turbo equalization is an iterative equalization and decoding technique that can achieve equally impressive performance gains for communication systems that send digital data over channels that require equalization, i.e., those which suffer from Inter-Symbol Interference (ISI) i.e., frequency selective channels [41]. Turbo equalization was first proposed by Douillard et al. in 1995 [42] for a serially concatenated convolutional-coded Binary Phase Shift Keying (BPSK) system. In this contribution TEQ was shown to mitigate the effects of ISI, when having perfect channel impulse response information. Instead of performing the equalization and decoding independently, in order to overcome the channels frequency selectivity, better performance can be obtained by the turbo equalizer, which considers the discrete channels memory and performs both the equalization and decoding iteratively. The basic philosophy of the original TEQ technique stems from the iterative turbo decoding algorithm consisting of two Single Input Single Output (SISO) decoders, a structure which was proposed by Berrou et al. [38].So turbo equalization resembles the case of turbo coding, in which the channel is assumed to be the other component code connected to the original convolutional code. The original turbo equalizer consists of a SISO equalizer and a SISO decoder [39]. The SISO equalizer generates the a-posteriori probability upon receiving the corrupted transmitted signal sequence and the a-priori probability provided by the SISO decoder. However, at the first turbo equalization iteration. No a-priori information is supplied by the channel decoder. Therefore, the a-priori probability is set to 1/2, since the transmitted bits are assumed to be equiprobable,before passing the a-posteriori information generated by the SISO equalizer to the SISO decoder. The decoders contribution in the form of the apriori information. Accruing from the previous iteration must be removed, in order to yield the combined channel and extrinsic information. This also minimizes the correlation between the a-priori information supplied by the decoder and the a-posteriori information generated by the equalizer. The removal of the a-priori information is necessary, in order to prevent the decoder from receiving its own information, which would result in the socalled positive feedback phenomenon, overwhelming the decoders current reliability estimation of the coded bits, i.e. the extrinsic information. The combined channel and extrinsic information is channel de-interleaved and directed to the SISO decoder. Subsequently, the SISO decoder computes the a-posteriori probability of the coded bits. Note that the latter steps are different from those in turbo decoding. The component decoder of the turbo equalizer computes the a-posteriori log likelihood ratio (LLR) values for both the parity and systematic bits. The combined channel and extrinsic information is then removed from the a-posteriori information provided by the decoder before channel interleaving. The extrinsic information computed is then employed as the a-priori input information of the equalizer in the next channel equalization process. This constitutes the first turbo equalization iteration. The iterative process is repeated until the required termination criteria are met [43]. At this stage, the a-posteriori information of the source bits, which has been generated by the decoder, is utilized to estimate the transmitted bits.

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1.6 Thesis organization and contributions

The thesis is organized in 7 chapters starting with this introduction. In chapter 2, we provide a detailed literature review about the physical uplink shared channel (PUSCH) processing of the LTE of the UMTS .we will also introduce the SC-FDMA transmission and its differences from OFDMA transmission, the different subcarrier mapping schemes and the time domain representation of these schemes. We give also an overview about the LTE UL basic transmission Chapter 3, we start with introducing the collaborative MIMO (CSM) concept. Then we proceed to construct the basic system model that will be used all over the context of thesis. Simulation model is studied in both single input single output case and CSM case for general number of transmitting and receiving antennas, and then we continue with describing the used channel. The chapter is also turning light system on the existent detection schemes for collaborative MIMO case identifying the pros and cons for each detector. The chapter ends with illustrative simulation results showing the main characteristics of each equalizer in different simulation scenarios considering perfect and imperfect channel estimation. We will then proceed in chapter 4 with our first contribution that includes proposing a novel Initial guess ML (IGML) receiver which dramatically enhances the performance of the CSM system. The IGMLs complexity will grow exponentially with the modulation index only. We also provide a novel simplification for it using the QR decomposition. Moreover, we present two novel ordering techniques to enhance the performance of the SIC receiver, especially in the case of shadowing environments. A comprehensive study of the motivation of each novel scheme with study of channel imperfections and different channel conditions are also presented. In chapter 5, we begin with identifying the new MIMO modes introduced in the LTE-advanced. Capitalizing from advantages of precoding the transmitted streams prior to transmission, codebook precoding is discussed for LTE. The chapter thereafter will present system model modifications over the system model introduced in chapter 3. We propose then a combination between the collaborative system and the precoded MIMO whether ideally (SVD precoding) or suboptimally using codebook precoding. Then we propose a SFBC precoding for the uplink to achieve space diversity with spatial multiplexing gain achieved before using the collaborative system. The chapter eventually discusses the effect of these precoding schemes on the previously presented receiver schemes. In chapter 6, we introduce the TEQ technique as multiuser equalization technique for the CSM system. So, we are getting softer capitalizing from the tremendous performance gains of turbo codes and the turbo decoding algorithm. The chapter discusses the basic components of the TEQ receiver. Moreover we will extend this TEQ concept to precoded CSM system presented in chapter 5. We will also generalize the SFBC receiver in chapter 5 to operate in highly selective channels to maximize the frequency diversity exploited by the TEQ. Chapter 7 gives a comprehensive conclusion of the discussed work and gives a glance on the possible research work that can be appended to the presented thesis. A list of our publications is presented in appendix 1.

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CHAPTER TWO LITERATURE REVIEW OF SC-FDMA AND LTE UPLINK

2.1 Introduction
In this chapter a detailed literature review about PUSCH processing of the LTE of the UMTS , considering the SC-FDMA transmission, FDD frame structure and reference signal generation and insertion. The chapter starts in section 2.2 with introducing the SC-FDMA transmission and its differences from OFDMA transmission, the different subcarrier mapping schemes and the time domain representation of these schemes. Then in section 2.3 we give an overview about the LTE UL in which we consider the FDD frame structure , the basic transmission parameters , the demodulation reference signals generation and the PUSCH transmission procedure.

2.2 Wide-band single-carrier transmission (SC-FDMA) 2.2.1 Introduction

OFDMA and SC-FDMA are modified versions of the Orthogonal Frequency Division Multiplexing (OFDM) and single carrier with frequency domain equalization (SC/FDE) schemes thus known also as DFT-spread OFDM (DFTS-OFDM) [12]. SCFDMA is a promising technique for high data rate uplink communications in future cellular systems. SC-FDMA has similar throughput performance and essentially the same overall complexity as OFDMA. A principal advantage of SC-FDMA is PAPR, which is lower than that of OFDMA. The design of the LTE uplink physical layer poses some unique Challenges and requirements which includes [2], [9]: Orthogonal uplink transmission by different UEs, to minimize intracell interference and maximize capacity. Possibility for low-complexity high-quality equalization in the frequency domain. Flexibility to support a wide range of data rates, and to enable data rate to be adapted to the SINR. Sufficiently low PAPR ,i.e., small variations in the instantaneous power of the transmitted signal, to avoid excessive cost, size and power consumption of the UE Power Amplifier (PA). Ability to exploit the frequency diversity afforded by the wideband channel (up to 20 MHz), even when transmitting at low data rates. Support for frequency-selective scheduling with flexible bandwidth assignment. Support for advanced multiple antenna techniques, to exploit spatial diversity and enhance uplink capacity. SC-FDMA is a transmission scheme that can combine the desired properties discussed, so SC-FDMA has been selected as the uplink transmission scheme for LTE.

14

However OFDM is abandoned in the LTE UL, OFDM has proven to be an efficient underlying technology for wireless communication. The major motivation for OFDM comes from its relatively simple way of handling frequency selective channels which are normally encountered in wireless mobile systems [44]. The immunity to multipath derives from the fact that an OFDMA/OFDM system transmits information on orthogonal frequency carriers, each operating at 1/ times the bit rate of the information signal. A major drawback of OFDM transmission, however, is its high PAPR which increases operational requirements of the Linear Power Amplifier in the transmitting equipment leading not only to an increased cost but also an increased power consumption which is not desired especially at the uplink transmitter, the UE besides that the amplifiers have to operate with a large backoff from their peak power. The result is low power efficiency (measured by the ratio of transmitted power to DC power dissipated), [45]. An OFDM signal consists of a number of independently modulated subcarriers, which can give a large PAPR when added up coherently. When signals are added with the same phase, they produce a peak power that is times the average power [46]. So in principle, an OFDMA scheme similar to the LTE downlink could satisfy all the uplink design criteria listed above, except for low PAPR. Like OFDM, SC-FDMA divides the transmission bandwidth into multiple parallel subcarriers, with the orthogonality between the subcarriers being maintained in frequency selective channels by the use of a Cyclic Prefix (CP) or guard period. The use of a CP prevents ISI between SC-FDMA information blocks. It transforms the linear convolution of the multipath channel into a circular convolution, enabling the receiver to equalize the channel simply by scaling each subcarrier by a complex gain factor [2]. An extra Discrete Fourier Transform (DFT) block prior to the conventional OFDM transmitter (DFT-S-OFDM), proves to be an effective way of combining the benefits of OFDM with a low PAPR transmission signal. However, unlike OFDM, where the data symbols directly modulate each subcarrier independently (such that the amplitude of each subcarrier at a given time instant is set by the constellation points of the digital modulation scheme), in SC-FDMA the signal modulated onto a given subcarrier is a linear combination of all the data symbols transmitted at the same time instant. Thus, in each symbol period, all the transmitted subcarriers of an SC-FDMA signal carry a component of each modulated data symbol. This gives SC-FDMA its crucial single-carrier property, which results in the PAPR being significantly lower than pure multicarrier transmission schemes such as OFDM [2]. On the other hand, with its high signaling rate, the frequency domain equalizer of a SC-FDMA link is far more complicated than an OFDMA equalizer. With SC-FDMA transmission confined to the LTE uplink, complicated equalizers are required only at base stations and not at UEs [47].

2.2.2 SC-FDMA generation

A SC-FDMA signal can, in theory, is generated in either the time domain or the frequency domain. Although the two techniques are duals and functionally equivalent, in practice, the time domain generation is less bandwidth efficient due to time domain

15

filtering and associated requirements for filter ramp-up and ramp-down times. In this section, we are considering only frequency domain generation [2]. Figure 5 illustrates the concept of the frequency domain generation for SC-FDMA signals. It uses a DFT-S-OFDM structure .The input of the transmitter and the output of the receiver are complex modulation symbols () where {0,1,2, . , 1}. Practical systems dynamically adapt the modulation technique to the channel quality, using BPSK in weak channels and up to 64-level quadrature amplitude modulation (64-QAM) in strong channels. The data block consists of M complex modulation symbols generated at a rate symbols/second [47]. The second step of DFT-S-OFDM SC-FDMA signal generation is to perform an -point DFT operation on each block of QAM data symbols to have , {0,1,2, . , 1}. Zeros are then inserted among the outputs of the DFT in order to match the DFT size to an -subcarrier OFDM modulator (typically an Inverse Fast Fourier Transform (IFFT)). The zero-padded DFT output , {0,1,2, . . 1} is mapped to the subcarriers, with the positions of the zeros determining to which subcarriers the DFT-precoded data is mapped. Usually is larger than the maximum number of occupied subcarriers, thus providing for efficient oversampling and sinc (()/ ) pulse-shaping. The equivalence of DFT-S- OFDM and a time-domain-generated SC-FDMA transmission can readily be seen by considering the case of = , where the DFT operation cancels the IFFT of the OFDM modulator resulting in the data symbols being transmitted serially in the time domain. If is smaller than and the remaining inputs to the IDFT are set to zero, the output of the IDFT will be a signal with single-carrier properties, i.e. a signal with low power variations, and with a bandwidth that depends on M .

Figure 5 SC-FDMA frequency domain generation

The difference between the DFT and IFFT size will lead to bandwidth expansion. The required bandwidth in this case will be = . (2.1)

16

where is the subcarrier spacing, and the channel transmission rate would be . (2.2) where is the source rate .Also the spreading factor which represents also the maximum number of orthogonal source signals that can be transmitted within the same on different set of subcarriers will be = = (2.3) The subcarrier mapping block assigns frequency domain modulation symbols to subcarriers. The mapping process is sometimes referred to as scheduling. Because spatially dispersed terminals have independently fading channels, SC-FDMA and OFDMA can benefit from channel dependent scheduling. The IDFT creates a time domain representation, (), of the subcarrier symbols. The parallel-to-serial converter places (0), (1), . . . , ( 1) in a time sequence suitable for modulating a radio frequency carrier and transmission to the receiver. The transmitter in Figure 5 performs two other signal processing operations prior to transmission. It inserts a set of symbols referred to as CP in order to provide a guard time to prevent ISI due to multipath propagation. The transmitter also performs a linear filtering operation referred to as pulse shaping in order to reduce out-of-band signal energy. The cyclic prefix is a copy of the last part of the block. It is inserted at the start of each block for two reasons. First, the CP acts as a guard time between successive blocks. If the length of the CP is longer than the maximum delay spread of the channel, or roughly, the length of the channel impulse response, then, there is no ISI. Second, since the CP is a copy of the last part of the block, it converts a discrete time linear convolution into a discrete time circular convolution. Thus, transmitted data propagating through the channel can be modeled as a circular convolution between the channel impulse response and the transmitted data block, which in the frequency domain is a point-wise multiplication of the DFT frequency samples. Then, to remove the channel distortion, the DFT of the received signal can simply be divided by the DFT of the channel impulse response point-wise.

2.2.3 Subcarrier mapping schemes

Figure 6 basically shows two methods of assigning the frequency domain modulation symbols to subcarriers: distributed subcarrier mapping and localized subcarrier mapping. In the localized subcarrier mapping mode, the modulation symbols are assigned to M adjacent subcarriers. In the distributed mode, the symbols are equally spaced across the entire channel bandwidth as Figure 6.

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Figure 6 Subcarrier mapping schemes

Figure 7 Subcarrier mapping implementation (a) Distributed (b) localized

2.2.3.1 Localized subcarrier mapping (LFDMA) The subcarrier mapping allocates a group of adjacent subcarriers to a user. As shown in Figure 7 Subcarrier mapping implementation , subcarrier mapping implementation in which < results in zero being appended to the output of the DFT spreader resulting in an interpolated version of the original QAM data symbols at the IFFT output of the OFDM modulator. The transmitted signal is thus similar to a narrowband single carrier with a CP. Consecutive subcarriers are occupied by the DFT outputs of the input data in the localized subcarrier mapping mode resulting in a continuous spectrum that occupies a fraction of the total available bandwidth. The time domain samples of localized subcarrier mapping are found in [47] to be

18

1 = . + =
2 1 1 1 . 1

= 0 () 0 (2.4)

=0

where is the remainder of / .Thus the localized subcarrier mapping transmitted signal is a scaled version by a factor 1/ for samples that are placed at integer multiples of . While intermediate samples are a linear combination of all time symbols in the input block. For example for = 4 , = 12, zeros are appended after the DFT outputs with input vector of = 5,10,15,20 then the transmitted signal would be
1.667 0.639 + 3.608 2.306 3.608 3.333 0.64 + 3.608 3.526 3.608

1.86 + 3.608

3.526 3.608

6.667

5.19 + 3.608

1.026 3.608

2.2.3.2 Distributed subcarrier mapping (DFDMA) The subcarrier mapping allocates equally-spaced subcarriers (e.g. every subcarrier). ( 1) zeros are inserted between the DFT outputs as shown in Figure 7, and additional zeros are appended to either side of the DFT output prior to the IFFT ( < ). The zeros inserted between the DFT outputs produce waveform repetition in the time domain. In the distributed subcarrier mapping mode, DFT outputs of the input data are allocated over the entire bandwidth with zeros occupying the unused subcarriers resulting in a non-continuous comb-shaped spectrum. The time domain samples of distributed subcarrier mapping are found in [47] to be 1 = . + = . ( )
1

= 0 0

2 1 1 1 .

() 1
2 +

=0

(2.5) where 1 < is the actual spreading factor (i.e., without the overall appended zeros). Note that the time domain structure of DFDMA resembles the LFDMA with some kind of repetition and in case of = 1 the signal is transformed to localized subcarrier mapping as figure

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The same example in 2.2.3.1 Localized subcarrier mapping (LFDMA)with = 2 will result in time domain DFDMA signal as
1.67 1.67 4.27 - 0.19i 4.27 - 0.19i 3.44 - 1.25i 3.44 - 1.25i 5 5 4.88 - 1.25i 4.88 - 1.25i 5.72 + 2.69i 5.72 + 2.69i

2.2.3.3 Interleaved subcarrier mapping (IFDMA) The interleaved subcarrier mapping is a special case of DFDMA with no appended zeros ,i.e., where the chunk of subcarriers occupy the entire bandwidth with a spacing of ( 1) subcarriers having zero amplitudes. For IFDMA, time symbols are simply a repetition of the original input symbols with a systematic phase rotation applied to each symbol in the time domain. Therefore, their time domain representation is given by [47] 1 = . 2 / (2.6) where is the starting subcarrier index if it isnt starting from zero subcarrier. Hence no need for DFT and IFFT process in this case. 2.2.3.4 Comparison between DFDMA and LFDMA Figure 8 compares the later subcarrier mapping in time domain and frequency domain. These subcarrier mapping schemes differ in PAPR, and frequency diversity. Subcarrier mapping methods are further divided into static and Channel Dependent Scheduling (CDS) methods. CDS assigns subcarriers to users according to the channel frequency response of each user. Localized transmissions are beneficial for supporting frequency-selective scheduling because it provides significant multi-user diversity, for example when the eNodeB has knowledge of the uplink channel conditions, or for intercell interference coordination. Localized transmission may also provide frequency diversity if the set of consecutive subcarriers is hopped in the frequency domain, especially if the time interval between hops is shorter than the duration of a block of channel-coded data, while distributed subcarrier mapping provides frequency diversity because the transmitted signal is spread over the entire bandwidth. With distributed mapping, CDS incrementally improves performance. According to PAPR, the IFDMA signal maintains the input time symbols in each sample whereas LFDMA and DFDMA have more complicated time samples because of the complex-weighted sum of the input symbols. This implies that higher peak power is expected for LFDMA and DFDMA [12]

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Figure 8 Comparison between time domain and frequency domain structures for different subcarrier mapping

2.2.4 SC-FDMA receiver

Just like the transmitter, the two major computations required to get back the transmitted symbols in an SC-FDMA receiver are the DFT and IDFT. In an SC-FDMA receiver, after discarding the cyclic prefix, the DFT block transforms the received time domain signal into the frequency domain. Afterwards, subcarrier demapping is done following the same method (distributed, localized or interleaved) in which subcarrier mapping was done in the transmitter. Next, an equalizer compensates for the distortion caused by the multipath propagation channel. After the equalization process, the IDFT block transforms the signal into the time domain, and finally, a detector recovers the original transmitted symbols. The equalization process in an SC-FDMA receiver is done in the frequency domain. Frequency domain equalization is one of the most important properties of SCFDMA technology. Conventional time domain equalization approaches for broadband multipath channels are not advantageous because of the complexity and required digital signal processing increase with the increase of the length of the channel impulse response. Frequency domain equalization, on the other hand, is more computationally efficient and therefore desirable because the DFT size does not grow linearly with the length of the channel impulse response. Most of the time domain equalization techniques such as MMSE, DFE and TEQ can be implemented in the frequency domain. In frequency domain linear equalization, the equalization is carried out block-wise with block size . The sampled received signal is first transformed into the frequency domain by means of a size- N DFT. The equalization is then carried out as frequencydomain filtering [9]. With using the CP the channel will, from a receiver point of view, appear as a circular convolution over a receiver processing block of size . Thus there is no need for

21

overlap-and-discard processing of successive SC-FDMA symbols in the receiver. Furthermore, the frequency domain filter taps can now be calculated directly from an estimate of the sampled channel frequency response without first determining the timedomain equalizer setting, thus the frequency domain coefficient of the subcarrier of the ZF equalizer will be simply as 1 = ( ) (2.7) where ( ) is the frequency response of the channel affecting subcarrier and the frequency domain coefficient of the subcarrier of the minimum mean square error (MMSE) equalizer will be () = 2 () 2 + (2.8)
2 where is the noise power.

2.2.5 Relation between SC-FDMA and OFDMA

OFDMA and SC-FDMA transmitters and receivers perform many common signal processing functions. The two techniques share the following properties [47] Modulation and transmission of data in blocks consisting of M modulation symbols; Division of the transmission bandwidth into sub-bands with information carried on discrete subcarriers; Frequency domain channel equalization; The use of a cyclic prefix to prevent inter-symbol interference; SC-FDMA has essentially the same overall structure as those of OFDMA system (so SC-FDMA can be regarded as DFT-precoded or DFT-S-OFDMA).

However, there are distinct differences that lead to different performance SC-FDMA has a lower PAPR than OFDMA because OFDMA transmits a multicarrier signal whereas SC-FDMA transmits a single carrier signal. In the time domain, the duration of the modulated symbols is expanded in the case of OFDMA by factor. By contrast, SC-FDMA compresses the modulated symbols in time. The SC-FDMA symbol duration is / seconds as in a Time Division Multiple Access (TDMA) system. OFDMA performs equalization and data detection separately for each subcarrier. By contrast, SC-FDMA performs equalization across the entire channel bandwidth. It then uses the IDFT to transform the signal from one terminal to the time domain prior to detection of the modulated symbols. The IDFT prior to symbol detection is necessary because the transmitted signal consists of a weighted sum of all symbols in a block i.e. in the receiver, OFDM performs data detection on a per-subcarrier basis in the frequency domain whereas SC/FDE performs data detection in the time domain after the additional IDFT operation as Figure 9.

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OFDM is more sensitive to a null in the channel spectrum and carrier frequency offset and it requires channel coding or power/rate control to overcome this vulnerability SC-FDMA effectively spreads each modulated symbol across the entire channel bandwidth; it is less sensitive to frequency-selective fading than OFDMA, which transmits modulated symbols in narrow sub-bands. Channel adaptive subcarrier bit and power loading is possible in case of OFDMA. So by adapting the symbol modulation and power for individual subcarriers, OFDMA is able to come close to the upper bound of the capacity limit for a given channel.

Figure 9 Differences between OFDMA and SC-FDMA detection and equalization processes

2.2.6 Performance limits for linear frequency equalizers

In [45] the error probabilities of DFT Spread OFDM systems are analyzed, and analytical closed form expressions have been derived for the AWGN, fading AWGN, multipath and fading multipath channel scenarios in case of using ZF and MMSE frequency domain equalizers. It was shown that in case of AWGN the Symbol Error Rate (SER) is the same in case of ZF and MMSE and is equal to the ordinary matched filter probability of error and found to be 2 0 (2.9) where is the symbol energy and 0 is the noise spectral denisty And for the flat fading Rayleigh channel, the channel frequency response is still flat but the amplitude no longer remains fixed at 1, rather it varies from one channel realization to other, the symbol error probabilities for MMSE and ZF are equivalent and found to be

= =

23

 = =

2 0

(2.10) where is the expectation operator over and is the channel gain In case of frequency selective channel with deterministic channel gains the performance of ZF and MMSE will differ. It is worth appreciating here that variance of noise is independent of the index of symbol, and as such unlike the case of conventional OFDM, all the symbols are equally likely to be in error. Because of the presence of DFT spreading, the different subchannel SNRs in the frequency domain are averaged to a constant SNR in the data-symbol domain. The error probability will be in case of ZF as 2 0 (2.11) and is the noise enhancement factor of the ZF equalizer and equal to 1 =
1

=0

(2.12) where is channel gain over the subcarrier and for the MMSE equalizer, the noise enhancement factor is shown to be much smaller than the ZF equalizer in case of poor channel conditions. And the symbol error probability is shown to be 1 1/ 1 (2.13) Where =
1 2 1 =0 2 + 2 / 2 2 with 2 is the signal power and is the noise power.

2.3 Literature review for 3GPP LTE uplink 2.3.1 Introduction

SC-FDMA has been adopted by the 3GPP [47] for uplink transmission in technology standardized for LTE of cellular systems.

24

LTE offers a smooth evolutionary path to better data speeds and spectral efficiency. The first version of LTE is documented in Release 8 of the 3GPP specifications. In the earlier 3GPP releases, the specifications related to this effort were known as E-UTRA (Evolved UMTS Terrestrial Radio Access) and E-UTRAN (Evolved UMTS Terrestrial Radio Access Network), but now these are more commonly referred to by the project name LTE. In addition to LTE, 3GPP is also defining an IP-based, packet-only network architecture known as Evolved Packet core (EPC). This new architecture is defined as part of the System Architecture Evolution (SAE) effort and has been developed to provide a considerably higher level of performance that is in line with the requirements of LTE. The targets for LTE downlink and uplink peak data-rate requirements are 100 Mb/s and 50 Mb/s, respectively, when operating in 20 MHz spectrum allocation. For narrower spectrum allocations, the peak data rates are scaled accordingly. Thus, the requirements can be expressed as 5 bit/s/Hz for the downlink and 2.5 bit/s/Hz for the uplink. As will be discussed below, LTE supports both FDD and TDD operations (we will focus for the FDD structure only). An uplink physical channel corresponds to a set of resource elements carrying information originating from higher layers. The following uplink physical channels are defined: Physical Uplink Shared Channel (PUSCH) (we will focus on this channel only within thesis) ; Physical Uplink Control Channel (PUCCH); Physical Random Access Channel (PRACH).

The data processing of the uplink and downlink are nearly identical except for the usage of the SC-FDMA instead of OFDMA in sake of lowering the PAPR , the structure of the reference signals and absence of MIMO schemes (spatial multiplexing and transmit diversity schemes) till release 9. In this section we will give a brief description of PUSCH taking in consideration the physical resource block and the whole FDD frame structure, then we will proceed with the SC-FDMA design parameters of LTE UL showing the reference signal structure and finally an overview for the data processing of the PUSCH.

2.3.2 Physical resource blocks

LTE specifies signal transmissions in six possible channel bandwidths ranging from 1.4 to 20 MHz. Each channel is divided into frequency bands of 15 kHz, each specified by a subcarrier frequency. For example, there are 72 subcarriers available in a 1.4 MHz channel and 1200 subcarriers available in a 20 MHz channel. All the LTE signals derive their timing from a clock operating at = 30.72 = 15 2048, where the 15 KHz is the LTE frequency separation. This is the timing required for the 2048 point DFT specified for 20 MHz channels. Therefore, the basic time interval in an LTE physical channel is one clock period of duration: = 1/(30.72 106 ) 32.255 (2.14)

25

LTE assigns transmission resources to physical channels in time-frequency referred to as RBs. A RB has duration of 0.5 msec (one slot) and a bandwidth of 180 kHz (12 subcarriers). A physical channel occupies a frequency band containing one or more contiguous RBs. The bandwidth of a physical channel is a multiple of 180 kHz and the LTE physical layer performs LFDMA scheduling. Figure 10 [47], [10] illustrates the uplink RB structure; all the RBs in the available system bandwidth constitute a resource grid. The number of blocks in the resource grid ranges from 6, for 1.4 MHz channels, to 100, for 20 MHz channels.

Figure 10 Resource block in LTE

The SC-FDMA transmission considered in the LTE UL works as Figure 11. DFT size being applied to a block of modulation symbols. The output of the DFT is then mapped to selective inputs of an OFDM modulator, typically implemented as an IFFT. The DFT size determines the instantaneous bandwidth of the transmitted signal whereas the exact mapping of the DFT output to the input of the OFDM modulator determines the position of the transmitted signal within the overall uplink cell bandwidth. A CP is then inserted for each DFT block. The use of a CP allows for straightforward application of low-complexity frequency domain equalization at the receiver side. The transmitted signal corresponding to one DFT block, including the CP, can be referred to as one DFT-SOFDM symbol. The remaining subcarriers in the IDFT have zero magnitude and constitute a guard band in the frequency domain to prevent out-of-band radiation [9].

26

Figure 11 Basic principles of DFTS-OFDM for LTE uplink transmission

From a DFT-implementation point-of-view, the DFT size should preferably be constrained to a power of two. However, such a constraint is in direct conflict with a desire to have a high degree of flexibility for the instantaneous transmission bandwidth that can be dynamically assigned to a mobile terminal for uplink transmission. From a flexibility point of- view, all possible DFT sizes should rather be allowed. For LTE, a middle way has been adopted where the DFT size is limited to products of the integers two, three, and five. For example, DFT size of 84 is not allowed. In this way, the DFT can be implemented as a combination of relatively low-complex radix-2, radix-3, and radix-5 FFT processing [9]. As described in 2.2.3 Subcarrier mapping schemes, in the general case both localized and distributed DFTS-OFDM transmissions are possible. However, LTE uplink transmission is limited to localized transmission that is the output of the DFT is always mapped to consecutive inputs of the OFDM modulator. This decision was motivated by the fact that with localized mapping, it is possible to exploit frequency selective gain via channel dependent scheduling. This simplifies the transmission scheme, and enables the same RB structure to be used as in the downlink. Frequency-diversity can still be exploited by means of frequency hopping, which can occur both within one subframe (at the boundary between the two slots) and between subframes. In the case of frequency hopping within a subframe, the channel coding spans the two transmission frequencies, and therefore the frequency diversity gain is maximized through the channel decoding process Also, similar to the downlink, two CP lengths are defined for the uplink; the normal CP and an extended CP. LTE uses slots with six symbols in large cells subject to severe ISI due to a long mulitpath delay spread. These cells require a extended long CP. LTE uses slots with seven symbols in smaller cells requiring a normal CP. The duration of an extended CP is 512 clock periods, 512 = 16.67 . In slots with seven symbols, the duration of a normal cyclic prefix is 160 clock periods, 160 = 5.21 , for the first symbol and 144 clock periods, 144 = 4.69 , for the other six symbols.

2.3.3 FDD frame structure

Downlink and uplink transmissions are organized into radio frames of 10 ms duration. = 307200 = 10 . (2.15)

27

Each 10 ms frame is divided into 10 equally sized subframes. LTE supports two types of frame structures; Type 1 is for FDD transmissions and Type 2 is applicable for TDD transmissions [10]. Frame structure Type 1 is shown in Figure 12. Each subframe consists of 2 equally sized slots, where each slot has duration of 0.5ms. 20 slots, numbered from 0 to 19, constitute 1 radio frame. The 1 ms duration of a subframe is an LTE Transmission Time Interval (TTI) i.e. allows a 1 ms scheduling interval. For FDD, 10 subframes are available for downlink transmission and 10 subframes are available for uplink transmission in each radio frame. Uplink and downlink are separated in the frequency domain.

Figure 12 LTE FDD (type 1) frame structure

2.3.4 SC-FDMA signal parameters for LTE UL

Section 2.3.4 summarizes the main parameters of the SC-FDMA signal transmitted in the LTE uplink [2], [47]. Table 2 LTE uplink transmission parameters clarifies the PUSCH FDD frame structure taking in consideration the durations of the frame, slot, subframe and SC-FDMA symbol. Moreover the table shows that the subcarrier spacing is 15KHz as the downlink mode. Two cases of cyclic prefixes are found in the standard and it is clear that the number of SC-FDMA symbols is dependent on the cyclic prefix length selected (according to channel maximum delay spread) which are 7 symbols in case of normal cyclic prefix and 6 in case of extended cyclic prefix. The table also shows that the number of subcarriers/RB is 12 as downlink structure and the number of assigned subcarriers for each user is multiples of 12 and multiples of 2, 3, 5 to facilitate the DFT design. Table 3 shows the spectrum flexibility capabilities of the LTE UL at which 6 bandwidths are found in the standard. Each bandwidth differs in total number of resource blocks which scales with the bandwidth selected. The total number of occupied subcarriers as
=

(2.16)

The IFFT size is chosen usually to be the nearest power of 2 to the total occupied subcarriers except for the 15MHz bandwidth. To fix the value of the frequency separation the sampling rate of the IFFT stage must be increased as that the sampling rates resulting to be small rational multiples of the UMTS 3.84 MHz chip rate, for ease of implementation in a multimode UE as

28

 = .

(2.17)

LTE refers to the complex numbers produced by the IFFT and the complex numbers in the cyclic prefix as samples. The size of the IFFT ranges as following
. = . ( + )

(2.18)

Parameter Subframe duration Slot duration CP SC-FDMA symbol duration

Description and values Duration of basic LTE clock period 1/(30.72 106 ) seconds Duration of one radio frame =10ms 1ms 0.5ms Frequency separation (spacing) =15 KHz Number of SC-FDMA symbols per resource block (7 for normal cyclic prefix and 6 for extended cyclic prefix) Number of subcarriers per resource block =12 subcarriers Number of resource blocks in the uplink ranges from 6 to 100 resource blocks Number of subcarriers allocated to mobile terminal = 2 2 *3 3 5 5 where 2 , 3 , 5 are nonnegative integers Total number of subcarriers including the guard band area. Also, represents the IFFT size of the transmitter Normal: 5.2 for first symbol (166 modulation symbols) and 4.69 (144 modulation symbols) for all other symbols Extended:16.67 for all symbols (512 modulation symbols) 66.67
Table 2 LTE uplink transmission parameters

Characteristic Channel Bandwidth (MHz) Number of resource blocks Number of occupied subcarriers IFFT size () Sampling rate (MHz) Samples per slot

Value 1.4 6 72 128 1.92 960

3 15 180 256 3.84 1920

5 25 300 512 7.68 3840

10 50 600 1024 15.36 7680

15 75 900 1536 23.04 11520

20 100 1200 2048 30.72 15360

Table 3 Spectrum flexibility parameters in LTE UL

In contrast to the downlink, no unused DC-subcarrier is defined for the LTE uplink [2], [9]. The presence of a DC-carrier in the center of the spectrum would have prevented the assignment of the entire cell bandwidth to a single UE while still retaining the assumption of mapping to consecutive inputs of the OFDM modulator, something which is required to keep the low-PAPR property of the uplink transmission. Also, due to the DFT-

29

based pre-coding, the impact of any DC interference will be spread over the block of modulation symbols and will therefore be less harmful compared to normal OFDM transmission. In order to minimize DC distortion effects on the packet error rate and the PAPR ,the subcarriers are frequency-shifted by half a subcarrier spacing (7.5 kHz), resulting in an offset of 7.5 kHz for subcarriers relative to DC, thus, two subcarriers straddle the DC location.

2.3.6 Uplink reference signals

As in the downlink [2], the LTE uplink incorporates RSs for data demodulation and channel sounding. Two types of RS are supported on the uplink: Demodulation RS (DRS), associated with transmissions of uplink data on the PUSCH and/or control signaling on the PUCCH. These RSs are primarily used for channel estimation for coherent demodulation. The DRSs of a given UE occupy the same bandwidth (i.e. the same RBs) as its PUSCH/PUCCH data transmission (we will concentrate on this reference signal). Sounding RS (SRS), not associated with uplink data and/or control transmissions, and primarily used for channel quality determination to enable frequency-selective scheduling on the uplink. SRS can occupy a bandwidth different from that used for data transmission. UEs transmitting SRS in the same subframe can be multiplexed via either Frequency or Code Division Multiplexing (FDM or CDM respectively), Desirable characteristics for the uplink RSs include constant amplitude in the frequency domain for equal excitation of all the allocated subcarriers for unbiased channel estimates, low PAPR in the time domain, good autocorrelation properties for accurate channel estimation and good cross-correlation properties between different RSs to reduce interference from RSs transmitted on the same resources in other cells sufficiently many reference signal sequences of the same length, that is corresponding to the same transmission bandwidth, should be available to avoid an unreasonable planning effort. The uplink reference signals in LTE are mostly based on ZadoffChu (ZC) sequences that satisfy the most of the later requirements as described in the next section 2.3.6.1 ZC sequences ZC sequences (also known as Generalized Chirp-Like (GCL) sequences) .They are non-binary unit-amplitude sequences [2], which satisfy a Constant Amplitude Zero Autocorrelation (CAZAC) property. The ZC sequence of odd-length is given in LTE standard as = ( +1)/ (2.19)

where = 1, . . . , 1 is the ZC sequence index (also known as the root index), n = 0, 1, . . . , 1, ZC sequences have the following important properties:

30

A ZC sequence has constant amplitude, and its -point DFT also has constant amplitude. The constant amplitude property limits PAPR and generates bounded and time-flat interference to other users. It also simplifies the implementation as only phases need to be computed and stored, not amplitudes. ZC sequences of any length have ideal cyclic autocorrelation (i.e. the correlation with the circularly shifted version of itself is a delta function) which allows multiple orthogonal sequences to be generated from the same ZC sequence. The absolute value of the cyclic cross-correlation function between any two ZC sequences is constant and equal to 1/ , if |1 2 | (where 1 and 2 are the sequence indices) is relatively prime with respect to .

2.3.6.2 Basic principles of DRS transmission When transmitting the DRS, the length- RS sequence is directly applied (without DFT spreading) to = reference signal subcarriers at the input of the IFFT [2], [9] as shown in Figure 13

Figure 13 DRS generation in LTE UL In LTE the DRS is chosen to be transmitted in the middle of each slot (i.e. the fourth SC-FDMA symbol) and covers the whole subcarriers assigned to the UE as

Figure 14 Transmission of uplink reference signals within a slot in case of PUSCH transmission. In LTE, is selected to be the largest prime number = (same bandwidth of the data) . The ZC sequence of length is then cyclically extended to the target length as follows () = ( ), = 0, 1, . . . , 1 (2.20)

The cyclic extension in the frequency domain preserves the constant amplitude properties (in the frequency domain) and also the zero autocorrelation cyclic shift orthogonality. Cyclic extension of the ZC sequences is used rather than truncation, as in general it provides better PAPR characteristics.

31

Figure 14 Transmission of uplink reference signals within a slot in case of PUSCH transmission (normal CP).

However, for the shortest sequence lengths, suitable for resource allocations of just one or two RBs, only a small number of low-CM extended ZC sequences is available, so for sequence lengths equal to 12 and 24, corresponding to transmission bandwidths of one and two RBs, respectively, special QPSK-based sequences have instead been found from computer search and are explicitly listed in the LTE specifications. For each of the two sequence lengths, 30 sequences are then available. 2.3.6.3Phase-rotated reference-signal sequences In the previous section, it was described how different reference-signal sequences (a minimum of 30 sequences for each sequence length) can be derived, primarily by cyclically extending different prime-length ZC sequences [2], [9]. Additional RS sequences can be derived by applying different linear phase rotation to the same basic RS sequence as illustrated in Figure 15. Applying a linear phase rotation in the frequency domain is equivalent to applying a cyclic shift in the time domain. Thus, although being defined as different frequency domain phase rotations, in the LTE specification this is often referred to as applying different cyclic shifts (or frequencydomain phase rotation) to the same basic reference-signal sequence as , = . () (2.21)

RSs defined from different RS sequences typically have relatively low but still nonzero mutual correlation. In contrast, reference signals defined from different phase rotations of the same basic RS sequence can be made completely orthogonal in case of frequency non-selective over the span of 12 subcarriers (one resource block), thus causing no interference to each other, assuming the parameter in Figure 15 takes a value /6 where ranges from 0 to 11. Up to 12 orthogonal RSs can thus be defined from each basic RS sequence. Another prerequisite for orthogonality between RSs defined from different phase rotations of the same basic RS sequence is that the RSs should be received relatively time aligned. A timing misalignment between the RSs will, in the frequency domain, appear as a phase rotation that may counteract the phase rotation applied to separate the RS sequences. The result may be substantial interference between the RS transmissions.

32

Figure 15 Generation of uplink RS sequence from linear phase rotation of a basic RS sequence.

This can be used as UEs can be assigned to transmit on the same set of subcarriers, for example in the case of uplink multi-user (collaborative MIMO). Using different base sequences for different UEs transmitting in the same RBs is not ideal due to the non-zero cross-correlation between the base sequences which can degrade the channel estimation at the eNodeB. It is preferable that the RS signals from the different UEs are fully orthogonal

2.3.7 Uplink physical data processing (PUSCH processing)

The LTE uplink transport-channel processing, more specifically the processing for the PUSCH, can be outlined according to Figure 16 . Most steps of the uplink transportchannel processing are similar to the corresponding steps of the downlink transportchannel. However, as there is no spatial multiplexing or transmit diversity currently defined for the LTE uplink, there is no explicit multi-antenna-mapping function as part of the uplink transport-channel processing. As a consequence, there is also only a single transport block, of dynamic size, transmitted for each TTI. In more details, the uplink transport-channel processing consists of the following steps: CRC insertion per transport block: A 24-bit CRC is calculated for and appended to each uplink transport block in the same way as for downlink transport channels. Code-block segmentation and per-code-block CRC insertion: In the same way as for the downlink, code-block segmentation is applied for transport blocks larger than 6144 bits. The code-block segmentation also includes percode-block CRC(in case of more than one code block) and possible insertion of filler bits similar to the downlink. Turbo coding: The same rate 1/3 Turbo code with Quadratic permutation polynomial (QPP-based) internal interleaver as is used for the downlink is also used for the uplink. Rate-matching and physical-layer hybrid-ARQ functionality: The uplink physical-layer aspects of the LTE uplink hybrid ARQ are basically the same as the corresponding downlink functionalities, which are sub-block interleaving and

33

bit collection into a circular buffer, followed by bit selection. It should be noted that, in some aspects, there are some clear differences between the downlink and uplink hybridAutomatic repeat request (ARQ) protocols, such as asynchronous versus synchronous operation. However, these differences are not really visible in the physical-layer aspects of the hybrid-ARQ functionality. Bit-level scrambling: Similar to the downlink, bit-level scrambling is also applied to the code bits on the LTE uplink. The aim of uplink scrambling is the same as for the downlink that is to randomize the interference and thus ensure that the processing gain provided by the channel code can be fully utilized. To achieve this, the uplink scrambling is UE specific, which is, different UEs use different scrambling sequences. Data modulation: Similar to downlink DL-SCH transmission, QPSK, 16QAM, and 64QAM modulation can be used for UL-SCH transmission. The block of modulation symbols is then applied to the DFTS-OFDM processing as outlined in previous sections. The exact frequency-domain mapping is controlled by the scheduler.

Figure 16 PUSCH physical layer processing

34

CHAPTER THREE COLLABORATIVE MIMO SYSTEM MODEL AND EXISTENT DETECTION SCHEMES
3.1 Introduction
In this chapter, we start with introducing the collaborative MIMO concept. Then we proceed to construct the basic system model that will be used all over the context of thesis. Simulation model is studied in both Single input single output case and collaborative MIMO case for general number of transmitting and receiving antennas identifying the basic components of the uplink transmitters, and then we continue with describing the used channel model including different channel effects such that shadowing phenomenon, flat and frequency selective fading channels in case of slow and fast fading channels and summary of the used simulation conditions. The Chapter is also turning light on the different equalizers for Single input single output case considering perfect and imperfect channel estimation. Then, we will proceed with describing the existent detection schemes for collaborative MIMO case identifying the pros and cons for each detector. The chapter will end with illustrative simulation results showing the main characteristics of each equalizer in different simulation scenarios.

3.2 Collaborative MIMO concept

As we have mentioned in section 1.3, MIMO schemes have attracted attention due to its advantages that promote it as a key technology for the upcoming 4G mobiles. These advantages include array gain, spatial diversity gain, spatial multiplexing gain, interference reduction, and increase the capacity of wireless channels since a number of independent radio channels are generated by placing multiple antennas in the transmitter and the receiver. MIMO technology has become a key component for several broadband wireless communication standards, including the 3GPP, LTE and the IEEE 802.16e (also referred to as mobile worldwide interoperability for microwave access or mobile WiMAX), IEEE802.11n (new WLAN standard). On the other hand, MIMO systems require complex transceiver circuitry and signal processing. Moreover, physical implementation of multiple antennas on a small node specially the uplink node of the LTE (UE) may not be realistic [48].So single-antenna radio and limited battery power, high network performance and low energy consumption have been very challenging issues in the design of LTE UL UEs. Those are the motives for using the concept of the collaborative MIMO spatial schemes (also known in LTE context as virtual MIMO) which are one of the MU-MIMO technologies (also introduced as SDMA) We will consider the Collaborative Spatial Multiplexing scheme (CSM) which is distributed single-antenna radio systems cooperate on information transmission and reception as a multiple-antenna MIMO radio system. CSM works as the following two or more users having UEs equipped with single antenna, each one of them transmits independent data stream from the others. Those users are collaboratively transmitting to same RBs, i.e. same frequency/time grid resource. The above transmission technique

35

creates V-MIMO link in a sense of imagining that the collaborative users are just antennas for virtual large mobile station and at each antenna there is a different stream which is the conventional spatial multiplexing idea. Now, the eNodeB is receiving combined data from all collaborative users, eNodeB will then separate the data of each user using multiuser equalization techniques [49], i.e. The buzzword V-MIMO denotes a certain class of spatiotemporal processing techniques in which the classical MIMO transmission schemes are further developed using some kind of coherent cooperation between distributed radio nodes [33]. Collaborative MIMO spatial multiplexing offers the following advantages over the ordinary MIMO schemes:

Increases the whole throughput of the uplink because the single RB is now reused
among different users which in turns provide extremely high spectral efficiencies. Achieves virtual MIMO without increasing the complexity of the UEs. Achieves a diversity gain from receiving different and independent replicas of the user data that when the multiuser interference is perfectly cancelled. Offers considerable energy savings even after taking into account the additional circuit power, communications, and training overheads. Moving the complexity of implementing multiple antennas to the eNodeB.

For practical collaborative MIMO schemes, three issues are required, orthogonal pilots for the collaborating users, perfect synchronization and collaborating users selection (namely as user pairing). Different from the SIMO mode based on 1-stream pilot pattern, each UE involved in the CSM applies one of the two 2-stream orthogonal pilot patterns. That is, two users transmit the data symbols over the same time-frequency resource but their pilot tones are non-overlapped. In doing so, the BS can differentiate the channel responses from each UE. This pilot structure is activated in LTE UL using phase-rotated reference-signal sequences described in 2.3.6.3Phase-rotated reference-signal sequences[50]. The remote synchronization needed for virtual MIMO is rarely considered in the literature. It is shown that timing errors may have similar effects as ISI. The impact of Carrier Frequency Offsets (CFO) is studied in [51] User pairing forms a challenging issue in choosing the best collaborating users Traditional V-MlMO pairing methods consider the orthogonality of the channel matrix. The users whose channel matrix is more orthogonal are preferred to be chosen for a pair. Anyway, not only the orthogonality, but also the SNR of each user should be considered when pairing. This is because that the SNR of each user may affect the V-MlMO channel capacity. Also the allocation of users should be done in a way that they will cause minimal disruption to each other. All scheduling schemes need to consider fairness issues, which typically enforces a tradeoff between network optimality and user optimality [35], [52]. The proposals for multiuser equalization techniques are ZF, MMSE,SIC and ML. Frequency domain ZF receiver which is a simple linear multiuser equalizer that suffers from noise enhancement, This problem can be reduced using frequency domain MMSE receiver which is linear equalizer that counts for the additive noise and SIC receiver which is a DFE which serially demodulates one user and cancels its effect from the received signal and so on until the last user [35],[36]. The optimal equalizer is the use of the ML

36

equalizer which performs an exhaustive search in the time domain to find the symbols combination that results in the minimum detection error.

3.3 Transmitter description

The collaborative spatial multiplexing system is assumed to have users each has a UE equipped with single antenna as shown in Figure 17. The data of user is independently processed as the following

Figure 17 LTE user equipments transmitters

First, data of the user is encoded to have the encoded data . The encoded data is then symbol mapped (baseband modulated) to have the modulation symbols .The modulated symbols are then transformed to the frequency representation by the means of the unitary DFT of size to have . = 1

=1

exp

2 1 1 (3.1)

where : is the subcarrier index and :is the symbol index , 1,2, , . The output of the DFT is then mapped using the subcarrier mapping [12]. The subcarrier mapping has two versions: Distributed and the localized, the latter is adopted in the Release 8.With the localized subcarrier mapping which is described in section 2.2.3.1 the user's symbols are mapped into consecutive subcarriers in the center of the overall allocated band, this is achieved in the presence of frequency selective fading channel the multiuser diversity.Frequency selective diversity can also be achieved if assigning each user to subcarriers with favorable transmission characteristics. So localized subcarrier mapping is applied to have . In this work, we assume full RB usage so consists of appended with zero guard subcarriers from both sides. () = 0

37

(3.2) where: is the element mapping set of the user FFT size.
+2 2

,,

+ 2

and is the

The output of the subcarrier mapping stage is fed to conventional OFDM transmitter which consists of Inverse Fourier transform stage (IFFT) with size ( > ). 1 =

exp
=1

2 1 1 (3.3)

where , 1,2, , . Finally, the CP insertion with CP length larger than of the maximum delay spread of the multipath channel, This will mitigate the ISI occurred due the channel and enable simple FDE.The above steps will result in DFT-spread-OFDM signal (SC-FDMA signal) that are described thoroughly in section 2.2. The CP lengths in the LTE are the normal CP and extended CP defined in section 2.3.4 SC-FDMA signal parameters for LTE UL according to the frequency selectivity of the multipath channel. The frame structure used is the FDD (Type 1) described in section 2.3.3 FDD frame structure in which 20 slots having 6 or 7 SC-FDMA symbols depending on the CP type. The Demodulation reference signals are inserted in the fourth SC-FDMA symbol as described in section 2.3.6 Uplink reference signals, the complex Zadoff-Chu (ZC) sequences described in section 2.3.6.1 ZC sequences.

3.3.1Channel coding
In the context of the thesis, the data bits are encoded by one of the following coding schemes Rate 1/2 convolutional coding [53] with different constraint lengths and hence different connection diagrams. A list of the optimal connection schemes is summarized in Table 4. Punctured convolutional coding to support different coding rates. A list of the coding rates and the puncturing pattern is summarized in Table 5 [54] . Rate 1/3 compliant turbo code with Parallel Concatenated Convolutional Code (PCCC) with two 8-state constituent encoders and QPP internal interleaver. The encoder in this case will have the parameters shown in Table 5.1.3-3 1 [10]and the transfer function of the 8-state constituent code will be given by as Figure 18 LTE Turbo encoder structure [31]. G D = 1,
1

g1 D g0 D

where g 0 D = 1 + D2 + D3 , g1 D = 1 + D + D3

(3.4)

3GPP TS 36.212 V8.5.0 (2008-12)

38

Figure 18 LTE Turbo encoder structure

Constraint length 3 4 5 6 7 8 9

Optimal connection (octal) [7 5] [17 13] [27 31] [57 65] [117 345] [237 345] [657 435]

Table 4 Optimal connections for rate 1/2 convolutional encoder

Code rate dfree Parity 1 (X) Parity 2 (Y) Output

1/2 10 11 11 X1Y1

2/3 6 10 11 X1Y1Y2

3/4 5 101 110 X1Y1Y2X3

5/6 4 10101 11010 X1Y1 Y2X3 Y4X5

Table 5 Puncturing patterns for rate convolutional encoders

3.3.2 Symbol mapping process

In our model, we are considering the three symbol mapping schemes defined in the standard which are QPSK, 16QAM and 64QAM with Gray coding as symbol ordering scheme to decrease the probability of bit error probability when receiving an erroneous symbol besides the BPSK [53] , [10]. The constellation diagrams of the lowpass equivalent (I/Q patterns) showing the Gray coding scheme is described in Figure 19 Symbol mapping

39

schemes for LTE UL (gray coded). Transmitted symbols are normalized for fair comparison with normalization factors in Table 6.
Modulation scheme BPSK QPSK 16QAM 64QAM Normalization factor 1 1/ 2 1/ 10 1/ 42

Table 6 Normalization factors for the LTE modulation schemes

Figure 19 Symbol mapping schemes for LTE UL (gray coded)

3.3.3 Summary of the simulation parameters in our model

For link level simulations of the proposed detection schemes, Type 1 structure FDD mode of the LTE specifications is assumed. The collaborative users are assumed to be matched, i.e., have the same transmission parameters, also they are assumed to fully utilize the full uplink bandwidth, i.e., all the subcarriers Table 7 shows the simulation parameters of most of simulation cases, other simulation parameters are mentioned explicitly.

Simulation parameters

Channel coding

Values Convolutional coding rate None with different constraint lengths (3,4,5,6,7,8,9) Punctured rate convolutional codes

Default

40

Modulation schemes Frame duration FFT size () Number of resource blocks Transmission bandwidth SC-FDMA symbols Cyclic prefix choice Subcarrier separation Carrier frequency Sampling frequency Collaborative system configuration Delay spread Delay- power profile Users speed Channel estimation

LTE compliant turbo code of rate 1/3 with 8-state constituent encoder BPSK ,QPSK , 16QAM and 64QAM 10ms 128,256 , 512, 1024 ,1536 and 2048 Full utilization of RBs 6, 15 , 25 , 50 , 75, 100 1.4 MHz, 3 MHz , 5MHz ,10MHz , 15 MHz and 20MHz. 6 and 7 Extended and normal 15KHz variable = . Variable x variable Uniform- Exponential variable Perfect Least square estimation MMSE estimation

QPSK 10ms 256 subcarriers 15 3 MHz 6 extended 15KHz 2GHz 3.84MHz 2x2 V-MIMO 5s Uniform 0 km/hr Perfect

Table 7 Common simulation parameters

3.4 Channel modeling

In our model, various channel effects are studied in the context of the thesis. In addition to AWGN, we have modeled all multipath phenomenon such as flat and frequency selective channels in case of slow and fast fading conditions. In some cases, large scale fading (shadowing) is considered.

3.4.1 Large scale fading (Shadowing) model

A signal will typically experience random variation due to blockage from objects in the signal path, giving rise to a random variation about the path loss at a given distance. In addition, changes in reflecting surfaces and scattering objects can also cause random variation about the path loss. Since the location, size, and dielectric properties of the blocking objects as well as the changes in reflecting surfaces and scattering objects that cause the random attenuation are generally unknown, statistical models are widely used to characterize this attenuation. The most common model for this additional attenuation is log-normal shadowing. This model has been confirmed empirically to accurately model the

41

variation in path loss or received power in both outdoor and indoor radio propagation environments [55]. The log-normal shadowing PDF is given by = 1 2 exp ( )2 2 2 (3.5) where is the overall attenuation (shadowing superimposed over the path loss model), is the mean attenuation in dB scale and in our case we assume = 0 and 2 is the variance of the shadowing phenomenon.

3.4.2 Flat and frequency selective fading channel modeling

Due to the existence of scatterers and obstacles in the communication channel, the sent signal takes many paths to go from the transmitter to the receiver as it hits the scatterers and the obstacles. From here emerge the word multipath transmission. Due to this, the receiver receives many versions of the same sent signal that come from different paths, these paths are different in length, so these copies come to the receiver in slightly different times -come from different directions with different propagation delays- with different phases. When the receiver combines those copies together which are different in phases, the combined waves may be in phase so we have a peak and may also be out of phase so we have a null, this change in the level of the combined signal happens over short time so we call it small scale fading. Several modeling techniques are discussed in [55]. In our model we model the multipath channel as Rayleigh fading channel with taps. This is modeled as baseband equivalent sample spaced channel impulse response (, ) where time instant, is the path number of taps. Each path is assumed to be Wide Sense Stationary Uncorrelated Scattering (WSSUS) as , =

1 2

() =
=0

, ( ) (3.6)

where , are the baseband equivalent inphase and quadrature components of the fading channel, () is the overall impulse response of the frequency selective channel and is a normalization factor is chosen such that =
/ =0 /

42

(3.7) The maximum delay spread is calculated in our model such that = . . + 1 (3.8)

In case of flat fading channel, the number of taps is small ( 1) and the selectivity of the fading channel increases with increasing the number of taps which in turns increases the frequency diversity of the fading channel and requires more complex equalization schemes.

3.4.3 Slow and fast fading channel modeling

Due to the mobility of users, a Doppler shift would occur [55]. Doppler shift is a slight change in the signal frequency due to the speed of the receiver and the fading channel impulse response is no longer time invariant. The time selectivity experienced when user is moving by velocity is modeled by Jakes [56]. Jakes proposed a model for Rayleigh fading based on summing sinusoids. Let the scatterers be uniformly distributed around a circle which are densely packed with respect to angle. Then, the modified Jakes model [57] channel gains can be given by
[cos + ] cos( + , ) =1

(3.9)
where = 16 ( ) , code , , is a is Walch code chip uniform random angle over [0,2] and = , and the doppler angular frequency is

given by = 2 = 2 0.5 cos 2 (3.10) Jakes model produces a correlated fading samples which have the autocorrelation function of , , and power spectral denisty of
2 2 1 = 1 (/ )2 2 = 0 2

(3.11)

< (3.12)

43

where = is the maximum doppler spread , = 1/ is the sampling time of the LTE 2 system from Table 3 , denotes the power of channel coefficients and is the normalized Doppler frequency, 0 . is the zeroth order Bessel function of first kind.

3.4.4 Fading channel for collaborative MIMO channel (Spatial model)

Now, each user's data has been completely processed and transmitted through multipath Rayleigh channel. This is modeled as baseband equivalent sample spaced channel impulse response (, ) ,where time instant , is the path number of taps and is the receiving antenna index with uniform power delay profile. Each path is assumed to be WSSUS as section 3.4.2, filtered by Doppler power spectral density modeled in Jakes as section 3.4.3 Slow and fast fading channel modeling and the sum of powers of the taps is normalized to 1 as
2 =1 ( , )

(3.13) So, the result of multipath filtering of the user to receiving antenna channel can be modeled as

=
=0

, ( ) (3.14)

At eNodeB which is equipped by antennas the collaborative users' signals are received and added together with contamination of AWGN which is modeled by IID complex Gaussian noise samples () with zero mean and total variance of
2 = { 2

} = 1/ .

(3.15)

where : is the symbol to noise ratio ( / ). Then, the received signal at the antenna can be written as

() =
=1

+ () (3.16)

The eNodeB starts with taking the FFT of each received stream, this will transform the input streams into frequency domain again and prepare them for the FDE. The received signal in the frequency domain at subcarrier can be written as = + ( ) (3.17)

44

where : is the subcarrier index , bold face letters denote vectors and matrices and is the channel matrix upon the subcarrier
11 = 1 1

(3.18)
where is the channel frequency gain from user to antenna .It should be noted that in the SC-FDMA transmission and in contrast with the OFDM transmission, the subcarrier doesn't carry the one symbol directly but a combination of all transmitted symbols according to the DFT precoding.

3.5 Single user single output (SISO) receiver

In case of single user receiver ( = 1 , = 1), the eNodeB has to equalize the received sequence only in order to detect the user bits. Two frequency domain equalization techniques are studied which are ZF equalizer and MMSE equalizer, as shown in Figure 20.

Figure 20 Single user receiver block diagram

3.5.1 Single user zero forcing equalizer (SISO ZF equalizer)

In this receiver, the distortion introduced to the received signal is compensated by a simple frequency domain channel inversion. The CP added to the transmitted signal is responsible for converting the linear convolution of the channel into circular convolution which in turns is transformed to multiplication via FFT process prior to equalization. The frequency response of the ZF equalization filter is given by = 1 (3.19) Then, the equalized subcarriers are given by = . The output of the equalization process is subcarrier demapped i.e. the used portion of the total bandwidth is extracted; the output of this stage represents the equalized subcarriers that carry a linear combination of the transmitted symbols to have. These subcarriers are converted again to the time domain by means of IDFT process as

45

=
=1

exp

2 1 1 (3.20)

The output of the last stage is demodulated and decoded to detect the received bits. The ZF equalizer suffers from noise enhancement of the low quality subcarriers. This noise enhancement is spread along all the received symbols which in turns increase the BER .

3.5.2 Single user minimum mean square error equalizer (SISO MMSE equalizer)
In this equalizer, the noise enhancement problem of low quality subcarriers is considered. The MMSE equalizer will take into account noise effect to decrease the errors resulting from noise and channel distortion jointly. The CP extraction step is the same as section 3.5.1 Single user zero forcing equalizer (SISO ZF equalizer). At this point, we are able to compute the equalizer . Our aim is to minimize the BER, so we compute to minimize the Mean Square Error (MSE), since this solution maximizes the decision SNR, which is inversely proportional to the BER. The optimum solution (MMSE) is then given by the Wiener solution which is simplified in [58] to have the MMSE frequency domain equalizer as () = 2 () 2 + (3.21) Then, the equalized subcarriers are given by = . . The remaining steps of the receiver are still as section 3.5.1 Single user zero forcing equalizer (SISO ZF equalizer). The MMSE equalizer takes in account noise so it outperforms ZF.

3.5.3 Channel estimation Schemes

In this section, we give an overview about channel estimation techniques employed in our model besides the perfect channel estimation. Least square (LS) and MMSE channel estimation methods are discussed briefly. The channel estimation methods for the SCFDMA discussed in this section are the same methods used accompanying the OFDMbased systems [59],[60] .Channel interpolation is also discussed in presence of high time selectivity i.e. in case of high Doppler shift. The channel estimation for single user system will be directly extended in case of collaborative MIMO system by ensuring nonoverlapping ZC pilots for each user or using the orthogonality feature of different phaserotated ZC sequences as shown in section 2.3.6. DRS of the LTE uplink and the ZC sequences parameters are discussed in section 2.3.6

46

3.5.3.1 Least square channel estimation (LS estimation) The LS estimator minimizes the metric where is the received DRS, is the transmitted DRS and is the estimated version of the channel. The LS estimator is given in [60] as = = () ( ) (3.22) So the LS estimator is equivalent to what is also referred to as the ZF estimator. The LS channel estimator is calculated with very low complexity (only subcarrier-wise division) without using any knowledge of the statistics of the channel. But they suffer from high MSE between the actual channel gain and estimated version. 3.5.3.2 Minimum mean square error channel estimation (MMSE estimation) The MMSE estimator employs the second order statistics of channel conditions to minimize the MSE. Denoting that , and are the autocovariance matrix of , , and is the crosscovariance matrix between , . Also is the DFT orthonormal matrix of size as
00 = (1)0 And = 1 2

0(1)

(3.23)
(1)

Assuming channel vector and noise are uncorrelated then = = = = = ( + ) =

2 = = +

(3.24) (3.25) (3.26)

In our case is known at the receiver via a training process to identify the 2 second order characteristics of the channel i.e. its autocovariance , also is known in advance. In this case, the best linear MMSE estimator (BLMMSE) is discussed in [60] and is given by = (3.27)

Using equations (3.24) through (3.27) the MMSE estimate of the channel will be =

47

2 = ( ) + 2 = + ( )

(3.28)

The MMSE estimator yields much better performance than LS estimators, especially under the low SNR scenarios. A major drawback of the MMSE estimator is its high computational complexity, especially if matrix inversions are needed each time the data in changes. 3.5.3.3 Channel interpolation In case of the LTE uplink, the demodulation reference signals occupy the whole transmitted bandwidth of the middle SC-FDMA symbol. So, there is no need for frequency domain interpolation and the channel gains can be assumed constant during slot. But in case of high speed mobile users i.e. high time selectivity, the channel gains cannot be constant anymore across the slot and hence an error floor is experienced, so time domain interpolation is needed. Different types of interpolation filters are present such as linear interpolation, spline interpolation and low pass interpolation [59]. In this work we assume the time domain spline interpolation. The Spline interpolation method produces a smooth and continuous polynomial fitted to given data points (the spline function in MATLAB) [61].

3.5.4 Simulation results and discussion

In this section we will present and discuss the results of simulation obtained for the LTE uplink in case of SISO system. The simulation parameters follow Table 7 unless explicitly stated.

48

3.5.4.1 Effect of different modulation, coding and equalization schemes

10
0

Comparison between MMSE and ZF equalizers for SISO LTE uplink system for different modulation schemes SISO , MMSE, QPSK SISO , MMSE, 16QAM SISO , MMSE, 64QAM SISO , ZF, QPSK SISO , ZF, 16QAM SISO ,ZF, 64QAM

10

-1

10

-2

10
BER

-3

10

-4

10

-5

10

-6

10 -10

-7

10

20 Eb/No

30

40

50

Figure 21 Comparison between different modulation and equalization techniques for SISO LTE uplink
10
0

Comparison between MMSE and ZF equalizers for SISO LTE uplink system for different modulation schemes SISO , MMSE, QPSK SISO , MMSE, 16QAM SISO , MMSE, 64QAM SISO , ZF, QPSK SISO , ZF, 16QAM SISO ,ZF, 64QAM

10

-1

10

-2

10
BER

-3

10

-4

10

-5

10

-6

10 -10

-7

10

20 Eb/No

30

40

50

Figure 21 shows that the MMSE equalization for LTE uplink outperforms the ZF equalizer by almost 18dB at a target BER of 104 for QPSK modulation, 14dB for the 16QAM modulation and 16dB for 64QAM modulation. Thus the results recommend that the LTE uplink receiver should use MMSE equalizers instead of ZF.

49

10

Comparison between coding schemes

10

-1

10

-2

10

-3

BER
10
-4

10

-5

10

-6

10

-7

SISO , MMSE, QPSK uncoded SISO,MMSE , Turbo coding rate 1/3 SISO ,MMSE , conv. coding rate 1/2 0 5 Eb/No 10 15 20

-5

Figure 22 Comparison between coding schemes for SISO LTE uplink

Figure 22 shows the effect of different coding schemes on the LTE uplink . The figure shows the tremendous performance enhancement due to addition of coding. For convolutional coding rate with constraint length 7 with connections shown in Table 4 Optimal connections for rate 1/2 convolutional encoder, the coding gain in order of 3dB. While for the compliant turbo code stated in standard the coding gainin order of 9dB at target BER of 104 .

50

3.5.4.2 Effect of channel selectivity

0

Delay spread effect on delay delay delay delay delay spread=5us spread=10us spread=15us spread=3us spread=1us

10

10

-1

10

-2

10

-3

BER

10

-4

10

-5

10

-6

10 -10

-7

-5

10

15 Eb/No

20

25

30

35

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Figure 23 Effect of channel selectivity on LTE uplink

The delay spread of the frequency selective channel affects the performance of the LTE uplink due to the main property of SC-FDMA of spreading the deep fade subcarriers effect along all the subcarriers which in turns affect the performance of the LTE uplink. Figure 23 shows that increasing the delay spread of the channel i.e. the frequency selectivity increase the frequency diversity of the multipath channel and hence some subcarriers is in deep fade and others are not and because each symbol is carried over all subcarriers , these symbols benefit from the frequency selectivity and hence BER decreases.

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3.5.4.3 Effect of user mobility

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Figure 24 Effect of user mobility on the LTE uplink without channel interpolation

Figure 24 shows the effect of user mobility on LTE uplink assuming zero order interpolation i.e. fixing the channel gains over the whole slot. The figure shows that the system is degraded slightly in low mobility users from fixed users to 20Km/hr. As the mobility of users increases, the gain is changing faster than the slot time, so the channel will have a faulty estimates which in turns lead to faulty channel equalization and hence we will have an error floor i.e., irreducible error although of excessive increase in /0 . As the speed of users increases, the BER floor is increased to have irreducible error of 103 at 40 Km/hr and 102 at 60 Km/hr which is unacceptable and instructs to use interpolation for high mobility users which will be discussed in section 3.6.4.7

3.6 Existent detection schemes for collaborative MIMO schemes

After transforming the received signal to frequency domain the eNodeB must separate the collaborative users' signals using multiuser equalization technique. In this section frequency domain multiuser ZF equalizer, Frequency domain multiuser MMSE equalizer and Frequency domain multiuser SIC equalizer are presented.

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3.6.1 Frequency domain multiuser ZF equalizer

The ZF receiver is a suboptimal linear receiver [62]. It behaves like a linear filter and separates the data streams and thereafter independently decodes each stream. The ZF receiver neglects the effect of the noise. We assume that the channel matrix on the subcarrier (simply written ) is invertible and the estimate the equalized subcarrier as
1 = = ( )

(3.29)

1 where = ( ) is the pseudo inverse (Moore-Penrose pseudo-inverse) of a non square channel matrix and (. ) is Hermitian operator (complex conjugate).

Afterwards the equalized symbols are symbol demapped (simply picking the data loaded subcarriers) and then IDFT the equalized subcarriers. The output will be hard demodulated. The ZF receiver suffers from noise enhancement of poorly conditioned subcarriers. Also, the noise in the separated streams is correlated and consequently the SNRs are not independent. The diversity order of each stream is + 1. The ZF receiver decomposes the link into parallel streams, each with diversity gain and array gain proportional to + 1. Hence, it is suboptimum. Note that unlike ordinary OFDM systems, this noise enhancement will be averaged all over the received symbols [45] ruining the entire data symbols frame, and hence doesnt achieve neither the full diversity gain nor the antenna gain.

3.6.2 Frequency domain multiuser MMSE equalizer

To solve the problem of noise enhancement that occurs in the ZF receiver in case of relatively low-determinant channel matrix, a common approach is to regularize the inverse of the ZF filter. To elaborate, it is required to find the regularized equalizing filter of the subcarrier which minimizes the MSE, i.e., this is a linear detection algorithm to the problem of estimating a random vector on the basis of observations is to choose a matrix that minimizes the MSE 2 =

(3.30)

where 2 is the mean square error. This will lead to the LMMSE solution as [62] = = ( + 1/ )1

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(3.31) Linear MMSE equalization of SC-FDMA signals has a low complexity and can be easily implemented in frequency domain [35] .Then the receiver continues with the other detection steps (subcarrier demapping, IDFT and hard demodulating). Note that because of the factor 1/ the MMSE equalizer doesnt perfectly eliminate the mixing of the channel, but on the other hand can minimize the overall error caused by noise and mutual interference between the co-channel signals, thus outperforms the ZF equalizer.

3.6.3 Frequency domain multiuser SIC equalizer

To benefit from the inherent spatial diversity of the collaborative system with slight increase in the computational complexity, SIC can be a promising technique. SIC equalizer is decision-feedback receiver which makes a decision on one of the users points DFT frame and subtract its interference effect on the other users based on that decision, after simulating the transmission stages of this user at the receiver side [63], i.e., the SIC approach can take advantage of the channel code of a user to generate feedback. Doing so, the interference created by the stronger user can be more efficiently suppressed before the detection of the weaker user [35]. Then the SIC will generally do the following steps [62] Nulling: Estimate the strongest received signal by nulling out all the weaker transmit signals. Slicing: Detect the value of the strongest received signal by slicing to the nearest signal constellation value. Cancellation: Cancel the effect of the detected signal from the received signal vector to reduce the FER for the remaining signals.

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Figure 25 2x2 SIC equalizer

To elaborate, the algorithm works as explained in Figure 25 assuming that user is the desired user: First , begin detection by user 1 using ZF or MMSE algorithms as shown in equations (3.30),(3.31) this will lead to 1 . Second, IDFT the points DFT frame followed by ordinary symbol demodulation and bit level decoding, this will lead to 1 (). Third , simulate the transmission procedure of user 1 i.e. repeat the encoding, symbol mapping ,DFT spreading ,subcarrier mapping to have 1 () Fourth, remove the interference obtained from first user as () + = () (3.32) where : cancellation stage (initially =1) () : is user channel vector on the subcarrier i.e.,
= 11 where . is the transpose operator. 21 1 Repeat the previous steps for the first ( 1) users till we have the 1 ( ) = 2 ( ) + () () ()

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(3.34) By inspection of last equation , it is obvious that after completely subtract the whole interference on the user the spatial diversity now exists which instructs us to combine using Maximum Ratio Combiner (MRC) as 1 () = 2 () (3.35) where . is the Euclidean norm.

3.6.4 Simulation results and discussion

In this section, the results of the collaborative MIMO for the LTE uplink are considered. A comparison between the existing detection schemes is discussed thoroughly. Different system configurations are discussed whether changing the number of collaborative users or even the number of receiving antennas. Different channel conditions are studied to find the best collaborating conditions. 3.6.4.1 Comparison between the existent detection methods In figure 26 a comparison between the previously presented detection schemes is shown. Assuming 2 users by 2 receiving antennas system as baseline for comparison. The transmission is considered uncoded, QPSK modulated in uniform gain-delay profile multipath channel with delay spread.
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Comparison between detection techniques of 2x2 VMIMO systems SIC-MMSE 2x2 MMSE 2x2 ZF 2x2 SIC-ZF 2x2 full diversity 1x2(reference)

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Figure 26 Comparison between the existent multiuser equalization techniques for 2x2 V-MIMO systems

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The reference curve presents the full diversity system i.e., the case of one user and 2 receiving antennas and the equalizer is doing a MRC for the received streams. The simulation results reveal that using the ZF or even the ZF based SIC will result in power loss of almost 16dB at a 104 target BER from the full diversity curve which excludes ZF receiver as choice for the collaborative MIMO system for the LTE uplink due to the noise enhancement problem for poorly conditioned subcarriers. The MMSE equalizer offers only a 5dB loss from the full diversity curve with almost same computational complexity of the ZF equalizer. With incremental computational complexity MMSE based SIC decreases the gap to only 2.5dB which makes it good candidate as multiuser equalization technique the collaborative MIMO system. 3.6.4.2 Effect of changing number of users Figure 27 assumes same simulation parameters of the previous section shows the effect of increasing the V-MIMO order ,i.e., increasing number of users along with increasing the receiving antennas in case of MMSE and MMSE based SIC receivers, the simulation results reveal that the SIC receiver exploit the increase of V-MIMO order more efficiently than the ordinary MIMO spatial multiplexing receiver, the MMSE is enhanced slightly (~1.5dB) when increasing the system order to 4x4 system, while SIC is clearly enhanced (~4.5dB) . So increasing the V-MIMO order increases the order of spatial diversity of the collaborative system which in turns decreases the BER.
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Figure 27 Effect of changing number of collaborative users (V-MIMO order)

3.6.4.3 Effect of changing number of receiving antennas To enhance the diversity order of the collaborative system, it is proposed to equip the eNodeB by a number of receiving antennas much more than the collaborative users

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 > , this will lead to receive the users data from different scatter paths and hence the combined signal would dramatically have higher SNR. Figure 28 Effect of changing number of receiving antennas shows the dramatic enhancement of the MMSE equalized V-MIMO system while increasing the receiving antennas. The diversity benefit decreases from almost of 10dB when increasing antennas to 4 antennas, 3dB from to 4 to 6 antennas and 2dB from 6 to 8 antennas. These results advise us to use at least 4 antennas at the receiver side when using V-MIMO system. Figure 28 Effect of changing number of receiving antennas reveals that the MMSEbased SIC exploits the spatial diversity enhancement of increasing the receiving antennas more efficiently than the traditional MMSE by almost (2.5dB) for 2x2 system and the diversity benefit is also decreased with increasing the receiving antennas reaching a (0.6dB) for the 2x8 system.
Effect of increasing number of receiving antennas to V-MIMO system of 2 users MMSE 2x2 MMSE 2x4 MMSE 2x6 MMSE 2x8 MMSE-SIC 2x2 MMSE-SIC 2x8 MMSE-SIC 2x6 MMSE-SIC 2x4

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Figure 28 Effect of changing number of receiving antennas

3.6.4.4 Effect of different modulation In Figure 29, different modulation schemes are discussed for the uncoded 2x2 VMIMO system. The figure shows that increasing the modulation index of the QAM modulator will increase whole throughput of the system in the cost of increasing the BER

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i.e. decreasing the power efficiency of the system . Also the MMSE based SIC power efficiency bonus is decreased while using higher order modulation schemes.

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Effect of different modulation schemes for the 2x2 V-MIMO system

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Figure 29 Effect of different modulation schemes for 2x2 collaborative MIMO system

3.6.4.5 Effect of channel selectivity Figure 30 shows the effect of changing the delay spread of the multipath channel i.e. the frequency selectivity of the channel. The simulation results reveal that for a CP length delay spread of multipath channel, increasing the delay spread leads to more frequency selectivity and hence better output SNR because of the inherent frequency diversity property of the SC-FDMA. The simulation results show that using MMSE receiver in flat fading is almost identical to use the ZF receiver, The result also instructs us to use the collaborative system in highly selective channels i.e. outdoor environments rather than flat fading channel.

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Figure 30 Effect of channel selectivity of the multipath channel

3.6.4.6 Effect of user mobility In this section users mobility is studied. Figure 31 shows that the V-MIMO system with non overlapping demodulation reference signals in case of zero order interpolation is optimized for low speeds up to 10Km/hr. The system will have error floor when the users velocity exceeds 15Km/hr. the system is severely degraded when velocity exceeds 20Km/hr.
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Figure 31 Effect of users mobility

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3.6.4.7 Effect of Channel estimation methods In this section, the effect of imperfect channel estimation is examined. Figure 32 shows that in case of no Doppler shift, i.e., fixed users, the MMSE channel estimation almost coincide with the perfect channel estimation (0.5dB penalty) in expense of the increasing complexity, while the LS channel estimation is far by almost 5dB than the perfect one. Figure 33 reveals that using MMSE channel estimation with spline interpolation along SC-FDMA symbols leads to decrease the susceptibility of collaborative system to Doppler shift , the system in this case will operate efficiently to almost 60km/hr and then slightly degrade when reaching 80km/hr. The system will have an error floor at almost 100 km/hr.
Effect of imperfect channel estimation for MMSE receivers and SIC-MMSE receivers

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Figure 32 Effect of channel estimation methods for MMSE and SIC-MMSE receivers

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Figure 33 Effect of the MMSE channel estimation with spline interpolation in case of different users speeds

3.6.4.8 Comparison to equivalent OFDM system

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Figure 34 Comparison between OFDM and SC-FDMA based collaborative MIMO systems

Assuming 2x2 collaborative MIMO system and QPSK modulation, it is obvious that the uncoded OFDM system is more sensitive to spectral nulls than SC-FDMA system due to inherent frequency diversity and hence better performance in terms of lower BER.

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We also note that the OFDM-based system performance resembles the SC-FDMA using ZF equalizer. 3.6.4.9 Overall Spectral efficiency Figure 35 shows the overall spectral efficiency curve at the receiving eNodeB of different modulation and system configurations i.e. changing number of users and different receiving antennas. The spectral efficiency is defined as the information rate that can be transmitted over a given bandwidth in a specific communication system. It is a measure of how efficiently a limited frequency spectrum is utilized by the physical layer protocol. And given by = = . (1 ) . 2 . (3.36) where is the number of bits/block , is the size of the constellation set and is the coding rate. Figure 35 shows that increasing the order of the modulation scheme increases the overall spectral efficiency for 2x2 V-MIMO system to have 4,8,12 bits/s/Hz at 17dB,26dB,34dB for QPSK ,16QAM and 64QAM respectively. The Figure shows also that increasing V-MIMO order increases throughput of the system to have 8,16 and 24 bits/s/Hz at 17,26 and 32dB for QPSK , 16QAM and 64QAM respectively and also 16,32 and 48bits/s/Hz at 15,24 and 32dB for the same modulation schemes. So increasing the V-MIMO order also reaches the full spectral efficiency with smaller power consumption with tradeoff of higher complexity to have maximum throughput of 960Mb/s for 8 users by 8 receiving antennas system using uncoded 64QAM modulation and occupying the whole 20MHz bandwidth stating from / =32dB The Figure also instructs using an adaptive V-MIMO configurations and modulation schemes to satisfy the complexity, throughput and BER constraints according to Table 8 QPSK
2x2 4x4 8x8 17dB, 4b/s/Hz 17dB ,8b/s/Hz 15dB, 16b/s/Hz 16QAM 26dB , 8b/s/Hz 26dB, 16b/s/Hz 24dB, 32b/s/Hz 64QAM 34dB, 12b/s/Hz 32dB, 24b/s/Hz 32dB, 48b/s/Hz

Table 8 adaptive Modulation and V-MIMO configurations for MMSE equalizer

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spectral efficiency (bits/s/Hz)

spectral efficiency for different modulation and order of V-MIMO system with MMSE equalizer 50 2x2 QPSK 2x2 16QAM 45 2x2 64QAM 4x4 QPSK 40 4x4 16QAM 4x4 64QAM 35 8x8 QPSK 8x8 16QAM 30 8x8 64QAM 25 20 15 10 5 0 -10

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Figure 35 Spectral Efficiency of different modulation and system configurations for uncoded V-MIMO system

3.6.4.10 Conclusions From the sample simulation results shown previously we conclude to the following ZF based equalizers suffer from severe noise enhancement for poorly conditioned subcarriers so it is not advised to use it in the context of V-MIMO for LTE uplink. MMSE-SIC outperforms MMSE but the cost of incremental complexity. Increasing number of receiving antennas increases the spatial diversity and hence leads lower BER. Increasing V-MIMO order enhances output SNR and increases system spectral efficiency simultaneously due to the increase of spatial diversity and reusing system resources more efficiently at the cost of increasing complexity, so increasing the V-MIMO order is promoted for LTE uplink. Collaborative MIMO system for LTE uplink is optimized for low speed users and for high mobility users channel interpolation is required. Collaborative MIMO system for LTE uplink is optimized for highly selective channels due to the inherent frequency diversity of SC-FDMA systems. MMSE channel estimation schemes outperform LS channel estimation in the cost of increasing system complexity SC-FDMA based system is more immune to spectral nulls due to the distribution of the noise enhancement of poorly conditioned subcarriers along all subcarriers in contrast of OFDM that will ruin this symbol directly.

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CHAPTER FOUR PROPOSED MULTIUSER EQUALIZATION TECHNIQUES

4.1 Introduction
In chapter three, the existent and the well known multiuser detectors for collaborative MIMO systems were presented in the context of the LTE uplink. Traditional multiuser equalization techniques include ZF, MMSE and ML. ZF suffers from noise and interference enhancement. MMSE accounts for the SNR/SIR value and provides better performance. However, the optimal receiver is the ML which performs exhaustive search to find the symbols with minimum detection error. Unfortunately the full-fledge ML receiver is abandoned when employing SC-FDMA signals since its complexity increases exponentially with the DFT-block size as well as the modulation index. To reduce complexity and maintain performance SIC is a good choice. SIC is a DFE that sequentially demodulates UE signals, one at a time, and cancels the contribution from the received signal [49]. In this chapter, we first present two novel ordering techniques to enhance the performance of the SIC receiver, especially in the case of shadowing environments. Moreover, we propose a novel initial guess ML (IGML) receiver which enhances the performance of the collaborative LTE SC-FDMA system. Its complexity grows exponentially with the modulation index only. A comprehensive study of the motivation of each novel scheme with study of channel imperfections and different channel conditions.

4.2 Proposed optimal ordering for successive interference cancellation (optimal OSIC) 4.2.1 Motivation
In chapter three, section 3.6.3, SIC was discussed. The SIC performance is dominated by the weakest stream which is the first stream to be decoded. Hence, the improved diversity performance of the succeeding layers does not help. To get around this problem the ordered successive cancellation (OSIC) receiver was introduced. In this case, the signal with the strongest SINR ratio is selected for processing. This improves the quality of the decision and reduces the chances of error propagation. This is like an inherent form of selection diversity where the signal with the strongest SNR is selected [62]. So optimal ordering for SIC seems to be interesting. The optimal SIC receiver relies on ordering the users powers in a descending order so that the highest user which corresponds to the highest detection SNR is detected first, this will decrease the effect of error propagation and increase the reliability of the detected users data. On the other hand the user with highest power has the largest interference contribution in the received signal, this will decrease the overall interference after each cancellation.

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4.2.2 Optimal OSIC description (per-subcarrier ordering)

A main characteristic of SC-FDMA systems, that each symbol is spread over the entire assigned bandwidth. So the idea of ordering seems to be tricky, to tackle this problem, the ordering must be done along all the subcarriers. To perform this ordering must be done in subcarrier by subcarrier basis i.e. users must be ordered along all the loaded subcarriers (the -length DFT subcarriers) and each time the larger user will be cancelled along this subcarrier The algorithm is described as the following [49]: First, begin by linear frequency domain equalization such as ZF equalization or MMSE equalization as in equation (3.30), (3.31), this will lead to initial guess of all subcarriers. For the first subcarrier, determine the highest power user to be detected first = argmax
{1,2,.., } ()

(4.1) Then the user will be cancelled first , so we will detect the users data and simulate the transmission procedure of user Remove the interference of user as equation (3.32) on the first subcarrier only, this will ensure that the maximum interference to the collaborative MIMO system is removed within the first subcarrier only as () + 1 = 1 (1) (4.2) () ( ) where : is user channel vector on the subcarrier, i.e., =
where . is the transpose operator. 11 21 1 Repeat the previous steps for the first ( 1) users till we will have the 1 ( ) = 2 ( ) + () ()

(4.3) By inspection of last equation , it is obvious that after completely subtracting the whole interference on the user the spatial diversity now exists which instructs us to combine using MRC as 1 () = 2 () (4.4) Fix the result of cancelling of first subcarrier i.e. 1 (4.5) + 1 Repeat the previous steps along all subcarriers with fixing the result of cancelling of all previous subcarriers.

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4.2.3 Results and discussion

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Figure 36 performance of the optimal ordering of SIC in presence of shadowing variance of 12dB

Figure 36 performance of the optimal ordering of SIC shows considerable performance gains with respect the MMSE equalization. The scheme benefits from the power difference between the users in the expense of excessive complexity.

4.2.4 Advantages and disadvantages

Advantages Reduced error propagation due to excluding the largest interference first. Decreased multiuser interference.

Disadvantages The scheme is highly complex and requires extensive ordering along all subcarriers which means that the scheme do SIC as complex as times and left for reference only. Note that this excessive complexity can be justified that the equalization would be done at the eNodeB that can be supplied by powerful DSPs. The enhancement in performance i.e. power efficiency over ordinary SIC is only 0.6dB and this in case of shadowing environments only , while the enhancement is almost negligible in case of equal-average-power users i.e. users experiencing power control schemes.

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4.3 Proposed suboptimal ordering for SIC (Suboptimal OSIC) 4.3.1Motivation

The discussion of section 4.2.1 reveals that the ordering of users powers is essential to decrease the error propagation effects; however the complexity of the optimal ordering scheme seems to be enormous due to performing the SIC process along the whole loaded subcarriers. So the need of suboptimal ordering scheme with small little loss in performance seems to be necessary.

4.3.2 Suboptimal OSIC description

To decrease the complexity of the optimal ordering, a suboptimal ordering scheme is proposed the new scheme orders the cancellation procedure based on the average norm of users channel along all subcarriers and choose the largest user to be cancelled first [49] i.e.

= argmax
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() 2

(4.6) The suboptimal OSIC works as the previous algorithm i.e., first we start with initial guess of all subcarriers, then we order all users according to the average powers of all loaded subcarriers, then we continue with the remaining cancellation procedure as equations (4.2) to (4.5) This will lead to execute the SIC once only instead of doing SIC times along all subcarriers as the optimal case. Note that this scheme is very useful in case of different channel conditions of collaborative users e.g. if one of the users experiences deep shadow with respect to other.

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4.3.3 Results and discussions

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Figure 37 performance of suboptimal ordering SIC with different modulation schemes

Figure 37 performance of suboptimal ordering SIC with different modulation schemes shows that the suboptimal ordering scheme achieves a similar performance of the optimal ordering with decrease of the receiver complexity of 1 SIC operation instead of M iterations.

4.3.4 Advantages and disadvantages

Advantages The complexity of the suboptimal ordering scheme is very reasonable with respect to optimal ordering scheme, almost less than 1/ of its complexity with almost same performance. The suboptimal ordering scheme benefits from shadowing environments without need for power control which can decrease the complexity of eNodeB with better performance than the ordinary successive cancellation scheme. Reduced error propagation due to excluding the largest interference first and decreased multiuser interference with less complex receiver than the optimal case

Disadvantages The scheme doesnt exploit the full diversity of the virtual MIMO link. The scheme is almost useless in case of power controlled users i.e. if the average power of all users along all loaded subcarriers is the same; in this case the ordering gain seems to be negligible.

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4.4 Proposed Initial guess based Maximum likelihood Receiver (IGML receiver) 4.4.1Motivation
The ML receiver is the optimal receiver, the ML receiver solves = argmin
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(4.7)

where is the estimated symbol vector. The ML receiver searches through the entire vector constellation for the most probable transmitted signal vector. These receivers are difficult to implement, but provide full diversity and zero power losses as a consequence of the detection process. In this sense it is optimal [62]. In this section a ML receiver is proposed. ML is an optimal receiver which performs exhaustive search along all time domain symbol combinations to find which one minimizes the Euclidean distance to the received symbol. For this two issues are discussed: First, the exhaustive search domain i.e. the domain at which symbols have discrete values is the time domain which differs from the equalization domain which is the frequency domain. Second, Trying to directly apply exhaustive search in the equalization domain i.e. frequency domain is not applicable because in this case the search will be applied along all possible permutations of the whole -length DFT precoded symbols, i.e. the complexity of the ML receiver in this case will increase exponentially not only with the modulation order but also will increase exponentially with the DFT length ,i.e. for users , points DFT frame and constellation set of size of the complexity will be in the order of ( ), e.g. for the minimum throughput of the collaborative system assuming = 180, = 2 and QPSK constellation the complexity would be 5.5157*10216 tests for each symbol which is not feasible.

To jointly address the two problems, a simple algorithm is proposed. The algorithm relies on guessing all the values of time domain symbols using one of the previously presented equalization schemes whether ZF, MMSE or SIC (MMSE is preferred because it tradeoffs between complexity and initial quality of time domain symbols), then find the error metric along all subcarriers based on the fact that the error in SC-FDMA signal spread over all subcarriers.

4.3.2 IGML receiver description

The IGML [49] will firstly guess all the time domain symbols using one of the previous equalization schemes , then tests the time domain symbols with fixing the previous combinations along all the loaded subcarriers in the frequency domain. To elaborate the novel algorithm works as following as shown in Figure 38:

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Figure 38proposed IGML receiver

First, perform frequency domain equalization such as ZF or MMSE multiuser FDE as in equation (3.30), (3.31), this will lead to initial guess of all subcarriers. This will lead to Second , find the initial guess of all time domain symbols by - size IDFT process followed by slicing process as following

() =

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(4.8) where {. } is the slicing to nearest constellation point operator i.e. hard decision detection. Third, start performing a symbol-by-symbol exhaustive search o Begin by testing all constellation values for the first symbol only while fixing other symbols to their initial guess. o DFT the new SC-FDMA symbols . o Find the ML solution that corresponds to the minimum error metric along all subcarriers as following

() = argmin
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(4.9) o By this the first symbol is optimally detected, so, fix the value of first symbol to () . o Repeat last two steps to all other symbols The ML receiver achieves full diversity of the collaborative system which equals to the number of receiving antennas on the complexity of only ( ).

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4.3.3 Results and discussions

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performance of IGML for different modulation schemes IGML-MMSE2x2 QPSK IGML-MMSE 2x2 16QAM MMSE 2x2 QPSK MMSE 2x2 16QAM

10

-1

10

-2

10

-3

BER

10

-4

10

-5

10

-6

10

-7

-10

-5

10 Eb/No

15

20

25

30

Figure 39 performance if IGML for different modulation schemes

Figure 39reveals tremendous power efficiency gains with respect to the MMSE equalization technique. The figure shows a 5dB gains for both QPSK and 16QAM modulation. The 64QAM modulation is not shown due to its intractable exponential complexity

4.3.4 Advantages and disadvantages

Advantages Exploits the full diversity of the V-MIMO system. Minimum achievable BER. The power efficiency is increased by almost 4.5dB from the ordinary MMSE. The scheme is far by only 0.4dB than the 1x2 receiving diversity. The complexity of the IGML system is in the same order of the OFDMML system with negligible loss of performance compared to of brute force scheme.

Disadvantages The investigations of all constellation points in higher order modulation schemes and increased number of collaborative users seems to be intractable due to the exponential complexity .

72

4.5 Proposed simplified Initial guess based Maximum likelihood Receiver (simplified IGML receiver) 4.5.1 Motivation
The main challenge of receiver design for MIMO systems lies in the nonorthogonality of the transmission channel i.e. the superposition of the signals from all transmit antennas at the receiver side. Optimum ML detection requires finding the signal point of the transmitter vector signal set that minimizes the Euclidean distance with respect to the received signal vector when transmitted over the channel, i.e., the closest lattice point in a transformed vector space [64]. Unfortunately this problem is exponential in the number of possible constellation points, making ML unsuitable for practical purposes when aiming at high spectral efficiencies. Other sub-optimum receivers ZF, MMSE and SIC of low to moderate complexity have been devised, yet all suffer from rather limited performance and none of them achieves diversity in the number of receive antennas, in contrast to ML. The concept of Sphere Detection (SD) was introduced in [65] and has been further discussed in various publications [66], [67]. To avoid the exponential complexity of the ML problem, the search for the closest lattice point is restricted to include only vector constellation points that fall within a certain search sphere. This approach allows for finding the ML solution with only polynomial complexity, for sufficiently high SNR. SD algorithm has a nondeterministic instantaneous throughput; its average complexity was shown to be polynomial in the rate [67]. In most practical cases is still significantly lower than an exhaustive search. The algorithm is thus widely considered the most promising approach towards the realization of ML detection in high-rate MIMO systems [68]. So a suboptimal ML receiver that rely on the basic concepts of SD seems to be attractive to exploit the full diversity of the collaborative MIMO system with polynomial complexity instead of the exponential complexity of the IGML receiver presented in the previous section.

4.5.2 Overview of SD
In this section, we briefly review the basics of sphere detection as our motivation for the simplified IGML receiver. The main idea in SD is to reduce the number of candidate vector symbols to be considered in the search that solves the ML detection problem, without accidentally excluding the ML solution. This goal is achieved by constraining the search to only those points where is the transmitted vector that lie inside a hypersphere with radius around the received point . The corresponding inequality is referred to as the Sphere Constraint (SC) [64], [68]:
2

< 2

(4.10)

73

Obviously, the selection of is a critical issue largely influencing the complexity of any SD algorithm. Choosing too large leads to a sphere containing a very high number of hypotheses (also referred to as candidates) and hence to high detection complexity. Choosing too small will result in an empty sphere and the search has to be restarted with an increased radius. The search for candidates fulfilling (4.10) is done by back-substitution algorithms. Towards this aim, Cholesky or QR decompositions of the channel matrix may be equivalently used. In the following, we concentrate on the symmetric case i.e. = and use the decomposition of . With = , where is upper triangular and is unitary, the sphere detection in (4.19) criterion can be expressed as:
2 2 < 2 2 < 2 2 <

(4.11) Due to the upper triangular nature of the matrix then (4.11) can be rewritten as
2

= =

2 <

= 1, . ,

(4.12) This will lead to layer-by-layer separation as shown in Figure 40. That works its way up until the first layer is detected. This process is quite similar to SIC techniques the signals from previously detected layers are subtracted from the received signal before detection within the current layer is performed.

Figure 40 QR decomposition effect on user separation

The above inequality implies that not only a single, but several constellation points may be selected. The SD receiver hence performs its search in a tree like structure, we build a tree such that the leaves at the bottom correspond to all possible vector symbols and the possible values of the entry define its top level, we can uniquely describe each

74

node at level ( = 1,2, . . ) by the partial vector symbols = +1 ,as illustrated in Figure 41 for 3x3 system with BPSK modulation , then the error metric in (4.12) can be recursively calculated by traversing down the tree and accumulating error metric in descending order of the users.

Figure 41 Tree formation for sphere detection

The partial error metrics of all its children will also violate the sphere condition. Consequently, the tree can be pruned above this node. This approach effectively reduces the number of vector symbols

4.5.3 Simplified IGML receiver description (QR-IGML receiver)

The IGML receiver presented in section 4.4 can be performed sequentially by means of Cholesky or -decomposition of channel matrix [69] which decomposes the channel matrix into an orthogonal matrix ( ) and an upper triangular matrix ( ) , this will lead to a layer-by-layer (user-by-user) separation of the received symbols. This will lead to exhaustive search computation complexity of only ( ). The algorithm works as previous scheme for step 1,2 and then: Apply decomposition of the channel matrix along all subcarriers. note that this step is done for limited number of times only assuming slow fading channel = | | = | | | | 0 0 0

(4.13) where , ,. are orthonormal vectors Filter the frequency domain components with the Hermitian of the orthogonal matrix (). To find the filtered frequency domain components =

75

(4.14) Save the values of non zero values of matrix along all subcarriers e.g. in case of 2x2 collaborative system = [11 1 11 2 11 ] and also , . Begin with last layer i.e. user exhaustive search to find the minimum error metric along all subcarriers with fixing all other symbols to their initial values taking in account the upper triangular property of () as following:

= argmin
=1

() ()

(4.15) Proceed to ( 1)

user after fixing the

user symbol to to find

2

1 = argmin
=1

1 (1)

(4.16) Then repeat for the whole -users, this will lead to maximum likelihood solution obtained using IGML with less number of exhaustive search combinations. Note that this proposed scheme is similar to sphere detection except for not doing the step of tree pruning, because the error is averaged along all subcarriers so it is unlikely to move away from the ML solution.

4.5.3 Results and discussions

10
0

performance of simplified IGML for different modulation schemes

10

-1

10

-2

10

-3

BER

10

-4

10

-5

10

-6

MMSE 2x2 QPSK MMSE 2x2 16QAM MMSE 2x2 64QAM simplified IGML QPSK simplified IGML 16QAM simplified IGML 64QAM -5 0 5 10 Eb/No 15 20 25 30 35

10

-7

-10

Figure 42 performance of simplified IGML for different modulation schemes

76

10

Comparison between detection techniques of 2x2 VMIMO systems

10

-1

10

-2

10

-3

BER

10

-4

10

-5

10

-6

10

-7

10

-8

proposed IGML-MMSE2x2 simplified ML 2x2 SIC-MMSE 2x2 MMSE 2x2 Suboptimal OSIC-MMSE ZF 2x2 proposed IGML-ZF2x2 SIC-ZF 2x2 full diversity 1x2(reference) 0 5 10 Eb/No 15 20 25 30

-5

Figure 43 Comparison between all presented detection schemes for QPSK modulation

Figure 42 performance of simplified IGML for different modulation schemes shows considerable performance gains with respect MMSE equalization technique. Note that the performance gains decrease with increasing the order of modulation to reach 2.5dB for 64QAM modulation, which will result in tractable complexity with considerable degradation in performance gains . Figure 43 Comparison between all presented detection schemes for QPSK modulation shows a comparison between all detection techniques presented above for the V-MIMO 2x2 system. The figure shows that the ZF receiver is not suitable for separating the collaborative users (BER=10-3 at almost 25dB) ,also the figure reveals that using ZF receiver as initial detection step in SIC or IGML receiver leads to severe degradation in performance. The figure also instructs using the other practical equalizers like MMSE (BER=10-4 at almost 14.5dB),MMSE based SIC(BER=10-4 at 12dB),proposed suboptimal OSICMMSE (based on the channel average norm) in case of shadowing variance of 12dB (BER=10-4 at 11.3dB),note that in case of no shadowing i.e. small difference between the average norms no enhancement is achieved ,the proposed IGML-MMSE (BER=10-4 at 10.1dB) which is almost 0.4 dB only away from the full receive diversity 1x2 system which confirms the claim of considering the IGML receiver as optimal receiver , On the other hand the simplified IGML scheme is almost 0.2dB inferior to the IGML receiver

4.5.4 Advantages and disadvantages

Advantages Exploits the full diversity of the virtual MIMO system as IGML.

77

Near optimal reception and separation of each user. Near the minimum BER. The power efficiency is increased by almost 4.3dB from the ordinary MMSE. The scheme is far by only 0.6dB than the 1x2 receiving diversity. The power efficiency loss to the latter IGML receiver is only 0.2dB The complexity of the QR-IGML system is in the order ( ) which corresponds to polynomial complexity rather than the exponential complexity of the IGML with negligible loss in performance. Deterministic throughput unlike the standard sphere detection which rely on tree pruning and incremental sphere radius because in QR-IGML ,no tree pruning is required due to the inherent frequency diversity of the SC-FDMA virtual MIMO links which averages the error over the whole loaded subcarriers and make it unlikely to shift from the optimal ML solution.

Disadvantages The investigations of all constellation points in higher order modulation schemes and increased number of collaborative users are still complex although of the polynomial complexity ( ) .

4.6 Conclusions
In this chapter, we have presented 2 novel techniques for SIC. Results show a considerable enhancement of power efficiency in case of shadowing environments and negligible performance gains in case of power controlled systems Moreover we have presented a novel IGML receiver that exploits the full diversity of the inherent frequency and spatial diversity of the V-MIMO links. The scheme achieves almost 5dB power efficiency gains over the multiuser MMSE equalization technique in expense of exponential complexity which leads to intractable complexity in case 64QAM. We also have presented a simplified IGML scheme which solves the ML problem in linear complexity scheme with negligible power efficiency loss in case of QPSK and 16QAM.

78

CHAPTER FIVE COMBINED COLLABORATIVE AND PRECODED MIMO FOR THE UPLINK LTE-ADVANCED
5.1 Introduction
In this chapter we discuss the multiple antennas enhancement introduced to the LTE uplink of the LTE-advanced. In LTE-advanced the LTE uplink mode is equipped by 2-4 antennas which can be used with the collaborative MIMO system to increase data rate, enhance system performance and match channel conditions to achieve the channel capacity assuming full or partial channel knowledge at the transmitter end. The chapter begins with identifying the new MIMO modes introduced in the LTEadvanced, then gives a brief literature review of the precoding theory .Capitalizing from advantages of precoding the transmitted streams prior to transmission ,codebook precoding is discussed for LTE. The chapter thereafter will present system model modifications over the system model introduced in chapter 3. We propose then a combination between the collaborative system and the precoded MIMO whether ideally (Sigular Value Decomposition (SVD) precoding) or suboptimally using codebook precoding. Then we propose a Space Frequency Block code (SFBC) precoding for the uplink to achieve space diversity with spatial multiplexing gain achieved before using the collaborative system. The chapter eventually discusses the effect of these precoding schemes on the previously presented receiver schemes.

5.2 Overview of the uplink enhancements of the LTE-advanced

The LTE-advanced agreed to evolve the LTE-UL transmission capabilities toward MIMO. MIMO helps to achieve the LTE-advanced, which include UL peak spectrum efficiency of 15bits/s/Hz and average spectrum efficiency of 2bits/s/Hz [70]. The LTEadvanced introduced in release 10 [71] supports up to four-layer transmission using multirank precoded spatial multiplexing as well as transmit diversity for control channel to provide robust signaling and improve cell coverage techniques .In this section we present an overview of these schemes for the uplink of LTE-advanced. The uplink of the LTE-advanced supports 1 or 2 codewords where codeword is an independently encoded data block, corresponding to a single Transport Block (TB) delivered from the Medium Access Control (MAC) layer in the transmitter to the physical layer, and protected with a CRC. These codewords will be mapped using a layer mapper into 1 to 4 layers where the layer is one of the different streams generated by spatial multiplexing. A layer can be described as a mapping of symbols onto the transmit antenna ports. Each layer is identified by a precoding vector of size equal to the number of transmit antenna ports and can be associated with a radiation pattern. The number of layers is called the rank .These layers will be further precoded to fit the antenna ports which are 2 or 4 in LTE-advanced [70],[2].Note that number of codewords is smaller than or equal to number of layers which in turns is smaller than or equal to the number of antenna ports as Figure 44.

79

Figure 44 Overview of uplink physical channel processing for LTE-advanced

The precoder is defined by rank and precoding matrix, which are selected by an eNodeB based on uplink channel measurements and conveyed to UE through the Rank Indicator (RI) and the Precoding Matrix Indicator (PMI) fields in an uplink grant via the PDCCH. The rank and precoding matrix is chosen to maximize throughput adaptively based on the SINR measured, higher link quality will result in higher rank chosen and hence higher spectral efficiency. Link quality measurements are conveyed via SRS.

5.3 Overview of the precoding theory

The main motivation of precoding the spatial substreams is to match channel conditions by increasing the received signal power in case of perfect or partial channel state information (CSI) ,also decrease the interstream interference from other antennas and maximize the channel capacity of the wireless channel [70].So, optimal communication over MIMO channel uses channel-dependent precoder, which achieves the roles of both transmit beamforming and power allocation across the transmitted streams, and a matching receive beamforming structure [2]. The well-known optimal (capacity-maximizing) precoder in literature for exploiting the channel knowledge at the transmitter is to send data over the strongest eigenmodes of the channel. A common way to express the channel matrix in subcarrier is through its Singular Value Decomposition (SVD) [55], [72] as = () (5.1)

where is orthonormal matrix , is orthonormal matrix and = (1 , 2 , . . ) is eigenmodes diagonal matrix. The matrix is used to precode the input data stream in the frequency domain to have ( ) as () = ( ) (5.2)

In the eNodeB frequency domain equalizer, the precoding process leads to orthogonal streams if the channel is further filtered by ( ) (channel matched filter) as () = () Or using the MMSE linear equalizer for the equivalent channel = () (5.3)

80

1 = ( ( ) ( ) + 1/ ) ( )

(5.4)

The SVD precoding which is called also Transmit Precoding and Receiver Shaping shown in Figure 45, allows to decompose channel matrix into SISO channels, whose gains are 2 2 1 , 2 , to increase the capacity of the MIMO system, since the interstream interference is apriori removed , however the scheme requires perfect CSI and can enhance PAPR.

Figure 45 SVD precoding

5.4 Codebook precoding for uplink of the LTE-advanced

In practice the feedback messages cannot provide full CSI at UE, also the selection of precoder in LTE-advanced is signaled via eNodeB, so a limited number of codebookbased precoders () should be available. In uplink of LTE-advanced, there is a finite set of precoders where is the rank of the transmission schemes. These precoders are chosen to be confined to QPSK alpha{1, } as in the tables 9 through table 13 [71] to ease the precoding process implementation, and have constant modulus property for maximizing power efficiency of the power amplifier .The UL precoders differ from the DL ones of having one nonzero element in each row which ensures that no linear combination between different layers is allowed to decrease the resulting PAPR which is considered a major issue in UL transmission. On the other hand, these precoding matrices suffer from degradation in precoding gain. The precoder is chosen so that it maximizes the received signal power i.e.

= argmax

= argmax () ()

(5.5)

This is equivalent to maximizing the post-MMSE channel power matrix metric which corresponds to the sum of the equivalent channel gains for the layers defined in [72]
1 () = ( ( ) ( ) + 1/ ) ( ) ( )

(5.6)

81

= argmax
=1

2 . 1 ()

(5.7)

where = ( ()).
Codebook index 0 1 2 3 4 5 = 1 1 2 1 1 1 2 1 = 1 10 2 01 -

1 1 2 1 1 2

1 1 2 0 1 0 2 1

Table 9 codebook precoders for two antenna ports

Codebook index 0 ~7

4 Antenna ports , = 1 1 1 2 1 1 1 1 1 2 1 1 1 1 0 2 1 0 1 1 1 2 1 1 1 2 1 1 0 2 1 0 1 1 1 2 1 1 1 1 1 2 1 1 1 1 0 2 0 1 1 1 2 1 1 1 2 1 1 0 2 0 1 1 1 2 1 1 1 2 1 0 1 1 2 0 1 1 1 2 1 1 1 2 1 0 1 1 2 0 1 1 1 2 1 1 1 2 1 0 1 1 2 0 1 1 2 1 1 1 2 1 0 1 1 2 0

8 ~15

16 ~23

Table 10 codebook precoders for four antenna ports rank 1

82

Codebook index 1 0 1 1 0 2 0 1 0 1 0 1 1 0 2 0 1 0 1 0 1 0 1 2 1 0 0 1

4 Antenna ports , = 1 1 1 2 0 0 0 0 1 1 1 2 0 0 1 1 2 0 0 0 0 1 1 0 0 1 1 1 0 1 0 2 0 1 0 1 1 0 1 0 2 0 1 0 1 1 0 1 0 1 2 1 1 0 1

0~3

4~7

1 0 1 1 0 2 0 1 0 1 0 0 1 1 1 0 1

8 ~ 11

1 2

1 0 1 0 1 2 1 0 0 1

12 ~ 15

Table 11 codebook precoders for four antenna ports rank 2

Codebook index 1 1 1 2 0 0 1 1 0 2 0 1 0 1 1 2 0 1 0 0 1 0 0 1 0 0 1 0 0 0 0 0 0 1 0 0 1 0 0 0 1 0

4 Antenna ports , = 1 0 0 1 1 0 0 2 0 1 0 0 0 1 1 0 0 1 0 1 0 2 0 0 1 1 0 1 0 1 0 1 1 0 0 2 0 0 1 1 0 0 1 1 0 2 1 0 0 1 1 2 1 0 0 1 0 2 1 1 0 1 0 0 1 0 0 0 1 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 1 0 0 1 0 1 0 2 1 0 0 0 0 1 0 1 0 1 1 0 0 2 1 0 0 0 0 1 0 1 0 1 0 0 1 2 1 0 0 1 0 1

0~3

4~7

8 ~ 11

Table 12 codebook precoders for four antenna ports rank 3

83

Codebook index

4 Antenna ports , = 1 1 0 2 0 0 0 1 0 0 0 0 1 0 0 0 0 1

Table 13 codebook precoders for four antenna ports rank 4

5.5 System model modifications for the LTE UL with precoding

UE 1
Channel coding Symbol mapping (base band modulation)

DFT with size "M"

Subcarrier mapping and DRS insertion

IFFT with size "N"

1
Frequency domain precoding

CP insertion

Channel coding

Symbol mapping (base band modulation)

DFT with size "M"

Subcarrier mapping and DRS insertion

IFFT with size "N"

CP insertion

UE K
Channel coding

Symbol mapping (base band modulation)

DFT with size "M"

Subcarrier mapping and DRS insertion

IFFT with size "N"

1
Frequency domain precoding

CP insertion

Channel coding

Symbol mapping (base band modulation)

DFT with size "M"

Subcarrier mapping and DRS insertion

IFFT with size "N"

CP insertion

Figure 46 UEs transmitter block diagram

CP extraction

FFT

Subcarrier demapping

IDFT

Symbol Demodulation

Channel Decoding

Frequency Domain Multiuser equalizer

CP extraction

FFT

Subcarrier demapping

Symbol IDFT
Demodulation

Channel Decoding

Figure 47 eNodeB receiver

The CSM system shown in Figure 46 has users each has an UE equipped with multiple antennas . The data of user is independently processed, first each user having independent data streams (called rank of transmission), ,these data streams are symbol mapped to have the modulated symbols in layer .The modulation

84

symbols are then transformed to the frequency representation by the means of the unitary DFT of size to have 1
exp

=1

2 1 1

(5.8)

where : is the subcarrier index and :is the symbol index , , 1,2, , The output of the DFT is then mapped using the subcarrier mapping, which has two versions: the Distributed and the localized, the later is adopted in Release 10, at which the user's symbols are mapped into consecutive subcarriers. So, localized subcarrier mapping is applied to have . In this work, we assume full RB usage so
() = 0

+2 +

(5.9)

where: is the element mapping set of the user ,, and is the 2 2 FFT size. The output of the subcarrier mapping is then precoded in the frequency domain to map the streams to streams by one of the precoding schemes that will be presented in next sections. The output of the precoding stage is fed to a conventional OFDM transmitter which consists of IFFT stage with size( > ) , , 1,2, ,

1 =

exp
=1

2 1 1

(5.10)

Finally, the CP is inserted with length larger than the maximum delay spread of the multipath channel, to mitigate the intersymbol interference (ISI) and enable simple frequency domain equalization (FDE). The above steps will result in SC-FDMA signal. Now, each user's data streams have been transmitted through multipath Rayleigh channel which is modeled as normalized baseband equivalent sample spaced channel impulse response (, ) where m is the time instant , is the path number of taps and is the receiving antenna index with uniform power delay profile. Each path is assumed to be WSSUS filtered by Doppler PSD modeled in Jakes as explained in chapter (3). In this work we assume perfect channel knowledge at the transmitter. So, the result of multipath filtering of the k th user to pth receiving antenna channel can be modeled as

=
=0

, ( )

(5.11)

85

At eNodeB as Figure 47 , which is equipped by antennas ( . ), the collaborative users' signals are added together with contamination of AWGN , which is modeled by i.i.d complex Gaussian noise samples () with zero mean and variance 2 = 1/ . , where is the symbol to noise ratio ( / ) Then, the received signal at the antenna is written as

() =
=1

+ ()

(5.12)

After CP removal, the eNodeB takes the FFT of each received stream to transform the input streams back into frequency domain and prepares them for the FDE. The received signal in the frequency domain at any subcarrier can be written as = + () (5.13)

where : is the subcarrier index and : is the channel matrix upon the subcarrier
11 = 1

(5.14)

5.6 Combined collaborative and SVD-precoded MIMO for the uplink of the LTE-advanced 5.6.1 Algorithm description
To optimally exploit the extra antennas introduced to the uplink of the LTEadvanced in the context of collaborative MIMO system, the precoding of all streams of the collaborative users seems to be attractive. However, the optimal SVD-precoding requires the knowledge of the other users data to use the precoding matrix resulting from SVD decomposition of channel matrix as equations (5.1), (5.2). A novel suboptimal SVD-precoding is introduced in this section, consider the channel matrix at the subcarrier assuming perfect CSI at UE [73]
11 21 12 22

1 2 2

1 2

1 1

1 2

= 1 1 1

1 1 1

86

(5.15) where is channel matrix. To tackle the problem of joint precoding, we will suboptimally precode the data streams of each user individually i.e. we will precode each submatrix independently as
11 21 12 22 1 1 2

1
1

1
2

(5.16)

This submatrix will be SVD decomposed according to (5.1),(5.2) as = () (5.17)

The process will continue to the remaining 1 users to have precoding matrices, then the transmitted signals of all users will be = () And the equivalent channel matrix will be = [ ] (5.19)

(5.18)

Then, the equalization methods discussed in equation (5.3),(5.4) can be used. Note that this scheme is suboptimal which means it ensures removal of all interstream interference for each user alone, while the multiuser interference still exists, however it doesnt need knowledge of other users data . The performance of this scheme will be worse than perfectly precoded scheme which corresponds to orthogonal streams at the receiver and better than unprecoded one which suffers from interstream and multiuser interferences.

5.6.2 Results and discussions

For the simulation results in this section 16QAM modulation is used, delay spread is 5. The result is compared with reference curves of the unprecoded scheme. Figure 48 shows that the SVD precoded CSM system schemes outperforms the unprecoded ones by almost 2.5dB for rank 4 transmission and 1dB for rank 2 transmission . Note that the precoded rank2 with 2 transmitting antenna CSM coincides with precoded rank 4 with 4 transmitting antennas CSM, because the increase of the diversity order according to the increase of the degrees of freedom of the channel in the same time of decreasing the interstream interference according to precoding. Therefore the interuser interference will dominate the overall performance. Figure 49 shows the spectral efficiency achieved when

87

using the SVD precoded scheme. Figure 50shows the effect of selectivity on the presented scheme , it shows that SVD precoded CSM is enhanced in highly selective channels.

10

Comparison between SVD precoding and unprecoded schemes SVD precoded 2users,2 Tx ant. , 4 Rx ant. SVD precoded,2users,4 Tx ant. ,8 Rx ant. unprecoded 2 users , 4 Tx ant., 8 Rx ant. unprecoded 2 users , 2 Tx ant. , 4 Rx ant.

10

-1

10

-2

10
BER

-3

10

-4

10

-5

10

-6

10 -10

-7

-5

10 Eb/No

15

20

25

30

Figure 48 Comparison between SVD precoded CSM systems and unprecoded schemes
spectral efficiency of the SVD precoded CSM system 35

30

25

spectral efficiency b/s/Hz

20

15

10

0 -10

10

20 Eb/No

30

40

50

Figure 49 spectral efficiency achieved upon using the SVD precoded schemes

88

10

Effect of selectivity on SVD precoded CSM system with 2 userrs , 4 Tx antennas , 8 Rx antenennas

10

-1

10

-2

10

-3

BER
10
-4

10

-5

10

-6

10 -10

-7

10

20 Eb/No

30

40

50

Figure 50 Effect of selectivity on SVD precoded CSM system with 2 userrs , 4 Tx antennas , 8 Rx antenennas

5.6.3 Advantages and disadvantages

Advantages: Achieves the capacity of the MIMO channel. Exploits the whole degrees of freedom of the CSM system Performance enhancement by 2.5dB.

Disadvantages Requires full knowledge of the channel matrix at each frequency. High feedback overhead. Increased complexity

5.7 Combined collaborative and Codebook-precoded MIMO for the uplink of the LTE-advanced 5.7.1 Algorithm description
To make use of the new spatial dimension introduced in LTE-advanced with limited feedback signaling in case of collaborative MIMO system, codebook-based

89

precoding should be taken into consideration. Three different precoder selection techniques are presented in comparison [73]. 5.7.1.1 Submatrix precoding This selection method is the same as the previous scheme ,the channel matrix is divided into submatrices and each of them is precoded independently by metric identified in equations (5.5),(5.6),(5.7) thus precoding matrix of user is = argmax () ()
2

(5.20)

() is the channel columns corresponds to the user.The equivalent channel would be = [ 5.7.1.2 Joint maximization precoding In this selection method the MIMO channel is divided into x submatrices , for example for rank 1 , 2 users equipped by 2 antennas and 4 receiving antennas , we will have 4 submatrices 2x2 each. =
12 12 1 ( ) 2 ( ) 34 34 1 ( ) 2 ( )

(5.21)

(5.22)

where 12 1 ( ) is 2x2 MIMO channel between user 1 and receiving antennas 1,2. Here we will choose the precoder so as to it jointly maximizes the norm of these subchannels as = argmax ( 12
1

+ 34 1

(5.23)

And the equivalent channel would be as equation (5.14) 5.7.1.3 Linear combination precoding In this selection criteria, the precoder is chosen as a linear combination of the precoders 34 which maximize the metric of 12 1 ( ), 1 ( ) independently as = argmax 12
1

+ argmax 34

(5.24) The chosen precoder must be normalized. The drawback of this selection method is that the resultant precoder doesnt have a constant modulus and probably can enhance PAPR.

90

5.7.2 Results and discussions:

codebook precoding Vs. ordinary CSM 10
0

10

-1

precoding 2x4 rank 1 unprecoded 2x4rank 1 precoding 2x4rank 2 (asunprecoding) precoding 2x8 rank 1 unprecoded 2 usersx8 ant. precoding 2x 8 rank 2 unprecoded 2 usersx8ant. rank 2 precoding 2 usersx8 ant. rank 3 unprecoded 2 users x 8 ant. rank 3

10

-2

10
BER

-3

precoding 2x8 rank4 (asunprecoded) SVD precoding rank 4

10

-4

10

-5

10

-6

10 -10

-7

-5

10

15 Eb/No

20

25

30

35

40

10

-1

Comparison between selection methods of precoders for2usersx8 receive ant. rank 1 Submatrix precoding joint maximization linear combination best channel metric precoding

Figure 51 Codebook precoded CSM Vs. ordinary CSM

10

-2

10

-3

BER

10

-4

10

-5

10

-6

10

-7

-8

-6

-4

-2

2 Eb/No

10

12

Figure 52 Comparison between the selection criteria of the three precoders

91

10

Effect of selectivity along codebook precoding codebook codebook codebook codebook flat fading channel delay spread=2us delay spread=5us delay spread=15us

10

-1

10

-2

10

-3

BER

10

-4

10

-5

10

-6

10

-7

10

-8

-8

-6

-4

-2

2 Eb/No

10

12

Figure 53 Effect of selectivity on the codebook based precoding

Spectral efficiency of codebook precoded 2usersxreceiving antennas and UE having 2 transmitting antennas 16 14 12
spectral efficiency b/s/Hz

rank 1 rank 2

10 8 6

4 2

0 -10

10

20 Eb/No

30

40

50

Figure 54 spectral efficiency achieved when using precoded 2 Tx antennas transmission

92

Codebook precoded collaborative spatial multiplexing for 4 transmitting antennas 35 rank rank rank rank 1 2usersx8ant. 2 2usersx8ant. 3 2users x8ant. 4 2userx8ant.

30

spectral efficiency b/s/Hz

25

20

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Figure 55 spectral efficiency of precoded CSM of 4 transmitting antennas for different ranks

Same simulation conditions of the previous section are examined. Figure 51 shows a comparison between codebook precoded CSM for 2 and 4 transmitting antennas and unprecoded CSM system using joint maximization method. The figure demonstrates a power efficiency enhancement of almost 2dB than the equivalent unprecoded system. Figure 52 shows a comparison between the three selection criterias presented in this section. The figure reveals that the submatrix precoding exploits the full channel knowledge and hence better interstream and interuser interference cancellation. For the joint maximization method, the performance is degraded by 1dB because the scheme searches for the precoder which jointly maximizes the channel metric of the sub MIMO channels, so more interstream interference will exist. Choosing to maximize the best sub MIMO channel only will degrade the performance by another 0.5dB. Figure 53 shows that the codebook precoding performance is enhanced for the increased selectivity due to the increase of the inherent frequency diversity of SC-FDMA system. Figure 54 and Figure 55 illustrate the achieved spectral efficiency upon using the codebook precoding CSM which are summarized in Table 14 signal to noise ratio limits for using the different ranks of the codebook precoded CSM.

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Rank 1 Tranmitting antennas=2 Tranmitting antennas=4 <22.5dB <7.8dB

Rank 2 22.5 dB 7.8-15dB

Rank 3 15-25.5dB

Rank 4 25.5dB

Table 14 signal to noise ratio limits for using the different ranks of the codebook precoded CSM

5.7.3 Advantages and disadvantages

Advantages Different ranks can be supported which instruct of adaptive rank selection. limited feedback signaling. Precoder can be selected by the eNodeB.

Disadvantages Suboptimal precoding. Requires partial channel knowledge. Interuser and interstream interference are still present.

5.8 Combined collaborative MIMO and space frequency block codes (SFBC) for the uplink of the LTE-advanced 5.8.1 Algorithm description
To achieve spatial diversity and spatial multiplexing jointly without a need of any feedback signaling, a novel combined scheme of SFBC and collaborative spatial multiplexing is proposed [73]. In this scheme, each user equipped by 2 antennas will precode its signal by the well known frequency domain version of the orthogonal Alamoutis matrix [74], [75] , which will result in encoding each two successive subcarriers for the user as ( ) 1 2 ( )/ 2 ( + 1)/ 2 ( + 1) ( + 1)/ 2 ( )/ 2

(5.25)

The result of SFBC precoding of each user will achieve transmit spatial diversity and orthogonal substream transmission. The result of SFBC will be transmitted collaboratively across same time and frequency grid which corresponds to spatial multiplexing. Considering the case of 2 users x 2 receiving antennas, then the received signal at the subcarrier would be

94

11 21

13 12 22 23

14 24

1 ( ) 1 ( + 1) + () 2 ( ) 2 ( + 1)

(5.26)

Where is 2x4 MIMO channel which will be assumed to be quasi static over every two successive subcarriers, similarly the received signal at the ( + 1) would be 1 ( + 1) 1 () + 1 = + ( + 1) 2 ( + 1) 2 ()

(5.27)

Then the receiver will now exploit the inherent orthogonality of the SFBC encoding ,the receiver will do the following multiplication, conjugate and Hermitian processes to have
11 14 1 21 24 2 = 11 14 1 + 1 21 24 2 + 1

(5.28)

where 1 , 2 are the received signals along the subcarrier on antenna 1 and antenna 2 respectively. Apparently we can exploit the full diversity of the collaborative system per user and also exclude the interstream interference as we make a specific linear combination of the rows of . To maximize the diversity of 1 , add the following 1 = 1 + 5 + 10 + 14 =
11 2 + 12 2 21 2 + 22 2

1
+ 12 14 + 22 24 2 12 13 22 23 2

+ +

11 13 11 14

+ +

21 23 21 24

= 1 1 + 2 + 2 + 1

(5.29)

Equation (5.29) shows the exclusion of interstream interference 1 ( + 1) and exploiting all the spatial channels experienced by 1 .Similarly, To maximize 1 + 1 , 2 , 2 ( + 1) to have 2 , 3 , 4 respectively as 2 = 2 + 6 9 13 3 = 3 + 7 + 12 + 16 4 = 4 + 8 11 15 (5.30)

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Then the equivalent transmission scheme can be written as quasi-orthogonal system of equations as 1 () 1 1 0 0 1 1 ( + 1) = 2 2 0 3 2 () 0 2 ( + 1) 4 2
( ) ( ) 2 + 24 2

(5.31)

where 2 =

13

+ 14

+ 23

Then the estimate of the received subcarriers will be = () ( ) (5.32)

The scheme makes use of inherent spatial diversity shown in 1 , 2 , doubles the spectral efficiency (4 symbols x2 subcarriers) with no CSI at the transmitting end. Note that the selectivity of channel is a main issue in this scheme because the channel gains are assumed to be constant over two successive subcarriers, so highly selective channel will degrade the whole performance of the scheme. It is worth saying that extending the scheme for 2 users x 4 receiving antennas at eNodeB to achieve higher diversity order is quite simple with only extensions of , , 1 , 2 , , to acquire the extra channels. To prevent system from severe degradation in performance in case of highly selective channels simple averaging of channel gains over and ( + 1) subcarriers as = 1 2 + + 1 (5.33)

5.8.2 Results and discussions

To show the ideal performance of SFBC precoded CSM, we will work on channel delay spread=1 with the same 16QAM modulation to ensure flat channel gains over each 2 successive subcarriers.

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SFBC precoded CSM Vs. unprecoded CSM SFBC 2 users , 2 Tx ant. , SFBC 2 users , 2 Tx ant. , unprecoded 2 users , 4Rx unprecoded 2 users , 2Rx 2Rx ant. 4Rx ant. ant. ant.

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Figure 56 SFBC precoded CSM Vs. unprecoded CSM

Figure 56 shows a comparison between unprecoded CSM and SFBC precoded CSM , results reveal that the SFBC precoding outperforms the ordinary CSM by 5dB for target BER of 10-5 for eNodeB having 4 receiving antennas and 7dB for eNodeB having 2 receiving antennas.
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Figure 57 Effect of selectivity along SFBC precoding

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Figure 57 shows the effect of selectivity on the SFBC precoded CSM system. Two factors are controlling the performance, the frequency diversity and the flat frequency gain over each two successive subcarriers. So the performance is improved when the selectivity is increased till 1 (medium selectivity) and then the subcarriers gains will become different, so an error floor will be introduced for channels have selectivity more than 3.5.
Comparison between presented precoding schemes 10 10 10
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-6 ref erence curv e f lat f ading without precoding 2x4 antennas SFBC precoding 2 users x 4 receiv e antennas -7 Codebook precoding 2 user x 4 ant. rank 1 SVD precoding 2 users x 4 ant. rank 2

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unprecoded rank 2 and codebook precoded rank 2

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Figure 58 comparison between the presented precoding schemes

Figure 58 shows comparison between the presented precoding schemes , simulation results reveals that for rank 1 transmission in flat fading channel , SFBC precoding and codebook precoding are almost identical , and outperforms the unprecoded system by more than 3dB at a target BER=10-5, so SFBC in this case is preferred due to the no CSI needed at the transmitter. For rank 2 the SVD precoding outperforms the codebook precoding by 2.5dB.

5.8.3 Advantages and disadvantages

Advantages Outperforms the ordinary CSM. No need for channel knowledge at the transmitter (blind precoding) Make use of the MIMO enhancements of the LTE-advanced. Simple inversion receiver.

Disadvantages Performance enhancement is limited to low and medium selective channels only.

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Fixed rank transmission .

5.9 Effect of precoding to other equalization techniques

In this section other multiuser equalization techniques which are previously presented in chapter (3) and chapter (4) are studied when accompanying the precoding schemes presented in this chapter.
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Effect of different equalization techniques accompanying codebook precoding 2users , 4Tx ant. , rank 1 , 8 receiving antennas SIC equalization simplified IGML equalization MMSE equalization

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Figure 59 Different Multiuser equalization Techniques for codebook precoding scheme

Simplified IGML solutions presented in chapter 4 will be in the order of ( ). Simplified IGML is a user by user separation by means of or -decomposition of the equivalent channel matrix obtained in equations (5.21) and (5.31). SIC based system will be the same as presented in chapter (3) but the interference will be regenerated assuming the channel matrix is the equivalent channel matrix presented in also equations (5.21) and (5.31). Figure 59 shows that SIC-based equalizer coincides with the MMSE base equalizer. Because the SIC performance is dependent on the SINR, and for precoded system most of the interference components are excluded and hence slight enhancement in performance can be expected. The QR based IGML receiver outperforms the MMSE equalizer by 1dB. The cost is the increased complexity of checking the error metric of all possible constellation points.

5.10 Conclusions
In this chapter, we studied the new MIMO enhancements introduced to the uplink of LTE-advanced standard.

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Three precoding schemes are proposed to the CSM system The SVD precoding based CSM is the optimal precoding scheme and achieves the capacity of the resulting system; however it requires full channel knowledge at the transmitter. It excludes the interstream interference but cannot count for the interuser interference. Its performance is enhanced by increasing of the selectivity of the channel. The codebook precoded CSM is a suboptimal precoding which can limit the feedback information to the transmitter and enables eNodeB to select the proper precoder. Three precoder selectors are presented in this chapter and we conclude that a submatrix precoding outperforms the others by 1dB at minimum. The codebook precoded CSM supports adaptive rank transmission The SFBC precoded CSM performance is the same order of the codebook precoded CSM in case of low and medium selective channels with no need for the channel knowledge at the transmitter. The results instruct using adaptive precoding scheme, that works as follows o For low and medium selective channel use SFBC based precoding. o As selectivity increases , use the adaptive rank codebook transmission using the submatrix selection method. o As SNR is sufficiently high to use the full rank of the MIMO channel you can use the SVD-based precoding .

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CHAPTER SIX TURBO EQUALIZATION FOR UPLINK OF LTE-ADVANCED

6.1 Introduction
In this chapter, we introduce the TEQ technique as multiuser equalization technique for the collaborative MIMO system. So, we are getting softer capitalizing from the performance gains of turbo codes and the turbo decoding algorithm. The turbo equalization works as joint equalization and decoding which are done iteratively by passing the soft outputs generated by soft input soft output (SISO) equalizer to a SISO decoder and vice versa. This will enhance the overall link performance in expense of increasing of receivers complexity and receivers delay. The chapter is organized as the following, first we will give a short literature review about the TEQ technique, and then we will discuss the basic components of the TEQ receiver. The chapter will continue with presenting different multiuser equalization for the CSM system. Moreover we will extend this TEQ concept to precoded CSM system presented in chapter 5. We will also generalize the SFBC receiver in chapter 5 to operate in highly selective channels to maximize the frequency diversity exploited by the TEQ.

6.2 Literature review about Turbo Equalization Technique 6.2.1 Philosophy of TEQ and Douillards TEQ
The philosophy of TEQ relies on iteratively exchanging soft outputs between the SISO frequency domain equalizer and the SISO decoder, i.e., the TEQ relates the ISI channel as random serial concatenated channel coder. Turbo equalization was first proposed by Douillard et al. in 1995 in [42] for a serially concatenated convolutional-coded BPSK system, as shown in Figure 60. In this contribution, turbo equalization was shown to mitigate the effects of ISI, when having perfect channel impulse response information. Instead of performing the equalization and decoding independently, in order to overcome the channels frequency selectivity, better performance can be obtained by the turbo equalizer, which considers the discrete channels memory and performs both the equalization and decoding iteratively

Figure 60 Douillard's TEQ

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The basic philosophy of the original turbo equalization technique stems from the iterative turbo decoding algorithm consisting of two SISO decoders, a structure which was proposed by Berrou et al. [38].As mentioned previously, the original turbo equalizer consists of a SISO equalizer and a SISO decoder. The SISO equalizer in Figure 60) generates the a-posteriori probability upon receiving the corrupted transmitted signal sequence and the a-priori probability provided by the SISO decoder. However, at the initial iteration stages . i.e. at the first turbo equalization iteration . No a-priori information is supplied by the channel decoder. Therefore, the a-priori probability is set to 1/2, since the transmitted bits are assumed to be equiprobable. Before passing the a-posteriori information generated by the SISO equalizer to the SISO decoder of Figure 14.2, the contribution of the decoder. In the form of the a-priori information. The removal of the a-priori information is necessary, in order to prevent the decoder from receiving its own information, which would result in the so-called positive feedback phenomenon.Overwhelming the decoders current reliability estimation of the coded bits, i.e. the extrinsic information which will prevent the channel equalizer from receiving information based on its own decisions, which was generated in the previous turbo equalization iteration. The combined channel and extrinsic information is channel deinterleaved and directed to the SISO decoder. The iterative process is repeated until the required termination criterias are met. At this stage, the a-posteriori information of the source bits, which has been generated by the decoder, is utilized to estimate the transmitted bits.

6.2.2 Literature review of TEQ methods

In this section, we present a brief review about previous work on TEQ. TEQ was originally proposed by Douillard et al. [42] with the purpose of mitigating the effects of inter-symbol interference using an MLSE (Maximum Likelihood Sequence Estimation) equalizer. Tuchler [76] proposed the turbo equalization based on both MMSE and DFE equalizer with the advantage of reducing the receiver complexity. Combined turbo coding equalization and decoding has been studied in [77], whereas in [78], turbo equalization has been extended for multi-level modulation schemes. In all of these papers, the equalization is performed in the time domain. Tuchler et al. proposed a frequency domain equalizer with fixed coefficients solution, and with lower complexity [79]. The proposed turbo equalization in this chapter follows the principles explained in [80], but the equalization is performed through a frequency domain soft interference cancellation (SIC) equalizer as [81].

6.3 System model modifications and Turbo Equalizer main components

In this chapter, we will work generally with the system model presented in section 5.5 (Figure 46 UEs transmitter block diagram). However, we will assume coded operation for this CSM system. i.e. The data of the k th user is independently processed as the following , first each user will have independent data streams (called rank of transmission), NT , i the ith layer data stream is encoded by turbo encoder to have ck (n) .The output systematic and parity bits are interleaved by random interleaver, then punctured to desired rate R to

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i have ck (n) .A group of m interleaved coded bits are symbol mapped to have the modulated i symbols yk . Then, the rest of the system model of section 5.5 is reused.

Moreover, The TEQ principle relies on exchanging the soft decisions back and forth between the equalizer and the decoder. This requires some modifications for both demodulator and decoder to accept and provide this soft information, because the process of making hard decisions on the channel symbols destroys the information pertaining to how likely each of the possible channel symbols might have been [80].

6.3.1 Subblock interleaver and rate matching (RM)

In order to improve the performance of the error correction coding, by spreading out any burst errors that might occur in the channel, an interleaver is used to scramble the data, in order to ensure that such errors appear random and to avoid long error bursts. The interleaver is used to randomize the order of the code bits prior to transmission. This process is completely reversible, and is simply mirrored in the receiver. In our model, the rate 1/3 turbo code generates a stream of systematic bits, a stream of parity bits from the first constituent convolutional code (parity 1 bits), and a stream of parity bits from the second constituent convolutional code (parity 2 bits). Each of these three streams is interleaved separately by random subblock interleavers. The LTE standard [31],[1] as shown in Figure 61 performs rate matching by using circular buffer to offer different and adaptive Modulation and Coding Schemes (MCS).This can be done by interlacing parity 1 and parity 2 streams, each transmission reads bits from the buffer, starting from an offset position and increasing the bit index. If the bit index reaches a certain maximum number, the bit index is reset to the first bit in the buffer. In other words, the buffer is circular.

Figure 61 LTE rate matching

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6.3.2 Soft demodulator with priors (SISO demapper)

To provide SISO demodulator as shown in Figure 62 , the demodulator should be fed by the output of the equalizer of previous decoding stages. . () and the a priori LLRs , The demodulator will then calculate the a posteriori LLRs ( ()) which corresponds to the LLR of bit of the symbol of the layer of user (simply written as ) shown in [39]

: =0 exp : =1 exp

. () . ()

2 2

2 2

=1 Pr =1 Pr

= | = | (6.1)

where .

The correspondence between the decoder LLRs and the a priori probability can be calculated as Pr = | =

1 1 + 1 2 tanh 2 2 (6.2)

where {0,1}. The previous demodulator can be approximated by converting (6.1) into logarithmic scale and finding the dominant term in both summations as
. () = max 2 : =0 . () max 2 : =1 2

+
=1 2 m

logPr = |

+
j=1

logPr = | (6.3)

where logPr . is the logarithmic probability metric of the corresponding a priori LLRs calculated as logPr = | = log 1 + exp( 2 1 . )

(6.4)

SISO demapper
. ()

Figure 62 SISO demapper idea

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6.3.3 Soft mapper (SISO mapper)

The SISO mapper in Figure 63 SISO mapper idea outputs the mean constellation symbol based on the a priori LLRs given by the turbo decoder. This will provide a slight cancellation gains with respect to hard mapping. The output of the SISO mapper is calculated in [81]

=1

Pr = | (6.5)

where the summation is carried out over all the possible modulation symbols of the signal set .i.e. the SISO mapper will generate the conditional probability density distribution of the transmitted symbols given the decoder LLRs and outputs the statistical average. The SISO mapper should also give a statistical insight about the reliability of its output, that is provided by calculating the variance of the soft symbols for a given time slot having symbols as 1

.

=1

(6.6)

SISO mapper
2

Figure 63 SISO mapper idea

6.3.4 SISO decoder

In turbo equalization the SISO decoder block accepts soft inputs from the SISO equalizer and gives LLRs of systematic and parity bits [39]. This can be done by modifying the turbo decoder to have three soft outputs based on the transitions of the trellis of the constituent encoder in Figure 64 Trellis diagram of one constituent encoder of the 3GPP LTE [82] .The LLR of each coded bit individually can be calculated as

, =+1 , : =1

exp(1 + n , + ) exp(1 + n , + ) (6.7)

Where , are forward and backward recursion values respectively and n , is transition metric between , states.

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Figure 64 Trellis diagram of one constituent encoder of the 3GPP LTE

6.4 TEQ Techniques for CSM of the LTE uplink 6.4.1 Soft -PIC based Turbo Equalization (Soft PIC-TEQ)
6.4.1.1 Motivation The philosophy of TEQ relies on iteratively exchanging soft outputs between the SISO frequency domain equalizer and the SISO decoder, i.e. the TEQ relates the ISI channel as random serial concatenated channel coder. The problem in CSM is that users data are mixed together in the channel, so soft parallel interference cancellation (PIC-TEQ) seems to be attractive [83].

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6.4.1.2 Algorithm description

Figure 65 proposed eNode B 2 users PIC-TEQ

The PIC-TEQ in Figure 65 proposed eNode B 2 users PIC-TEQ works as the following: 1. First, Separate the users data using MMSE equalization as (3.31) 2. These decisions would be fed to the SISO demapper shown in (6.4) with zero initialized corresponding to absence of a priori information in the first , iteration. This will result in to have the demodulator soft outputs ( ()) 3. The output of the demapper is rate dematched (not shown explicitly in figure) by inserting zeros corresponding to lack of a priori information in the positions of punctured bits. 4. The output of the rate dematcher is decoded by SISO turbo decoder defined in (6.7) to have which will be further soft mapped using soft mapper as (6.5) , (6.6) to 2 have the soft symbols and statistical variance . 5. DFT the output soft symbols to have () which corresponds to soft estimate of all users data carried on the subcarrier and start the soft PIC stage by reconstructing the interference and subtract it from the channel symbols to have the layers data on subcarrier during the equalizing iteration
, = { } { }

()

{ }

( )

(6.8)

where = {1,2, . . , } , are the columns of () except column of equivalent channel corresponding to users channel.

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6. Two issues concerned about the output of the soft PIC . First, the output of the canceller should be combined together from all antennas. Second, residual error after cancellation should be taken into account, this can be done by filtering the output of PIC by soft combiner filter
, 1 , ( ( ) ( ) + 1/ ) . =

(6.9)

where denotes the residual interference power matrix of the iteration = (1 , 2 , ) where the is given by 1 = 1 2 = (6.10)

, 1

7. The output of the soft PIC are fed to SISO demapper with the knowledge of of the zeroth iteration 8. Steps 2 to 5 are repeated iteratively for specific number of iterations or till the cyclic redundancy check (CRC) has been successful to minimize the complexity of PIC-TEQ 6.4.1.3 Results and discussion
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Figure 66 performance of PIC-TEQ for conventional CSM with 2 users using different MCS

Figure 66 shows that the PIC-TEQ achieves a 1dB gain for the MCS QPSK . The power efficiency will be enhanced for 16QAM modulation to have 2.5dB gain over the conventional MMSE equalization. The gain will be decreased for weaker channel coding rates like 5/6 in accompany with the 64QAM 4/5to be 1.5dB gain.

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Effect of channel selectivity on PIC-TEQ of CSM system of 2 users with 16QAM 3/4 flat fading MMSE 1us MMSE 5us MMSE 15us MMSE flat fading TEQ 3 iterations 1 us TEQ 3 iterations 5 us TEQ 3 iterations 15us TEQ 3 iterations

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Figure 67 channel selectivity effect on the PIC-TEQ for the conventional CSM with 2 users using 16QAM

Figure 67 channel selectivity effect on the PIC-TEQ for the conventional CSM with 2 users using 16QAM . The figure reveals the dependency of SC-FDMA systems on the frequency diversity attained from higher channel selectivity. The results reveal that the TEQ gain increases gradually upon increasing selectivity to have 5dB gain at delay spread of 1s compared with 1dB for flat fading channels. The TEQ gains will be then decreased for higher delay spread due to exploiting the full fledge of the frequency diversity through the channel code. 6.4.1.4 Advantages and disadvantages Advantages Achieves 2.5dB gain over the ordinary CSM for moderate MCS. Achieves 1.2dB gain over the initial guess ML proposed in chapter 4. Exploits the frequency diversity of the moderate selective channels more efficiently than ordinary MMSE equalization

Disadvantages Excessive eNodeB receivers complexity due to the need of DFT, and turbo decoding the stream in each iteration. Performance is sensitive to high order MCS (ex.64QAM 4/5) and optimized for moderate rates.

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6.4.2 Soft initial guess Maximum likelihood receiver (Soft single IGML) extension to PIC-TEQ
6.4.2.1 Motivation The PIC-TEQ scheme presented in the previous section will be performed till ensuring that the CRC of one of the users data is correct. In this case we still have the opportunity to decrease the erroneous symbols of the other user by means of simpler version of the IGML receiver presented in chapter 4 .The scheme here will take advantage of separating the correct users data which result in IGML complexity relaxation and better initial guess for the input symbols obtained by PIC-TEQ as initial guess equalizers performance is closely related to the quality of the guess. Moreover, a priori information from PIC-TEQ will be used in the final soft demodulation as (6.4) [85]. 6.4.2.2 Algorithm description The scheme works as extension of PIC-TEQ presented in previous section. The scheme will accept the soft symbols from the output of the PIC-TEQ and consider it the initial guess of the receiver, cancels the correct users data from the channel symbols , according to (6.8) to have . Then, perform a symbol-by-symbol exhaustive search as: Test all constellation values for the first symbol only while fixing other symbols to their initial guess, and DFT the new SC-FDMA symbol to obtain . Find the ML solution that corresponds to the minimum error metric along all subcarriers as follows 2 , () = argmin (6.11) =1 ( ) By this, the first symbol is optimally detected, so fix the value of first symbol to () and repeat the last two steps to all other symbols. The output is soft demodulated using (6.4).

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6.4.2.3 Results and discussion

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Figure 68 performance comparison between MMSE , PIC-TEQ and single user ML-based TEQ

Figure 68 performance comparison between MMSE , PIC-TEQ and single user ML-based TEQ shows performance comparison between MMSE , PIC-TEQ and single user ML-based TEQ for QPSK as MCS. The results show that the two users based IGML presented in chapter 4 is better by 0.5dB from the ordinary MMSE. For the PICTEQ, it achieves 1dB from MMSE when using 5 iterations. Better performance can be attained by using one iteration TEQ and providing the single user ML presented in this section. That will boost the performance by extra 0.5 with less number of iterations. 6.4.2.4 Advantages and disadvantages Advantages Achieves 1.5dB gain over ordinary MMSE and 0.5dB for 5 iterations PIC-TEQ Works as performance booster of the PIC-TEQ. Benefits from the higher quality initial guess from the TEQ-PIC instead of ordinary MMSE initial guess in chapter 4. Can possibly decrease the number of iteration required by the PIC-TEQ (one iteration is almost sufficient , if the PIC-TEQ is preceded by the single IGML)

Disadvantages The increase of receivers complexity due to the Brute-force search along all constellation symbols which could be difficult for higher modulation orders

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6.5 TEQ Techniques for Precoded CSM of the LTE-advanced 6.5.1 PIC-TEQ for SFBC precoded CSM in highly selective channels
6.5.1.1 Motivation In this section, we will generalize the scheme presented in section 5.8 to propose a novel MMSE receiver for SFBC that works in highly selective channels and then apply the PIC-TEQ presented in 6.4.2 as power efficient multiuser equalization technique. That will provide full spatial and frequency diversities that can be exploited by means of TEQ instead of operating the scheme in flat fading channel as 5.8 and misses the frequency diversity [85] 6.5.1.2 Algorithm description In this scheme, each user equipped by 2 antennas will precode its signal by the well-known frequency domain version of the orthogonal Alamoutis matrix [13] .This will result in encoding each two successive subcarriers for the user as 1 () 2 2 ( + 1) 2 ( + 1) 2 () 2

(6.12)

The result of SFBC precoding of each user will achieve transmit spatial diversity. The result of SFBC will be transmitted collaboratively across same time and frequency resource block, which corresponds to spatial multiplexing. Considering the case of 2 users x 2 receiving antennas, then the received signal at the subcarrier would be
11 21 13 12 22 23 14 24

1 ( ) 1 ( + 1) + () 2 ( ) 2 ( + 1)

(6.13)

where is 2x4 MIMO channel. Similarly the received signal at the ( + 1) would be 1 ( + 1) 1 () + ( + 1) 2 ( + 1) 2 () (6.14) Then, the receiver will utilize the inherent diversity of the SFBC by performing the following multiplication, conjugate and Hermitian processes to have

+ 1 =

+1 11 +1 21

+1 +1 13 12 +1 +1 22 23 +1

+1 14 +1 24

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 11 14 1 21 24 2 = +1 +1 11 14 1 + 1 +1 +1 21 24 2 + 1

(6.15)

where 1 , 2 are the received signals along the subcarrier on antenna 1 and antenna 2 respectively. To maximize the diversity order of 1 , the rows of are combined in the following order 1 = 1 + 5 + 10 + 14 2 2 +1 2 +1 = 11 + 21 + 12 + 22
2

+1 +1 +1 +1 + 11 12 + 21 22 12 11 22 21 1 + 1 +1 +1 +1 +1 + 11 13 + 21 23 + 12 14 + 22 24 2 +1 +1 +1 +1 + 11 14 + 21 24 12 13 22 23 2 + 1

= 1 1 + 1 1 + 1 + 1 2 + 1 2 + 1 (6.16) Similarly, the diversity order of the preceding symbols 1 + 1 , 2 , 2 ( + 1)is maximized to have 2 , 3 , 4 respectively by the following linear combinations 2 = 2 + 6 9 13 3 = 3 + 7 + 12 + 16 4 = 4 + 8 11 15 (6.17)

Then, the equivalent transmission scheme can be written as symmetric system of equations as 1 1 1 1
12 2

1 2 2 2
2

1 2 3 2

( )

1 () 1 1 2 1 ( + 1) 2 = 2 3 2 () 4 ( + 1) 4 2
( ) 2 +1 + 22 2 2

(6.18)

where 2 = 3 =
13 2

+1 + 21 + 12 2 2

+1 + 23 + 14

+1 + 24

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 +1 +1 4 = 14 + 24 + 13 + 23 , correspond to exploiting the resultant full diversity branches over space and frequency. The , and represent multiuser and multistream interferences respectively as +1 +1 +1 +1 2 = 12 14 + 22 24 + 11 13 + 21 23 +1 +1 +1 +1 2 = 12 13 + 22 23 11 14 21 24 +1 +1 +1 +1 2 = 13 14 + 23 24 14 13 24 23

The estimate of the received subcarriers can be readily obtained by frequency domain MMSE equalization as
1 = ( ( ) ( ) + 1/ ) ( )

(6.19)

For flat fading channels and quasi static channels over every two successive subcarriers + 1 , then the above scheme can apparently exploit the full diversity of the CSM per user and also exclude the interstream interference. i.e. 1 = 2 = 0 and the transmission matrix (6.18) can be relaxed to be a quasi orthogonal channel with 2 = 1 , 2 = 1 as scheme presented in 5.8 To apply the PIC-TEQ to the SFBC precoding presented in 6.4.2 then we will do 2 the first four steps of getting the and statistical variance then DFT the output soft symbols to have () which corresponds to soft estimate of all users data carried on the subcarrier and start the soft PIC stage by reconstructing the interference and subtract it from the channel symbols () in case of SFBC
, = ( ) { }

( )

{ }

( )

(6.20)

where = 1, ,4 are the set of symbols indices and the columns of ( ) except column of equivalent channel corresponding to users channel. Then we will perform filtering the output of PIC by soft combiner filter in (6.9),(6.10) .The output of the soft PIC is fed to SISO demapper with the knowledge of of the zeroth iteration.Steps are repeated iteratively for specific number of iterations or till the CRC has been successful to minimize the complexity of PIC-TEQ We can also provide the extension of IGML in section 6.4.2 to achieve better performance.

{ } are

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6.5.1.3 Results and discussions

spce frequency block code precoding with 2 users CSM and 2 Tx antennas for each user , 2 antennas at the receiver

10

-1

10

-2

QPSK 1/2

16QAM 3/4

64QAM 4/5

BER

10

-3

unprec. 1Tx 2Rx QPSK 1/2

10

-4

unprec. 1Tx 2Rx 16QAM 3/4 unprec. 1Tx 2Rx 64QAM 4/5 SFBC 2Tx 2Rx QPSK 1/2 av eraging SFBC 2Tx 2Rx QPSK 1/2 MMSE SFBC 2Tx 2Rx QPSK 1/2 TEQ 3 iterat. SFBC 2Tx 2Rx 16QAM 3/4 av erag. SFBC 2Tx 2Rx 16QAM 3/4 MMSE SFBC 2Tx 2Rx 16QAM 3/4 TEQ 3 iterat. SFBC 2Tx 2Rx 64QAM 4/5 MMSE

10

-5

10

-6

SFBC 2Tx 2Rx 64QAM 4/5 TEQ 3 iterat.

-15

-10

-5

5 Eb/No

10

15

20

25

Figure 69SFBC precoded 2x2 CSM with different MCS and equalization

Figure 69SFBC precoded 2x2 CSM with different MCS and equalization shows the performance enhancement gains obtained upon using SFBC precoding of 2 users CSM system and 2 receiving antennas for different MCS and the corresponding equalization techniques. The results reveal that at target BER of 10-4 ,the proposed PIC-TEQ with 3 iterations accompanied with SFBC precoding provides an impressive gains of 3,4.5 and 5dB over the ordinary 2x2 CSM system (dotted line) for QPSK 1/2 ,16QAM 3/4 and 64QAM 4/5 respectively. The figure also shows that the performance of the SFBC receiver that uses the average channel gains, and ignores the multistream interference will have slight degradation in performance when working along QPSK modulation (0.5dB) , while the scheme will be more sensitive when working with 16QAM modulation (inferior by 2.5dB). Proposed TEQ outperforms the proposed MMSE receiver for SFBC precoding in case of highly selective channels as (6.18) by 1, 1.8 and 2dB for QPSK, 16QAM and 64QAM respectively in expense of increasing the receiver complexity of the eNodeB. Figure 70 shows the performance of turbo equalization based receiver while suiting the receiver by 4 receiving antennas. The results show slight enhancements with respect to the case of two antennas, because the SINR in case of 4 antennas is increased according to the higher diversity order which will result in less possible interference cancellation gains.

115

10

performance of SFBC precoding with 4 receiving antennas and corresponding equalization techniques

10

-1

10

-2

10
BER

-3

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-4

10

-5

10

-6

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-7

QPSK 1/2 TEQ 3 iterations 16QAM 3/4 MMSE averaging 16QAM 3/4 TEQ 3 iterations 16QAM 3/4 MMSE selective 64QAM 4/5 MMSE selective 64QAM 4/5 TEQ 3 itartions -10 -5 Eb/No 0 5 10

-15

Figure 70performance of SFBC precoding with 4 receiving antennas and corresponding equalization techniques

TEQ iterations effect on SFBC with 2 receiving antennas 10

-3

BER

10

-4

10

-5

2 iterations

Figure 71 TEQ iterations effect on SFBC precoded CSM with 2 receiving antennas Eb/No=11dB

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Figure 71 TEQ iterations effect on SFBC precoded CSM with 2 receiving antennas Eb/No=11dB shows considerable BER enhancement while moving from MMSE equalization (0 iterations) to TEQ with1 iteration. The enhancement gain decreases until it becomes zero at 4 iterations.
10
0

Effect of channel selectivity on TEQ of SFBC precoded CSM

10

-1

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-2

10
BER

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10

-4

10

-5

10

-6

10

-7

MMSE equalization flat fading 1 us MMSE 5 us MMSE 15 us MMSE TEQ 3 iterations flat fading 5 us TEQ 3 iterations 15 us TEQ 3 iterations 0 5 10 Eb/No 15 20 25 30

-5

Figure 72 Effect of channel selectivity on TEQ of the SFBC precoded CSM

Figure 72 Effect of channel selectivity on TEQ of the SFBC precoded CSM .It shows that the modified MMSE equalizer presented here benefits from the channel selectivity in contrast of the SFBC receiver presented in the previous chapter , However as the selectivity increases , the multistream interference also increases and hence slightly degrades the performance (as we moved from 5s to 15s selectivity). Results also show that as the selectivity of the channel increases the TEQ gains compared with the MMSE equalization become larger (0.8dB in case of flat fading in comparison with 1.8dB in case of 5,15 s). 6.5.1.4 Advantages and disadvantages Advantages Tremendous precoding gain without need of CSI at the transmitter (5dB for 2 receiving antennas and 12dB for 4 receiving antennas) Enhanced equalization gains using TEQ. Enhancement in performance for moderate number of iterations (3 for example) Less susceptible to channel selectivity with respect to the scheme in chapter 5.

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Disadvantages Excessive complexity of eNodeB receiver. Increase complexity of the UE by employing 2 transmitting antennas Degradation in performance in very high selectivity.

6.5.2 PIC-TEQ for Codebook and SVD precoded CSM

6.5.2.1 Motivation To achieve the capacity maximizing precoding scheme, SVD precoding presented in section 5.6 provides transmitting users layers on the strongest eigenmodes provided full CSI of the MIMO channel. In the case of limited CSI is only available or in case of signaling the precoder from eNodeB, SVD precoding cannot be used and codebook precoding presented section 5.7 is preferred. However, in CSM we can only provide an individual precoding for each user alone which result in multiuser interference. Then, the PIC-TEQ can be efficient multiuser equalization technique for separating users data. So in this section we will present how PIC-TEQ can be used as multiuser equalizer for precoded CSM [85]. 6.5.2.2 Algorithm description Same PIC-TEQ can be used accompanied with the SVD and codebook precoding with noting the following First, the equivalent channel will be modified according the used precoding scheme as in SVD precoding = [ ] (6.21)

And in case of codebook precoding the equivalent channel would be = [ ] (6.22)

Second , the cancellation procedure will be applied on channel symbols in case of having layers data on subcarrier during the iteration in case of codebook and SVD precoding as
, = { }

()

{ }

( )

(6.23)

where = {1,2, . . , }. Then the rest of PIC-TEQ can be reused again.

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6.5.2.3 Results and discussions

codebook and SVD submatrix precoding 16QAM 3/4 for 2 users CSM

10

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BER

-3
unprec. 1Tx 2Rx

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-4

unprec.rank 1 2Tx 4Rx prec./unprec. rank 2 2Tx 4Rx unprec. rank 1 4Tx 8Rx unprec. rank 2 4Tx 8Rx

10

-5

unprec. rank 3 4Tx 8Rx prec./unprec. rank 4 4Tx 8Rx codebook rank 1 2Tx 4Rx

10

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codebook rank1 4Tx 8Rx codebook rank 2 4Tx 8Rx codebook rank 3 4Tx 8Rx SVD rank 2 2Tx 4Rx

10

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SVD rank 4 4Tx 8Rx

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0 Eb/No

10

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Figure 73 Codebook and SVD precoding for 16QAM transmission and different rank/antenna configurations and 1 iteration TEQ

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Comparison between differenr rank 1 precoding for 16QAM 3/4 transmission 2 users CSM system and their corresponding receivers

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SFBC 2Tx 2Rx MMSE SFBC 2Tx 2Rx TEQ 3 iterat. SFBC 2Tx 4Rx averaging SFBC 2Tx 4Rx TEQ 3 itera.

10

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SFBC 2Tx 4Rx MMSE codebook 2Tx 2Rx MMSE codebook 2Tx 2Rx TEQ 3 iterat. codebook 2Tx 2Rx TEQ+ML codebook 2Tx 4Rx MMSE codebook 2Tx 2Rx TEQ+ML

10

-7

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5 Eb/No

10

15

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Figure 74 Comparison between presented precoding and equalization techniques for 16QAM rank 1 transmission

Figure 73 shows the performance of codebook and SVD precoded 2 users CSM system when operating on fixed MCS (16QAM 3/4) with different rank and antenna configurations and using MMSE receiver equipped by 4 receiving antennas and 1 iteration PIC-TEQ. When users are equipped by 2 antennas, rank 1 codebook precoding achieves 2.5dB gain over the unprecoded (dotted line) system. For rank 2, transmission is equivalent to unprecoded system, so no performance gain is achieved, however SVD precoding will remarkably achieve a 9dB gain in expense of excessive CSI required at the transmitter which requires unlimited feedback channel. Moreover , for users equipped by 4 transmitting antennas and 8 receiving antennas, rank 1 transmission will now having a BER=10-4 at extremely low Eb/No (-2.5dB) and outperforms the unprecoded system by 3dB. For rank 2 codebook transmission the performance coincides with rank1 with 2 transmitting antennas. Rank 3codebook precoded system will achieve a 5dB gain over the equivalent unprecoded system. SVD precoding for rank 4 transmissions will provide a substantial precoding gain of 16dB. Figure 74 demonstrates a comparison between all presented precoding and equalization techniques for 16QAM rank1 transmission. The red dotted curve corresponds to basic 2 users CSM system, the solid curves denote SFBC precoding presented before in fig.1. The figure reveals that rank 1 codebook transmission outperforms the SFBC precoding by 1, 1.2dB gains for MMSE and TEQ receivers respectively. The gain achieved here in expense of the feedback channel required for the codebook precoding in comparison with zero CSI required in case of SFBC. The leftmost curves correspond to same results with 4 receiving antennas. The figure shows that because of high diversity order of the channel the TEQ performance gains will be decreased to

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0.3dB. The purple curves show the IGML gain boost. The IGML gives a 0.7dB boost over the TEQ in expense of excessive receiver complexity
PIC-TEQ for rank 1 codebook transmission with 2 Tx ant. and 2 Rx ant CSM system with 2 users working with different MCS
QPSK 1/2 MMSE 16QAM 3/4 MMSE 64QAM 4/5 MMSE
-1

10

10

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Figure 75 PIC-TEQ of codebook precoded CSM of 2 users of with 2Tx antennas and 2 Rx antennas with different MCS

Figure 75 shows the performance of PIC-TEQ of codebook precoded CSM of 2 users of with 2 transmitting antennas and 2 receiving antennas with different MCS. The figure shows 1.2dB, 2.5dB and 2dB for QPSK, 16QAM and 64QAM respectively. Figure 76 shows the effect of channel selectivity on the performance of codebook precoded CSM of rank 1 with 2 transmitting antennas and 2 Rx antennas with 16QAM 3/4 MCS. The figure shows the same effect of selectivity on PIC-TEQ of unprecoded CSM. Figure 77 shows the TEQ iterations effect for ordinary, SFBC and rank 1 codebook transmission at 11dB. The results show that the TEQ performance will saturate after few iterations (3 or 4), this occurs due to positive feedback phenomenon. The figure also shows that in case of unprecoded system, the 11dB is not sufficient to produce reliable a posteriori decisions, so the system will saturate from the first iteration (0 iteration means MMSE only).

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10

Effect of channel selectivity on the performance of codebook precoded CSM of rank 1 2 Tx ant. and 2 Rx ant, flat fading MMSE 1us MMSE 15us MMSE flat fading TEQ 3 iterations 1 us TEQ 3iterations 15us TEQ 3 iterations

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Figure 76 Effect of channel selectivity on the performance of codebook precoded CSM of rank 1 with 2 transmitting antennas and 2 Rx antennas with 16QAM 3/4 MCS
Effect of changing numebr of iterations for TEQaccomapnying the presented precoding schems for 16QAM 3/4 transmission at E b/N0=11dB unprecoded 1Tx 2Rx CSM SFBC 2Tx 2Rx CSM codebook 2Tx 2Rx rank 1

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Figure 77 TEQ iterations effect for ordinary, SFBC and rank 1 codebook transmission at 11dB

2 Eb/No

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6.5.2.4 Advantages and disadvantages Advantages Different ranks can be supported which instructs of adaptive rank selection. Limited feedback signaling. Precoder can be selected by the eNodeB Tremendous equalization gains by using TEQ. Disadvantages Needs CSI at the transmitter Excessive receiver complexity

6.6 Conclusions
In this chapter, we have presented TEQ as promising technique of separating combined users data in CSM system. We focused on the soft parallel successive interference cancellation (PIC-TEQ) to exploit the soft information attained by MMSE equalization. The PIC-TEQ achieves a better power efficiency upto 5dB for moderate selective channels and moderate MCS. We also provide novel single user ML extension to be added after the PIC-TEQ as performance booster. It will achieve a performance gain by extra 0.5dB over the PIC-TEQ with just straight path PIC (one iteration) Better performance gains can be achieved if precoded CSM is used, so we have discussed the application of PIC-TEQ and its ML add-on to the precoded CSM system. The chapter also presents a detailed derivation for MMSE receiver of SFBC in highly selective channels. It was shown that PIC-TEQ assisted SFBC precoded CSM system is slightly inferior from same order codebook precoding in the expense of no CSI is needed.

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CHAPTER SEVEN CONCLUSION AND FUTURE WORK

7.1 Conclusion
In this thesis, the CSM system is proposed to increase the capacity of the LTE UL. We have proposed a near-ML receiver (IGML) which exploits the full diversity of the inherent frequency and spatial diversity of the virtual MIMO links. The scheme achieves almost 5dB power efficiency gains over the multiuser MMSE equalization technique in expense of exponential complexity which leads to intractable complexity in case 64QAM. We have also presented a simplified version of it based on the QR decomposition of the channel matrix which solves the ML problem in linear complexity scheme with negligible power efficiency loss in case of QPSK and 16QAM.We also proposed two ordering techniques to enhance the SIC receiver. Results show a considerable enhancement of power efficiency in case of shadowing environments and negligible performance gains in case of power controlled systems when using these ordering techniques. The results suggests to using IGML receiver or its simplification in a sense of reliable transmission .On the other hand, the thesis results advise to use the collaborative system in low speed, MMSE channel estimation, highly selective channels with equipping the eNodeB by number of receiving antennas exceeds the number of collaborative users. We have also exploited the multiple transmitting antennas in the uplink of the LTEadvanced. We have introduced a blind SFBC-based precoding which doesnt need any channel knowledge at the transmitter and derived a suitable receiver for it. We concluded that SFBC precoding performance almost coincides with codebook precoding for flat fading channel, the performance of the SFBC precoding degrades in case of moderate and high selective channels because of the assumption of flat channel gains over each two successive subcarriers. On the contrary, we compared three selection methods for suitable precoders and we found that the submatrix precoding technique outperforms the others because it exploits the full diversity of the MIMO channel. The performance of the codebook precoding is enhanced in case of high selective channel because an extra diversity source (frequency) exists. Also we introduce suboptimal SVD precoding for each of the collaborative users. Also the resultant spectral efficiencies are shown to exceed the target spectral efficiency of the LTE-advanced (15bits/s/Hz). The results instruct using adaptive precoding scheme that uses SFBC based precoding for low and medium selective channel. As selectivity increases, use the adaptive rank codebook transmission using the submatrix selection method. Finally as SNR is sufficiently high to use the full rank of the MIMO channel you can use the SVD-based precoding. Moreover, we have presented the turbo equalization technique (TEQ) as promising technique of separating combined users data in CSM system. We focused on the soft parallel successive interference cancellation (PIC TEQ) to exploit the soft information attained by MMSE equalization. The PIC-TEQ achieves a better power efficiency upto 5dB for moderate selective channels and moderate MCS. We also provide novel single user ML extension to be added after the PIC-TEQ as performance booster. It will achieve a performance gain by extra 0.5dB over the PIC-TEQ with just straight path PIC (one iteration) .Better performance gains can be achieved if precoded CSM is used, so we have discussed the application of PIC-TEQ and its ML add-on to the precoded CSM system.

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The chapter also presents a detailed derivation for MMSE receiver of SFBC in highly selective channels. It was shown that PIC-TEQ assisted SFBC precoded CSM system is slightly inferior from same order codebook precoding in the expense of no CSI is needed.

7.2 Future work

Detailed mathematical analysis of the proposed detection schemes (IGML QRIGML and PIC-TEQ). Study of the effect of the frequency hopping technique on the CSM system. Exploiting the orthogonal characteristics of the Zad-off Chu sequences in case of the imperfect channel estimation of the CSM system. Proposing and studying other detection schemes like belief propagation, greedy search and ML sequence estimators. Derivation of conditions of optimal power allocations of users and optimal reference signal arrangements. Proposing a joint technique that combine collaborative MIMO system with cooperative algorithms like (Amplify and forward, decode and forward etc.) Proposing a blind precoding scheme that dont need the knowledge of the other user data and still exploiting the full channel matrix knowledge in case CSM system. Discussing the imperfections of the CSM receiver like frequency offset error, phase shift error, users channel correlation . Etc. Studying the user pairing choice of the collaborative users.

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APPENDIX 1 LIST OF PUBLICATIONS

[1] Karim A. Banawan, Essam Sourour Enhanced SIC and Initial guess ML receivers for collaborative MIMO of the LTE Uplink, Vehicular Technology Conference (VTC2011-Fall), Sept. 2011. [2] Karim A. Banawan, Essam Sourour Combined Collaborative and Precoded MIMO for Uplink of the LTE-Advanced, The 29th National Radio Science Conference (NRSC 2012), pp.523-531, April 2012. [3] Karim A. Banawan, Essam Sourour Turbo Equalization of Precoded Collaborative MIMO for the Uplink of LTE-advanced, International Conference on Computing, Networking and Communications (ICNC 2013), submitted.

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