K.-L. Du et al Modern Wireless Communications March 5, 2008 Concordia University Montreal
K.-L. Du et al
Modern WirelessCommunications
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 havemigrate 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 fromthe first-generation (1G) analog systems to the third-generation (3G) systemsnow being deployed , and the fourth-generation (4G) systems are now underdevelopment and are expected to be available in five years. The evolution ofwireless networking also strides rapidly during this period, from low-speedwireless local area networks (WLANs) to broadband WLANs, wireless widearea networks (WWANs), and wireless personal area networks (WPAN). Alsobroadband 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/svoice 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 isorganized from a wireless system designer’s viewpoint. We give wide coverageto the techniques that are most relevant to the design of wireless communica-tion and networking systems. Due to limited space, we do not provide lengthymathematical details, but rather emphasize on the practical aspects.
This book is primarily intended as a textbook for senior undergraduateand 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 tobe 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 datacommunication systems.
The book is divided into twenty chapters. We introduce various aspects ofradio 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, channelequalization, modulation and detection, information theory, spread-spectrumcommunications, orthogonal frequency deplexing multiplexing (OFDM), ul-tra wideband (UWB) communications, speech coding, video coding, channelcoding, smart antennas, multi-input multi-output (MIMO) systems, and somerelated topics.
Many thanks go to ... for their helpful comments. Special thanks go toEzio Biglieri and Giorgio Taricco from Politecnico di Torino, Italy for helpfuldiscussion. K.-L. Du also would like to express his gratitude to M. Omair Ah-mad from Concordia University, Canada, Yi Shen from Huazhong Universityof Science and Technology, China, Hong Bao and Jiabin Lu from GuangdongUniversity of Technology, China, Qiang Ni from Brunel University, UK, Ay-han Altintas from Bilkent University, Turkey, for their help during the periodof writing this book.
A book of this length is certain to have some errors and omissions. Whilewe have made significant attempts to a comprehensive description of majortechniques related to modern wireless communications, there are many newemerging techniques and we may not have included them. MATLAB codesfor the examples in the book are downloadable from the book website athttp://www..../.. in the form of Example## ##.m. Feedback is welcome viaemail at [email protected] and we will try our best to reply all the messages.
Montreal, K.-L. Du et alDecember 2007
Contents
1 Introduction to Wireless Systems . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1 Roadmap of Wireless/Mobile Communication Systems . . . . . . . 1
1.1.1 First-Generation Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1.2 Second-Generation Systems . . . . . . . . . . . . . . . . . . . . . . . . . 31.1.3 Third-Generation Systems . . . . . . . . . . . . . . . . . . . . . . . . . . 41.1.4 Fourth-Generation Systems and Beyond . . . . . . . . . . . . . . 81.1.5 Satellite Communications . . . . . . . . . . . . . . . . . . . . . . . . . . 91.1.6 Mobile Cellular Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.2 Roadmap of Wireless Networking . . . . . . . . . . . . . . . . . . . . . . . . . . 121.2.1 WLANs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121.2.2 WPANs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141.2.3 WMANs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161.2.4 WRAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171.2.5 Ad Hoc Wireless Networks . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.3 Other Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191.3.1 Paging Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191.3.2 RF Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.4 Architecture of Radio Transceivers . . . . . . . . . . . . . . . . . . . . . . . . . 211.4.1 Super-Heterodyne Transceivers . . . . . . . . . . . . . . . . . . . . . . 211.4.2 Direct-Conversion Transceivers . . . . . . . . . . . . . . . . . . . . . . 23
1.5 Orgaization of the Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2 Channel and Propagation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272.1 Propagation Loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.1.1 Free-space Loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272.1.2 Plane Earth Loss Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282.1.3 The Okumura–Hata Model . . . . . . . . . . . . . . . . . . . . . . . . . 302.1.4 COST-231–Hata Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302.1.5 Other Empirical Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312.1.6 Physical Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322.1.7 Indoor Propagation Models . . . . . . . . . . . . . . . . . . . . . . . . . 32
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2.1.8 Channel Models in Wireless Standards . . . . . . . . . . . . . . . 332.2 Channel Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.2.1 Log-Normal Shadowing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352.2.2 Rayleigh Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372.2.3 Two-Path Model of Rayleigh Fading . . . . . . . . . . . . . . . . . 402.2.4 Ricean Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442.2.5 Other Fading Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452.2.6 Outage Probability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.3 Doppler Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 472.3.1 Doppler Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 472.3.2 Level Crossing Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502.3.3 Average Fade Durations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.4 The WSSUS Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522.4.1 Delay Spread . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 542.4.2 Correlation Coefficient . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552.4.3 Channel Coherent Bandwidth . . . . . . . . . . . . . . . . . . . . . . . 562.4.4 Doppler Spread and Channel Coherent Time . . . . . . . . . . 572.4.5 Angle Spread and Coherent Distance . . . . . . . . . . . . . . . . 58
2.5 Propagation Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 602.5.1 Reflection and Refraction . . . . . . . . . . . . . . . . . . . . . . . . . . . 612.5.2 Scattering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 632.5.3 Diffraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
2.6 Atmosphere Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 652.6.1 Troposphere Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 652.6.2 Ionospheric Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
2.7 Channel Sounding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
3 Cellular Systems and Multiple Access . . . . . . . . . . . . . . . . . . . . . 733.1 The Cellular Concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
3.1.1 Cell Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 743.1.2 Increasing Capacity of Cellular Networks . . . . . . . . . . . . . 763.1.3 Interference in Multiuser Systems . . . . . . . . . . . . . . . . . . . 773.1.4 Power Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 793.1.5 Channel Assignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 793.1.6 Handoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
3.2 Multiple Access Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 823.2.1 Duplexing: FDD versus TDD . . . . . . . . . . . . . . . . . . . . . . . 833.2.2 FDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 843.2.3 TDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 853.2.4 CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 863.2.5 OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 873.2.6 SDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
3.3 Random Multiple Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 883.3.1 ALOHA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 883.3.2 Carrier-Sense Multiple Access . . . . . . . . . . . . . . . . . . . . . . . 90
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3.3.3 Scheduling Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 923.4 Erlang Capacity in Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
3.4.1 Erlang B Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 943.4.2 Erlang C Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
4 Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 994.1 Diversity Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 994.2 Combining Multiple Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
4.2.1 Selection Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1034.2.2 Maximum Ratio Combining . . . . . . . . . . . . . . . . . . . . . . . . 1064.2.3 Equal Gain Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1114.2.4 Switch Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1134.2.5 Optimum Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
4.3 Transmit Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1164.3.1 Open-Loop Transmit Diversity . . . . . . . . . . . . . . . . . . . . . . 1174.3.2 Closed-Loop Transmit Diversity . . . . . . . . . . . . . . . . . . . . . 118
4.4 Multiuser Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1184.4.1 PDF anf CDF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1194.4.2 Multiuser Diversity versus Classical Diversity . . . . . . . . . 120
5 Channel Estimation and Equalization . . . . . . . . . . . . . . . . . . . . . . 1235.1 Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
5.1.1 Adaptive Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . 1245.1.2 Blind Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.2 Channel Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1255.2.1 Optimum Sequence Detection . . . . . . . . . . . . . . . . . . . . . . . 1265.2.2 Linear Equalizers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1275.2.3 Decision-feedback Equalizers . . . . . . . . . . . . . . . . . . . . . . . . 1325.2.4 MLSE Equalizer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1335.2.5 The Viterbi Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1345.2.6 Blind Equalizer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1365.2.7 Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
6 Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1396.1 Maxwell’s Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1396.2 Introduction to Computational Electromagnetics . . . . . . . . . . . . 140
6.2.1 The Method of Moments . . . . . . . . . . . . . . . . . . . . . . . . . . . 1416.2.2 Finite Difference Time-Domain Method . . . . . . . . . . . . . . 1426.2.3 Finite Element Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
6.3 Antenna Fundamentals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1436.3.1 Radiation Patterns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1446.3.2 Antenna Field Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1456.3.3 Antenna Gain and Directivity . . . . . . . . . . . . . . . . . . . . . . . 1466.3.4 Effective Area and Effective Height . . . . . . . . . . . . . . . . . . 1476.3.5 Antenna Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
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6.3.6 Polarization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1486.3.7 Receiving and Transmitting Power Efficiency . . . . . . . . . 149
6.4 Antennas for Wireless Communications . . . . . . . . . . . . . . . . . . . . 1516.4.1 Antennas for Base Stations . . . . . . . . . . . . . . . . . . . . . . . . . 1516.4.2 Antennas for Mobile Stations . . . . . . . . . . . . . . . . . . . . . . . 152
6.5 Wire Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1536.5.1 Dipole Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1546.5.2 Baluns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1576.5.3 Monopoles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
6.6 Patched Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1586.6.1 Microscrip Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1596.6.2 Broadband Microstrip Antennas . . . . . . . . . . . . . . . . . . . . . 160
6.7 Polarization-Agile Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1616.8 Antenna Arrays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
6.8.1 Array Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1636.8.2 Mutual Coupling and Spatial Correlation . . . . . . . . . . . . . 164
6.9 Wideband Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1666.9.1 Implementation of Wideband Antennas . . . . . . . . . . . . . . 1666.9.2 Ultra Wideband Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . 168
7 RF and Microwave Subsystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1717.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
7.1.1 Receiver Performance Requirements . . . . . . . . . . . . . . . . . 1717.1.2 Architecture of RF Subsystems . . . . . . . . . . . . . . . . . . . . . . 172
7.2 RF System Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1737.2.1 Noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1737.2.2 Noise Figure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1767.2.3 Link Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
7.3 Transmission Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1787.3.1 Fundamental Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1787.3.2 Smith Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1817.3.3 Types of Transmission Line . . . . . . . . . . . . . . . . . . . . . . . . . 182
7.4 Microwave Network Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1847.5 Impedance Matching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
7.5.1 Stub Tuners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1877.5.2 Quarter-Wave Transformer . . . . . . . . . . . . . . . . . . . . . . . . . 1887.5.3 Multisection Matching Transformers . . . . . . . . . . . . . . . . . 189
7.6 Microwave Resonators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1907.6.1 RLC Resonant Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1907.6.2 Transmission Line Resonators . . . . . . . . . . . . . . . . . . . . . . . 1917.6.3 Waveguide Cavities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
7.7 Power Dividers and Directional Couplers . . . . . . . . . . . . . . . . . . . 1937.7.1 Three-Port Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1937.7.2 Four-Port Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
7.8 RF/Microwave Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
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7.8.1 Insertion Loss Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1987.8.2 Prototyping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2017.8.3 Stub Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2027.8.4 Stepped-Impedance Lowpass Filters . . . . . . . . . . . . . . . . . 2037.8.5 Coupled-Line Bandpass Filters . . . . . . . . . . . . . . . . . . . . . . 2047.8.6 CAD for RF/Microwave Filter Design . . . . . . . . . . . . . . . . 2077.8.7 Filters for Wireless Communications . . . . . . . . . . . . . . . . . 208
7.9 Phase Shifters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2107.10 Basic Concepts in Active RF Circuits . . . . . . . . . . . . . . . . . . . . . . 2127.11 Modeling of RF Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
7.11.1 Diodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2167.11.2 Transistors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
7.12 Switches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2247.13 Attenuators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2267.14 Mixers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
7.14.1 Operation of Mixers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2287.14.2 Types of Mixers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
7.15 Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2317.15.1 Requirements in Wireless Systems . . . . . . . . . . . . . . . . . . . 2317.15.2 Structure of Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2327.15.3 Classification of Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . 2337.15.4 Linearization Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . 2377.15.5 Microwave Transistors for Amplifiers . . . . . . . . . . . . . . . . . 2387.15.6 Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2397.15.7 Transistor Amplifier Design . . . . . . . . . . . . . . . . . . . . . . . . . 240
7.16 Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2417.16.1 Phase Noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2417.16.2 Analysis Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2437.16.3 Classification of RF Oscillators . . . . . . . . . . . . . . . . . . . . . . 244
7.17 Frequency Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2477.17.1 Composition of Phase-Locked Loops . . . . . . . . . . . . . . . . . 2487.17.2 Dynamics of Phase-Locked Loops . . . . . . . . . . . . . . . . . . . . 2517.17.3 Direct Frequency Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . 254
7.18 Automatic Gain Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2557.19 MICs and MMICs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
7.19.1 Major MMIC Technologies . . . . . . . . . . . . . . . . . . . . . . . . . 2577.19.2 Approach to MMIC Design . . . . . . . . . . . . . . . . . . . . . . . . . 2577.19.3 Passive Lumped Components . . . . . . . . . . . . . . . . . . . . . . . 2597.19.4 RF CMOS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2627.19.5 Impedance Matching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
7.20 Digital Up-Conversion and Digital Down-Conversion . . . . . . . . . 2647.20.1 Numerically Controlled Oscillators . . . . . . . . . . . . . . . . . . . 2647.20.2 Direct Digital Frequency Synthesis . . . . . . . . . . . . . . . . . . 266
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8 A/D and D/A Conversions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2698.1 Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
8.1.1 Ideal and Natural Sampling . . . . . . . . . . . . . . . . . . . . . . . . . 2698.1.2 Sampling Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2718.1.3 Aliasing and Antialiasing . . . . . . . . . . . . . . . . . . . . . . . . . . . 2718.1.4 Oversampling and Decimation . . . . . . . . . . . . . . . . . . . . . . 2728.1.5 Bandpass Sampling Criterion . . . . . . . . . . . . . . . . . . . . . . . 273
8.2 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2758.2.1 Uniform Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2758.2.2 Improving Resolution by Oversampling . . . . . . . . . . . . . . . 277
8.3 Analog Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2798.4 Parameters for ADCs and DACs . . . . . . . . . . . . . . . . . . . . . . . . . . 281
8.4.1 SNR of ADCs and DACs . . . . . . . . . . . . . . . . . . . . . . . . . . . 2818.4.2 SFDR and Dithering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
8.5 ADC Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2848.5.1 Flash ADCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2858.5.2 Successive-Approximation ADCs . . . . . . . . . . . . . . . . . . . . 2868.5.3 Sigma-Delta ADCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
8.6 DAC Circuits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2908.7 ADCs and DACs for SDR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
9 Digital Signal Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2939.1 Basic Transforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
9.1.1 Fourier Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2939.1.2 Laplace Transform. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2949.1.3 z-Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
9.2 Discrete-Time Fourier Transform . . . . . . . . . . . . . . . . . . . . . . . . . . 2989.2.1 Windowing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2999.2.2 DFT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3029.2.3 FFT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
9.3 Digital Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3059.3.1 FIR and IIR Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3059.3.2 Stability and Causality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3079.3.3 Inverse Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3089.3.4 Minimum-, Maximum-, and Mixed-Phase Systems . . . . . 3089.3.5 Notch and Comb Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
9.4 Digital Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3119.4.1 FIR Digital Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . 3129.4.2 IIR Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3159.4.3 Hardware Implementation of Digital Filters . . . . . . . . . . . 318
9.5 Adaptive Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3189.5.1 Wiener Solution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3199.5.2 The LMS Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3209.5.3 The RLS Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
9.6 Sampling-Rate Conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
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9.6.1 Interpolation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3219.6.2 Decimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3259.6.3 Sample Rate Converters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3269.6.4 Cascaded Integrator Comb (CIC) Filters . . . . . . . . . . . . . 327
9.7 The Discrete Cosine Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3299.8 The Wavelet Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
9.8.1 The Discrete Wavelet Transform . . . . . . . . . . . . . . . . . . . . 3349.8.2 Multiresolution Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
9.9 Filter Banks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3379.10 Subband Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
9.10.1 Two-Channel Perfect Reconstruction Filter Banks . . . . . 3419.10.2 The Pseudo-QMF Filter Bank . . . . . . . . . . . . . . . . . . . . . . 3449.10.3 The MDCT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
9.11 Median Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
10 Modulation and Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34710.1 Analog Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
10.1.1 Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34710.1.2 Phase Modulation and Frequency Modulation . . . . . . . . . 349
10.2 Introduction to Digital Modulation . . . . . . . . . . . . . . . . . . . . . . . . 35110.2.1 Signal Space Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35210.2.2 Demodulation and Detection . . . . . . . . . . . . . . . . . . . . . . . . 35310.2.3 Error Probability in the Gaussian Channel . . . . . . . . . . . 354
10.3 Baseband Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35610.3.1 Line Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35610.3.2 Pulse Time Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358
10.4 Pulse Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35910.5 Phase-Shift Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
10.5.1 BPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36410.5.2 MPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36510.5.3 QPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
10.6 Frequency Shift Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37510.6.1 Binary FSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37510.6.2 M -ary FSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37910.6.3 Minimum Shift Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38110.6.4 Continuous Phase Modulation . . . . . . . . . . . . . . . . . . . . . . 38510.6.5 GMSK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386
10.7 Quadrature Amplitude Modulation . . . . . . . . . . . . . . . . . . . . . . . . 38810.8 Matched Filtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39510.9 Pulse Shaping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
10.9.1 Raised Cosine Filtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39710.9.2 Root Raised Cosine Filtering . . . . . . . . . . . . . . . . . . . . . . . 399
10.10Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40010.10.1Carrier Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40110.10.2Symbol Timing Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
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10.11Differential Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40510.12Error Probability in Fading Channels . . . . . . . . . . . . . . . . . . . . . . 406
10.12.1Slow, Flat, Rayleigh Fading Channel . . . . . . . . . . . . . . . . . 40610.12.2Slow, Flat, Ricean Fading Channel . . . . . . . . . . . . . . . . . . 40910.12.3Alternative Form of the Q-function . . . . . . . . . . . . . . . . . . 40910.12.4Error Probability Using Moment-Generating Functions . 410
10.13Error Probabilities due to Delay Spread and FrequencyDispersion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
10.14Error Probability in Fading Channels with Diversity Reception 413
11 Information Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41511.1 Basic Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41511.2 Lossless Data Compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
11.2.1 Source Coding Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42111.2.2 Huffman Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42111.2.3 Exponential-Golomb VLCs . . . . . . . . . . . . . . . . . . . . . . . . . 42411.2.4 Arithmetic Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42511.2.5 Dictionary-based Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
11.3 Rate-Distortion Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42911.4 Channel Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
11.4.1 Capacity of the AWGN Channel for GaussianDistributed Input . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
11.4.2 Capacity of the AWGN Channel for Discrete InputAlphabet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
11.4.3 Area Spectral Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43911.5 Capacity of Fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440
11.5.1 Capacity with CSI at Receiver Only . . . . . . . . . . . . . . . . . 44011.5.2 Capacity with CSI at Transmitter and Receiver . . . . . . . 44211.5.3 Capacity of Frequency-Selective Fading Channels . . . . . . 445
11.6 Channel Capacity for Multiuser Communications . . . . . . . . . . . . 44611.6.1 AWGN Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44611.6.2 Flat Fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
11.7 Estimation Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
12 Source Coding I: Speech and Audio Coding . . . . . . . . . . . . . . . 45112.1 Coding for Analog Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45112.2 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
12.2.1 Scalar Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45312.2.2 Vector Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
12.3 Speech Production and Auditory Systems . . . . . . . . . . . . . . . . . . 45512.3.1 Speech Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45512.3.2 Psychoacoustics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
12.4 Speech/Audio Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46012.4.1 Subjective Quality Measures . . . . . . . . . . . . . . . . . . . . . . . . 46112.4.2 Objective Quality Measures . . . . . . . . . . . . . . . . . . . . . . . . . 461
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12.5 Speech Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46412.5.1 Logarithmic PCM Coding . . . . . . . . . . . . . . . . . . . . . . . . . . 46512.5.2 Linear Prediction Analysis and Synthesis . . . . . . . . . . . . . 46612.5.3 Predictive Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47312.5.4 Frequency-Domain Waveform Coding . . . . . . . . . . . . . . . . 47512.5.5 Voice Activity Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . 47612.5.6 Linear Predictive Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 47712.5.7 Pitch Period Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47912.5.8 Analysis by Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48112.5.9 CELP-Based Codecs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48512.5.10Wideband Speech Coding . . . . . . . . . . . . . . . . . . . . . . . . . . 489
12.6 Audio Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49112.6.1 MPEG-1 and MPEG-2 Audio . . . . . . . . . . . . . . . . . . . . . . . 49312.6.2 MPEG-4 Audio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495
13 Source Coding II: Image and Video Coding . . . . . . . . . . . . . . . . 49913.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49913.2 Perception of Human Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
13.2.1 The Visual System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50113.2.2 Color Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502
13.3 Quality of Image and Video Coding . . . . . . . . . . . . . . . . . . . . . . . . 50313.4 Predictive Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50513.5 Transform-Based Image Compression . . . . . . . . . . . . . . . . . . . . . . 50613.6 The JPEG Standard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508
13.6.1 Four Modes of Opertion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50813.6.2 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51013.6.3 Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
13.7 Wavelet-Transform-based Image Coding . . . . . . . . . . . . . . . . . . . . 51313.7.1 Subband Decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51413.7.2 Wavelet Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51413.7.3 Coding of Wavelet Subimages . . . . . . . . . . . . . . . . . . . . . . . 517
13.8 Wavelet-Based Image Coding Standards . . . . . . . . . . . . . . . . . . . . 52113.8.1 The JPEG2000 Standard . . . . . . . . . . . . . . . . . . . . . . . . . . . 52113.8.2 MPEG-4 Still Image Mode . . . . . . . . . . . . . . . . . . . . . . . . . 523
13.9 Comparison of Image Coding Standards . . . . . . . . . . . . . . . . . . . . 52413.9.1 Comparison of Six Popular Standards . . . . . . . . . . . . . . . . 52413.9.2 DjVu and ABO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
13.10Video Data Compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52613.10.1Frame Spatial Format and Frame Types . . . . . . . . . . . . . . 52713.10.2Motion Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52713.10.3Basic Structure of Video . . . . . . . . . . . . . . . . . . . . . . . . . . . 53013.10.4Video Encoder/Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53113.10.5Scalability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53313.10.6Integer DCT Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53613.10.7Shape Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537
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13.10.8Object-Based Coding and Sprite Coding . . . . . . . . . . . . . 53713.10.9Rate Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 538
13.11Introduction to Video Standards . . . . . . . . . . . . . . . . . . . . . . . . . . 539
14 Channel Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54714.1 Prelimiaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54714.2 Linear Block Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
14.2.1 Error Detection/Correction . . . . . . . . . . . . . . . . . . . . . . . . . 55014.2.2 Simple Parity Check and Hamming Codes . . . . . . . . . . . . 55114.2.3 Syndrome Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
14.3 Hard/Soft Decision Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55414.4 Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
14.4.1 Encoder and Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55714.4.2 Types of Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559
14.5 Interleaving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56214.6 Convolutional Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 564
14.6.1 Encoding of Convolutional Codes . . . . . . . . . . . . . . . . . . . . 56514.6.2 Encoder State and Trellis Diagrams . . . . . . . . . . . . . . . . . . 56914.6.3 Sequence Decoders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57114.6.4 Trellis Representation of Block Codes . . . . . . . . . . . . . . . . 57414.6.5 Coding Gaining and Error Probability . . . . . . . . . . . . . . . 57514.6.6 Convolutional Coding with Interleaving . . . . . . . . . . . . . . 57714.6.7 Punctured Convolutional Codes . . . . . . . . . . . . . . . . . . . . . 57814.6.8 Trellis-Coded Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . 579
14.7 Conventional Concatenated Codes . . . . . . . . . . . . . . . . . . . . . . . . . 58014.8 Turbo Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583
14.8.1 Turbo Encoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58414.8.2 Turbo Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58614.8.3 Analysis of the Turbo Code . . . . . . . . . . . . . . . . . . . . . . . . . 589
14.9 Serially Concatenated Convolutional Codes . . . . . . . . . . . . . . . . . 59314.9.1 Design of the SCCC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59414.9.2 Decoding of the SCCC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595
14.10Low-Density Parity-Check Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 59614.10.1The LDPC Code: A Linear Block Code . . . . . . . . . . . . . . 59614.10.2LDPC Encoder and Decoder . . . . . . . . . . . . . . . . . . . . . . . . 599
14.11Adaptive Modulation and Coding . . . . . . . . . . . . . . . . . . . . . . . . . 600
15 Spread Spectrum Communications . . . . . . . . . . . . . . . . . . . . . . . . 60515.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60515.2 Spreading Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 607
15.2.1 Properties of Spreading Sequences . . . . . . . . . . . . . . . . . . . 60715.2.2 Pseudo-Noise Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60815.2.3 Gold Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61015.2.4 Kasami Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61115.2.5 Walsh Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612
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15.2.6 Orthogonal Variable Spreading Factor Sequences . . . . . . 61315.2.7 Barker Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61415.2.8 Complementary Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614
15.3 Direct Sequence Spectrum Spreading . . . . . . . . . . . . . . . . . . . . . . . 61515.3.1 The DS-CDMA Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61615.3.2 The Conventional Receiver . . . . . . . . . . . . . . . . . . . . . . . . . 61815.3.3 The Rake Receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61915.3.4 Synchronization in CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . 62215.3.5 Power Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62315.3.6 Soft Handoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 624
15.4 Multiuser Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62515.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62515.4.2 Optimum Multiuser Detector . . . . . . . . . . . . . . . . . . . . . . . 62615.4.3 Linear Multiuser Detection . . . . . . . . . . . . . . . . . . . . . . . . . 62715.4.4 Serial/Parallel Interference Cancellation . . . . . . . . . . . . . . 62915.4.5 Combination of Linear MUD and Nonlinear SIC . . . . . . . 631
15.5 Bit Error Probability and System Capacity . . . . . . . . . . . . . . . . . 63215.6 DSSS and DS-CDMA in Wireless Standards . . . . . . . . . . . . . . . . 63515.7 Frequence-Hopping Spectrum Spreading . . . . . . . . . . . . . . . . . . . . 638
15.7.1 Error Performance of FHSS . . . . . . . . . . . . . . . . . . . . . . . . . 64015.7.2 FHSS versus DSSS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 641
16 Orthogonal Frequency Division Multiplexing . . . . . . . . . . . . . . 64316.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64316.2 Principle of OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64516.3 Spectrum of OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64716.4 OFDM Transceivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64916.5 Cyclic Prefix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65116.6 Fading Mitigation in OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65316.7 Channel Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 655
16.7.1 Pilot Arrangement for Channel Estimation . . . . . . . . . . . 65516.7.2 Pilot-Assisted Channel Estimation . . . . . . . . . . . . . . . . . . . 656
16.8 Peak-to-average Power Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65716.8.1 Peak Factor Reduction Techniques . . . . . . . . . . . . . . . . . . . 659
16.9 Intercarrier Interference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66316.10Synchronization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 664
16.10.1Influence of Freqnency Shift . . . . . . . . . . . . . . . . . . . . . . . . 66616.10.2Influence of Timing Synchronization Error . . . . . . . . . . . . 66716.10.3Implementation of Synchronization . . . . . . . . . . . . . . . . . . 668
16.11OFDM-based Multiple Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67116.11.1OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 672
16.12Case Study: IEEE 802.11a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67316.13Performance of OFDM Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
16.13.1Phase noise effects on OFDM . . . . . . . . . . . . . . . . . . . . . . . 67416.14Multi-Carrier CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 675
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16.14.1Comparison with Other Techniques . . . . . . . . . . . . . . . . . . 67716.14.2Wavelet OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67816.14.3TDCS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678
17 Ultra Wideband Communications . . . . . . . . . . . . . . . . . . . . . . . . . . 67917.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67917.2 TH-UWB Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 683
17.2.1 Pulse Shape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68317.2.2 Pulse Trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 686
17.3 Single-band and Multiband Systems . . . . . . . . . . . . . . . . . . . . . . . 68717.4 UWB Modulation Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 688
17.4.1 Multiple Access in UWB . . . . . . . . . . . . . . . . . . . . . . . . . . . 68917.4.2 UWB Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 689
17.5 Detection and Avoidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69017.6 Single-Band UWB Transceivers . . . . . . . . . . . . . . . . . . . . . . . . . . . 691
17.6.1 Technical Bottlenecks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69217.6.2 DS-UWB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 692
17.7 Multiband UWB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 693
18 Multiple Antennas: Smart Antenna Systems . . . . . . . . . . . . . . . 69718.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69718.2 Smart Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69818.3 Direction Finding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700
18.3.1 MUSIC (MUltiple SIgnal Classifications) . . . . . . . . . . . . 70118.4 Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703
18.4.1 Blind Source Separation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70318.4.2 Zero-Forcing and Wiener Beamformers . . . . . . . . . . . . . . . 70418.4.3 Switched-beam Antennas . . . . . . . . . . . . . . . . . . . . . . . . . . . 70518.4.4 Adaptive Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
18.5 Adaptive Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70618.5.1 DoA-based Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . 70618.5.2 Training-based Beamforming . . . . . . . . . . . . . . . . . . . . . . . . 70918.5.3 Blind Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71318.5.4 Beamforming for CDMA Systems . . . . . . . . . . . . . . . . . . . 715
18.6 Wideband Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71518.6.1 Pure Delay-Line Wideband Transmitter Beamformer . . . 716
19 Multiple Antennas: MIMO Systems . . . . . . . . . . . . . . . . . . . . . . . 71919.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71919.2 MIMO System Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71919.3 Effect of Spatial Correlation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72019.4 MIMO Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72219.5 MIMO Channel Decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72219.6 Estimation of Channel State Information . . . . . . . . . . . . . . . . . . . 72319.7 Capacity in AWGN Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 724
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19.7.1 No CSI at the Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . 72619.7.2 CSI known at the Transmitter . . . . . . . . . . . . . . . . . . . . . . 72719.7.3 Comparison of Channel Capacities for Transmitter
with and without CSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72719.8 Capacity in Flat-fading Channels . . . . . . . . . . . . . . . . . . . . . . . . . . 729
19.8.1 Outage and Ergodic Capacities . . . . . . . . . . . . . . . . . . . . . . 72919.8.2 Capacity Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73419.8.3 Ricean Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73519.8.4 Frequency-Selective MIMO Channels . . . . . . . . . . . . . . . . 736
19.9 Space–Time Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73719.9.1 Performance Analysis of Space–Time Codes . . . . . . . . . . 73819.9.2 Orthogonal Space–Time Block Codes . . . . . . . . . . . . . . . . 73919.9.3 Space–Time Trellis Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 742
19.10Spatial Multiplexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74419.10.1Layered Space-time Receivers . . . . . . . . . . . . . . . . . . . . . . . 74419.10.2ST Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74719.10.3Spatial Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 749
19.11Diversity Gain, Beamforming Gain, and Capacity . . . . . . . . . . . . 75219.11.1Influence of Insufficient Scattering . . . . . . . . . . . . . . . . . . . 75419.11.2MIMO Beamforming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756
19.12Differential Space–Time Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 75619.13Channel Estimation and Synchronization . . . . . . . . . . . . . . . . . . . 757
19.13.1Partial CSI at the transmitter . . . . . . . . . . . . . . . . . . . . . . . 75719.14Space–Time Processing for Frequency-Selective Channels . . . . . 758
19.14.1Single-Carrier ST Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . 75819.14.2MIMO-OFDM Modulation . . . . . . . . . . . . . . . . . . . . . . . . . 75919.14.3MIMO for Time-Selective Channels . . . . . . . . . . . . . . . . . . 76119.14.4MIMO CDMA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76119.14.5Linear Space-time Processing Model . . . . . . . . . . . . . . . . . 76219.14.6Zero Forcing Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76319.14.7Minimum Mean-Squared Error Criterion . . . . . . . . . . . . . 763
19.15ST-MMSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76519.15.1Signal Model and Space–Time MMSE Detection . . . . . . 76619.15.2Space–Time Matched Filter . . . . . . . . . . . . . . . . . . . . . . . . . 76819.15.3Adaptive Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . 77119.15.4Numerical Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 772
19.16MIMO in Wireless Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 780
20 Topics on Modern Wireless Communications . . . . . . . . . . . . . . 78320.1 Software Defined Radio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 783
20.1.1 SDR Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78420.1.2 Software Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78520.1.3 Bottlenecks of Software Defined Radio . . . . . . . . . . . . . . . 786
20.2 Cognitive Radio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78720.3 Automatic Repeat reQuest (ARQ) . . . . . . . . . . . . . . . . . . . . . . . . . 788
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20.3.1 Hybrid-ARQ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78920.4 Circuit Switching and Packet Switching . . . . . . . . . . . . . . . . . . . . 790
20.4.1 IP in Wireless . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79120.5 Protocol Stack . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 792
20.5.1 OSI Reference Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79220.5.2 Physical Layer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79420.5.3 MAC Layer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79720.5.4 Cross-layer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 798
20.6 Quality of Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79820.7 Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80020.8 User Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 801
The Q-Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 805
Wirtinger-Calculus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 807
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811
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