K.-L.

Du et al

Modern Wireless
Communications
March 5, 2008

Concordia University Montreal

Preface

In the last two decades, the explosive growth of mobile and wireless com-
munications has radically changed the life of people. Wireless services have
migrate from the conventional voice-centric services to data-centric services.
The circuit-switched communication network is now being replaced by all-
IP packet-switched network. Mobile communications have also evolved from
the first-generation (1G) analog systems to the third-generation (3G) systems
now being deployed , and the fourth-generation (4G) systems are now under
development and are expected to be available in five years. The evolution of
wireless networking also strides rapidly during this period, from low-speed
wireless local area networks (WLANs) to broadband WLANs, wireless wide
area networks (WWANs), and wireless personal area networks (WPAN). Also
broadband wireless data service has been expanded into broadcasting service,
leading to satellite TV broadcasting and the wireless regional area network
(WRAN) for digital TV. The data rate has also evolved from the 10 kbits/s
voice communications to approximately 1 Gbits/s in the 4G wireless network.
In addition, the 4G wireless network will provide ubiquitous communications.
This book gives a comprehensive introduction to the fundamentals of wire-
less communications. Various enabling technologies for modern wireless com-
munications are also included. Unlike existing books in the field, this book is
organized from a wireless system designer’s viewpoint. We give wide coverage
to the techniques that are most relevant to the design of wireless communica-
tion and networking systems. Due to limited space, we do not provide lengthy
mathematical details, but rather emphasize on the practical aspects.
This book is primarily intended as a textbook for senior undergraduate
and graduate students specializing in wireless communications and telecom-
munication systems. It is also a good reference book for practising engineers.
The reader is expected to have a background in electrical engineering and to
be familiar with the theory of signals and systems, digital communications,
and engineering mathematics. The contents are useful for mobile celluar com-
munications, satellite communication, and wireless networking. We focus our-
selves on the lower layers of wireless systems, since the upper layers such as
VI Preface

network layers and transport layers are very similar to that of general data
communication systems.
The book is divided into twenty chapters. We introduce various aspects of
radio systems, including system architecture, wireless channel and radio prop-
agation, diversity, cellular systems and multiple access, antennas, RF and mi-
crowave design, A/D and D/C conversions, digital signal processing, channel
equalization, modulation and detection, information theory, spread-spectrum
communications, orthogonal frequency deplexing multiplexing (OFDM), ul-
tra wideband (UWB) communications, speech coding, video coding, channel
coding, smart antennas, multi-input multi-output (MIMO) systems, and some
related topics.
Many thanks go to ... for their helpful comments. Special thanks go to
Ezio Biglieri and Giorgio Taricco from Politecnico di Torino, Italy for helpful
discussion. K.-L. Du also would like to express his gratitude to M. Omair Ah-
mad from Concordia University, Canada, Yi Shen from Huazhong University
of Science and Technology, China, Hong Bao and Jiabin Lu from Guangdong
University of Technology, China, Qiang Ni from Brunel University, UK, Ay-
han Altintas from Bilkent University, Turkey, for their help during the period
of writing this book.
A book of this length is certain to have some errors and omissions. While
we have made significant attempts to a comprehensive description of major
techniques related to modern wireless communications, there are many new
emerging techniques and we may not have included them. MATLAB codes
for the examples in the book are downloadable from the book website at
http://www..../.. in the form of Example## ##.m. Feedback is welcome via
email at kldu@ieee.org and we will try our best to reply all the messages.

Montreal, K.-L. Du et al
December 2007
Contents

1 Introduction to Wireless Systems . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1 Roadmap of Wireless/Mobile Communication Systems . . . . . . . 1
1.1.1 First-Generation Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.2 Second-Generation Systems . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.3 Third-Generation Systems . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.1.4 Fourth-Generation Systems and Beyond . . . . . . . . . . . . . . 8
1.1.5 Satellite Communications . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.1.6 Mobile Cellular Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.2 Roadmap of Wireless Networking . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.2.1 WLANs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.2.2 WPANs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.2.3 WMANs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.2.4 WRAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.2.5 Ad Hoc Wireless Networks . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.3 Other Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.3.1 Paging Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.3.2 RF Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.4 Architecture of Radio Transceivers . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.4.1 Super-Heterodyne Transceivers . . . . . . . . . . . . . . . . . . . . . . 21
1.4.2 Direct-Conversion Transceivers . . . . . . . . . . . . . . . . . . . . . . 23
1.5 Orgaization of the Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

2 Channel and Propagation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.1 Propagation Loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1.1 Free-space Loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1.2 Plane Earth Loss Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.1.3 The Okumura–Hata Model . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.1.4 COST-231–Hata Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.1.5 Other Empirical Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.1.6 Physical Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.1.7 Indoor Propagation Models . . . . . . . . . . . . . . . . . . . . . . . . . 32
VIII Contents

2.1.8 Channel Models in Wireless Standards . . . . . . . . . . . . . . . 33

2.2 Channel Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.2.1 Log-Normal Shadowing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.2.2 Rayleigh Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.2.3 Two-Path Model of Rayleigh Fading . . . . . . . . . . . . . . . . . 40
2.2.4 Ricean Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.2.5 Other Fading Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.2.6 Outage Probability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.3 Doppler Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
2.3.1 Doppler Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
2.3.2 Level Crossing Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.3.3 Average Fade Durations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.4 The WSSUS Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.4.1 Delay Spread . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
2.4.2 Correlation Coefficient . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2.4.3 Channel Coherent Bandwidth . . . . . . . . . . . . . . . . . . . . . . . 56
2.4.4 Doppler Spread and Channel Coherent Time . . . . . . . . . . 57
2.4.5 Angle Spread and Coherent Distance . . . . . . . . . . . . . . . . 58
2.5 Propagation Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.5.1 Reflection and Refraction . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
2.5.2 Scattering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
2.5.3 Diffraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
2.6 Atmosphere Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
2.6.1 Troposphere Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
2.6.2 Ionospheric Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
2.7 Channel Sounding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

3 Cellular Systems and Multiple Access . . . . . . . . . . . . . . . . . . . . . 73

3.1 The Cellular Concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
3.1.1 Cell Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
3.1.2 Increasing Capacity of Cellular Networks . . . . . . . . . . . . . 76
3.1.3 Interference in Multiuser Systems . . . . . . . . . . . . . . . . . . . 77
3.1.4 Power Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.1.5 Channel Assignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.1.6 Handoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
3.2 Multiple Access Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
3.2.1 Duplexing: FDD versus TDD . . . . . . . . . . . . . . . . . . . . . . . 83
3.2.2 FDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
3.2.3 TDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
3.2.4 CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.2.5 OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
3.2.6 SDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
3.3 Random Multiple Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
3.3.1 ALOHA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
3.3.2 Carrier-Sense Multiple Access . . . . . . . . . . . . . . . . . . . . . . . 90
 Contents IX

3.3.3 Scheduling Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92

3.4 Erlang Capacity in Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
3.4.1 Erlang B Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
3.4.2 Erlang C Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

4 Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.1 Diversity Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.2 Combining Multiple Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
4.2.1 Selection Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
4.2.2 Maximum Ratio Combining . . . . . . . . . . . . . . . . . . . . . . . . 106
4.2.3 Equal Gain Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
4.2.4 Switch Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
4.2.5 Optimum Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
4.3 Transmit Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
4.3.1 Open-Loop Transmit Diversity . . . . . . . . . . . . . . . . . . . . . . 117
4.3.2 Closed-Loop Transmit Diversity . . . . . . . . . . . . . . . . . . . . . 118
4.4 Multiuser Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
4.4.1 PDF anf CDF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
4.4.2 Multiuser Diversity versus Classical Diversity . . . . . . . . . 120

5 Channel Estimation and Equalization . . . . . . . . . . . . . . . . . . . . . . 123

5.1 Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
5.1.1 Adaptive Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . 124
5.1.2 Blind Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.2 Channel Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.2.1 Optimum Sequence Detection . . . . . . . . . . . . . . . . . . . . . . . 126
5.2.2 Linear Equalizers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
5.2.3 Decision-feedback Equalizers . . . . . . . . . . . . . . . . . . . . . . . . 132
5.2.4 MLSE Equalizer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
5.2.5 The Viterbi Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
5.2.6 Blind Equalizer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
5.2.7 Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

6 Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
6.1 Maxwell’s Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
6.2 Introduction to Computational Electromagnetics . . . . . . . . . . . . 140
6.2.1 The Method of Moments . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
6.2.2 Finite Difference Time-Domain Method . . . . . . . . . . . . . . 142
6.2.3 Finite Element Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
6.3 Antenna Fundamentals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
6.3.1 Radiation Patterns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
6.3.2 Antenna Field Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
6.3.3 Antenna Gain and Directivity . . . . . . . . . . . . . . . . . . . . . . . 146
6.3.4 Effective Area and Effective Height . . . . . . . . . . . . . . . . . . 147
6.3.5 Antenna Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
X Contents

6.3.6 Polarization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148

6.3.7 Receiving and Transmitting Power Efficiency . . . . . . . . . 149
6.4 Antennas for Wireless Communications . . . . . . . . . . . . . . . . . . . . 151
6.4.1 Antennas for Base Stations . . . . . . . . . . . . . . . . . . . . . . . . . 151
6.4.2 Antennas for Mobile Stations . . . . . . . . . . . . . . . . . . . . . . . 152
6.5 Wire Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
6.5.1 Dipole Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
6.5.2 Baluns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
6.5.3 Monopoles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
6.6 Patched Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
6.6.1 Microscrip Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
6.6.2 Broadband Microstrip Antennas . . . . . . . . . . . . . . . . . . . . . 160
6.7 Polarization-Agile Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
6.8 Antenna Arrays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
6.8.1 Array Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
6.8.2 Mutual Coupling and Spatial Correlation . . . . . . . . . . . . . 164
6.9 Wideband Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
6.9.1 Implementation of Wideband Antennas . . . . . . . . . . . . . . 166
6.9.2 Ultra Wideband Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . 168

7 RF and Microwave Subsystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171

7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
7.1.1 Receiver Performance Requirements . . . . . . . . . . . . . . . . . 171
7.1.2 Architecture of RF Subsystems . . . . . . . . . . . . . . . . . . . . . . 172
7.2 RF System Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
7.2.1 Noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
7.2.2 Noise Figure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
7.2.3 Link Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
7.3 Transmission Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178
7.3.1 Fundamental Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178
7.3.2 Smith Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
7.3.3 Types of Transmission Line . . . . . . . . . . . . . . . . . . . . . . . . . 182
7.4 Microwave Network Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
7.5 Impedance Matching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
7.5.1 Stub Tuners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
7.5.2 Quarter-Wave Transformer . . . . . . . . . . . . . . . . . . . . . . . . . 188
7.5.3 Multisection Matching Transformers . . . . . . . . . . . . . . . . . 189
7.6 Microwave Resonators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
7.6.1 RLC Resonant Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
7.6.2 Transmission Line Resonators . . . . . . . . . . . . . . . . . . . . . . . 191
7.6.3 Waveguide Cavities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
7.7 Power Dividers and Directional Couplers . . . . . . . . . . . . . . . . . . . 193
7.7.1 Three-Port Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
7.7.2 Four-Port Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
7.8 RF/Microwave Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
 Contents XI

7.8.1 Insertion Loss Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198

7.8.2 Prototyping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
7.8.3 Stub Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
7.8.4 Stepped-Impedance Lowpass Filters . . . . . . . . . . . . . . . . . 203
7.8.5 Coupled-Line Bandpass Filters . . . . . . . . . . . . . . . . . . . . . . 204
7.8.6 CAD for RF/Microwave Filter Design . . . . . . . . . . . . . . . . 207
7.8.7 Filters for Wireless Communications . . . . . . . . . . . . . . . . . 208
7.9 Phase Shifters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
7.10 Basic Concepts in Active RF Circuits . . . . . . . . . . . . . . . . . . . . . . 212
7.11 Modeling of RF Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
7.11.1 Diodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
7.11.2 Transistors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
7.12 Switches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
7.13 Attenuators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
7.14 Mixers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
7.14.1 Operation of Mixers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
7.14.2 Types of Mixers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
7.15 Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
7.15.1 Requirements in Wireless Systems . . . . . . . . . . . . . . . . . . . 231
7.15.2 Structure of Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
7.15.3 Classification of Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . 233
7.15.4 Linearization Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
7.15.5 Microwave Transistors for Amplifiers . . . . . . . . . . . . . . . . . 238
7.15.6 Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
7.15.7 Transistor Amplifier Design . . . . . . . . . . . . . . . . . . . . . . . . . 240
7.16 Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
7.16.1 Phase Noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
7.16.2 Analysis Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243
7.16.3 Classification of RF Oscillators . . . . . . . . . . . . . . . . . . . . . . 244
7.17 Frequency Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
7.17.1 Composition of Phase-Locked Loops . . . . . . . . . . . . . . . . . 248
7.17.2 Dynamics of Phase-Locked Loops . . . . . . . . . . . . . . . . . . . . 251
7.17.3 Direct Frequency Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . 254
7.18 Automatic Gain Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
7.19 MICs and MMICs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
7.19.1 Major MMIC Technologies . . . . . . . . . . . . . . . . . . . . . . . . . 257
7.19.2 Approach to MMIC Design . . . . . . . . . . . . . . . . . . . . . . . . . 257
7.19.3 Passive Lumped Components . . . . . . . . . . . . . . . . . . . . . . . 259
7.19.4 RF CMOS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262
7.19.5 Impedance Matching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
7.20 Digital Up-Conversion and Digital Down-Conversion . . . . . . . . . 264
7.20.1 Numerically Controlled Oscillators . . . . . . . . . . . . . . . . . . . 264
7.20.2 Direct Digital Frequency Synthesis . . . . . . . . . . . . . . . . . . 266
XII Contents

8 A/D and D/A Conversions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

8.1 Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
8.1.1 Ideal and Natural Sampling . . . . . . . . . . . . . . . . . . . . . . . . . 269
8.1.2 Sampling Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
8.1.3 Aliasing and Antialiasing . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
8.1.4 Oversampling and Decimation . . . . . . . . . . . . . . . . . . . . . . 272
8.1.5 Bandpass Sampling Criterion . . . . . . . . . . . . . . . . . . . . . . . 273
8.2 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
8.2.1 Uniform Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
8.2.2 Improving Resolution by Oversampling . . . . . . . . . . . . . . . 277
8.3 Analog Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
8.4 Parameters for ADCs and DACs . . . . . . . . . . . . . . . . . . . . . . . . . . 281
8.4.1 SNR of ADCs and DACs . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
8.4.2 SFDR and Dithering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
8.5 ADC Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
8.5.1 Flash ADCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
8.5.2 Successive-Approximation ADCs . . . . . . . . . . . . . . . . . . . . 286
8.5.3 Sigma-Delta ADCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
8.6 DAC Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
8.7 ADCs and DACs for SDR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291

9 Digital Signal Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293

9.1 Basic Transforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
9.1.1 Fourier Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
9.1.2 Laplace Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
9.1.3 z-Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
9.2 Discrete-Time Fourier Transform . . . . . . . . . . . . . . . . . . . . . . . . . . 298
9.2.1 Windowing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
9.2.2 DFT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
9.2.3 FFT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
9.3 Digital Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
9.3.1 FIR and IIR Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
9.3.2 Stability and Causality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
9.3.3 Inverse Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
9.3.4 Minimum-, Maximum-, and Mixed-Phase Systems . . . . . 308
9.3.5 Notch and Comb Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
9.4 Digital Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
9.4.1 FIR Digital Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
9.4.2 IIR Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
9.4.3 Hardware Implementation of Digital Filters . . . . . . . . . . . 318
9.5 Adaptive Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
9.5.1 Wiener Solution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
9.5.2 The LMS Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
9.5.3 The RLS Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
9.6 Sampling-Rate Conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
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9.6.1 Interpolation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321

9.6.2 Decimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
9.6.3 Sample Rate Converters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
9.6.4 Cascaded Integrator Comb (CIC) Filters . . . . . . . . . . . . . 327
9.7 The Discrete Cosine Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329
9.8 The Wavelet Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
9.8.1 The Discrete Wavelet Transform . . . . . . . . . . . . . . . . . . . . 334
9.8.2 Multiresolution Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
9.9 Filter Banks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
9.10 Subband Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
9.10.1 Two-Channel Perfect Reconstruction Filter Banks . . . . . 341
9.10.2 The Pseudo-QMF Filter Bank . . . . . . . . . . . . . . . . . . . . . . 344
9.10.3 The MDCT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
9.11 Median Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345

10 Modulation and Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347

10.1 Analog Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
10.1.1 Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
10.1.2 Phase Modulation and Frequency Modulation . . . . . . . . . 349
10.2 Introduction to Digital Modulation . . . . . . . . . . . . . . . . . . . . . . . . 351
10.2.1 Signal Space Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352
10.2.2 Demodulation and Detection . . . . . . . . . . . . . . . . . . . . . . . . 353
10.2.3 Error Probability in the Gaussian Channel . . . . . . . . . . . 354
10.3 Baseband Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
10.3.1 Line Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
10.3.2 Pulse Time Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358
10.4 Pulse Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
10.5 Phase-Shift Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
10.5.1 BPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364
10.5.2 MPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
10.5.3 QPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
10.6 Frequency Shift Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
10.6.1 Binary FSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
10.6.2 M -ary FSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
10.6.3 Minimum Shift Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381
10.6.4 Continuous Phase Modulation . . . . . . . . . . . . . . . . . . . . . . 385
10.6.5 GMSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386
10.7 Quadrature Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . 388
10.8 Matched Filtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395
10.9 Pulse Shaping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
10.9.1 Raised Cosine Filtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
10.9.2 Root Raised Cosine Filtering . . . . . . . . . . . . . . . . . . . . . . . 399
10.10Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
10.10.1Carrier Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401
10.10.2Symbol Timing Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
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10.11Differential Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405

10.12Error Probability in Fading Channels . . . . . . . . . . . . . . . . . . . . . . 406
10.12.1Slow, Flat, Rayleigh Fading Channel . . . . . . . . . . . . . . . . . 406
10.12.2Slow, Flat, Ricean Fading Channel . . . . . . . . . . . . . . . . . . 409
10.12.3Alternative Form of the Q-function . . . . . . . . . . . . . . . . . . 409
10.12.4Error Probability Using Moment-Generating Functions . 410
10.13Error Probabilities due to Delay Spread and Frequency
Dispersion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
10.14Error Probability in Fading Channels with Diversity Reception 413

11 Information Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415

11.1 Basic Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
11.2 Lossless Data Compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
11.2.1 Source Coding Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
11.2.2 Huffman Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
11.2.3 Exponential-Golomb VLCs . . . . . . . . . . . . . . . . . . . . . . . . . 424
11.2.4 Arithmetic Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
11.2.5 Dictionary-based Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
11.3 Rate-Distortion Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
11.4 Channel Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
11.4.1 Capacity of the AWGN Channel for Gaussian
Distributed Input . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
11.4.2 Capacity of the AWGN Channel for Discrete Input
Alphabet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
11.4.3 Area Spectral Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439
11.5 Capacity of Fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440
11.5.1 Capacity with CSI at Receiver Only . . . . . . . . . . . . . . . . . 440
11.5.2 Capacity with CSI at Transmitter and Receiver . . . . . . . 442
11.5.3 Capacity of Frequency-Selective Fading Channels . . . . . . 445
11.6 Channel Capacity for Multiuser Communications . . . . . . . . . . . . 446
11.6.1 AWGN Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
11.6.2 Flat Fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
11.7 Estimation Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449

12 Source Coding I: Speech and Audio Coding . . . . . . . . . . . . . . . 451

12.1 Coding for Analog Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
12.2 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
12.2.1 Scalar Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
12.2.2 Vector Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
12.3 Speech Production and Auditory Systems . . . . . . . . . . . . . . . . . . 455
12.3.1 Speech Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455
12.3.2 Psychoacoustics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
12.4 Speech/Audio Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 460
12.4.1 Subjective Quality Measures . . . . . . . . . . . . . . . . . . . . . . . . 461
12.4.2 Objective Quality Measures . . . . . . . . . . . . . . . . . . . . . . . . . 461
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12.5 Speech Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464

12.5.1 Logarithmic PCM Coding . . . . . . . . . . . . . . . . . . . . . . . . . . 465
12.5.2 Linear Prediction Analysis and Synthesis . . . . . . . . . . . . . 466
12.5.3 Predictive Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473
12.5.4 Frequency-Domain Waveform Coding . . . . . . . . . . . . . . . . 475
12.5.5 Voice Activity Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . 476
12.5.6 Linear Predictive Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 477
12.5.7 Pitch Period Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
12.5.8 Analysis by Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481
12.5.9 CELP-Based Codecs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
12.5.10Wideband Speech Coding . . . . . . . . . . . . . . . . . . . . . . . . . . 489
12.6 Audio Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491
12.6.1 MPEG-1 and MPEG-2 Audio . . . . . . . . . . . . . . . . . . . . . . . 493
12.6.2 MPEG-4 Audio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495

13 Source Coding II: Image and Video Coding . . . . . . . . . . . . . . . . 499

13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
13.2 Perception of Human Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
13.2.1 The Visual System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
13.2.2 Color Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502
13.3 Quality of Image and Video Coding . . . . . . . . . . . . . . . . . . . . . . . . 503
13.4 Predictive Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505
13.5 Transform-Based Image Compression . . . . . . . . . . . . . . . . . . . . . . 506
13.6 The JPEG Standard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508
13.6.1 Four Modes of Opertion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508
13.6.2 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510
13.6.3 Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
13.7 Wavelet-Transform-based Image Coding . . . . . . . . . . . . . . . . . . . . 513
13.7.1 Subband Decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 514
13.7.2 Wavelet Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 514
13.7.3 Coding of Wavelet Subimages . . . . . . . . . . . . . . . . . . . . . . . 517
13.8 Wavelet-Based Image Coding Standards . . . . . . . . . . . . . . . . . . . . 521
13.8.1 The JPEG2000 Standard . . . . . . . . . . . . . . . . . . . . . . . . . . . 521
13.8.2 MPEG-4 Still Image Mode . . . . . . . . . . . . . . . . . . . . . . . . . 523
13.9 Comparison of Image Coding Standards . . . . . . . . . . . . . . . . . . . . 524
13.9.1 Comparison of Six Popular Standards . . . . . . . . . . . . . . . . 524
13.9.2 DjVu and ABO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
13.10Video Data Compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 526
13.10.1Frame Spatial Format and Frame Types . . . . . . . . . . . . . . 527
13.10.2Motion Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
13.10.3Basic Structure of Video . . . . . . . . . . . . . . . . . . . . . . . . . . . 530
13.10.4Video Encoder/Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531
13.10.5Scalability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 533
13.10.6Integer DCT Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
13.10.7Shape Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537
XVI Contents

13.10.8Object-Based Coding and Sprite Coding . . . . . . . . . . . . . 537

13.10.9Rate Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 538
13.11Introduction to Video Standards . . . . . . . . . . . . . . . . . . . . . . . . . . 539

14 Channel Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547

14.1 Prelimiaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547
14.2 Linear Block Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
14.2.1 Error Detection/Correction . . . . . . . . . . . . . . . . . . . . . . . . . 550
14.2.2 Simple Parity Check and Hamming Codes . . . . . . . . . . . . 551
14.2.3 Syndrome Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
14.3 Hard/Soft Decision Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 554
14.4 Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
14.4.1 Encoder and Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
14.4.2 Types of Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559
14.5 Interleaving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
14.6 Convolutional Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 564
14.6.1 Encoding of Convolutional Codes . . . . . . . . . . . . . . . . . . . . 565
14.6.2 Encoder State and Trellis Diagrams . . . . . . . . . . . . . . . . . . 569
14.6.3 Sequence Decoders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571
14.6.4 Trellis Representation of Block Codes . . . . . . . . . . . . . . . . 574
14.6.5 Coding Gaining and Error Probability . . . . . . . . . . . . . . . 575
14.6.6 Convolutional Coding with Interleaving . . . . . . . . . . . . . . 577
14.6.7 Punctured Convolutional Codes . . . . . . . . . . . . . . . . . . . . . 578
14.6.8 Trellis-Coded Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . 579
14.7 Conventional Concatenated Codes . . . . . . . . . . . . . . . . . . . . . . . . . 580
14.8 Turbo Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583
14.8.1 Turbo Encoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 584
14.8.2 Turbo Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 586
14.8.3 Analysis of the Turbo Code . . . . . . . . . . . . . . . . . . . . . . . . . 589
14.9 Serially Concatenated Convolutional Codes . . . . . . . . . . . . . . . . . 593
14.9.1 Design of the SCCC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 594
14.9.2 Decoding of the SCCC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595
14.10Low-Density Parity-Check Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 596
14.10.1The LDPC Code: A Linear Block Code . . . . . . . . . . . . . . 596
14.10.2LDPC Encoder and Decoder . . . . . . . . . . . . . . . . . . . . . . . . 599
14.11Adaptive Modulation and Coding . . . . . . . . . . . . . . . . . . . . . . . . . 600

15 Spread Spectrum Communications . . . . . . . . . . . . . . . . . . . . . . . . 605

15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 605
15.2 Spreading Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 607
15.2.1 Properties of Spreading Sequences . . . . . . . . . . . . . . . . . . . 607
15.2.2 Pseudo-Noise Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . 608
15.2.3 Gold Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 610
15.2.4 Kasami Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 611
15.2.5 Walsh Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612
 Contents XVII

15.2.6 Orthogonal Variable Spreading Factor Sequences . . . . . . 613

15.2.7 Barker Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614
15.2.8 Complementary Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614
15.3 Direct Sequence Spectrum Spreading . . . . . . . . . . . . . . . . . . . . . . . 615
15.3.1 The DS-CDMA Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616
15.3.2 The Conventional Receiver . . . . . . . . . . . . . . . . . . . . . . . . . 618
15.3.3 The Rake Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 619
15.3.4 Synchronization in CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . 622
15.3.5 Power Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 623
15.3.6 Soft Handoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 624
15.4 Multiuser Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 625
15.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 625
15.4.2 Optimum Multiuser Detector . . . . . . . . . . . . . . . . . . . . . . . 626
15.4.3 Linear Multiuser Detection . . . . . . . . . . . . . . . . . . . . . . . . . 627
15.4.4 Serial/Parallel Interference Cancellation . . . . . . . . . . . . . . 629
15.4.5 Combination of Linear MUD and Nonlinear SIC . . . . . . . 631
15.5 Bit Error Probability and System Capacity . . . . . . . . . . . . . . . . . 632
15.6 DSSS and DS-CDMA in Wireless Standards . . . . . . . . . . . . . . . . 635
15.7 Frequence-Hopping Spectrum Spreading . . . . . . . . . . . . . . . . . . . . 638
15.7.1 Error Performance of FHSS . . . . . . . . . . . . . . . . . . . . . . . . . 640
15.7.2 FHSS versus DSSS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 641

16 Orthogonal Frequency Division Multiplexing . . . . . . . . . . . . . . 643

16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 643
16.2 Principle of OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 645
16.3 Spectrum of OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 647
16.4 OFDM Transceivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649
16.5 Cyclic Prefix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 651
16.6 Fading Mitigation in OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 653
16.7 Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 655
16.7.1 Pilot Arrangement for Channel Estimation . . . . . . . . . . . 655
16.7.2 Pilot-Assisted Channel Estimation . . . . . . . . . . . . . . . . . . . 656
16.8 Peak-to-average Power Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657
16.8.1 Peak Factor Reduction Techniques . . . . . . . . . . . . . . . . . . . 659
16.9 Intercarrier Interference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 663
16.10Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 664
16.10.1Influence of Freqnency Shift . . . . . . . . . . . . . . . . . . . . . . . . 666
16.10.2Influence of Timing Synchronization Error . . . . . . . . . . . . 667
16.10.3Implementation of Synchronization . . . . . . . . . . . . . . . . . . 668
16.11OFDM-based Multiple Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
16.11.1OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 672
16.12Case Study: IEEE 802.11a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
16.13Performance of OFDM Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
16.13.1Phase noise effects on OFDM . . . . . . . . . . . . . . . . . . . . . . . 674
16.14Multi-Carrier CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 675
XVIII Contents

16.14.1Comparison with Other Techniques . . . . . . . . . . . . . . . . . . 677

16.14.2Wavelet OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678
16.14.3TDCS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678

17 Ultra Wideband Communications . . . . . . . . . . . . . . . . . . . . . . . . . . 679

17.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679
17.2 TH-UWB Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 683
17.2.1 Pulse Shape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 683
17.2.2 Pulse Trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 686
17.3 Single-band and Multiband Systems . . . . . . . . . . . . . . . . . . . . . . . 687
17.4 UWB Modulation Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 688
17.4.1 Multiple Access in UWB . . . . . . . . . . . . . . . . . . . . . . . . . . . 689
17.4.2 UWB Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 689
17.5 Detection and Avoidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 690
17.6 Single-Band UWB Transceivers . . . . . . . . . . . . . . . . . . . . . . . . . . . 691
17.6.1 Technical Bottlenecks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 692
17.6.2 DS-UWB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 692
17.7 Multiband UWB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 693

18 Multiple Antennas: Smart Antenna Systems . . . . . . . . . . . . . . . 697

18.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 697
18.2 Smart Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 698
18.3 Direction Finding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700
18.3.1 MUSIC (MUltiple SIgnal Classifications) . . . . . . . . . . . . 701
18.4 Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703
18.4.1 Blind Source Separation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703
18.4.2 Zero-Forcing and Wiener Beamformers . . . . . . . . . . . . . . . 704
18.4.3 Switched-beam Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
18.4.4 Adaptive Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
18.5 Adaptive Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 706
18.5.1 DoA-based Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . 706
18.5.2 Training-based Beamforming . . . . . . . . . . . . . . . . . . . . . . . . 709
18.5.3 Blind Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 713
18.5.4 Beamforming for CDMA Systems . . . . . . . . . . . . . . . . . . . 715
18.6 Wideband Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 715
18.6.1 Pure Delay-Line Wideband Transmitter Beamformer . . . 716

19 Multiple Antennas: MIMO Systems . . . . . . . . . . . . . . . . . . . . . . . 719

19.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 719
19.2 MIMO System Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 719
19.3 Effect of Spatial Correlation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 720
19.4 MIMO Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 722
19.5 MIMO Channel Decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 722
19.6 Estimation of Channel State Information . . . . . . . . . . . . . . . . . . . 723
19.7 Capacity in AWGN Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 724
 Contents XIX

19.7.1 No CSI at the Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . 726

19.7.2 CSI known at the Transmitter . . . . . . . . . . . . . . . . . . . . . . 727
19.7.3 Comparison of Channel Capacities for Transmitter
with and without CSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 727
19.8 Capacity in Flat-fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . 729
19.8.1 Outage and Ergodic Capacities . . . . . . . . . . . . . . . . . . . . . . 729
19.8.2 Capacity Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 734
19.8.3 Ricean Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
19.8.4 Frequency-Selective MIMO Channels . . . . . . . . . . . . . . . . 736
19.9 Space–Time Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
19.9.1 Performance Analysis of Space–Time Codes . . . . . . . . . . 738
19.9.2 Orthogonal Space–Time Block Codes . . . . . . . . . . . . . . . . 739
19.9.3 Space–Time Trellis Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 742
19.10Spatial Multiplexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 744
19.10.1Layered Space-time Receivers . . . . . . . . . . . . . . . . . . . . . . . 744
19.10.2ST Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 747
19.10.3Spatial Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 749
19.11Diversity Gain, Beamforming Gain, and Capacity . . . . . . . . . . . . 752
19.11.1Influence of Insufficient Scattering . . . . . . . . . . . . . . . . . . . 754
19.11.2MIMO Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756
19.12Differential Space–Time Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 756
19.13Channel Estimation and Synchronization . . . . . . . . . . . . . . . . . . . 757
19.13.1Partial CSI at the transmitter . . . . . . . . . . . . . . . . . . . . . . . 757
19.14Space–Time Processing for Frequency-Selective Channels . . . . . 758
19.14.1Single-Carrier ST Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 758
19.14.2MIMO-OFDM Modulation . . . . . . . . . . . . . . . . . . . . . . . . . 759
19.14.3MIMO for Time-Selective Channels . . . . . . . . . . . . . . . . . . 761
19.14.4MIMO CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 761
19.14.5Linear Space-time Processing Model . . . . . . . . . . . . . . . . . 762
19.14.6Zero Forcing Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 763
19.14.7Minimum Mean-Squared Error Criterion . . . . . . . . . . . . . 763
19.15ST-MMSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 765
19.15.1Signal Model and Space–Time MMSE Detection . . . . . . 766
19.15.2Space–Time Matched Filter . . . . . . . . . . . . . . . . . . . . . . . . . 768
19.15.3Adaptive Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . 771
19.15.4Numerical Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 772
19.16MIMO in Wireless Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 780

20 Topics on Modern Wireless Communications . . . . . . . . . . . . . . 783

20.1 Software Defined Radio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 783
20.1.1 SDR Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 784
20.1.2 Software Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 785
20.1.3 Bottlenecks of Software Defined Radio . . . . . . . . . . . . . . . 786
20.2 Cognitive Radio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 787
20.3 Automatic Repeat reQuest (ARQ) . . . . . . . . . . . . . . . . . . . . . . . . . 788
XX Contents

20.3.1 Hybrid-ARQ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 789

20.4 Circuit Switching and Packet Switching . . . . . . . . . . . . . . . . . . . . 790
20.4.1 IP in Wireless . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 791
20.5 Protocol Stack . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 792
20.5.1 OSI Reference Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 792
20.5.2 Physical Layer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 794
20.5.3 MAC Layer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 797
20.5.4 Cross-layer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 798
20.6 Quality of Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 798
20.7 Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800
20.8 User Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 801

The Q-Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 805

Wirtinger-Calculus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 807

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