Andrea J. Goldsmith

Variable-rate variable-power MQAM for fading channels

We propose a variable-rate and variable-power MQAM modulation scheme for high-speed data transmission over fading channels. We first review results for the Shannon capacity of fading channels with channel side information, where capacity is achieved using adaptive transmission techniques. We then derive the spectral efficiency of our proposed modulation. We show that there is a constant power gap between the spectral efficiency of our proposed technique and the channel capacity, and this gap is a simple function of the required bit-error rate (BER). In addition, using just five or six different signal constellations, we achieve within 1-2 dB of the maximum efficiency using unrestricted constellation sets. We compute the rate at which the transmitter needs to update its power and rate as a function of the channel Doppler frequency for these constellation sets. We also obtain the exact efficiency loss for smaller constellation sets, which may be required if the transmitter adaptation rate is constrained by hardware limitations. Our modulation scheme exhibits a 5-10-dB power gain relative to variable-power fixed-rate transmission, and up to 20 dB of gain relative to nonadaptive transmission. We also determine the effect of channel estimation error and delay on the BER performance of our adaptive scheme. We conclude with a discussion of coding techniques and the relationship between our proposed modulation and Shannon capacity.

Capacity limits of MIMO channels

We provide an overview of the extensive results on the Shannon capacity of single-user and multiuser multiple-input multiple-output (MIMO) channels. Although enormous capacity gains have been predicted for such channels, these predictions are based on somewhat unrealistic assumptions about the underlying time-varying channel model and how well it can be tracked at the receiver, as well as at the transmitter. More realistic assumptions can dramatically impact the potential capacity gains of MIMO techniques. For time-varying MIMO channels there are multiple Shannon theoretic capacity definitions and, for each definition, different correlation models and channel information assumptions that we consider. We first provide a comprehensive summary of ergodic and capacity versus outage results for single-user MIMO channels. These results indicate that the capacity gain obtained from multiple antennas heavily depends on the available channel information at either the receiver or transmitter, the channel signal-to-noise ratio, and the correlation between the channel gains on each antenna element. We then focus attention on the capacity region of the multiple-access channels (MACs) and the largest known achievable rate region for the broadcast channel. In contrast to single-user MIMO channels, capacity results for these multiuser MIMO channels are quite difficult to obtain, even for constant channels. We summarize results for the MIMO broadcast and MAC for channels that are either constant or fading with perfect instantaneous knowledge of the antenna gains at both transmitter(s) and receiver(s). We show that the capacity region of the MIMO multiple access and the largest known achievable rate region (called the dirty-paper region) for the MIMO broadcast channel are intimately related via a duality transformation. This transformation facilitates finding the transmission strategies that achieve a point on the boundary of the MIMO MAC capacity region in terms of the transmission strategies of the MIMO broadcast dirty-paper region and vice-versa. Finally, we discuss capacity results for multicell MIMO channels with base station cooperation. The base stations then act as a spatially diverse antenna array and transmission strategies that exploit this structure exhibit significant capacity gains. This section also provides a brief discussion of system level issues associated with MIMO cellular. Open problems in this field abound and are discussed throughout the paper.

On the optimality of multiantenna broadcast scheduling using zero-forcing beamforming

Although the capacity of multiple-input/multiple-output (MIMO) broadcast channels (BCs) can be achieved by dirty paper coding (DPC), it is difficult to implement in practical systems. This paper investigates if, for a large number of users, simpler schemes can achieve the same performance. Specifically, we show that a zero-forcing beamforming (ZFBF) strategy, while generally suboptimal, can achieve the same asymptotic sum capacity as that of DPC, as the number of users goes to infinity. In proving this asymptotic result, we provide an algorithm for determining which users should be active under ZFBF. These users are semiorthogonal to one another and can be grouped for simultaneous transmission to enhance the throughput of scheduling algorithms. Based on the user grouping, we propose and compare two fair scheduling schemes in round-robin ZFBF and proportional-fair ZFBF. We provide numerical results to confirm the optimality of ZFBF and to compare the performance of ZFBF and proposed fair scheduling schemes with that of various MIMO BC strategies.

Energy-efficiency of MIMO and cooperative MIMO techniques in sensor networks

We consider radio applications in sensor networks, where the nodes operate on batteries so that energy consumption must be minimized, while satisfying given throughput and delay requirements. In this context, we analyze the best modulation and transmission strategy to minimize the total energy consumption required to send a given number of bits. The total energy consumption includes both the transmission energy and the circuit energy consumption. We first consider multi-input-multi-output (MIMO) systems based on Alamouti diversity schemes, which have good spectral efficiency but also more circuitry that consumes energy. We then extend our energy-efficiency analysis of MIMO systems to individual single-antenna nodes that cooperate to form multiple-antenna transmitters or receivers. By transmitting and/or receiving information jointly, we show that tremendous energy saving is possible for transmission distances larger than a given threshold, even when we take into account the local energy cost necessary for joint information transmission and reception. We also show that over some distance ranges, cooperative MIMO transmission and reception can simultaneously achieve both energy savings and delay reduction.

Energy-constrained modulation optimization

Wireless systems where the nodes operate on batteries so that energy consumption must be minimized while satisfying given throughput and delay requirements are considered. In this context, the best modulation strategy to minimize the total energy consumption required to send a given number of bits is analyzed. The total energy consumption includes both the transmission energy and the circuit energy consumption. For uncoded systems, by optimizing the transmission time and the modulation parameters, it is shown that up to 80% energy savings is achievable over nonoptimized systems. For coded systems, it is shown that the benefit of coding varies with the transmission distance and the underlying modulation schemes.

Degrees of freedom in adaptive modulation: a unified view

We examine adaptive modulation schemes for flat-fading channels where the data rate, transmit power, and instantaneous BER are varied to maximize spectral efficiency, subject to an average power and BER constraint. Both continuous-rate and discrete-rate adaptation are considered, as well as average and instantaneous BER constraints. We find the general form of power, BER and data rate adaptation that maximizes spectral efficiency for a large class of modulation techniques and fading distributions. The optimal adaptation of these parameters is to increase the power and data rate and decrease the BER as the channel quality improves. Surprisingly, little spectral efficiency is lost when the power or rate is constrained to be constant. Hence, the spectral efficiency of adaptive modulation is relatively insensitive to which degrees of freedom are adapted.

Design challenges for energy-constrained ad hoc wireless networks

Ad hoc wireless networks enable new and exciting applications, but also pose significant technical challenges. In this article we give a brief overview of ad hoc wireless networks and their applications with a particular emphasis on energy constraints. We then discuss advances in the link, multiple access, network, and application protocols for these networks. We show that cross-layer design of these protocols is imperative to meet emerging application requirements, particularly when energy is a limited resource.

Adaptive coded modulation for fading channels

We apply coset codes to adaptive modulation in fading channels. Adaptive modulation is a powerful technique to improve the energy efficiency and increase the data rate over a fading channel. Coset codes are a natural choice to use with adaptive modulation since the channel coding and modulation designs are separable. Therefore, trellis and lattice codes designed for additive white Gaussian noise (AWGN) channels can be superimposed on adaptive modulation for fading channels, with the same approximate coding gains. We first describe the methodology for combining coset codes with a general class of adaptive modulation techniques. We then apply this methodology to a spectrally efficient adaptive M-ary quadrature amplitude modulation (MQAM) to obtain trellis-coded adaptive MQAM. We present analytical and simulation results for this design which show an effective coding gain of 3 dB relative to uncoded adaptive MQAM for a simple four-state trellis code, and an effective 3.6-dB coding gain for an eight-state trellis code. More complex trellis codes are shown to achieve higher gains. We also compare the performance of trellis-coded adaptive MQAM to that of coded modulation with built-in time diversity and fixed-rate modulation. The adaptive method exhibits a power savings of up to 20 dB.

Capacity of Rayleigh fading channels under different adaptive transmission and diversity-combining techniques

We study the Shannon capacity of adaptive transmission techniques in conjunction with diversity-combining. This capacity provides an upper bound on spectral efficiency using these techniques. We obtain closed-form solutions for the Rayleigh fading channel capacity under three adaptive policies: optimal power and rate adaptation, constant power with optimal rate adaptation, and channel inversion with fixed rate. Optimal power and rate adaptation yields a small increase in capacity over just rate adaptation, and this increase diminishes as the average received carrier-to-noise ratio (CNR) or the number of diversity branches increases. Channel inversion suffers the largest capacity penalty relative to the optimal technique, however, the penalty diminishes with increased diversity. Although diversity yields large capacity gains for all the techniques, the gain is most pronounced with channel inversion. For example, the capacity using channel inversion with two-branch diversity exceeds that of a single-branch system using optimal rate and power adaptation. Since channel inversion is the least complex scheme to implement, there is a tradeoff between complexity and capacity for the various adaptation methods and diversity-combining techniques.

Adaptive Modulation over Nakagami Fading Channels

We first study the capacity of Nakagami multipath fading (NMF) channels with an average power constraint for three power and rate adaptation policies. We obtain closed-form solutions for NMF channel capacity for each power and rate adaptation strategy. Results show that rate adaptation is the key to increasing link spectral efficiency. We then analyze the performance of practical constant-power variable-rate M-QAM schemes over NMF channels. We obtain closed-form expressions for the outage probability, spectral efficiency and average bit-error-rate (BER) assuming perfect channel estimation and negligible time delay between channel estimation and signal set adaptation. We also analyze the impact of time delay on the BER of adaptive M-QAM.