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Basnayaka 2015
Basnayaka 2015
Abstract—Multiple-input multiple-output (MIMO) systems can absence of CSIT before a link is established with a terminal.
increase wireless link capacity without requiring additional There are existing transmission schemes for MIMO links in
bandwidth and power. On the one hand, MIMO systems heavily the absence of CSIT. Among them standalone space-time (ST)
depend on channel state information (CSI) at the receiver. It
has also been shown that CSI at the transmitter (CSIT) can code and spatial multiplexing (SMX) are prominent [8], [1].
improve the link capacity and reliability considerably but with In SMX, as many independent data streams as the number of
the disadvantage of extra feedback and computational costs. transmit antennas are transmitted in a single use of the channel,
On the other hand, energy efficiency of MIMO systems could and it has been shown to have reasonable decoding complexity
adversely increase with the number of antennas in the link. [1]. In ST coding, redundancy is added to the transmit symbol
Therefore, there are considerable interests in energy efficient
practical transmission schemes for MIMO links without CSIT. In to provide multiple independent replicas of the transmit data
this study, an emerging wireless communication concept which symbols to the receiver.
is termed as spatial modulation (SM) is considered for large In this work, a simple information based antenna switching
scale MIMO. The results show that in information-theoretic technique called Spatial Modulation (SM) is considered as a
viewpoint, SM achieves capacity comparable to the open-loop possible transceiver solution for MIMO links with no CSIT
MIMO capacity even though a subset of transmit antennas is
activated in every channel use. The reason is both the channel [9], [10], [11]. As explained in Section II, SM modulates
coefficients and input symbols carry information in SM. As a information in both the signal constellation and antenna index.
result, SM regains (compensates) the loss of information capacity In addition to its simplicity, the ability to control the number
due to activating a subset of antennas by modulating information of transmit RF chains in SM is very important in terms
in the antenna index. This means that the sum information rate of the transmit power efficiency. In contrast to the spatial
remains high.
multiplexing and ST coding, SM uses a subset of transmit
antennas for transmission. The operation and performance of
I. I NTRODUCTION
SM are now well-understood [10]. The optimum detection of
Multiple-input-multiple-output (MIMO) is a promising SM is investigated in [12], and average bit error probability
technology for increasing the link capacity and/or reliability in different fading scenarios is analysed in [13]. The effect of
in modern communication systems. Multi element antennas channel estimation error and the effect of antenna switching
are used in many scenarios such as point-to-point links [1], on the bandwidth efficiency are investigated in [14] and [15],
[2], multiuser links [3], and macrodiversity links [4]. The respectively. The channel estimation of SM is considered in
capability of MIMO for achieving higher throughput is due [16], and energy efficiency of SM is comprehensively studied
to the fact that multiple independent spatial data streams can in [17].
be transmitted in the same time and frequency resource. A key The main objective of this work is to investigate the poten-
enabler for MIMO operation is the rich scattering environment tial gain of SM in a massive MIMO system with no CSIT. In
between transmit and receive antennas, and that receivers can particular, a MIMO scenario with a large number of transmit
successfully separate the multiple data streams transmitted antennas with relatively fewer number of receive antennas is
with the assistance of channel state information (CSI) at the considered. This scenario typically occurs in cellular downlink
receiver. It has also been shown that CSI at the transmitter communication from a base station (BS) to a user terminal.
(CSIT) can increase the capacity in the moderate signal-to- On the one hand, transmission schemes such as vertical
noise ratio (SNR) region [5]. However, acquiring CSIT is a Bell Laboratories layered space-time (V-BLAST) [1] could
costly process. It has several phases which include estimating be employed with random beamforming [18]. On the other
CSI at the receiver, and feeding back appropriate information hand, standalone ST code could also be used for such MIMO
to the transmitter [6]. The cost continuously increases with the systems, but ST codes may experience rate loss for a higher
number of constituent links in the MIMO link. One of the main number of transmit antennas [19]. Since both V-BLAST and
challenges of future communication systems is finding the ST code transmit using all transmit antennas, their energy
right compromise between spectral and energy efficiency. The efficiency may not scale well with the number of transmit
energy efficiency of MIMO systems could adversely increase antennas due to the large number of power amplifiers.
with the number of transmit antennas in the link. Therefore, The investigation starts with an information-theoretic capac-
research has focused on energy efficient transmission schemes ity analysis of SM in additive white Gaussian noise (AWGN)
to achieve MIMO capacity without CSIT. Also, [7, see Section channels, and fading. Unlike conventional MIMO links, the
5] reports on massive MIMO to achieve capacity in the wireless channel itself carries information, therefore capacity
analysis tends to be more challenging. Research has been effective baseband receive vector is given by:
undertaken on capacity analysis [20]. The focus has been in √
r = gV V x + n, (1)
analysing the information capacity conveyed in the antenna
n o
index and signal constellation separately. Also, the capacity where C nR ×T matrix is V ∈ H̃ H 1 , . . . , H̃ Hi
H L . The matrix H̃
analysis in [20] does not have a closed form solution which
is a submatrix of H which consists of channel elements from
could be used for further optimization. However, in the study
all active antennas in the set, Υi , to all receive antennas, and
here a different approach is used in which the system is
it is denoted as:
modeled as two independent sources of information, con-
stellation and antenna index with multiplicative interaction. H i = H {Υi } .
H̃ (2)
This model allows the calculation of the capacity in a more n o
straightforward manner. The optimal channel input distribution The alphabet of V is denoted as H̃ H 1 , . . . , H̃
H L . The constant
for SM is analytically obtained. Then, the theoretical capacity g is defined to capture the average link power drop between
results are compared with mutual information (MI) results transmit antennas and receive antennas due to shadowing and
for SM with suboptimal channel inputs: practical modulation path loss. It is assumed here that both transmit and receive
schemes such as quadrature amplitude modulation (QAM), and antennas are co-located so that the average link SNR, g of
the performance of SM is assessed in terms of its practical each constituent link is the same in contrast to macrodiversity
information transfer capability. MIMO [4]. The average transmit power of the data signal
The rest of the paper is laid out as follows. Section II x is set to Es , and n denotes the C nR ×1 AWGN vector.
Its distribution is denoted by n ∼ CN 0 , σ 2I . Here, the
describes the system model, and the main analysis is given
in Section III. Sections IV provides numerical results, and transmit precoding is omitted due to the absence of CSIT.
Section V gives the conclusion. It is convenient to denote the ith column of V as v i , so
V = (vv 1 , . . . , v T ). For example, consider a SM system with
II. S YSTEM M ODEL N = 4, T = 2. There are 6 possible sets but only 4 sets are
A single user point-to-point MIMO communication system selected as (1, 2) , (1, 3) , (1, 4) , (2, 3). The modulator selects
with SM in Rayleigh fading with N transmit and nR receive one of these four sets depending on the first 2 bits of the
antennas is considered. By adopting the well-established com- segment and selects x from a 4-QAM constellation depending
plex baseband mathematical model, C nR ×N channel matrix, on next 4 bits if 6-bits transmission is required. If more bits
H captures the fading between the transmit and the receive are to be transmitted, higher order signal constellations have
antenna array. The channel matrix H contains elements, to be employed. At the receiver, the joint maximum likelihood
hik ∼ CN (0, 1) which represents the complex channel gain decoder in AWGN channel is employed:
between the transmit antenna k and the receive antenna i, √
where E |hik |2 = 1. Here CN (0, 1) denotes a zero mean b̂b = arg min krr − gV V xk , (3)
V ,x
circularly symmetric complex Gaussian (ZMCSCG) random
variable with unit variance, and E {.} denotes the expectation where k.k denotes the Euclidean vector norm.
operation. Every channel element, hik , is assumed to be drawn III. M AIN C APACITY A NALYSIS
from a complex random process, H, with finite raw moments.
This complex random process consists of two independent and Firstly, the case with a single receive antenna is considered,
and an extension to the general antenna case is followed.
identically (iid) real random processes (i.e., ∈ R).
distributed
1) nR = 1: The capacity of SM for a fixed channel
Let E hℓI and E hℓQ be the ℓth raw moments of real and
imaginary random processes which make up H, respectively. depends on the particular selection of antennas sets. The
The SM scheme considered in this paper activates several general baseband equation in (1) reduces to:
antennas for data transmission, and an independent data stream √
r = gvvx + n, (4)
is transmitted from each antenna. The number of the allowed
set of antennas for nR = 1 where C 1×T vector v = (v1 , . . . , vT ) has a discrete
generally has to be an integer power of 2. T
There are N T possible sets for a SM system if the number of
alphabet, and the transmit C T ×1 vector, x = (x1 , . . . , xT )
active antenna is T . Assume only L sets are configured as legal has equal power constellation symbols and the power of each
antenna sets for data transmission, and T constellation symbols symbol is set to Es /T . The channel matrix is reduced to a
are directly transmitted from all active antennas. The incoming x, v ; r)
vector, h . First, an upper bound for the sum capacity, I (x
bit sequence is segmented into blocks (say b ) of log2 LM T is obtained. From the chain rule for MI:
bits. The first log2 L bits are modulated in the antenna index, x, v ; r) = H (r) − H (r|x
x, v ) ,
I (x (5)
while the next T log2 M bits are conventionally modulated
using QAM constellation. The first log2 L bits select what where H (.) denotes the differential entropy. It can be shown
antenna set is activated in the current channel use and the that H (r|x x, v ) = log2 πeσ 2 in AWGN channels. Since,
second T log2 M bits select the symbols which are transmitted x, v ; r) is maximum when H(r) is maximum, maximizing
I (x
by all active antennas. In this study, the set of active transmit the entropy of r remains. H(r) can be upper bounded by the
antennas are denoted by Υi where Υi ∈ {Υ1 , . . . , ΥL }. The entropy of a complex Gaussian random variable with variance
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IEEE ICC 2015 - Wireless Communications Symposium
that is the same as that of r. Therefore, the capacity of SM is: of the complex signal, xi = xIi + jxQi which is denoted as
the distribution of either xIi or xQi is considered here. The
gσz2
C = max I (xx, v ; r) ≤ log2 1 + 2 , (6) characteristic function (CF) from (27) in Corollary 3 for xIi
x σ
is:
where σz2 is the second moment of z, and z = v x . Since, x X∞
(jt)
ℓ
and v are independent: ϕxIi (t) = mxℓ Ii , (9)
ℓ!
ℓ=0
Es
σz2 = Ev v v H
, where
T
Es i/2
ℓ/2 PNi 2
= Ev1 ,...vT v1 v1 + · · · + vT vTH
H
. (7) (ℓ−1)!!Es
k=1 aik eIik
if ℓ is even,
T mxℓ Ii = (2T )ℓ/2 L
ℓ−2
2
PNi
aik eℓIik (10)
k=1
If transmit antenna k is activated dk times in total, σz2 reduces
0 if ℓ is odd.
to (see Example 1):
where (ℓ − 1)!! denotes the double factorial, i.e., the product
Es H
σz2 = h Dh , (8) of every odd numbers from ℓ − 1 to 1. From Lemma 1, as
LT
Ni → ∞ regardless of the weights, aik s:
where the diagonal matrix D = diag (d1 , . . . , dN ). Substi- !N #
i
tuting the result from (8) into (6), the desired result for the 1 X
aik eIik = E hℓI ,
ℓ
(11)
upper bound is obtained. The alphabets for v1 to vT depend L
k=1
on the selection of the transmit antenna sets. The alphabet P 2
of each vi has a different number of distinct elements, and PNi 2
aik /
Ni
→ 0. Since all aik are integers,
if k=1 k=1 aik
the same element may occur multiple times. The following
this condition is always satisfied, but depending on the actual
is defined to capture this. Let Ni (Ni ≤ N ) be the number
values of aik , the convergence speed may be changed. The
of distinct elements in the alphabet of vi . Let the alphabet
convergence speed could be improved by selecting active
of vi be vi ∈ {ei1 , . . . , eiNi }, and it is assumed that eik th
antenna sets which results Ni ≈ N . Then, (10) becomes:
element occurs aik times in the alphabet of vi , and all aik s are
ℓ/2
integers. Note that although a different notation is introduced (ℓ−1)!!Esℓ/2 (E {h2I }) if ℓ is even,
xIi ℓ/2
E {h I }
ℓ
for the alphabet of vi here, they are actually drawn from the mℓ = (2T ) (12)
original channel matrix H , thus from the random process, 0 if ℓ is odd.
H, as shown in Example 1. Hence, theℓth raw moments This confirms that the per dimension input distribution does
of real and imaginary parts of eik are E hℓI and E hℓQ ,
not depend on CSI but CDI. Similar to the approach in
respectively ∀i, k. Due P to the constraint on the total number Corollary 3, per stream input distribution can be derived, and
of active antenna sets, k aik = L for all i. If the capacity
upper bound is to be achieved in the additive Gaussian noise Q fXi . The independent stream
thus the full input distribution,
transmission implies fx = i fXi . Due to the channel model
channel, it is clear that each complex product, vi xi of z should considered in this paper (see Section II), alphabets of all vi s
be Gaussian variate. It appears that CSIT is essential in order are drawn from the same random process. As a result, all xi s
to make z Gaussian variate. Moreover, it is not clear whether are identically distributed.
z could be made Gaussian variate even with ideal CSIT.
However, an interesting scenario occurs in the massive MIMO Corollary 1 shows that in massive MIMO scenarios, ( i.e.,
regime where the capacity upper bound is indeed achievable N → ∞), the input distribution does not depend on v . How-
with no CSIT. The following result will be useful towards ever, it further shows that the input distribution depends on the
proving this conjecture. CDI. Unlike in SISO fading channels, the capacity achieving
x is not always Gaussian. Therefore, in the absence of CSIT or
Corollary 1. If a SM system is designed in such a way that in strictly with no CSIT but with CDI at the transmitter (CDIT),
the limit of N → ∞, all Ni → ∞, the capacity upper bound the capacity upper bound in (6) is indeed achievable in the
in (6) is almost surely achievable, and the input distribution of limit of N . Hence, the capacity of SM with a deterministic
x is independent of CSI but channel distribution information wireless channel in a massive MIMO system can be given as:
(CDI). ρ H
C = log2 1 + h Dh , (13)
Proof: In order to achieve the capacity upper bound in LT
PN
(6) in Gaussian noise channels, it is clear that z should be where k=1 dk = LT , and ρ = gEsn/σ 2 . The ergodic capacity
o
made Gaussian
P variate. The sum of complex scalar products, in fading, CF , becomes CF = Eh log2 1 + LT ρ
h H Dh .
z, is: z = i vi xi . If each product can be made Gaussian, The exact value of the diagonal elements of D depends on the
as a result, z become Gaussian. Hence, an arbitrary product selection of active antenna sets. Moreover, in Rayleigh fading
denoted as vi xi and per stream input distribution denoted as i.e., samples of v are drawn from a ZMCSCG random process,
fXi are considered. Let eik be eik = eIik + jeQik , where eIik the following result for the PDF of xi ∀i can be obtained.
is the real part of eik . The per dimension input distribution
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IEEE ICC 2015 - Wireless Communications Symposium
N=4 nas is set to T = 2 for simplicity. Let the allowed antenna sets
0.4
be (1, 2) , (1, 3) , (1, 4) , (2, 3), making L = 4. It is clear that
0.2
the alphabet for v1 is h1 , h2 and for v2 is h2 ,h3 , h4 , thus N1 =
H 1 2 2
0
−3 −2 −1 0 1 2 3 2 and N2 = 3. Therefore, Ev1 v1 v1 = L 3 |h1 | + |h2 | ,
Re (product)
2 2 2
and Ev2 v2 v2H = L1 |h2 | + 2 |h3 | + |h4 | . After sub-
1
0.8 product stituting these results into (7) with some simplifications, we
0.6 Gaussian arrive at σz2 = E8s h H Dh , where in this particular case,
CDF
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IEEE ICC 2015 - Wireless Communications Symposium
0
25 10
capacity
bits/channel use
20
average BER
mutual infor.
15
n =3
R Shannon limit
10
nR=2 uncoded SM
5 uncoded SMX
−5
0 10
−5 0 5 10 15 20 25 0 5 10 15 20 25 30
SNR [dB] SNR [dB]
Fig. 2. Ergodic capacity and link-level mutual information of a MIMO system Fig. 3. Uncoded average bit error probability of SM and spatial multiplexing
with SM, and γ = 15, N = 64. with γ = 15, N = 64, and nR = 3.
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IEEE ICC 2015 - Wireless Communications Symposium
1950