Edf 96 T

,OW
COMPLEXITY ALGORITHMS IN DIGITAL RECEIVERS
/VE %DFORS
$IVISION OF 3IGNAL 0ROCESSING
,ULE¥ 5NIVERSITY OF 4ECHNOLOGY
3 ,5,%
3WEDEN
3EPTEMBER
II
!BSTRACT
4HIS THESIS ADDRESSES LOW COMPLEXITY ALGORITHMS IN DIGITAL RECEIVERS 4HIS INCLUDES ALGO
RITHMS FOR ESTIMATION DETECTION AND SOURCE CODING
,OW COMPLEXITY ALGORITHMS FOR ESTIMATION AND DETECTION IN THIS THESIS CONCERNS THE
APPROXIMATION OF OPTIMAL ALGORITHMS SO THAT A LOW COMPLEXITY IS OBTAINED WHILE MOST
OF THE ORIGINAL PERFORMANCE IS MAINTAINED 4WO DIdERENT PROBLEMS ARE STUDIED #HANNEL
ESTIMATION IN ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING /&$- SYSTEMS AND SEQUENCE
DETECTION IN SYSTEMS WITH INTER SYMBOL INTERFERENCE )3) 4HE WORK ON CHANNEL ESTIMATION
IS FOCUSED ON WHAT CAN BE VIEWED AS TRANSFORM BASED ESTIMATORS WHERE THE ESTIMATION IS
TRANSFORMED TO A DOMAIN THAT ALLOWS THE STATISTICAL PROPERTIES OF THE CHANNEL TO BE USED
EbCIENTLY FOR COMPLEXITY REDUCTION %STIMATORS BASED BOTH ON THE DISCRETE &OURIER TRANS
FORM $&4 AND ON LOW RANK APPROXIMATIONS ARE ADDRESSED )T IS SHOWN THAT THESE TYPES
OF ESTIMATORS WITH PROPER DESIGN CONSIDERATIONS PROVIDE GOOD LOW COMPLEXITY ESTIMATORS
EVEN THOUGH THE $&4 BASED ESTIMATORS HAVE A TENDENCY TO SUdER FROM APPROXIMATION ER
RORS AT HIGH SIGNAL TO NOISE RATIOS
4HE WORK ON SEQUENCE DETECTION IN SYSTEMS WITH )3) IS A COMPARATIVE STUDY OF DESIGNS
IN A CLASS USUALLY REFERRED TO AS COMBINED LINEAR 6ITERBI EQUALIZERS #,6%S 4HE IDEA
BEHIND #,6%S IS TO SHORTEN THE IMPULSE RESPONSE OF THE CHANNEL BY A LINEAR PREçLTERING
BEFORE THE 6ITERBI DETECTOR IS APPLIED 4HE COMPARISON INCLUDES THREE PREVIOUSLY KNOWN
DESIGNS AND A MINIMAX DESIGN ! UNIçED DESIGN FRAMEWORK IS ALSO DERIVED WHICH MAKES
THE COMPARISON EASIER
4HE LAST TWO PARTS OF THE THESIS ARE CONCERNED WITH THE DESIGN OF ROBUST VARIABLE
LENGTH CODES AND AN ANALYSIS OF THE DECODING SPEED FOR LOOK UP TABLE BASED DECODERS FOR
VARIABLE LENGTH CODES RESPECTIVELY
"Y ROBUST VARIABLE LENGTH CODES ARE MEANT çXED VARIABLE LENGTH CODES THAT HAVE A
LOW SUSCEPTIBILITY TO CHANGES IN THE PROBABILITY DISTRIBUTION OF THE SOURCE 2OBUSTNESS
MEASURES ARE DISCUSSED IN GENERAL AND A MEASURE CALLED GRADIENT ROBUSTNESS IS INTRODUCED
)T IS SHOWN THAT ONLY A SMALL LOSS IN THE DEGREE OF DATA COMPRESSION CAN RESULT IN SUBSTAN
TIALLY INCREASED ROBUSTNESS !S A SIDE EdECT THE PROPOSED DESIGN METHODS ALSO SHORTEN
THE LENGTH OF THE LONGEST CODE WORDS ALLOWING EbCIENT STORAGE OF CODE BOOKS
&INALLY THE DESIGN AND THE DECODING SPEED OF LOOK UP TABLE BASED DECODERS FOR VARIABLE
LENGTH CODES ARE STUDIED 4HESE DECODERS ARE BASED ON USING THE CODED SEQUENCE FOR
INDEXING A TABLE THEREBY PROVIDING AN INSTANTANEOUS DECODING 4WO TYPES OF DECODERS
ARE STUDIED /NE ALLOWS A TRADE Od BETWEEN DECODING SPEED AND MEMORY REQUIREMENT
III
IV
#ONTENTS
0REFACE VII
!CKNOWLEDGMENTS IX
4HESIS SUMMARY
%STIMATION AND DETECTION
3OURCE CODING

!N INTRODUCTION TO ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING
)NTRODUCTION
3YSTEM MODELS
3YSTEM ENVIRONMENTS
3YNCHRONIZATION
#HANNEL ESTIMATION
#HANNEL CODING
$ISCUSSION
! 4IME FREQUENCY LATTICE
!NALYSIS OF $&4 BASED CHANNEL ESTIMATORS FOR /&$-

)NTRODUCTION
3YSTEM MODEL
$&4 BASED ESTIMATORS
0ERFORMANCE ANALYSIS
#ONCLUSIONS
! %STIMATOR EXPRESSIONS
/&$- CHANNEL ESTIMATION BY SINGULAR VALUE DECOMPOSITION

)NTRODUCTION
3YSTEM DESCRIPTION
,INEAR CHANNEL ESTIMATION ACROSS TONES
%STIMATOR PERFORMANCE AND DESIGN
'ENERIC LOW RANK ESTIMATOR
#ONCLUSIONS
V
VI
! /PTIMAL RANK REDUCTION

" #HANNEL CORRELATION MATRICES
# %STIMATOR MEAN SQUARED ERROR
! COMPARATIVE STUDY OF PILOT BASED CHANNEL ESTIMATORS FOR WIRELESS

/&$-
)NTRODUCTION
3YSTEM DESCRIPTION
%STIMATORS
0ERFORMANCE EVALUATION
#ONCLUSIONS
! #OMPLEXITY OF LOW RANK ESTIMATORS
" #ORRELATION MATRICES
#OMBINED LINEAR 6ITERBI EQUALIZERS Ô ! COMPARATIVE STUDY AND A MIN

IMAX DESIGN
)NTRODUCTION
4HE TRANSMISSION SYSTEM MODEL
#,6% DESIGN
3IMULATIONS
#ONCLUSIONS AND FUTURE WORK
3OURCE CODING

$ESIGN AND ANALYSIS OF ROBUST SOURCE CODES
)NTRODUCTION
3YSTEM DESCRIPTION AND BASIC NOTATIONS
2OBUSTNESS
%XPERIMENTAL EVALUATION OF GRADIENT ROBUSTNESS
$ISCUSSION AND CONCLUSIONS
! !NALYSIS OF THE GRADIENT ROBUSTNESS
" 0ROPERTIES OF GRADIENT ROBUST ENTROPY CLOSE %0, CODES
# ! NUMERICAL OPTIMIZATION METHOD
! PERFORMANCE ANALYSIS OF LOOK UP TABLE BASED VARIABLE LENGTH DECODERS

)NTRODUCTION
!LGORITHMS AND A HARDWARE PROPOSAL
$ECODING ALGORITHM PROPERTIES
#ONCLUSIONS
! #ODING EXAMPLES
" ! 0# IMPLEMENTATION
# .OTATIONS
0REFACE
4HIS DOCTORAL THESIS IS A RESULT OF MY TIME AS A 0H$ STUDENT AT THE $IVISION OF 3IGNAL
0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY
) HAVE BEEN INVOLVED IN THREE DIdERENT PROJECTS SINCE ) ENROLLED AS A 0H$ STUDENT
IN "ECAUSE OF THIS ) HAVE HAD THE OPPORTUNITY TO STUDY MANY DIdERENT ASPECTS OF
SIGNAL PROCESSING -Y PERSONAL INTEREST IN SIGNAL PROCESSING IS QUITE BROAD AND ) HAVE
ENJOYED WORKING WITH DIdERENT APPLICATIONS
) STARTED WITH SOURCE CODING IN AND CONTINUED UNTIL ) RECEIVED MY LICENTIATE DEGREE
IN 3HORTLY AFTER THIS ) HAD THE OPPORTUNITY TO WORK WITH LOW COMPLEXITY EQUALIZERS
IN DIGITAL RECEIVERS A DIdERENT PROJECT WITHIN THE $IVISION OF 3IGNAL 0ROCESSING ) CHOSE
TO GO ON AN EXCURSION ALONG THIS NEW AT LEAST TO ME AND INTERESTING PATH LYING IN FRONT
OF ME $URING THIS PERIOD ) BECAME MORE INVOLVED IN OUR ONGOING COOPERATION WITH 4ELIA
2ESEARCH !" ,ULE¥ WHICH THEN LED ME IN THE DIRECTION OF ORTHOGONAL FREQUENCY DIVISION
MULTIPLEXING /&$- 4HE COOPERATION WITH 4ELIA 2ESEARCH HAS HELPED ME TO çND INTER
ESTING AND RELEVANT RESEARCH PROBLEMS AND HAS ALSO RESULTED IN SEVERAL JOINT PUBLICATIONS
)N ADDITION TO OUR COOPERATION WITH INDUSTRY WE HAVE A COOPERATION WITH 0ROFESSOR 3ARAH
+ATE 7ILSON 0URDUE 5NIVERSITY WHICH HAS STRENGTHENED THE TELECOMMUNICATIONS ASPECTS
OF OUR RESEARCH 4HIS HAS ALSO RESULTED IN JOINT PUBLICATIONS OF WHICH SEVERAL ARE INCLUDED
IN THIS THESIS
)T IS ARMED WITH EXPERIENCES FROM THE ABOVE JOURNEY THROUGH THE WORLD OF SIGNAL
PROCESSING THAT ) TOGETHER WITH MY CO AUTHORS HAVE PRODUCED THE MATERIAL PRESENTED IN
THIS THESIS
&INALLY ) WOULD LIKE TO ADD THAT ) HAVE CHOSEN TO ORGANIZE THIS THESIS INTO TWO TOPICS
Ô MOSTLY BECAUSE ) BELIEVE THEY GENERALLY APPLY TO DIdERENT AUDIENCES 4HE TWO TOPICS
ARE %STIMATION AND DETECTION AND 3OURCE CODING
VII
VIII
!CKNOWLEDGMENTS
)N THE LINE OF WORK AS A 0H$ STUDENT ) HAVE HAD THE OPPORTUNITY TO GET TO KNOW A LOT
OF PEOPLE WHO HAVE BOTH ENRICHED MY LIFE ON THE GREATER SCALE AND HAVE DIRECTLY ASSISTED
ME IN MY WORK 4HERE ARE SO MANY WHO HAVE BEEN SO IMPORTANT THAT ) WOULD LIKE TO
ACKNOWLEDGE THEM ALL HERE AND NOW BUT WHAT SCARES ME AND PROBABLY MANY IN THIS
SITUATION IS THAT THE MIND MAY SLIP AND SOMEONE NOT BE MENTIONED ) AM INDEBTED TO
YOU ALL
&IRST OF ALL ) WOULD LIKE TO EXTEND MY GRATITUDE TOWARDS MY ADVISOR 0ROFESSOR 0ER
/LA "¶RJESSON WHO HAS SUPPORTED ME IN MANY WAYS DURING THESE YEARS 7E HAVE HAD
NUMEROUS DISCUSSIONS ABOUT ALMOST EVERYTHING AND AT TIMES WHEN DISCUSSING INTERESTING
IDEAS ALMOST FORGOT ABOUT THE WORK AT HAND 4HE CURIOSITY WE SHARE HAS BEEN A GOOD
TEACHER
) AM ALSO IN GREAT DEBT TO 0ROFESSOR 3ARAH +ATE 7ILSON 0URDUE 5NIVERSITY 53! 7E
HAD JUST STARTED WORKING ON ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING WHEN SHE VISITED
US FOR THE çRST TIME IN "EING AN EXPERT ON THE NAMED SYSTEMS SHE HAS GUIDED
ME IN A WAY THAT ) AM ETERNALLY GRATEFUL FOR ) HAVE ALSO HAD THE PRIVILEGE TO SPEND SIX
MONTHS AS HER GUEST AT 0URDUE 5NIVERSITY IN
) WOULD ALSO LIKE TO ACKNOWLEDGE THE SUPPORT ) HAVE RECEIVED FROM MY CURRENT AND PAST
COLLEAGUES AT THE $IVISION OF 3IGNAL 0ROCESSING ) HAVE HAD A GREAT TIME BOTH SOCIALLY AND
ON THE JOB %SPECIALLY ) WOULD LIKE TO THANK *AN *AAP VAN DE "EEK AND -AGNUS 3ANDELL
WITH WHOM ) HAVE WORKED VERY CLOSELY THE LAST FEW YEARS
! GREAT SOURCE FOR INSPIRATION HAS BEEN THE !PPLIED 3YSTEMS $EVELOPMENT 'ROUP AT
4ELIA 2ESEARCH !" ,ULE¥ /UR FREQUENT DISCUSSIONS AND MEETINGS HAVE SPAWNED MANY
INTERESTING QUESTIONS AND OUR WORK TOGETHER HAS HELPED ME TO A BETTER UNDERSTANDING OF
THE TERM ÞTECHNICAL RELEVANCEÞ
0AUL 0ETERSEN WHO ) GOT TO KNOW THROUGH 0ROFESSOR 7ILSON HAS BEEN OF GREAT ASSIS
TANCE 7E HAVE HAD MANY IN DEPTH DISCUSSIONS ABOUT EVERYTHING FROM TECHNICAL EDITING
PARTS OF THIS THESIS TO !MERICAN HISTORY
3OMEONE WHO HAS NOT DIRECTLY AdECTED THE CONTENTS OF THIS THESIS BUT STILL HAS HAD
A SIGNIçCANT IMPACT ON MY GENERAL KNOWLEDGE IN THE AREA OF SIGNAL PROCESSING IS $R
#HRISTOPHER +OH /UR DISCUSSIONS ON DIdERENT APPLICATIONS OF SIGNAL PROCESSING HAVE
BEEN BOTH INTERESTING AND EDUCATIONAL
,AST BUT NOT LEAST ) WOULD LIKE TO THANK MY FAMILY AND MY FRIENDS WHO HAVE PUT UP
WITH ME DURING THESE YEARS ) KNOW IT MAY HAVE SOMETIMES SEEMED THAT ) CHOSE MY WORK
BEFORE THEM BUT ) AM GRATEFUL FOR ALL THEIR PATIENCE AND SUPPORT AND ) ONLY HOPE THEY
WILL FORGIVE ME IF ) HAVE DISAPPOINTED THEM
"ECAUSE OF YOU THIS WORK HAS NOT ONLY BEEN POSSIBLE IT HAS BEEN A PLEASURE
IX
X
4HESIS SUMMARY
4HIS THESIS CONTAINS MATERIAL FROM THREE DIdERENT TOPICS THAT ) HAVE STUDIED 4HE THREE
TOPICS ARE CONCERNED WITH CHANNEL ESTIMATION IN ORTHOGONAL FREQUENCY DIVISION MULTIPLEX
ING /&$- SYSTEMS COMBINED LINEAR 6ITERBI EQUALIZERS #,6%S AND VARIABLE LENGTH
CODING ) HAVE CHOSEN TO PRESENT THE MATERIAL UNDER TWO MAIN TOPICS CHANNEL ESTIMATION
IN /&$- AND #,6%S UNDER %STIMATION AND DETECTION 0ARTS Ô AND VARIABLE LENGTH
CODING UNDER 3OURCE CODING 0ARTS Ô 4HE TWO MAIN TOPICS ARE TREATED SEPARATELY
EVEN IF MOST OF THE MATERIAL IS DEALING WITH COMPLEXITY VERSUS PERFORMANCE
4HE SEVEN PARTS OF THIS THESIS ARE REPRODUCTIONS OF PUBLICATIONS WHOSE ORIGINAL REFER
ENCES ARE DISPLAYED BELOW 4HE CHANGES MADE ARE THE FOLLOWING 4O MAKE CROSS REFERENCING
AND CITATIONS UNIQUE SECTION AND EQUATION NUMBERING ARE CHANGED AND ALL REFERENCES ARE
COLLECTED IN A SINGLE BIBLIOGRAPHY AT THE END
;= / %DFORS - 3ANDELL * * VAN DE "EEK $ ,ANDSTR¶M AND & 3J¶BERG !N INTRODUCTION
TO ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING 2ESEARCH 2EPORT 45,%! $IV OF
3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY 3EPT
;= / %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON !NALYSIS

OF $&4 BASED CHANNEL ESTIMATORS FOR /&$- 2ESEARCH 2EPORT 45,%! $IV OF
3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY 3EPT 2ELATED PUBLICATION ;=
;= / %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON /&$-

CHANNEL ESTIMATION BY SINGULAR VALUE DECOMPOSITION 2ESEARCH 2EPORT 45,%!
$IV OF 3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY 3EPT 0UBLISHED IN PART
AS ; =
;= - 3ANDELL AND / %DFORS ! COMPARATIVE STUDY OF PILOT BASED CHANNEL ESTIMATORS FOR
WIRELESS /&$- 2ESEARCH 2EPORT 45,%! $IV OF 3IGNAL 0ROCESSING ,ULE¥ 5NI
VERSITY OF 4ECHNOLOGY 3EPT 2ELATED PUBLICATIONS ; =
;= . 3UNDSTR¶M / %DFORS 0 DLING ( %RIKSSON 0 / "¶RJESSON AND 4 +OSKI #OM

BINED LINEAR 6ITERBI EQUALIZERS Ô ! COMPARATIVE STUDY AND A MINIMAX DESIGN )N 0ROC
)%%% 6EHIC 4ECHNOL #ONF PAGES Ô 3TOCKHOLM 3WEDEN *UNE
;= / %DFORS AND 0 / "¶RJESSON $ESIGN AND ANALYSIS OF ROBUST SOURCE CODES 2ESEARCH
2EPORT 45,%! ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY ,ULE¥
;= / %DFORS ! %RENDI AND 0 / "¶RJESSON ! PERFORMANCE ANALYSIS OF LOOK UP TABLE

BASED VARIABLE LENGTH DECODERS 2ESEARCH 2EPORT 45,%! ,ULE¥ 5NIVERSITY OF
4ECHNOLOGY ,ULE¥ 0UBLISHED IN PART AS ;=


4HE MAIN CONCERN OF THE MATERIAL PRESENTED IN 0ARTS Ô IS THE APPROXIMATION OF OPTIMAL
ALGORITHMS ALLOWING A LOW COMPLEXITY WHILE PRESERVING MOST OF THE ORIGINAL PERFORMANCE
)N THE AREA OF DIGITAL COMMUNICATION LOW COMPLEXITY SIGNAL PROCESSING SOLUTIONS ARE BE
COMING MORE AND MORE IMPORTANT &OR INSTANCE INCREASING DEMANDS ON SPECTRAL EbCIENCY
IN WIRELESS SYSTEMS AND EbCIENT USE OF EXISTING COPPER NETWORKS CONTINUALLY PROMPT FOR
MORE SOPHISTICATED SOLUTIONS -ORE SOPHISTICATED SOLUTIONS USUALLY MEANS INCREASED HARD
WARE COMPLEXITY AND INCREASED POWER CONSUMPTION +EEPING THE HARDWARE COMPLEXITY
AND THE POWER CONSUMPTION DOWN IS THEREFORE OF INTEREST IN FUTURE COMMUNICATION SYS
TEMS 4HIS IS ESPECIALLY TRUE FOR MOBILE COMMUNICATION SYSTEMS WHERE PORTABILITY AND
BATTERY LIFE TIME ARE CRITICAL
4HIS MATERIAL CONCERNING LOW COMPLEXITY ALGORITHMS DEALS WITH CHANNEL ESTIMATION
IN /&$- SYSTEMS AND SEQUENCE DETECTION IN SYSTEMS WITH INTER SYMBOL INTERFERENCE )3)
#HANNEL ESTIMATION IN /&$- SYSTEMS

4HERE ARE SEVERAL WAYS OF IMPLEMENTING /&$- SYSTEMS 3OME OF THESE ARE DESCRIBED
IN 0ART WHICH IS AN INTRODUCTION TO /&$- AND AN OVERVIEW OF THE RESEARCH AREAS
CURRENTLY PURSUED BY THE $IVISION OF 3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY
/NE WAY OF IMPLEMENTING AN /&$- SYSTEM IS SCHEMATICALLY DISPLAYED IN &IGURE
WHERE - SIGNAL CONSTELLATION POINTS W ARE DIGITALLY MODULATED ONTO - SUBCARRIERS BY AN
J
INVERSE DISCRETE &OURIER TRANSFORM )$&4 4HE OUTPUT FROM THE )$&4 IS THEN TRANSMITTED
OVER THE CHANNEL AND NOISE IS ADDED /N THE RECEIVER SIDE THE DEMODULATION IS PERFORMED
BY A DISCRETE &OURIER TRANSFORM $&4 WHICH YIELDS THE - NOISY OUTPUTS X J
W X
W .OISE X
(#%3
#%3
#HANNEL
W- ` X- `
&IGURE 3CHEMATIC PICTURE OF A DIGITALLY IMPLEMENTED /&$- SYSTEM
5NDER CERTAIN CONDITIONS SEE 0ART THE SYSTEM IN &IGURE CAN BE MODELLED AS
SHOWN IN &IGURE 4HIS MODEL CONSISTS OF - PARALLEL TRANSMISSION CHANNELS WITH AT
TENUATIONS G AND ADDITIVE NOISE M )F THE /&$- SYSTEM IS TRULY ORTHOGONAL THERE IS
J J
NO CROSSTALK BETWEEN TRANSMISSION CHANNELS AND NO )3) IS PRESENT IN THE SYSTEM IE CON
SECUTIVE /&$- SYMBOLS TRANSMITTED OVER THE CHANNEL DO NOT INTERFERE WITH ONE ANOTHER
%XPRESSING THE /&$- SYSTEM IN THE FORM OF A MATRIX EXPRESSION YIELDS
X 7G
M

G M
W X
G M
W X
G- ` M- `
W- ` X- `
&IGURE /&$- SYSTEM MODELLED AS - PARALLEL CHANNELS WITH CORRELATED ATTENUATIONS
AND ADDITIVE NOISE
WHERE 7 IS A DIAGONAL MATRIX WITH THE TRANSMITTED CONSTELLATION POINTS ON ITS DIAGONAL G
IS A VECTOR OF CHANNEL ATTENUATIONS X IS A VECTOR OF RECEIVED DATA AND M IS A NOISE VECTOR
+NOWING 7 THE STRAIGHT FORWARD LINEAR MINIMUM MEAN SQUARED ERROR ,--3% ES
TIMATE OF THE CHANNEL G IS ;=
B 1 1` X
G GX
XX
WHERE 1 IS THE CROSS CORRELATION MATRIX BETWEEN THE CHANNEL G AND THE RECEIVED DATA
GX
X AND 1 IS THE AUTO CORRELATION MATRIX OF THE RECEIVED DATA %VEN IF THIS ESTIMATOR
XX
IS DESIGNED FOR çXED CORRELATION MATRICES THE COMPUTATIONAL COMPLEXITY BECOMES PRO
HIBITIVELY LARGE Ô THE ESTIMATION REQUIRES - MULTIPLICATIONS IN AN - `SUBCARRIER SYSTEM
4WO METHODS FOR LOWERING THE COMPUTATIONAL COMPLEXITY OF THIS /&$- CHANNEL ESTIMA
TOR ARE INVESTIGATED IN THIS THESIS 0ARTS Ô "OTH METHODS ARE TRANSFORM BASED AND
A SCHEMATIC STRUCTURE OF THE ESTIMATORS IS DISPLAYED IN &IGURE !N INTUITIVE EXPLA
NATION OF THE GENERAL APPROACH IS THAT BY CHOOSING A PROPER TRANSFORM DOMAIN WE CAN
CONCENTRATE THE POWER OF THE CHANNEL TO A FEW TRANSFORM COEbCIENTS AND PERFORM THE
ESTIMATION IN A SPACE OF LOWER DIMENSION 4HIS IS POSSIBLE SINCE THE /&$- SYMBOLS
ARE BY DESIGN MUCH LONGER THAN THE IMPULSE RESPONSE OF THE TRANSMISSION CHANNEL 4HE
FREQUENCY RESPONSE IS THEREFORE OVERSAMPLED IN X AND CAN BE DESCRIBED ACCURATELY IN A
LOWER DIMENSION &OR THIS APPROACH TO YIELD A LOW COMPLEXITY SOLUTION THE COMPLEXITY
OF THE TRANSFORMS AND THE ESTIMATION IN THE TRANSFORM DOMAIN HAS TO HAVE A COMBINED
COMPLEXITY LOWER THAN THE ORIGINAL - MULTIPLICATIONS
)N 0ART WE INVESTIGATE THE POSSIBILITY OF USING THE $&4 AS A POWER CONCENTRATING
TRANSFORM 4HE $&4 APPROACH HAS ALSO BEEN SUGGESTED FOR DISCRETE TIME CHANNELS BY
#HINI ; = /UR ANALYSIS IS DIdERENT FROM THE ANALYSIS IN ;= IN THAT WE USE CONTINUOUS
TIME CHANNEL MODELS &OR LOW 3.2S THIS TYPE OF ESTIMATOR PERFORMS RELATIVELY WELL
BUT IN ORDER TO AVOID AN ERROR âOOR INHERENT IN THIS TYPE OF ESTIMATOR A LARGE NUMBER
OF TRANSFORM COEbCIENTS ARE NEEDED /NE OF THE ANALYZED ESTIMATORS WHICH IS A NEW
DESIGN BOTH OBTAINS ITS MAXIMAL PERFORMANCE AND MAINTAINS ITS LOW COMPLEXITY WHEN ALL
COEbCIENTS ARE USED
)N 0ART WE APPLY THE THEORY OF OPTIMAL RANK REDUCTION ;= TO THE SAME CHANNEL
ESTIMATION PROBLEM 4HESE LOW RANK ESTIMATORS CAN ALSO BE INTERPRETED IN THE STRUCTURE

&IGURE 3CHEMATIC PICTURE OF LOW COMPLEXITY CHANNEL ESTIMATORS
OF &IGURE WHERE THE TRANSFORMS NOW DEPEND ON THE STATISTICAL PROPERTIES OF THE CHAN
NEL 3INCE THIS APPROACH YIELDS A BETTER OPTIMAL CONCENTRATION OF CHANNEL POWER IN THE
TRANSFORM DOMAIN THE ,--3% ESTIMATOR CAN BE APPROXIMATED WITH THE SAME ACCURACY
IN A SMALLER SUBSPACE THAN WITH $&4)$&4 (OWEVER AT THE SAME TIME THE TRANSFORMS
ARE NO LONGER FAST AND THIS INCREASES THE COMPLEXITY PER USED TRANSFORM COEbCIENT )N
THIS PART IT IS ALSO SHOWN THAT A çXED LOW RANK ESTIMATOR DESIGN FOR A WORST CASE CHANNEL
AND A HIGH 3.2 GIVES A GOOD ESTIMATOR PERFORMANCE UNDER MISMATCH 4HIS IS SIMILAR TO
THE RECOMMENDATIONS FOR THE DESIGN OF SINGLE CARRIER PILOT ASSISTED MODULATION 03!-
SYSTEMS BY #AVERS IN ;=
4HE INVESTIGATED CHANNEL ESTIMATORS HAVE SO FAR ONLY EXPLOITED THE FREQUENCY CORRELA
TION OF THE CHANNEL )N 0ART WE TAKE THE ANALYSIS ONE STEP FURTHER BY INCLUDING TIME
CORRELATION AS WELL 4O DO THIS SEVERAL CONSECUTIVE /&$- SYMBOLS HAVE TO BE OBSERVED
AND WE MODIFY THE MODEL TO
X 7G
M
K K K K
WHERE K IS THE TIME INDEX 4HE ANALYZED SYSTEM IS BASED ON A SCENARIO WHERE THE CHANNEL
ESTIMATORS USE SCATTERED PILOTS 4HIS MEANS THAT ONLY A SMALL FRACTION OF THE TRANSMITTED
DATA IN THE 7 S ARE KNOWN AT THE RECEIVER 4HE OPTIMAL LINEAR CHANNEL ESTIMATOR IN
K
THIS SITUATION IN TERMS OF MEAN SQUARED ERROR IS A TWO DIMENSIONAL $ 7IENER çLTER
(OWEVER IN ;= (¶HER ARGUES THAT THE $ 7IENER çLTER IS OF TOO HIGH A COMPLEXITY AND
PROPOSES THE USE OF SEPARABLE çLTERS 7E DESIGN LOW RANK APPROXIMATIONS OF BOTH THE
$ 7IENER çLTER AND THE SEPARABLE çLTER AND COMPARE THE PERFORMANCES OF ALL çLTERS
4HE COMPARISON SHOWS THAT THE USE OF SEPARABLE çLTERS CAN INCREASE THE PERFORMANCE
SUBSTANTIALLY COMPARED TO $ çLTERS WITH THE SAME COMPLEXITY &URTHER IF LOW RANK
APPROXIMATIONS OF THE TYPE DISCUSSED IN 0ART ARE ADDED TO THESE SEPARABLE çLTERS THEN
THE PERFORMANCE IMPROVES EVEN MORE IF ONLY MARGINALLY SO
3EQUENCE DETECTION IN SYSTEMS WITH INTER SYMBOL INTERFERENCE

#OMBINED LINEAR 6ITERBI EQUALIZERS #,6%S ARE STUDIED IN 0ART ! DISCRETE TIME
MODEL OF THE ADDRESSED SYSTEM IS DISPLAYED IN &IGURE WHERE W IS A SEQUENCE OF
J
TRANSMITTED DATA G THE CHANNEL IMPULSE RESPONSE AND M IS WHITE 'AUSSIAN NOISE
J J

MJ
WJ XJ
GJ
&IGURE #HANNEL MODEL USED IN THE ANALYSIS OF COMBINED LINEAR 6ITERBI EQUALIZERS
4HE OPTIMAL DETECTOR FOR THE SEQUENCE W IS KNOWN AS THE 6ITERBI DETECTOR ;= BUT ITS
J
DRAWBACK IS THE EXPONENTIAL GROWTH OF COMPLEXITY AS THE LENGTH OF THE CHANNEL IMPULSE
RESPONSE G INCREASES /NE METHOD TO REDUCE THE COMPLEXITY OF THIS EQUALIZER IS TO APPLY
J
LINEAR PREçLTERING TO THE RECEIVED DATA TO SHORTEN THE EdECTIVE IMPULSE RESPONSE OF THE
CHANNEL BEFORE APPLYING THE 6ITERBI DETECTOR 4HE GENERAL STRUCTURE OF THIS DETECTOR
SHOWN IN &IGURE IS OFTEN REFERRED TO AS A COMBINED LINEAR 6ITERBI EQUALIZER #,6%
; =
XJ ,INEAR 6ITERBI WBJ

PREçLTER DETECTOR
&IGURE 4HE #,6% IS A COMBINATION OF A LINEAR PREçLTER AND A 6ITERBI DETECTOR
7HEN DESIGNING #,6%S IT IS OFTEN DESIRABLE TO MINIMIZE THE BIT ERROR RATE OF THE
RECEIVER 4HE BIT ERROR PROBABILITY DEPENDS ON THE DESIGN PARAMETERS SUCH AS THE CHANNEL
MODEL AND THE IMPULSE RESPONSE OF THE PREçLTER IN A COMPLICATED AND NON LINEAR WAY 4HE
PRE çLTERING OF THE RECEIVED DATA PERTURBS THE SIGNAL SPACE AND COLOURS THE CHANNEL NOISE
)GNORING THIS COLOURING OR GIVING THE 6ITERBI DETECTOR AN APPROXIMATE CHANNEL MODEL RESULT
IN A DISPLACEMENT OF THE DECISION REGIONS FROM THEIR OPTIMAL LOCATIONS CF THE RESIDUAL )3)
IN ;= )NSTEAD OF USING THE BIT ERROR RATE AS A DESIGN CRITERION OTHER MORE FEASIBLE
CRITERIA ARE USED IN #,6% DESIGN METHODS 4HE CONTRIBUTION IN THIS PART OF THE THESIS
IS A COMPARATIVE STUDY OF #,6% DESIGNS FOUND IN THE LITERATURE ; = AND A
MINIMAX DESIGN ! UNIçED DESIGN FRAMEWORK IS DERIVED WHICH MAKES THE COMPARISON
EASIER
3OURCE CODING
6ARIABLE LENGTH CODING BASED ON 3HANNONS 3OURCE #ODING 4HEOREM ;= IS A COMMON
DATA COMPRESSION TECHNIQUE 4HE CODE CONSTRUCTION METHODS EG THE ONE PRESENTED BY
(UdMAN ;= USE THE PRINCIPLE THAT SYMBOLS WITH A HIGH PROBABILITY OF APPEARANCE SHOULD
REQUIRE LESS STORAGE SPACE THAN LESS FREQUENT SYMBOLS 4HIS IS DONE BY ASSIGNING SHORT
CODE WORDS TO THE HIGH PROBABILITY SYMBOLS AND LONG CODE WORDS TO THE LOW PROBABILITY
ONES %NTROPY CODES OF THIS TYPE SUCH AS VARIABLE LENGTH CODES ARE FOUND AS AN IMPORTANT
INTEGRATED PART IN MANY SOURCE CODING SCHEMES
4HE LAST TWO PARTS OF THIS THESIS ADDRESS THE DESIGN OF ROBUST VARIABLE LENGTH CODES
0ART AND FAST LOOK UP TABLE DECODERS 0ART FOR VARIABLE LENGTH CODES

0ART IS CONCERNED WITH ROBUSTNESS MEASURES TO BE USED WITH VARIABLE LENGTH CODES
AND THE DESIGN OF ROBUST CODES 2OBUSTNESS IN THIS CASE IS DEçNED AS LOW AVERAGE CODE
WORD LENGTH SUSCEPTIBILITY TO CHANGES IN THE PROBABILITY DISTRIBUTION OF THE SOURCE )N
MANY APPLICATIONS THE PROBABILITY DISTRIBUTION OF THE SOURCE IS NEITHER WELL KNOWN NOR
TIME INVARIANT )N SUCH A SITUATION AN ADAPTIVE SOURCE CODER SEE EG ; = CAN BE
APPLIED TO ACHIEVE GOOD DATA COMPRESSION (OWEVER MANY APPLICATIONS DO NOT DEPEND ON
THE BEST POSSIBLE COMPRESSION A HIGH COMPRESSION SPEED OR PORTABLE LOW COST HARDWARE
MAY BE MORE IMPORTANT 4HIS OPENS A NICHE FOR ROBUST STATIC SOURCE CODES
4HERE ARE SEVERAL WAYS TO INTRODUCE WHAT WE CALL ROBUSTNESS &OR INSTANCE BY RE
STRICTING THE LENGTH OF THE LONGEST CODE WORDS LIKE IN ;= THE RESULTING CODE WILL HAVE A
CERTAIN ROBUSTNESS 2OBUSTNESS IS ALSO OBTAINED THROUGH THE SYMBOL SET PARTITIONING USED
IN ; = 4HE SITUATION WHERE CODES ARE DESIGNED USING AN INCORRECT ESTIMATE OF
THE PROBABILITY DISTRIBUTION HAS BEEN COVERED BY A NUMBER OF AUTHORS SEE EG ; =
7E INTRODUCE A ROBUSTNESS MEASURE NAMED GRADIENT ROBUSTNESS 4HIS MEASURE IS BASED
ON THE GRADIENT OF CHANGE OF THE AVERAGE CODE WORD LENGTH WHEN THE SOURCE PROBABILITY
DISTRIBUTION CHANGES $ESIGNING ROBUST CODES ACCORDING TO THIS ROBUSTNESS MEASURE ALSO
YIELDS CODES WITH A RELATIVELY SMALL VARIATION IN CODE WORD LENGTHS &OR CERTAIN PROBABIL
ITY DISTRIBUTIONS ONLY A SMALL LOSS IN AVERAGE CODE WORD LENGTH RESULTS IN A SUBSTANTIAL
INCREASE OF ROBUSTNESS
)N 0ART WE ANALYZE TWO DECODING ALGORITHMS FOR BINARY VARIABLE LENGTH CODES BASED
ON A LOOK UP TABLE APPROACH ! VARIABLE LENGTH CODED SEQUENCE CAN BE DECODED BY A TREE
SEARCH "Y MATCHING THE BITS IN THE SEQUENCE AGAINST THE BRANCHES IN THE CODE TREE ONE
WILL UPON ARRIVAL AT A LEAF HAVE DECODED ONE SOURCE SYMBOL (OWEVER THE TREE SEARCH
IS NOT A VERY FAST DECODING METHOD )F THE AVERAGE CODE WORD LENGTH IS 6 BITS A TRIVIAL
TREE SEARCH WILL REQUIRE AN AVERAGE OF 6 MATCHINGS BEFORE A SOURCE SYMBOL IS DECODED
!N EbCIENT DECODER OF THIS TYPE WAS PRESENTED BY ( 4ANAKA IN ;= 4HE APPROACH
WE HAVE CHOSEN IS TO COMPLETE THE CODE TREE TO A CERTAIN DEPTH OF EVERY BRANCH THUS
ALLOWING A TABULAR DECODING WHERE ONE OR SEVERAL SOURCE SYMBOLS ARE DECODED PER CYCLE
OF THE ALGORITHM $ECODING IS DONE BY INDEXING A TABLE WITH A çXED LENGTH BLOCK FROM THE
VARIABLE LENGTH CODE SEQUENCE ! NICE PROPERTY OF ONE OF THE DECODING ALGORITHMS IS THAT
IT ALLOWS A TRADE Od BETWEEN DECODING SPEED AND MEMORY REQUIREMENT 6ARIATIONS ON THE
THEME HAVE BEEN KNOWN FOR SOME TIME SEE EG ;= WHERE SHORT BLOCKS OF COMPRESSED
DATA ARE DECODED USING A SET OF CONNECTED LOOK UP TABLES

0ART
!N INTRODUCTION TO ORTHOGONAL
FREQUENCY DIVISION MULTIPLEXING
!BSTRACT Ô 4HIS REPORT IS AN INTRODUCTION TO ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING
/&$- 4HE FOCUS IS ON SIGNAL PROCESSING AREAS PURSUED BY OUR RESEARCH GROUP AT ,ULE¥
5NIVERSITY OF 4ECHNOLOGY 7E PRESENT AN HISTORICAL BACKGROUND AND SOME FREQUENTLY USED
SYSTEM MODELS 4YPICAL AREAS OF APPLICATIONS ARE ALSO DESCRIBED BOTH WIRELESS AND WIRED
)N ADDITION TO THE GENERAL OVERVIEW THE ADDRESSED AREAS INCLUDE SYNCHRONIZATION CHANNEL
ESTIMATION AND CHANNEL CODING "OTH TIME AND FREQUENCY SYNCHRONIZATION ARE DESCRIBED
AND THE EdECTS OF SYNCHRONIZATION ERRORS ARE PRESENTED $IdERENT TYPES OF CHANNEL ESTIMA
TORS ARE DESCRIBED WHERE THE FOCUS IS ON LOW COMPLEXITY ALGORITHMS AND IN THIS CONTEXT
ADVANTAGES AND DISADVANTAGES OF COHERENT AND DIdERENTIAL MODULATION ARE ALSO DISCUSSED
#HANNEL CODING IS DESCRIBED BOTH FOR WIRELESS AND WIRED SYSTEMS AND POINTERS ARE INCLUDED
TO EVALUATION TOOLS AND BITLOADING ALGORITHMS !N EXTENSIVE BIBLIOGRAPHY IS ALSO INCLUDED
4HIS PART IS REPRODUCED FROM

/ %DFORS - 3ANDELL * * VAN DE "EEK $ ,ANDSTR¶M AND & 3J¶BERG !N INTRODUCTION TO ORTHOGONAL
FREQUENCY DIVISION MULTIPLEXING 2ESEARCH 2EPORT 45,%! $IV OF 3IGNAL 0ROCESSING ,ULE¥
5NIVERSITY OF 4ECHNOLOGY 3EPT

)NTRODUCTION TO /&$-
)NTRODUCTION
4HE AIM OF THIS REPORT IS TWOFOLD 4HE çRST AIM IS TO PROVIDE AN INTRODUCTION TO ORTHOGONAL
FREQUENCY DIVISION MULTIPLEXING /&$- SYSTEMS AND SELECTED PARTS OF ITS THEORETICAL
BACKGROUND 4HE SECOND AIM IS TO DESCRIBE THE AREAS OF RESEARCH WITHIN /&$- THAT ARE
PURSUED AT THE $IVISION OF 3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY 4HIS ALSO INCLUDES A BY
NO MEANS COMPLETE DESCRIPTION OF RELATED WORK THAT MAY BE OF INTEREST 4HE PRESENTATION
IS IN THE FORM OF A SINGLE BODY WHERE WE DO NOT SEPARATE OUR OWN WORK FROM THAT BY
OTHERS
4HE TECHNOLOGY WE CALL /&$- IN THIS REPORT IS USUALLY VIEWED AS A COLLECTION OF
TRANSMISSION TECHNIQUES 7HEN APPLIED IN A WIRELESS ENVIRONMENT SUCH AS RADIO BROAD
CASTING IT IS USUALLY REFERRED TO AS /&$- (OWEVER IN A WIRED ENVIRONMENT SUCH AS IN
ASYMMETRIC DIGITAL SUBSCRIBER LINES !$3, THE TERM DISCRETE MULTITONE $-4 IS MORE
APPROPRIATE 4HROUGHOUT THIS REPORT WE ONLY USE THE TERM $-4 WHEN EXPLICITLY AD
DRESSING THE WIRED ENVIRONMENT &URTHER THE TWO TERMS SUBCARRIER AND SUBCHANNEL WILL
BE USED INTERCHANGEABLY 4HE HISTORY OF /&$- HAS BEEN ADDRESSED SEVERAL TIMES IN THE
LITERATURE SEE EG ; = WHICH WE HAVE CONDENSED TO THE BRIEF OVERVIEW BELOW
4HE HISTORY OF /&$- DATES BACK TO THE MID ÚS WHEN #HANG PUBLISHED HIS PAPER
ON THE SYNTHESIS OF BANDLIMITED SIGNALS FOR MULTICHANNEL TRANSMISSION ;= (E PRESENTS
A PRINCIPLE FOR TRANSMITTING MESSAGES SIMULTANEOUSLY THROUGH A LINEAR BANDLIMITED CHAN
NEL WITHOUT INTERCHANNEL )#) AND INTERSYMBOL INTERFERENCE )3) 3HORTLY AFTER #HANG
PRESENTED HIS PAPER 3ALTZBERG PERFORMED AN ANALYSIS OF THE PERFORMANCE ;= WHERE HE
CONCLUDED THAT ÞTHE STRATEGY OF DESIGNING AN EbCIENT PARALLEL SYSTEM SHOULD CONCENTRATE
MORE ON REDUCING CROSSTALK BETWEEN ADJACENT CHANNELS THAN ON PERFECTING THE INDIVIDUAL
CHANNELS THEMSELVES SINCE THE DISTORTIONS DUE TO CROSSTALK TEND TO DOMINATEÞ 4HIS IS AN
IMPORTANT CONCLUSION WHICH HAS PROVEN CORRECT IN THE DIGITAL BASEBAND PROCESSING THAT
EMERGED A FEW YEARS LATER
! MAJOR CONTRIBUTION TO /&$- WAS PRESENTED IN BY 7EINSTEIN AND %BERT ;=
WHO USED THE DISCRETE &OURIER TRANSFORM $&4 TO PERFORM BASEBAND MODULATION AND
DEMODULATION 4HIS WORK DID NOT FOCUS ON ÝPERFECTING THE INDIVIDUAL CHANNELSÞ BUT
RATHER ON INTRODUCING EbCIENT PROCESSING ELIMINATING THE BANKS OF SUBCARRIER OSCILLATORS
4O COMBAT )3) AND )#) THEY USED BOTH A GUARD SPACE BETWEEN THE SYMBOLS AND RAISED
COSINE WINDOWING IN THE TIME DOMAIN 4HEIR SYSTEM DID NOT OBTAIN PERFECT ORTHOGONALITY
BETWEEN SUBCARRIERS OVER A DISPERSIVE CHANNEL BUT IT WAS STILL A MAJOR CONTRIBUTION TO
/&$-
!NOTHER IMPORTANT CONTRIBUTION WAS DUE TO 0ELED AND 2UIZ IN ;= WHO IN
TRODUCED THE CYCLIC PREçX #0 OR CYCLIC EXTENSION SOLVING THE ORTHOGONALITY PROBLEM
)NSTEAD OF USING AN EMPTY GUARD SPACE THEY çLLED THE GUARD SPACE WITH A CYCLIC EXTENSION
OF THE /&$- SYMBOL 4HIS EdECTIVELY SIMULATES A CHANNEL PERFORMING CYCLIC CONVOLU
TION WHICH IMPLIES ORTHOGONALITY OVER DISPERSIVE CHANNELS WHEN THE #0 IS LONGER THAN
THE IMPULSE RESPONSE OF THE CHANNEL 4HIS INTRODUCES AN ENERGY LOSS PROPORTIONAL TO THE
LENGTH OF THE #0 BUT THE ZERO )#) GENERALLY MOTIVATES THE LOSS
/&$- SYSTEMS ARE USUALLY DESIGNED WITH RECTANGULAR PULSES BUT RECENTLY THERE HAS
BEEN AN INCREASED INTEREST IN PULSE SHAPING ; = "Y USING PULSES OTHER THAN
RECTANGULAR THE SPECTRUM CAN BE SHAPED TO BE MORE WELL LOCALIZED IN FREQUENCY WHICH IS
BENEçCIAL FROM AN INTERFERENCE POINT OF VIEW

/&$- IS CURRENTLY USED IN THE %UROPEAN DIGITAL AUDIO BROADCASTING $!" STANDARD
;= 3EVERAL $!" SYSTEMS PROPOSED FOR .ORTH !MERICA ARE ALSO BASED ON /&$- ;=
AND ITS APPLICABILITY TO DIGITAL 46 BROADCASTING IS CURRENTLY BEING INVESTIGATED ;
= /&$- IN COMBINATION WITH MULTIPLE ACCESS TECHNIQUES ARE SUBJECT TO
SIGNIçCANT INVESTIGATION SEE EG ; = /&$- UNDER THE NAME $-4
HAS ALSO ATTRACTED A GREAT DEAL OF ATTENTION AS AN EbCIENT TECHNOLOGY FOR HIGH SPEED
TRANSMISSION ON THE EXISTING TELEPHONE NETWORK SEE EG ; =
4HIS REPORT IS ORGANIZED AS FOLLOWS )N 3ECTION WE PRESENT COMMON /&$- MODELS
INCLUDING CONTINUOUS TIME AND DISCRETE TIME %NVIRONMENTS IN WHICH /&$- SYSTEMS ARE
EXPECTED TO WORK ARE SUMMARIZED IN 3ECTION 3YNCHRONIZATION PROBLEMS AND PROPOSED
SOLUTION ARE PRESENTED IN 3ECTION #HANNEL ESTIMATION IS ELABORATED ON IN 3ECTION
AND CODING IN BOTH WIRELESS AND WIRED /&$- SYSTEMS IS DISCUSSED IN 3ECTION
&INALLY IN 3ECTION WE DISCUSS AND SUMMARIZE THE CONTENTS OF THIS REPORT
3YSTEM MODELS

4HE BASIC IDEA OF /&$- IS TO DIVIDE THE AVAILABLE SPECTRUM INTO SEVERAL SUBCHANNELS
SUBCARRIERS "Y MAKING ALL SUBCHANNELS NARROWBAND THEY EXPERIENCE ALMOST âAT FADING
WHICH MAKES EQUALIZATION VERY SIMPLE 4O OBTAIN A HIGH SPECTRAL EbCIENCY THE FREQUENCY
RESPONSE OF THE SUBCHANNELS ARE OVERLAPPING AND ORTHOGONAL HENCE THE NAME /&$-
4HIS ORTHOGONALITY CAN BE COMPLETELY MAINTAINED EVEN THOUGH THE SIGNAL PASSES THROUGH
A TIME DISPERSIVE CHANNEL BY INTRODUCING A CYCLIC PREçX 4HERE ARE SEVERAL VERSIONS OF
/&$- SEE EG ; = BUT WE FOCUS ON SYSTEMS USING SUCH A CYCLIC PREçX ;=
! CYCLIC PREçX IS A COPY OF THE LAST PART OF THE /&$- SYMBOL WHICH IS PREPENDED TO THE
TRANSMITTED SYMBOL SEE &IGURE 4HIS MAKES THE TRANSMITTED SIGNAL PERIODIC WHICH
&IGURE 4HE CYCLIC PREçX IS A COPY OF THE LAST PART OF THE /&$- SYMBOL
PLAYS A DECISIVE ROLL IN AVOIDING INTERSYMBOL AND INTERCARRIER INTERFERENCE ;= 4HIS IS
EXPLAINED LATER IN THIS SECTION !LTHOUGH THE CYCLIC PREçX INTRODUCES A LOSS IN SIGNAL TO
NOISE RATIO 3.2 IT IS USUALLY A SMALL PRICE TO PAY TO MITIGATE INTERFERENCE
! SCHEMATIC DIAGRAM OF A BASEBAND /&$- SYSTEM IS SHOWN IN &IGURE
&OR THIS SYSTEM WE EMPLOY THE FOLLOWING ASSUMPTIONS
q ! CYCLIC PREçX IS USED

q 4HE IMPULSE RESPONSE OF THE CHANNEL IS SHORTER THAN THE CYCLIC PREçX
q 4RANSMITTER AND RECEIVER ARE PERFECTLY SYNCHRONIZED

4RANSMITTER #HANNEL 2ECEIVER

WK XK
WK E S
M XK
3% 74 R:J< RS QS Q:J<
74 3%
#
( ,
"/ # F~ S # "/ ,
$# #
W- ` K X- ` K
&IGURE ! DIGITAL IMPLEMENTATION OF A BASEBAND /&$- SYSTEM Ú#0Ú AND Ú#0ÚDENOTE b
THE INSERTION AND DELETION OF THE CYCLIC PREçX RESPECTIVELY
q #HANNEL NOISE IS ADDITIVE WHITE AND COMPLEX 'AUSSIAN

q 4HE FADING IS SLOW ENOUGH FOR THE CHANNEL TO BE CONSIDERED CONSTANT DURING ONE
/&$- SYMBOL INTERVAL
4HE DIbCULTIES IN A COMPLETE ANALYSIS OF THIS SYSTEM MAKE IT RATHER AWKWARD FOR
THEORETICAL STUDIES 4HEREFORE IT IS COMMON PRACTICE TO USE SIMPLIçED MODELS RESULTING IN
A TRACTABLE ANALYSIS 7E CLASSIFY THESE /&$- SYSTEM MODELS INTO TWO DIdERENT CLASSES
CONTINUOUS TIME AND DISCRETE TIME
#ONTINUOUS TIME MODEL

4HE çRST /&$- SYSTEMS DID NOT EMPLOY DIGITAL MODULATION AND DEMODULATION (ENCE
THE CONTINUOUS TIME /&$- MODEL PRESENTED BELOW CAN BE CONSIDERED AS THE IDEAL /&$-
SYSTEM WHICH IN PRACTICE IS DIGITALLY SYNTHESIZED 3INCE THIS IS THE çRST MODEL DESCRIBED
WE MOVE THROUGH IT IN A STEP BY STEP FASHION 7E START WITH THE WAVEFORMS USED IN THE
TRANSMITTER AND PROCEED ALL THE WAY TO THE RECEIVER 4HE BASEBAND MODEL IS SHOWN IN
&IGURE
K + 3
W K S ME S S XK
W S S X
RS QS
K K
F~ S
W - ` K
- ` S - ` S X
- ` K
&IGURE "ASE BAND /&$- SYSTEM MODEL
q 4RANSMITTER
!SSUMING AN /&$- SYSTEM WITH - SUBCARRIERS A BANDWIDTH OF 6 (Z AND SYMBOL
LENGTH OF 3 SECONDS OF WHICH 3 SECONDS IS THE LENGTH OF THE CYCLIC PREçX THE
BO
TRANSMITTER USES THE FOLLOWING WAVEFORMS

P D - ` BO IF S : 3 <
6
` BO
I { J S 3
S J
3

3
OTHERWISE
WHERE 3 -6
3 .OTE THAT S S
-6 WHEN S IS WITHIN THE CYCLIC
BO J J
PREçX : 3 < 3INCE S IS A RECTANGULAR PULSE MODULATED ON THE CARRIER FREQUENCY
BO J
J6- THE COMMON INTERPRETATION OF /&$- IS THAT IT USES - SUBCARRIERS EACH

CARRYING A LOW BIT RATE 4HE WAVEFORMS S ARE USED IN THE MODULATION AND THE J
TRANSMITTED BASE BAND SIGNAL FOR /&$- SYMBOL NUMBER K IS

-`
8
R S
K W S ` K3
JK J
J
WHERE W W W ` ARE COMPLEX NUMBERS FROM A SET OF SIGNAL CONSTELLATION

K K - K
POINTS 7HEN AN INçNITE SEQUENCE OF /&$- SYMBOLS IS TRANSMITTED THE OUTPUT

FROM THE TRANSMITTER IS A JUXTAPOSITION OF INDIVIDUAL /&$- SYMBOLS

8 8
8 ` -
RS R S
K W S ` K3
JK
` `
J
K K J
q 0HYSICAL CHANNEL
7E ASSUME THAT THE SUPPORT OF THE POSSIBLY TIME VARIANT IMPULSE RESPONSE F~ S
OF THE PHYSICAL CHANNEL IS RESTRICTED TO THE INTERVAL ~ : 3 < IE TO THE LENGTH OF BO
THE CYCLIC PREçX 4HE RECEIVED SIGNAL BECOMES

: BO 3
QS F c R S F~ SRS ` ~ C~

M
ES

WHERE M
ES IS ADDITIVE WHITE AND COMPLEX 'AUSSIAN CHANNEL NOISE
q 2ECEIVER
4HE /&$- RECEIVER CONSISTS OF A çLTER BANK MATCHED TO THE LAST PART :3 3 < OF BO
THE TRANSMITTER WAVEFORMS S IE J

| c
3 ` S IF S : 3 ` 3 <
S J
BO
J
OTHERWISE
%dECTIVELY THIS MEANS THAT THE CYCLIC PREçX IS REMOVED IN THE RECEIVER 3INCE THE
CYCLIC PREçX CONTAINS ALL )3) FROM THE PREVIOUS SYMBOL THE SAMPLED OUTPUT FROM
THE RECEIVER çLTER BANK CONTAINS NO )3) (ENCE WE CAN IGNORE THE TIME INDEX K WHEN
CALCULATING THE SAMPLED OUTPUT AT THE JTH MATCHED çLTER "Y USING AND
WE GET
:
X Q c SJ Q S 3 ` S CS
`
J J S 3 J
: : BO `
8
:
c E 3 ` S c S CS
3 3 - 3
F~ S W S ` ~ C~ S CS
J M J J J
3BO
J
BO 3
7E CONSIDER THE CHANNEL TO BE çXED OVER THE /&$- SYMBOL INTERVAL AND DENOTE IT
BY F~ WHICH GIVES
8` : t: BO u :
c E 3 ` S c S CS
- 3 3 3
X
J W J F~ S ` ~ C~ S CS
MJ
J J

J BO 3 BO 3
4HE INTEGRATION INTERVALS ARE 3 S 3 AND ~ 3 BO BO WHICH IMPLIES THAT

S ` ~ 3 AND THE INNER INTEGRAL CAN BE WRITTEN AS
` ` BO
: BO : BO
D

3 3 I {J S ~ 3 6-
F~ S ` ~ C~
F~ P C~
3 `3
J
BO
` BO : BO
F~ D`
D

I {J S 3 6- 3

P I {J ~ 6-
C~ 3 S3
BO
3 `3 BO
4HE LATTER PART OF THIS EXPRESSION IS THE SAMPLED FREQUENCY RESPONSE OF THE CHANNEL
AT FREQUENCY E J 6- IE AT THE J TH SUBCARRIER FREQUENCY
t u : BO
J F~ D`
6 3

G & I {J ~ 6-
C~
-
J

WHERE & E IS THE &OURIER TRANSFORM OF F ~ 5SING THIS NOTATION THE OUTPUT FROM
THE RECEIVER çLTER BANK CAN BE SIMPLIçED TO
`
8 : ` BO :
c S CS
E 3 ` S c S CS
-
D

3 I {J S 3 6- 3
X J WJ P G J M
3 `3
J J
J
3 BO BO 3 BO
`
8 :
S c S CS
M
- 3
W G
J J J J J
J
3 BO
E 3 ` S cJ S CS 3INCE THE TRANSMITTER çLTERS J S ARE ORTHOGO
2
WHERE M BO M
3
J
3
NAL
` BO
D` ` BO
: :
S c S CS CS p :J ` J <
D

3 3 I {J S 3 6- I {JS 3 6-
J
P P
3 `3 3 `3
J
3 BO 3 BO BO BO
WHERE p :J< IS THE +RONECKER DELTA FUNCTION ;= WE CAN SIMPLIFY AND OBTAIN
X G W
M
J J J J
WHERE M IS ADDITIVE WHITE 'AUSSIAN NOISE !7'.

J
4HE BENEçT OF A CYCLIC PREçX IS TWOFOLD IT AVOIDS BOTH )3) SINCE IT ACTS AS A GUARD
SPACE AND )#) SINCE IT MAINTAINS THE ORTHOGONALITY OF THE SUBCARRIERS "Y RE INTRODUCING
THE TIME INDEX K WE MAY NOW VIEW THE /&$- SYSTEM AS A SET OF PARALLEL 'AUSSIAN
CHANNELS ACCORDING TO &IGURE
!N EdECT TO CONSIDER AT THIS STAGE IS THAT THE TRANSMITTED ENERGY INCREASES WITH THE
LENGTH OF THE CYCLIC PREçX WHILE THE EXPRESSIONS FOR THE RECEIVED
2 AND SAMPLED SIGNALS
STAY THE SAME 4HE TRANSMITTED ENERGY PER SUBCARRIER IS J SJ CS 3 3 ` 3 AND J BO
THE 3.2 LOSS BECAUSE OF THE DISCARDED CYCLIC PREçX IN THE RECEIVER BECOMES
2-1 KNRR ` KNF ` o

G K M K
W K X K
G ` M `
- K - K
W `
- K X ` - K
&IGURE 4HE CONTINUOUS TIME /&$- SYSTEM INTERPRETED AS PARALLEL 'AUSSIAN CHANNELS
- RTAB@QQHDQR
2O@BHMF aE 6-
&IGURE ! SYMBOLIC PICTURE OF THE INDIVIDUAL SUBCHANNELS FOR AN /&$- SYSTEM WITH
- TONES OVER A BANDWIDTH 6
WHERE o 3 3 IS THE RELATIVE LENGTH OF THE CYCLIC PREçX 4HE LONGER THE CYCLIC PREçX
BO
THE LARGER THE 3.2 LOSS 4YPICALLY THE RELATIVE LENGTH OF THE CYCLIC PREçX IS SMALL AND
THE )#) AND )3) FREE TRANSMISSION MOTIVATES THE 3.2 LOSS LESS THAN D" FOR o
&IGURE DISPLAYS A SCHEMATIC PICTURE OF THE FREQUENCY RESPONSE OF THE INDIVIDUAL
SUBCHANNELS IN AN /&$- SYMBOL )N THIS çGURE THE INDIVIDUAL SUBCHANNELS OF THE SYSTEM
ARE SEPARATED 4HE RECTANGULAR WINDOWING OF THE TRANSMITTED PULSES RESULTS IN A SINC
SHAPED FREQUENCY RESPONSE FOR EACH CHANNEL 4HUS THE POWER SPECTRUM OF THE /&$-
SYSTEM DECAYS AS E ` )N SOME CASES THIS IS NOT SUbCIENT AND METHODS HAVE BEEN PROPOSED
TO SHAPE THE SPECTRUM )N ;= A RAISED COSINE PULSE IS USED WHERE THE ROLL Od REGION
ALSO ACTS AS A GUARD SPACE SEE &IGURE )F THE âAT PART IS THE /&$- SYMBOL
&IGURE 0ULSE SHAPING USING THE RAISED COSINE FUNCTION 4HE GRAY PARTS OF THE SIGNAL
INDICATE THE EXTENSIONS
INCLUDING THE CYCLIC PREçX BOTH )#) AND )3) ARE AVOIDED 4HE SPECTRUM WITH THIS KIND
OF PULSE SHAPING IS SHOWN IN &IGURE WHERE IT IS COMPARED WITH A RECTANGULAR PULSE
4HE OVERHEAD INTRODUCED BY AN EXTRA GUARD SPACE WITH A GRACEFUL ROLL Od CAN BE A GOOD
&IGURE 3PECTRUM WITH RECTANGULAR PULSE SOLID AND RAISED COSINE PULSE DASHED
INVESTMENT SINCE THE SPECTRUM FALLS MUCH MORE QUICKLY AND REDUCES THE INTERFERENCE TO
ADJACENT FREQUENCY BANDS
/THER TYPES OF PULSE SHAPING SUCH AS OVERLAPPING ;= AND WELL LOCALIZED PULSES
; = HAVE ALSO BEEN INVESTIGATED
$ISCRETE TIME MODEL

!N ENTIRELY DISCRETE TIME MODEL OF AN /&$- SYSTEM IS DISPLAYED IN &IGURE #OM
PARED TO THE CONTINUOUS TIME MODEL THE MODULATION AND DEMODULATION ARE REPLACED BY
AN INVERSE $&4 )$&4 AND A $&4 RESPECTIVELY AND THE CHANNEL IS A DISCRETE TIME
CONVOLUTION 4HE CYCLIC PREçX OPERATES IN THE SAME FASHION IN THIS SYSTEM AND THE CAL
CULATIONS CAN BE PERFORMED IN ESSENTIALLY THE SAME WAY 4HE MAIN DIdERENCE IS THAT ALL
INTEGRALS ARE REPLACED BY SUMS
WK XK
WK E :J<
M XK
3% 74 R:J< Q:J<
74 3%
#
( ,
"/ F:LJ< "/ ,
$# #
W- ` K X- ` K
&IGURE $ISCRETE TIME /&$- SYSTEM
&ROM THE RECEIVERÚS POINT OF VIEW THE USE OF A CYCLIC PREçX LONGER THAN THE CHANNEL
WILL TRANSFORM THE LINEAR CONVOLUTION IN THE CHANNEL TO A CYCLIC CONVOLUTION $ENOTING
CYCLIC CONVOLUTION BY Ú]Ú WE CAN WRITE THE WHOLE /&$- SYSTEM AS
X K #%3 (#%3 W ] F
ME K K K
#%3 (#%3 W ] F
M K K K
WHERE X CONTAINS THE - RECEIVED DATA POINTS W THE - TRANSMITTED CONSTELLATION POINTS
K K
F THE CHANNEL IMPULSE RESPONSE OF THE CHANNEL PADDED WITH ZEROS TO OBTAIN A LENGTH OF
K
E THE CHANNEL NOISE 3INCE THE CHANNEL NOISE IS ASSUMED WHITE AND 'AUSSIAN
- AND M K
THE TERM M #%3 E

K M REPRESENTS UNCORRELATED 'AUSSIAN NOISE &URTHER WE USE THAT THE
K
$&4 OF TWO CYCLICALLY CONVOLVED SIGNALS IS EQUIVALENT TO THE PRODUCT OF THEIR INDIVIDUAL
$&4S $ENOTING ELEMENT BY ELEMENT MULTIPLICATION BY ÚaÚ THE ABOVE EXPRESSION CAN BE
WRITTEN
X W a #%3 F
M W a G
M
K K K K K K K
WHERE G #%3 F IS THE FREQUENCY RESPONSE OF THE CHANNEL 4HUS WE HAVE OBTAINED
K K
THE SAME TYPE OF PARALLEL 'AUSSIAN CHANNELS AS FOR THE CONTINUOUS TIME MODEL 4HE
ONLY DIdERENCE IS THAT THE CHANNEL ATTENUATIONS G ARE GIVEN BY THE - POINT $&4 OF THE
K
DISCRETE TIME CHANNEL INSTEAD OF THE SAMPLED FREQUENCY RESPONSE AS IN
! TIME FREQUENCY INTERPRETATION

4HE MODELS DESCRIBED ABOVE ARE TWO CLASSICAL MODELS OF /&$- WITH A CYCLIC PREçX !
MORE GENERAL MODEL SUITABLE FOR EG PULSE SHAPING IS TO VIEW /&$- AS TRANSMISSION OF
DATA IN A LATTICE IN THE TIME FREQUENCY PLANE #ONSIDER çRST A TRANSMITTED /&$- SIGNAL
RS
8
RS W S
JK JK
JK
WHERE THE FUNCTIONS S ARE TRANSLATIONS IN TIME BY ~ AND IN FREQUENCY BY y OF THE
JK
PROTOTYPE FUNCTION OS IE

I {Jy S
S O S ` K~ D
JK

4HIS CREATES A TWO DIMENSIONAL $ LATTICE IN THE TIME FREQUENCY PLANE ; = SEE
&IGURE 5SUALLY THE PROTOTYPE FUNCTION IS CHOSEN AS THE RECTANGULAR WINDOW OS
O v S v ~ 4HE SPACING IN THE FREQUENCY DIRECTION IS THEN y ~ ` 3
~ BO
WHERE 3 IS THE LENGTH OF THE CYCLIC PREçX &OR A DISCUSSION ON THE IMPACT OF PROTOTYPE
BO
FUNCTIONS SEE !PPENDIX ! %ACH TRANSMITTED DATA SYMBOL IN THE LATTICE EXPERIENCES
âAT FADING SEE WHICH SIMPLIçES EQUALIZATION AND CHANNEL ESTIMATION 4HE CHANNEL
ATTENUATIONS AT THE LATTICE POINTS ARE CORRELATED AND BY TRANSMITTING KNOWN SYMBOLS AT
SOME POSTIONS THE CHANNEL ATTENUATIONS CAN BE ESTIMATED WITH AN INTERPOLATION çLTER
; = 4HIS IS A $ VERSION OF PILOT SYMBOL ASSISTED MODULATION WHICH HAS BEEN
PROPOSED FOR SEVERAL WIRELESS /&$- SYSTEMS SEE EG ; = ! MORE DETAILED
DESCRIPTION OF /&$- CHANNEL ESTIMATION IS GIVEN IN 3ECTION
)MPERFECTIONS
$EPENDING ON THE ANALYZED SITUATION IMPERFECTIONS IN A REAL /&$- SYSTEM MAY BE
IGNORED OR EXPLICITLY INCLUDED IN THE MODEL "ELOW WE MENTION SOME OF THE IMPERFECTIONS
AND THEIR CORRESPONDING EdECTS
&IGURE ,ATTICE IN THE TIME FREQUENCY PLANE 4HE DATA SYMBOLS W JK ARE TRANSMITTED
AT THE LATTICE POINTS
q $ISPERSION
"OTH TIME AND FREQUENCY DISPERSION OF THE CHANNEL CAN DESTROY THE ORTHOGONALITY OF
THE SYSTEM IE INTRODUCE BOTH )3) AND )#) ;= )F THESE EdECTS ARE NOT SUbCIENTLY
MITIGATED BY EG A CYCLIC PREçX AND A LARGE INTER CARRIER SPACING THEY HAVE TO BE
INCLUDED IN THE MODEL /NE WAY OF MODELLING THESE EdECTS IS AN INCREASE OF THE
ADDITIVE NOISE ;=
q .ONLINEARITIES AND CLIPPING DISTORTION

/&$- SYSTEMS HAVE HIGH PEAK TO AVERAGE POWER RATIOS AND HIGH DEMANDS ON LINEAR
AMPLIçERS ;= .ONLINEARITIES IN AMPLIçERS MAY CAUSE BOTH )3) AND )#) IN THE
SYSTEM %SPECIALLY IF THE AMPLIçERS ARE NOT DESIGNED WITH PROPER OUTPUT BACK
Od /"/ THE CLIPPING DISTORTION MAY CAUSE SEVERE DEGRADATION 4HESE EdECTS
HAVE BEEN ADDRESSED IN EG ; = 3PECIAL CODING STRATEGIES WITH THE
AIM TO MINIMIZE PEAK TO AVERAGE POWER RATIOS HAVE ALSO BEEN SUGGESTED SEE EG
; =
q %XTERNAL INTERFERENCE
"OTH WIRELESS AND WIRED /&$- SYSTEMS SUdER FROM EXTERNAL INTERFERENCE )N WIRE
LESS SYSTEMS THIS INTERFERENCE USUALLY STEMS FROM RADIO TRANSMITTERS AND OTHER TYPES
ELECTRONIC EQUIPMENT IN THE VINCINITY OF THE RECEIVER )N WIRED SYSTEMS THE LIMIT
ING FACTOR IS USUALLY CROSSTALK WHICH IS DISCUSSED IN MORE DETAIL IN 3ECTION
)NTERFERENCE CAN BE INCLUDED IN THE MODEL AS EG COLOURED NOISE
3YSTEM ENVIRONMENTS

4WO MAJOR GROUPS OF COMMUNICATION SYSTEMS ARE THOSE WHO OPERATE IN WIRELESS AND WIRED
ENVIRONMENTS &OR INSTANCE WHEN DESIGNING A WIRELESS /&$- SYSTEM THE FADING CHANNEL
IS USUALLY A MAJOR OBSTACLE WHILE FOR A WIRED /&$- AKA $-4 SYSTEM CROSSTALK AND
IMPULSIVE NOISE ARE MORE DIbCULT TO HANDLE
)N THE FOLLOWING SECTIONS WE BRIEâY DISCUSS THE WIRELESS AND WIRED ENVIRONMENTS
7IRELESS SYSTEMS

)N WIRELESS SYSTEMS RADIO SYSTEMS CHANGES IN THE PHYSICAL ENVIRONMENT CAUSE THE CHAN
NEL TO FADE 4HESE CHANGES INCLUDE BOTH RELATIVE MOVEMENT BETWEEN TRANSMITTER AND
RECEIVER AND MOVING SCATTERERSREâECTORS IN THE SURROUNDING SPACE
7HEN DEVELOPING NEW STANDARDS FOR WIRELESS SYSTEMS CHANNEL MODELS ARE USUALLY CLAS
SIçED ACCORDING TO THE ENVIRONMENT IN WHICH THE RECEIVER OPERATES 4HESE ENVIRONMENTS
ARE OFTEN DESCRIBED IN TERMS LIKE Þ2URAL AREAÞ Þ"USINESS INDOORÞ ETC -ODELS OF THIS
TYPE ARE SPECIçED BY EG THE %UROPEAN TELECOMMUNICATIONS STANDARDS INSTITUTE %43)
; =
)N THEORETICAL STUDIES OF WIRELESS SYSTEMS THE CHANNEL MODELS ARE USUALLY CHOSEN SO
THAT THEY RESULT IN A TRACTABLE ANALYSIS 4HE TWO MAJOR CLASSES OF FADING CHARACTERISTICS
ARE KNOWN AS 2AYLEIGH AND 2ICIAN ;= ! 2AYLEIGH FADING ENVIRONMENT ASSUMES NO
LINE OF SIGHT AND NO çXED REâECTORSSCATTERERS 4HE EXPECTED VALUE OF THE FADING IS ZERO
)F THERE IS A LINE OF SIGHT THIS CAN BE MODELLED BY 2ICIAN FADING WHICH HAS THE SAME
CHARACTERISTICS AS THE 2AYLEIGH FADING EXCEPT FOR A NON ZERO EXPECTED VALUE
/FTEN PROPERTIES OF A THEORETICAL MODEL ARE CHARACTERIZED BY ONLY A FEW PARAMETERS
SUCH AS POWER DELAY PROçLE AND MAXIMAL $OPPLER FREQUENCY 4HE POWER DELAY PROçLE | a
DEPENDS ON THE ENVIRONMENT AND A COMMON CHOICE IS THE EXPONENTIALLY DECAYING PROçLE
| ~ D` ~ ~ QLR
WHERE ~ IS THE TIME DELAY AND ~ IS THE ROOT MEAN SQUARED 2-3 VALUE OF THE POWER
QLR
DELAY PROçLE 3EVERAL OTHER CHOICES ARE POSSIBLE SEE EG ;= 4HE MAXIMAL $OPPLER
FREQUENCY E L@W CAN BE DETERMINED BY
C
U
E CL@W E
B
B
WHERE THE CARRIER FREQUENCY IS E (Z THE SPEED OF THE RECEIVER IS U MS AND THE SPEED
B
OF LIGHT IS B { b MS )SOTROPIC SCATTERING IS COMMONLY ASSUMED IE THE RECEIVED
SIGNAL POWER IS SPREAD UNIFORMLY OVER ALL ANGLES OF ARRIVAL WHICH RESULTS IN A 5 SHAPED
$OPPLER SPECTRUM 4HIS IS USUALLY REFERRED TO AS A *AKES SPECTRUM ;= AND IS DETERMINED
BY THE MAXIMAL $OPPLER FREQUENCY
"EFORE WE START DISCUSSING THE DIdERENT SCENARIOS ENCOUNTERED IN WIRELESS SYSTEMS
THERE ARE A FEW THINGS THAT MAY BE SAID ABOUT /&$- ON FADING CHANNELS IN GENERAL
4HE INTER CARRIER SPACING OF THE SYSTEM HAS TO BE CHOSEN LARGE COMPARED TO THE
MAXIMAL $OPPLER FREQUENCY OF THE FADING CHANNEL TO KEEP THE )#) SMALL ; =
4HIS IS FURTHER DISCUSSED IN !PPENDIX !
)F THE ORTHOGONALITY OF THE SYSTEM IS MAINTAINED THE BASIC /&$- STRUCTURE DOES NOT
NECESSITATE TRADITIONAL EQUALIZING (OWEVER TO EXPLOIT THE DIVERSITY OF THE CHANNEL
PROPER CODING AND INTERLEAVING IS REQUIRED ;=
7E HAVE CHOSEN TO DISCUSS THE WIRELESS ENVIRONMENT IN TWO CONTEXTS THE TRANSMISSION
FROM A BASE STATION TO MOBILE TERMINALS DOWNLINK AND THE TRANSMISSION FROM MOBILE
TERMINALS TO A BASE STATION UPLINK 4HE REASON FOR THE CHOSEN CONTEXTS IS THAT ONE OR
BOTH USUALLY ARE REPRESENTED IN EVERY WIRELESS SYSTEM AND THEY REQUIRE QUITE DIdERENT
DESIGN STRATEGIES
4HE MOST FREQUENTLY DISCUSSED WIRELESS /&$- SYSTEMS ARE FOR BROADCASTING EG
DIGITAL AUDIO AND DIGITAL VIDEO AND ONLY CONTAIN A DOWNLINK SINCE THERE IS NO RETURN
CHANNEL #ELLULAR SYSTEMS ON THE OTHER HAND HAVE BOTH A DOWNLINK AND AN UPLINK
$OWNLINK
! SCHEMATIC PICTURE OF THE DOWNLINK ENVIRONMENT IS SHOWN IN &IGURE )N THIS CASE
MOBILE TERMINAL NUMBER M RECEIVES THE SIGNAL R S TRANSMITTED FROM THE BASE STATION
THROUGH ITS OWN CHANNEL F S AND THE RECEIVED SIGNAL Q S IS GIVEN BY
M M
Q S R c F S
M M
#HAN
NEL NEL
#HAN +
L
NE
4ERMINAL 4ERMINAL +
AN
"ASE
#H
STATION
4ERMINAL
&IGURE 4HE WIRELESS DOWNLINK ENVIRONMENT
4HIS ENVIRONMENT IMPLIES THAT EACH RECEIVER TERMINAL ONLY HAS TO SYNCHRONIZE TO THE
BASE STATION AND FROM ITS POINT OF VIEW THE OTHER TERMINALS DO NOT EXIST 4HIS MAKES
SYNCHRONIZATION RELATIVELY EASY AND ALL PILOT INFORMATION TRANSMITTED FROM THE BASE STATION
CAN BE USED FOR CHANNEL ESTIMATION AND SYNCHRONIZATION
4HE DOWNLINK ENVIRONMENT HAS BEEN THOROUGHLY INVESTIGATED SEE EG ;
= ,ARGE PORTIONS OF WORK PRESENTED ON SYSTEMS OF THIS KIND HAVE BEEN CONCERNED WITH
DIGITAL AUDIO SEE EG ; = AND DIGITAL VIDEO SEE EG ;
= BROADCASTING
5PLINK
! SCHEMATIC PICTURE OF THE UPLINK ENVIRONMENT IS SHOWN IN &IGURE )N THIS CASE
THE BASE STATION RECEIVES THE TRANSMITTED SIGNAL R S FROM MOBILE TERMINAL M THROUGH
M
CHANNEL F S AND THE TOTAL RECEIVED SIGNAL Q S AT THE BASE STATION IS A SUPERPOSITION
M
8
*
Q S R c F S
M M
M
#HAN
NEL NEL
#HAN +
L
NE
4ERMINAL 4ERMINAL +
AN
"ASE
#H
STATION
4ERMINAL
&IGURE 4HE WIRELESS UPLINK ENVIRONMENT
OF SIGNALS FROM ALL MOBILE TERMINALS

4HE MAJOR PROBLEM HERE IS THE SUPERPOSITION OF SIGNALS ARRIVING THROUGH DIdERENT
CHANNELS &OR THE BASE STATION TO BE ABLE TO SEPARATE THE SIGNALS FROM EACH RECEIVER
A SUbCIENT ORTHOGONALITY BETWEEN RECEIVED SIGNALS FROM DIdERENT TERMINALS HAS TO BE
ACHIEVED 3EVERAL METHODS FOR OBTAINING THIS HAVE BEEN PROPOSED 4HESE INCLUDE COMBI
NATIONS OF /&$- AND CODE DIVISION TIME DIVISION AND FREQUENCY DIVISION MULTIPLE ACCESS
#$-! 4$-! AND &$-! RESPECTIVELY !LL THREE HAVE BEEN PROPOSED IN ;= AND
&$-!/&$- IS CURRENTLY UNDER INVESTIGATION IN EG ; =
)NDEPENDENT OF THE METHOD CHOSEN TO SEPARATE SIGNALS FROM DIdERENT TERMINALS THE
SYSTEM SYNCHRONIZATION IS ONE OF THE MAJOR DESIGN ISSUES 4O AVOID INTERFERENCE ALL MO
BILE TERMINALS HAVE TO BE JOINTLY SYNCHRONIZED TO THE BASE STATION &URTHER IF COHERENT
MODULATION IS USED AS IN ; = THE DIdERENT CHANNELS FROM THE USERS HAVE TO BE
ESTIMATED SEPARATELY
7IRED SYSTEMS

7HEN STUDYING WIRED COMMUNICATION SYSTEMS AND TRANSMISSION CHARACTERISTICS OF CABLES
A DISTINCTION IS OFTEN MADE BETWEEN SHIELDED CABLES LIKE COAXIAL CABLES AND UNSHIELDED
CABLES LIKE TWISTED WIRE PAIRS #OAXIAL CABLES HAVE MUCH BETTER TRANSMISSION PROPERTIES
FOR BROADBAND SIGNALS THAN DO WIRE PAIRS %XCEPT FOR COMPUTER NETWORKS COAXIAL CABLES
AND WIRE PAIRS CURRENTLY EXIST IN TWO BASICALLY DIdERENT NETWORK TOPOLOGIES
7IRE PAIRS ARE THE DOMINATING CABLE TYPE IN TELEPHONE ACCESS NETWORKS THAT ARE BUILT
FOR POINT TO POINT AND TWO WAY COMMUNICATION #OAXIAL CABLES ARE USUALLY FOUND IN CABLE
46 SYSTEMS A NETWORK TOPOLOGY THAT IS PRIMARILY INTENDED FOR BROADCASTING AND NOT
FOR POINT TO POINT COMMUNICATION 4HE CABLE 46 SYSTEMS SOMETIMES CONTAIN AMPLIçERS
THAT MAKE BIDIRECTIONAL COMMUNICATION ALMOST IMPOSSIBLE (OWEVER CABLE 46 NETWORKS
ARE CURRENTLY BEING UPGRADED TO SUPPORT BIDIRECTIONAL COMMUNICATION 7E FOCUS ON WIRE
PAIRS AND WILL NOT DISCUSS COAXIAL CABLES FURTHER
4HE COPPER WIRE PAIR DOES NOT CHANGE ITS PHYSICAL BEHAVIOR SIGNIçCANTLY WITH TIME
AND IS THEREFORE CONSIDERED A STATIONARY CHANNEL ;= 4HIS MAKES IT POSSIBLE TO USE
A TECHNIQUE CALLED BIT LOADING ;= SEE 3ECTION WHICH MAKES GOOD USE OF THE
SPECTRALLY SHAPED CHANNEL 7HEN BIT LOADING IS USED IN A WIRED /&$- SYSTEM IT IS OFTEN
REFERRED TO AS $-4
3INCE /&$- IN COMBINATION WITH BIT LOADING MAKES EbCIENT USE OF AVAILABLE BAND
WIDTH IT HAS BECOME A GOOD CANDIDATE FOR DIGITAL SUBSCRIBER LINE $3, SYSTEMS $3, IS
ANOTHER NAME FOR DIGITAL HIGH SPEED COMMUNICATION IN THE TELEPHONE ACCESS NETWORK
7HEN THE BIT RATE OdERED IN DOWNSTREAM DIRECTION TO THE SUBSCRIBER IS LARGER THAN THE
BIT RATE IN UPSTREAM DIRECTION TO THE BASE IT IS CALLED AN ASYMMETRIC DIGITAL SUBSCRIBER
LINE !$3, !$3, IS SUITABLE FOR APPLICATIONS LIKE VIDEO ON DEMAND GAMES VIRTUAL
SHOPPING INTERNET SURçNG ETC WHERE MOST OF THE DATA GOES FROM THE BASE TO THE SUB
SCRIBER )N THE 53! THERE EXISTS AN !$3, STANDARD THAT SUPPORTS DOWNSTREAM BIT RATES
FROM TO -BITSS ;= 4HE BIT RATES OF THE UPSTREAM RETURN PATH USUALLY RANGES
BETWEEN AND KBITSS ;=
3TANDARDS FOR SYMMETRICAL $3,S HAVE ALSO EMERGED TO SUPPORT VIDEO CONFERENCING
AND OTHER SERVICES WITH HIGH DATA RATE IN THE UPSTREAM DIRECTION 4HE çRST SYMMETRIC
$3, SYSTEM WAS CALLED HIGH BIT RATE DIGITAL SUBSCRIBER LINE ($3, ;= WHICH CURRENTLY
SUPPORTS BIT RATES BETWEEN AND -BITSSEC IN BOTH DIRECTIONS ; = &OR DIGITAL
SUBSCRIBER LINES WITH HIGHER BIT RATES THAN ($3, AND !$3, THE TERM VERY HIGH BIT RATE
DIGITAL SUBSCRIBER LINE 6$3, IS USED
3UBSCRIBER LINE TRANSFER FUNCTION

4HE CHARACTERISTICS OF THE WIRE PAIR CHANNEL HAVE BEEN STUDIED IN A NUMBER OF PAPERS
; = ! THOROUGH DESCRIPTION OF THE TRANSFER FUNCTION OF COPPER WIRES AND NOISE
SOURCES IS GIVEN BY 7ERNER IN ;=
&OR $3,S USING A LARGE FREQUENCY RANGE SEVERAL -(Z OR HIGHER THE ATTENUATION
FUNCTION CAN BE APPROXIMATED AS
O
J' E CJ D` CJ E

WHERE C IS THE LENGTH OF THE CABLE AND J IS A CABLE CONSTANT 4HIS MODEL IS OFTEN USED
WHEN 6$3, AND ($3, SYSTEMS ARE ANALYZED ; =
.OISE AND CROSSTALK

4HE MOST IMPORTANT NOISE SOURCES IN THE SUBSCRIBER LINE ENVIRONMENT ARE CROSSTALK FROM
OTHER WIRE PAIRS IN THE SAME CABLE RADIO FREQUENCY 2& NOISE FROM NEARBY RADIO TRANS
MITTERS AND IMPULSE NOISE FROM RELAYS SWITCHES ELECTRICAL MACHINES ETC !7'. IS
GENERALLY NOT A LIMITING FACTOR IN DIGITAL SUBSCRIBER LINES FOR SHORT CABLES BUT BECOMES
MORE IMPORTANT WITH INCREASING CABLE LENGTH )N EG ;= !'7. P IS INCLUDED IN THE
CHANNEL MODEL WITH A SPECTRAL DENSITY OF ` D"M(Z x6 (Z
)MPULSE NOISE IS DIbCULT TO CHARACTERIZE COMPLETELY BUT SOME EdORTS HAS BEEN MADE
TO MODEL THIS KIND OF DISTURBANCES ; = 4HE NORMAL WAY TO MITIGATE THE EdECTS OF
IMPULSE NOISE ON A $-4 SYSTEM IS TO ADD D" TO THE SYSTEM MARGIN ;= AND TO USE
SPECIALLY DESIGNED CODES ;= )T SHOULD BE NOTED THAT $-4 IS MORE RESISTANT TO IMPULSE
NOISE THAN SINGLE CARRIER SYSTEMS SUCH AS CARRIERLESS AMPLITUDEPHASE #!0 MODULATION
;= 4HE IMPACT OF 2& NOISE ON A $3, SYSTEM CAN BE REDUCED SIGNIçCANTLY WITH /&$-
AND BIT LOADING ;= 2& NOISE CAN BE MODELLED AS NARROWBAND DISTURBANCE WITH KNOWN
SPECTRAL DENSITY AND THE BIT ERROR RATE "%2 CAN BE PRESERVED BY TRANSMITTING FEWER
SOMETIMES ZERO BITS ON THE DISTURBED SUBCHANNELS
4HERE ARE BASICALLY TWO DIdERENT FORMS OF CROSSTALK NEAR END CROSSTALK .%84 AND
FAR END CROSSTALK &%84 .%84 OCCURS AT THE CENTRAL ObCE BASE STATION WHEN THE
WEAK UPSTREAM SIGNAL QS IS DISTURBED BY STRONG DOWNSTREAM SIGNALS RS SEE &IGURE
&%84 IS CROSSTALK FROM ONE TRANSMITTED SIGNAL RS TO ANOTHER QS IN THE SAME
DIRECTION SEE &IGURE AND APPEARS AT BOTH ENDS OF THE WIRE LOOP
&IGURE .EAR END CROSSTALK .%84
&IGURE &AR END CROSSTALK &%84
4HE SPECTRAL DENSITY OF .%84 IS MODELLED IN ;= AS
/ E / E J E
- R -

AND THE SPECTRAL DENSITY OF &%84 AS

O
/ E C / E J E J' E CJ C / E J E D`
% R % R %
CJ E
C
WHERE / E IS THE SPECTRAL DENSITY OF THE TRANSMITTED SIGNALS J AND J ARE CONSTANTS
R - %
DEPENDING ON THE TYPE OF CABLE HOW WELL BALANCED THE CABLES ARE AND THE NUMBER OF
DISTURBING COPPER PAIRS ;= .OTE THAT .%84 DOES NOT DEPEND ON THE LENGTH OF THE
WIRE PAIR
)N &IGURE WE DISPLAY AN EXAMPLE OF THE SPECTRAL DENSITY OF A RECEIVED SIGNAL
.%84 AND &%84
3YNCHRONIZATION
/NE OF THE ARGUMENTS AGAINST /&$- IS THAT IT IS HIGHLY SENSITIVE TO SYNCHRONIZATION
ERRORS IN PARTICULAR TO FREQUENCY ERRORS ;= (ERE WE GIVE AN OVERVIEW OF THREE SYNCHRO
NIZATION PROBLEMS SYMBOL CARRIER FREQUENCY AND SAMPLING FREQUENCY SYNCHRONIZATION
!LSO THE EdECTS OF PHASE OdSETS AND PHASE NOISE ARE DISCUSSED

2 J ' E CJ
/

- E
/ NEXT
/ % E C FEXT
=
"
D
N
I
Z
(

7
;
Y
ITS

N
E
D
LA
RT
CE
P
S
RE
W
O
0

&REQUENCY ;-(Z=
&IGURE 0OWER SPECTRAL DENSITY OF ATTENUATED SIGNAL .%84 AND &%84
3YMBOL SYNCHRONIZATION

4IMING ERRORS
! GREAT DEAL OF ATTENTION IS GIVEN TO SYMBOL SYNCHRONIZATION IN /&$- SYSTEMS (OWEVER

BY USING A CYCLIC PREçX THE TIMING REQUIREMENTS ARE RELAXED SOMEWHAT 4HE OBJECTIVE
IS TO KNOW WHEN THE SYMBOL STARTS 4HE IMPACT OF TIMING ERRORS HAS BEEN ANALYZED
IN ; = ! TIMING OdSET GIVES RISE TO A PHASE ROTATION OF THE SUBCARRIERS 4HIS
PHASE ROTATION IS LARGEST ON THE EDGES OF THE FREQUENCY BAND )F A TIMING ERROR IS SMALL
ENOUGH TO KEEP THE CHANNEL IMPULSE RESPONSE WITHIN THE CYCLIC PREçX THE ORTHOGONALITY IS
MAINTAINED )N THIS CASE A SYMBOL TIMING DELAY CAN BE VIEWED AS A PHASE SHIFT INTRODUCED
BY THE CHANNEL AND THE PHASE ROTATIONS CAN BE ESTIMATED BY A CHANNEL ESTIMATOR )F A
TIME SHIFT IS LARGER THAN THE CYCLIC PREçX )3) WILL OCCUR
4HERE ARE TWO MAIN METHODS FOR TIMING SYNCHRONIZATION BASED ON PILOTS OR ON THE
CYCLIC PREçX !N ALGORITHM OF THE FORMER KIND WAS SUGGESTED BY 7ARNER AND ,EUNG IN
;= 4HEY USE A SCHEME WHERE THE /&$- SIGNAL IS TRANSMITTED BY FREQUENCY MODULATION
&- 4HE TRANSMITTER ENCODES A NUMBER OF RESERVED SUBCHANNELS WITH KNOWN PHASES AND
AMPLITUDES 4HE SYNCHRONIZATION TECHNIQUE WITH MODIçCATIONS IS APPLICABLE TO /&$-
SIGNALS TRANSMITTED BY AMPLITUDE MODULATION 4HEIR ALGORITHM CONSISTS OF PHASES
POWER DETECTION COARSE SYNCHRONIZATION AND çNE SYNCHRONIZATION
4HE çRST PHASE POWER DETECTION DETECTS WHETHER OR NOT AN /&$- SIGNAL IS PRESENT
BY MEASURING THE RECEIVED POWER AND COMPARE IT TO A THRESHOLD 4HE SECOND PHASE COARSE
SYNCHRONIZATION IS USED TO ACQUIRE SYNCHRONIZATION ALIGNMENT TO WITHIN f SAMPLES
4HIS PERFORMANCE IS NOT ACCEPTABLE BUT THIS PHASE SERVES TO SIMPLIFY THE TRACKING ALGO
RITHM WHICH CAN ASSUME THAT THE TIMING ERROR IS SMALL 4HE COARSE SYNCHRONIZATION
IS DONE BY CORRELATING THE RECEIVED SIGNAL TO A COPY OF THE TRANSMITTED SYNCHRONIZATION
SIGNAL 4O çND THE PEAK OF THIS CORRELATION WITH ENOUGH ACCURACY A DIGITAL çLTER IS USED
TO PROVIDE INTERPOLATED DATA VALUES AT FOUR TIMES THE ORIGINAL DATA RATE )N THE LAST PHASE
OF THE SYNCHRONIZATION çNE SYNCHRONIZATION THE SUBCHANNELS WITH PILOTS ARE EQUALIZED
WITH THE ESTIMATED CHANNEL OBTAINED FROM PILOTS 3INCE THE COARSE SYNCHRONIZATION GUAR
ANTEES THAT THE TIMING ERROR IS LESS THAN f THE CHANNEL IMPULSE RESPONSE IS WITHIN
THE CYCLIC PREçX 4HE REMAINING PHASE ERRORS ON THE PILOT SUBCHANNELS ARE DUE TO TIMING
ERROR AND CAN BE ESTIMATED BY LINEAR REGRESSION
4HERE ARE ALSO SYNCHRONIZATION ALGORITHMS BASED ON THE CYCLIC PREçX )N ;= THE
DIdERENCE BETWEEN RECEIVED SAMPLES SPACED - SAMPLES APART IS FORMED QJ ` QJ
-
7HEN ONE OF THE SAMPLES BELONGS TO THE CYCLIC PREçX AND THE OTHER ONE TO THE /&$-
SYMBOL FROM WHICH IT IS COPIED THE DIdERENCE SHOULD BE SMALL /THERWISE THE DIdERENCE
BETWEEN TWO UNCORRELATED RANDOM VARIABLES WILL HAVE TWICE THE POWER AND HENCE ON
AVERAGE WILL BE LARGER "Y WINDOWING THIS DIdERENCE WITH A RECTANGULAR WINDOW OF THE
SAME LENGTH AS THE CYCLIC PREçX THE OUTPUT SIGNAL HAS A MINIMUM WHEN A NEW /&$-
SYMBOL STARTS
4HIS IDEA IS MORE FORMALLY ELABORATED IN ; = 4HE LIKELIHOOD FUNCTION GIVEN
THE OBSERVED SIGNAL QJ WITH A TIMING AND FREQUENCY ERROR IS DERIVED IN ; = 4HIS
FUNCTION IS MAXIMIZED TO SIMULTANEOUSLY OBTAIN ESTIMATES OF BOTH TIMING AND FREQUENCY
OdSETS 7ITH NO FREQUENCY OdSET THE LIKELIHOOD FUNCTION WITH RESPECT TO A TIMING OdSET
t IS
8`
t
+
1D FQJQc J
-G `
2-1
c t JQJ ` QJ
-J
J t
2-1
2-1

&OR MEDIUM AND HIGH 3.2S 2-1 A MAXIMUM LIKELIHOOD -, ESTIMATOR BASED ON
c t ESSENTIALLY APPLIES A MOVING AVERAGE TO THE TERM JQJ ` QJ
- J IE THE SAME AS
THE ESTIMATOR IN ;= (OWEVER FOR SMALL 3.2 VALUES THE CROSSCORRELATION QJQ c J
-
ALSO HAS TO BE TAKEN INTO ACCOUNT ! SIMILAR PROCEDURE IS USED IN ;= WITH THE DIdERENCE
THAT THE INPHASE AND QUADRATURE PARTS OF THE OBSERVED SIGNAL QJ ARE QUANTIZED TO BIT
BEFORE t IS ESTIMATED 4HIS YIELDS A SYMBOL SYNCHRONIZER WITH A LOW COMPLEXITY THAT CAN
BE USED IN AN ACQUISITION MODE
3YNCHRONIZATION IN THE UPLINK IS MORE DIbCULT THAN IN THE DOWNLINK OR IN BROADCASTING
4HIS IS DUE TO THE FACT THAT THERE WILL BE A SEPARATE OdSET FOR EACH USER 4HIS PROBLEM HAS
NOT YET BEEN GIVEN MUCH ATTENTION IN THE LITERATURE (OWEVER A RANDOM ACCESS SEQUENCE
IS USED TO SYNCHRONIZE THE MOBILE AND THE BASE STATION IN ;= )NTERFERENCE DUE TO
NON SYNCHRONIZED TRANSMISSION HAS BEEN INVESTIGATED IN ;=
#ARRIER PHASE NOISE

#ARRIER PHASE NOISE IS CAUSED BY IMPERFECTIONS IN THE TRANSMITTER AND RECEIVER OSCILLATORS
&OR A FREQUENCY SELECTIVE CHANNEL NO DISTINCTION CAN BE MADE BETWEEN THE PHASE ROTATION
INTRODUCED BY A TIMING ERROR AND A CARRIER PHASE OdSET ;= !N ANALYSIS OF THE IMPACT
OF CARRIER PHASE NOISEhIS DONE IN ;= 4HERE
i IT IS MODELLED AS A 7IENER PROCESS t S WITH

$ Ft SG AND $ t S
S ` t S {n JSJ WHERE n IN (Z DENOTES THE ONE
SIDED D" LINEWIDTH OF THE ,ORENTZIAN POWER DENSITY SPECTRUM OF THE FREE RUNNING CARRIER
GENERATOR 4HE DEGRADATION IN 3.2 IE THE INCREASE IN 3.2 NEEDED TO COMPENSATE FOR
THE ERROR CAN BE APPROXIMATED BY
t u
n $
# D" { {-
R
KM 6 -
WHERE 6 IS THE BANDWIDTH AND $ - IS THE PER SYMBOL 3.2 .OTE THAT THE DEGRADATION
R
INCREASES WITH THE NUMBER OF SUBCARRIERS $UE TO THE RAPID VARIATIONS OF THE PHASE NOISE
IT MAY CAUSE LARGE PROBLEMS !NALYSIS OF THE IMPACT OF PHASE NOISE IN CODED SYSTEMS HAS
BEEN DONE IN ;=
3AMPLING FREQUENCY SYNCHRONIZATION

4HE RECEIVED CONTINUOUS TIME SIGNAL IS SAMPLED AT INSTANTS DETERMINED BY THE RECEIVER
CLOCK 4HERE ARE TWO TYPES OF METHODS OF DEALING WITH THE MISMATCH IN SAMPLING
FREQUENCY )N SYNCHRONIZED SAMPLING SYSTEMS A TIMING ALGORITHM CONTROLS A VOLTAGE
CONTROLLED CRYSTAL OSCILLATOR IN ORDER TO ALIGN THE RECEIVER CLOCK WITH THE TRANSMITTER CLOCK
4HE OTHER METHOD IS NON SYNCHRONIZED SAMPLING WHERE THE SAMPLING RATE REMAINS çXED
WHICH REQUIRES POST PROCESSING IN THE DIGITAL DOMAIN 4HE EdECT OF A CLOCK FREQUENCY OdSET
IS TWOFOLD THE USEFUL SIGNAL COMPONENT IS ROTATED AND ATTENUATED AND IN ADDITION )#) IS
INTRODUCED )N ;= THE BIT ERROR RATE PERFORMANCE OF A NON SYNCHRONIZED SAMPLED /&$-
SYSTEM HAS BEEN INVESTIGATED )T IS SHOWN THAT NON SYNCHRONIZED SAMPLING SYSTEMS ARE
MUCH MORE SENSITIVE TO A FREQUENCY OdSET COMPARED WITH A SYNCHRONIZED SAMPLING SYS
TEM &OR NON SYNCHRONIZED SAMPLING SYSTEMS IT WAS SHOWN THAT THE DEGRADATION IN D"
DUE TO A FREQUENCY SAMPLING OdSET DEPENDS ON THE SQUARE OF THE CARRIER INDEX AND ON THE
SQUARE OF THE RELATIVE FREQUENCY OdSET
%RRORS IN THE SAMPLING FREQUENCY FOR $-4 SYSTEMS HAVE BEEN ANALYZED IN ;=
#ARRIER FREQUENCY SYNCHRONIZATION

&REQUENCY ERRORS
&REQUENCY OdSETS ARE CREATED BY DIdERENCES IN OSCILLATORS IN TRANSMITTER AND RECEIVER
$OPPLER SHIFTS OR PHASE NOISE INTRODUCED BY NON LINEAR CHANNELS 4HERE ARE TWO DESTRUC
TIVE EdECTS CAUSED BY A CARRIER FREQUENCY OdSET IN /&$- SYSTEMS /NE IS THE REDUCTION
OF SIGNAL AMPLITUDE THE SINC FUNCTIONS ARE SHIFTED AND NO LONGER SAMPLED AT THE PEAK
AND THE OTHER IS THE INTRODUCTION OF )#) FROM THE OTHER CARRIERS SEE &IGURE 4HE
LATTER IS CAUSED BY THE LOSS OF ORTHOGONALITY BETWEEN THE SUBCHANNELS )N ;= 0OLLET ET
AL ANALYTICALLY EVALUATE THE DEGRADATION OF THE "%2 CAUSED BY THE PRESENCE OF CARRIER
FREQUENCY OdSET AND CARRIER PHASE NOISE FOR AN !7'. CHANNEL )T IS FOUND THAT A MUL
TICARRIER SYSTEM IS MUCH MORE SENSITIVE THAN A SINGLE CARRIER SYSTEM $ENOTE THE RELATIVE
FREQUENCY OdSET NORMALIZED BY THE SUBCARRIER SPACING BY aE a WHERE a% IS THE
%
6-
FREQUENCY OdSET AND - THE NUMBER OF SUBCARRIERS 4HE DEGRADATION # IN 3.2 IN D"
CAN THEN BE APPROXIMATED BY
t u
$ - a a% $
# D" { {aE {
R R
KM - KM 6 -
&IGURE %dECTS OF A FREQUENCY OdSET a% REDUCTION IN SIGNAL AMPLITUDE p AND

INTERCARRIER INTERFERENCE q
.OTE THAT THE DEGRADATION IN D" INCREASES WITH THE SQUARE OF THE NUMBER OF SUBCARRIERS
IF a% AND 6 ARE çXED
)N ;= -OOSE DERIVES THE SIGNAL TO INTERFERENCE RATIO 2(1 ON A FADING AND DISPER
SIVE CHANNEL 4HE 2(1 IS DEçNED AS THE RATIO OF THE POWER OF THE USEFUL SIGNAL TO THE
POWER OF THE INTERFERENCE SIGNAL )#) ANDh ADDITIVE
i NOISE (E ASSUMED THAT ALL CHANNEL
ATTENUATIONS G HAVE THE SAME POWER $ JG J !N UPPER BOUND ON THE DEGRADATION IS
J J

R RHM {aE
$
# D" v KNF -

RHMB aE
WHERE RHMB W RHM {W {W 4HE FACTOR IS FOUND FROM A LOWER BOUND OF THE
SUMMATION OF ALL INTERFERING SUBCARRIERS )N &IGURE THE DEGRADATION IS PLOTTED AS
A FUNCTION OF THE NORMALIZED FREQUENCY OdSET aE IE RELATIVE TO THE SUBCARRIER SPAC
ING 4HE SYNCHRONIZATION REQUIREMENTS FOR AN /&$- SYSTEM HAVE BEEN INVESTIGATED IN
;= 4HE CONCLUSION THEREIN IS THAT IN ORDER TO AVOID SEVERE DEGRADATION THE FREQUENCY
SYNCHRONIZATION ACCURACY SHOULD BE BETTER THAN
&REQUENCY ESTIMATORS

3EVERAL CARRIER SYNCHRONIZATION SCHEMES HAVE BEEN SUGGESTED IN THE LITERATURE !S WITH
SYMBOL SYNCHRONIZATION THEY CAN BE DIVIDED INTO TWO CATEGORIES BASED ON PILOTS OR ON
THE CYCLIC PREçX "ELOW FOLLOWS A SHORT OVERVIEW OF SOME OF THEM
0ILOT AIDED ALGORITHMS HAVE BEEN ADDRESSED IN ;= )N THAT WORK SOME SUBCARRIERS ARE
USED FOR THE TRANSMISSION OF PILOTS USUALLY A PSEUDO NOISE 0. SEQUENCE 5SING THESE
KNOWN SYMBOLS THE PHASE ROTATIONS CAUSED BY THE FREQUENCY OdSET CAN BE ESTIMATED
5NDER THE ASSUMPTION THAT THE FREQUENCY OdSET IS LESS THAN HALF THE SUBCARRIER SPACING
THERE IS A ONE TO ONE CORRESPONDENCE BETWEEN THE PHASE ROTATIONS AND THE FREQUENCY OdSET
&IGURE $EGRADATION IN 3.2 DUE TO A FREQUENCY OdSET NORMALIZED TO THE SUBCARRIER
SPACING !NALYTICAL EXPRESSION FOR !7'. DASHED AND FADING CHANNELS SOLID
4O ASSURE THIS AN ACQUISITION ALGORITHM MUST BE APPLIED )N ;= SUCH AN ALGORITHM IS

CONSTRUCTED BY FORMING A FUNCTION WHICH IS SINC SHAPED AND HAS A PEAK FOR E ` EB
)T WAS FOUND THAT BY EVALUATING THIS FUNCTION IN POINTS 3 APART AN ACQUISITION COULD
BE OBTAINED BY MAXIMIZING THAT FUNCTION 4HIS ACQUISITION SCHEME WAS CONçRMED BY
COMPUTER SIMULATIONS TO WORK WELL BOTH FOR AN !7'. CHANNEL AND A FADING CHANNEL
! RELATED TECHNIQUE IS TO USE THE CYCLIC PREçX WHICH TO SOME EXTENT CAN BE VIEWED AS
PILOTS 4HE REDUNDANCY OF THE CYCLIC PREçX CAN BE USED IN SEVERAL WAYS EG BY CREATING
A FUNCTION THAT PEAKS AT ZERO OdSET AND çNDING ITS MAXIMIZING VALUE ; = OR BY DOING
MAXIMUM LIKELIHOOD ESTIMATION ; = )N ;= IT IS ASSUMED THAT THE CYCLIC
PREçX HAS THE SAME SIZE AS THE /&$- SYMBOL IE THE USEFUL SYMBOL IS TRANSMITTED
TWICE IN ;= AVERAGING IS PERFORMED TO REMOVE THE DATA DEPENDENCE AND IN ;= DECISION
DIRECTION IS USED )N ;= THE LIKELIHOOD FUNCTION FOR BOTH TIMING AND FREQUENCY OdSETS IS
DERIVED BY ASSUMING A NON DISPERSIVE CHANNEL AND BY CONSIDERING THE TRANSMITTED DATA
SYMBOLS W UNCORRELATED "Y MAXIMIZING THIS FUNCTION A SIMULTANEOUS ESTIMATION OF THE
J
TIMING AND FREQUENCY OdSETS CAN BE OBTAINED )F THE FREQUENCY ERROR IS SLOWLY VARYING
COMPARED THE /&$- SYMBOL RATE A PHASE LOCKED LOOP 0,, ;= CAN BE USED TO REDUCE
THE ERROR FURTHER
)T IS INTERESTING TO NOTE THE RELATIONSHIP BETWEEN TIME AND FREQUENCY SYNCHRONIZATION

)F THE FREQUENCY SYNCHRONIZATION IS A PROBLEM IT CAN BE REDUCED BY LOWERING THE NUMBER
OF SUBCARRIERS WHICH WILL INCREASE THE SUBCARRIER SPACING 4HIS WILL HOWEVER INCREASE THE
DEMANDS ON THE TIME SYNCHRONIZATION SINCE THE SYMBOL LENGTH GETS SHORTER IE A LARGER
RELATIVE TIMING ERROR WILL OCCUR 4HUS THE SYNCHRONIZATIONS IN TIME AND FREQUENCY ARE
CLOSELY RELATED TO EACH OTHER
#HANNEL ESTIMATION

-ODULATION CAN BE CLASSIçED AS DIdERENTIAL OR COHERENT 7HEN USING DIdERENTIAL MODU
LATION THERE IS NO NEED FOR A CHANNEL ESTIMATE SINCE THE INFORMATION IS ENCODED IN THE
DIdERENCE BETWEEN TWO CONSECUTIVE SYMBOLS 4HIS IS A COMMON TECHNIQUE IN WIRELESS SYS
TEMS WHICH SINCE NO CHANNEL ESTIMATOR IS NEEDED REDUCES THE COMPLEXITY OF THE RECEIVER
$IdERENTIAL MODULATION IS USED IN THE %UROPEAN $!" STANDARD ;= 4HE DRAWBACKS ARE
ABOUT A D" NOISE ENHANCEMENT ;= AND AN INABILITY TO USE EbCIENT MULTIAMPLITUDE
CONSTELLATIONS (OWEVER DIdERENTIAL SCHEMES CAN BENEçT FROM ASSISTANCE BY A CHANNEL ES
TIMATOR ;= !N INTERESTING ALTERNATIVE TO COHERENT MODULATION IS DIdERENTIAL AMPLITUDE
AND PHASE SHIFT KEYING $!03+ ; = WHERE A SPECTRAL EbCIENCY GREATER
THAN THAT OF $03+ IS ACHIEVED BY USING A DIdERENTIAL CODING OF AMPLITUDE AS WELL 4HIS
REQUIRES A NONUNIFORM AMPLITUDE DISTRIBUTION #OHERENT MODULATION HOWEVER ALLOWS
ARBITRARY SIGNAL CONSTELLATIONS AND IS AN OBVIOUS CHOICE IN WIRED SYSTEMS WHERE THE CHAN
NEL HARDLY CHANGES WITH TIME )N WIRELESS SYSTEMS THE EbCIENCY OF COHERENT MODULATION
MAKES IT AN INTERESTING CHOICE WHEN THE BIT RATE IS HIGH AS IN DIGITAL VIDEO BROADCAST
$6" ; =
4HE CHANNEL ESTIMATION IN WIRED SYSTEMS IS FAIRLY STRAIGHTFORWARD AND IS NOT DISCUSSED
IN DETAIL BELOW 7E CONCENTRATE ON CHANNEL ESTIMATION IN WIRELESS SYSTEMS WHERE THE
COMPLEXITY OF THE ESTIMATOR IS AN IMPORTANT DESIGN CRITERION
4HERE ARE MAINLY TWO PROBLEMS IN THE DESIGN OF CHANNEL ESTIMATORS FOR WIRELESS /&$-
SYSTEMS 4HE çRST PROBLEM CONCERNS THE CHOICE OF HOW PILOT INFORMATION DATASIGNALS
KNOWN AT THE RECEIVER SHOULD BE TRANSMITTED 4HIS PILOT INFORMATION IS NEEDED AS A
REFERENCE FOR CHANNEL ESTIMATION 4HE SECOND PROBLEM IS THE DESIGN OF AN ESTIMATOR
WITH BOTH LOW COMPLEXITY AND GOOD CHANNEL TRACKING ABILITY 4HESE TWO PROBLEMS ARE
INTERCONNECTED SINCE THE PERFORMANCE OF THE ESTIMATOR DEPENDS ON HOW PILOT INFORMATION
IS TRANSMITTED
0ILOT INFORMATION

#HANNEL ESTIMATORS USUALLY NEED SOME KIND OF PILOT INFORMATION AS A POINT OF REFERENCE
! FADING CHANNEL REQUIRES CONSTANT TRACKING SO PILOT INFORMATION HAS TO BE TRANSMITTED
MORE OR LESS CONTINUOUSLY $ECISION DIRECTED CHANNEL ESTIMATION CAN ALSO BE USED ;=
BUT EVEN IN THESE TYPES OF SCHEMES PILOT INFORMATION HAS TO BE TRANSMITTED REGULARLY TO
MITIGATE ERROR PROPAGATION
4O THE AUTHORSÚ KNOWLEDGE THERE IS VERY LITTLE PUBLISHED ON HOW TO TRANSMIT PILOT
INFORMATION IN WIRELESS /&$- (OWEVER AN EbCIENT WAY OF ALLOWING A CONTINUOUSLY
UPDATED CHANNEL ESTIMATE IS TO TRANSMIT PILOT SYMBOLS INSTEAD OF DATA AT CERTAIN LOCATIONS
OF THE /&$- TIME FREQUENCY LATTICE 4HIS CAN BE VIEWED AS A GENERALIZATION OF PILOT
SYMBOL ASSISTED MODULATION 03!- IN THE SINGLE CARRIER CASE 03!- IN THE SINGLE CARRIER
CASE WAS INTRODUCED IN ;= AND THOROUGHLY ANALYZED IN ;= !N EXAMPLE OF THIS IS
SHOWN IN &IGURE WHERE BOTH SCATTERED AND CONTINUAL PILOT SYMBOLS ARE SHOWN )N
A PRELIMINARY DRAFT OF THE %UROPEAN $6" STANDARD ;= PILOT INFORMATION IS SPECIçED
TO BE TRANSMITTED ON BOOSTED SUBCARRIERS BOTH SCATTERED AND AS CONTINUAL PILOT CARRIERS
"OOSTED SUBCARRIERS MEANS THAT PILOT INFORMATION IS TRANSMITTED AT HIGHER POWER THAN
THE DATA
&IGURE !N EXAMPLE OF PILOT INFORMATION TRANSMITTED BOTH SCATTERED AND CONTINUAL
ON CERTAIN SUBCARRIERS
)N GENERAL THE FADING CHANNEL CAN BE VIEWED AS A $ SIGNAL TIME AND FREQUENCY
WHICH IS SAMPLED AT PILOT POSITIONS AND THE CHANNEL ATTENUATIONS BETWEEN PILOTS ARE
ESTIMATED BY INTERPOLATION 4HIS ENABLES US TO USE THE $ SAMPLING THEOREM TO PUT
LIMITS THE DENSITY OF THE PILOT PATTERN ;= (OWEVER AS IN THE SINGLE CARRIER CASE ;= THE
PILOT PATTERN SHOULD BE DESIGNED SO THAT THE CHANNEL IS OVERSAMPLED AT THE RECEIVER
%STIMATOR DESIGN

!SSUMING THAT THE PILOT PATTERN IS CHOSEN THE OPTIMAL LINEAR CHANNEL ESTIMATOR IN TERMS
OF MEAN SQUARED ERROR -3% IS A $ 7IENER çLTER +NOWING THE STATISTICAL PROPERTIES
OF THE CHANNEL SUCH AN ESTIMATOR CAN BE DESIGNED USING STANDARD TECHNIQUES ;= 4HE
COMBINATION OF HIGH DATA RATES AND LOW BIT ERROR RATES NECESSITATES THE USE OF ESTIMATORS
THAT HAVE BOTH LOW COMPLEXITY AND HIGH ACCURACY 4HESE TWO CONSTRAINTS ON THE ESTI
MATORS WORK AGAINST EACH OTHER -OST ESTIMATORS WITH HIGH ACCURACY SUCH AS THE $
7IENER çLTER HAVE A LARGE COMPUTATIONAL COMPLEXITY WHILE ESTIMATORS OF LOWER COMPLEX
ITY USUALLY PRODUCE A LESS ACCURATE ESTIMATE 4HE ART IN DESIGNING CHANNEL ESTIMATORS IS
çNDING A GOOD TRADE Od BETWEEN COMPLEXITY AND PERFORMANCE
4HE ISSUE OF REDUCING THE COMPUTATIONAL COMPLEXITY WHILE MAINTAINING MOST OF THE
PERFORMANCE HAS BEEN ADDRESSED IN SEVERAL PUBLICATIONS )N ;= SEPARABLE çLTERS ARE
APPLIED INSTEAD OF A $ çNITE IMPULSE RESPONSE &)2 çLTER 4HE USE OF SEPARABLE çLTERS
INSTEAD OF FULL $ çLTERS IS A STANDARD TECHNIQUE USED TO REDUCE COMPUTATIONAL COMPLEXITY

IN MULTIDIMENSIONAL SIGNAL PROCESSING ;= 5SING THIS TECHNIQUE THE ESTIMATION IS çRST
PERFORMED IN THE FREQUENCY DIRECTION USING A $ &)2 çLTER AND THEN IN THE TIME DIRECTION
USING A SECOND $ &)2 çLTER 4HIS RESTRICTS THE OBTAINABLE $ IMPULSE RESPONSES TO THOSE
THAT ARE THE OUTER PRODUCT OF TWO $ çLTERS 4HIS RESULTS IN A SMALL PERFORMANCE LOSS
BUT THE GREATLY REDUCED COMPLEXITY USUALLY MOTIVATES THE USE OF SEPARABLE çLTERS ; =
! SECOND APPROACH IN THE REDUCTION OF COMPUTATIONAL COMPLEXITY IS BASED ON USING
TRANSFORMS THAT CONCENTRATE THE CHANNEL POWER TO A FEW TRANSFORM COEbCIENTS THUS AL
LOWING EbCIENT CHANNEL ESTIMATION TO BE PERFORMED WITH LITTLE EdORT IN THE TRANSFORM
DOMAIN ,OW COMPLEXITY ESTIMATORS OF THIS TYPE BASED ON BOTH THE $&4 ; = AND
ON OPTIMAL RANK REDUCTION ; = HAVE BEEN PROPOSED 4HIS TECHNIQUE USUALLY YIELD ESTI
MATORS OF HIGH PERFORMANCE AND LOW COMPLEXITY BUT MAY RESULT IN AN IRREDUCIBLE ERROR
âOOR UNLESS SPECIAL CARE IS TAKEN 4HESE EdECTS ARE ANALYZED IN DETAIL IN ; =
! COMPARATIVE ANALYSIS OF PILOT BASED ESTIMATORS PRESENTED IN ;= SHOWS THAT THE COM
BINATION OF SEPARABLE çLTERS AND LOW RANK APPROXIMATIONS CAN GIVE HIGH PERFORMANCE ES
TIMATORS OF LOW COMPLEXITY WHERE THE GREATEST PORTION OF THE REDUCED COMPLEXITY STEMS
FROM THE USE OF SEPARABLE çLTERS
0ERFORMANCE EXAMPLE

&IGURE SHOWS AN EXAMPLE ON THE DIdERENCE IN CODED BIT ERROR RATE BETWEEN COHERENT
AND DIdERENTIAL MODULATION 4HE SIMULATIONS ARE PERFORMED FOR A WIRELESS SUBCARRIER
/&$- SYSTEM WITH A SAMPLE CYCLIC PREçX 4HE CHANNEL IS 2AYLEIGH FADING WITH
RELATIVE $OPPLER FREQUENCY AND THE SYSTEM USES TRELLIS CODED MODULATION WITH PHASE
SHIFT KEYING 03+ ACCORDING TO ;= 4HE DIdERENTIAL MODULATION IS PERFORMED IN THE
FREQUENCY DIRECTION SINCE THE FREQUENCY CORRELATION IS GREATER THAN THE TIME CORRELATION ;=
4HE PERFORMANCE OF COHERENT MODULATION IS PRESENTED FOR BOTH KNOWN CHANNEL AND WITH
A LOW COMPLEXITY ESTIMATOR ;= 4HE LOW COMPLEXITY CHANNEL ESTIMATOR USES A PILOT
SYMBOL DENSITY AND REQUIRES ONLY MULTIPLICATIONS PER ESTIMATED CHANNEL ATTENUATION
4HIS çGURE ILLUSTRATES THAT COHERENT MODULATION WITH LOW COMPLEXITY CHANNEL ESTIMA
TION CAN OUTPERFORM DIdERENTIAL MODULATION %VEN THOUGH THE CHANNEL CORRELATION IN THE
FREQUENCY DIRECTION IS LARGE IN THIS CASE THE BEGINNING OF AN ERROR âOOR FOR THE DIdERENTIAL
MODULATION IS CLEARLY VISIBLE FOR $ - GREATER THAN ABOUT D" 4HIS ERROR âOOR IS OF
A
THE SAME TYPE AS THE ONE EXPERIENCED IN THE SINGLE CARRIER CASE WHEN THE CHANNEL IS FADING
;=
#HANNEL CODING

4HIS CHAPTER DESCRIBES CODING IN /&$- SYSTEMS 4HE CODING PROBLEM IS QUITE DIdERENT
FOR THE WIRELESS AND THE WIRED CASE )N THE LATTER CASE THE CHANNEL IS STATIC AND TECHNIQUES
LIKE BIT LOADING AND MULTIDIMENSIONAL CODING ARE APPROPRIATE /N A FADING CHANNEL THE
MAIN DIdERENCE BETWEEN AN /&$- SYSTEM AND A SINGLE CARRIER SYSTEM IS THE INTERLEAVING
7E WILL GIVE A SHORT OVERVIEW OF CODING ON BOTH WIRELESS AND THE WIRED CHANNELS
&IGURE !N EXAMPLE ON THE DIdERENCE BETWEEN COHERENT AND DIdERENTIAL 03+ IN A
2AYLEIGH FADING ENVIRONMENT
7IRELESS SYSTEMS

5SING A TIME DOMAIN EQUALIZER IT IS POSSIBLE TO OBTAIN AN , BRANCH DIVERSITY IF THE CHANNEL
CONSISTS OF , RESOLVABLE PATHS ;= )N /&$- THE EQUALIZER DOES NOT GIVE YOU ANY
DIVERSITY SINCE ALL SUBCHANNELS ARE NARROWBAND AND EXPERIENCE âAT FADING ;= (OWEVER
THE STRUCTURE OF /&$- OdERS THE OPPORTUNITY TO CODE ACROSS THE SUBCARRIERS )N ;=
IT IS SHOWN THAT WITH AN , PATH CHANNEL IT IS POSSIBLE TO OBTAIN AN , BRANCH DIVERSITY
THROUGH CODING (ENCE IN THIS DIVERSITY CONTEXT A MULTI CARRIER SYSTEM IS COMPARABLE TO
A SINGLE CARRIER SYSTEM "ESIDES COMBATING FADING CODING HAS ALSO BEEN PROPOSED TO DEAL
WITH LONG ECHOES THAT CAUSES )3) BETWEEN SUBSEQUENT /&$- SYMBOLS ;=
4HE DESIGN OF CODES FOR /&$- SYSTEMS ON FADING CHANNELS FOLLOWS MANY OF THE STAN
DARD TECHNIQUES 7HAT IS SPECIAL ABOUT /&$- IS THE TIME FREQUENCY LATTICE AND THE
POSSIBILITY TO USE TWO DIMENSIONS FOR INTERLEAVING AND CODING 4O ILLUSTRATE HOW TO USE
THIS STRUCTURE WE GIVE AN OVERVIEW OF TWO SYSTEMS THE %UROPEAN $!" STANDARD AND
A TRELLIS CODED SYSTEM BY (¶HER 4HE $!" SYSTEM USES DIdERENTIAL MODULATION WHICH
AVOIDS CHANNEL ESTIMATION WHILE THE OTHER SYSTEM USES A MULTIAMPLITUDE SIGNAL CONSTEL
LATION WHICH REQUIRES CHANNEL ESTIMATION
$IGITAL !UDIO "ROADCASTING

$IGITAL BROADCASTING TO MOBILE RECEIVERS WAS UNDER CONSIDERABLE INVESTIGATION IN THE LATE
ÚS ; = 4HE STANDARD FOR $!" WAS SET IN %UROPE TO USE /&$- ;= WHILE IT IS
STILL UNDER INVESTIGATION IN THE 53! ;= 4HE %UROPEAN $!" SYSTEM USES DIdERENTIAL
QUADRATURE PHASE SHIFT KEYING $103+ TO AVOID CHANNEL ESTIMATION !N ARGUMENT FOR
THIS IS BASED ON SIMPLE AND INEXPENSIVE RECEIVERS FOR CONSUMERS 4HE CHANNEL ENCODING
PROCESS IS BASED ON PUNCTURED CONVOLUTIONAL CODING WHICH ALLOWS BOTH EQUAL AND UNEQUAL
ERROR PROTECTION ;= !S A MOTHER CODE A RATE CONVOLUTIONAL CODE WITH CONSTRAINT
LENGTH AND OCTAL POLYNOMIALS IS USED 4HE PUNCTURING PROCEDURE
ALLOWS THE EdECTIVE CODE RATE TO VARY BETWEEN AND
)NTERLEAVING IS PERFORMED IN BOTH TIME AND FREQUENCY 4HE FORMER IS A KIND OF BLOCK IN
TERLEAVING AFTER WHICH THE BITS ARE MAPPED TO 103+ SYMBOLS 4HE FREQUENCY INTERLEAVER
WORKING WITH THE 103+ SYMBOLS FOLLOWS A PERMUTATION RULE OF THE SUBCARRIERS )N
ONE OF THE THREE TRANSMISSIONS MODES THIS PERMUTATION RULE IS
e
e M e M `
LNC M
4HIS PERMUTATION DEçNES THE SET
Fe e e e G F G
ACCORDING TO WHICH THE INTERLEAVING PATTERN IS CHOSEN !FTER THE FREQUENCY INTERLEAVING
THE 103+ SYMBOLS ARE DIdERENTIALLY MODULATED ON EACH SUBCARRIER
4RELLIS CODED /&$-

!S AN EXAMPLE OF A MULTIAMPLITUDE COHERENT AND CODED /&$- SYSTEM WE GIVE A SHORT
OVERVIEW OF A SYSTEM INVESTIGATED BY (¶HER 4HE ORIGINAL INVESTIGATION ;= ADDRESSES A
DIGITAL AUDIO BROADCASTING SCENARIO BUT THE CONCEPT IS MORE GENERAL (¶HERÚS INVESTI
GATION IS THEREFORE ONE OF THE MOST REFERENCED PAPERS ON /&$- (IS SYSTEM IS A POWER
AND BANDWIDTH EbCIENT CONCATENATED CODING SYSTEM FOR DATA TRANSMISSION ON TIME AND
FREQUENCY SELECTIVE MOBILE FADING CHANNELS ! CONCATENATED CODING IS USED IN CONJUNCTION
WITH DOUBLE INTERLEAVING AND SLOW FREQUENCY HOPPING TO PROVIDE DIVERSITY !N OVERVIEW
OF THE SYSTEM IS DEPICTED IN &IGURE 4HE OUTER CODES ARE RATE COMPATIBLE PUNC
&IGURE /VERVIEW OF THE SYSTEM INVESTIGATED BY (¶HER ;=
TURED CODES 2#0# DERIVED FROM THE RATE CODE WITH CONSTRAINT LENGTH
4HE OUTER INTERLEAVING SCHEME IS APPLIED TO BREAK UP ERROR BURSTS FROM THE INNER CODING
SYSTEM 3INCE THESE BURSTS ARE TYPICALLY MUCH SHORTER THAN THE FADING BURSTS THE OUTER
INTERLEAVING CAN BE MUCH SIMPLER THAN THE INNER INTERLEAVING
4HE INNER CODE IS BINARY TRELLIS CODED MODULATION 4#- WITH ONE DIMENSIONAL SIGNAL
CONSTELLATION 4HE REASON FOR THIS CHOICE IS THAT THEY WERE FOUND TO PROVIDE A GOOD DIVER
SITY FACTOR AT A VERY LOW DECODER COMPLEXITY ;= 4HE CODE USED IS A ONE DIMENSIONAL
STATE CODE WITH LEVEL UNIFORM PULSE AMPLITUDE MODULATION 0!- 4HE 0!-
OUTPUT SYMBOLS ARE THEN COMBINED TO A POINT QUADRATURE AMPLITUDE MODULATION
1!- CONSTELLATION AND INTERLEAVED TO BREAK UP CHANNEL MEMORY )N THE RECEIVER THE
6ITERBI ALGORITHM 6! IS USED FOR DECODING 4HIS ALGORITHM IS CAPABLE OF USING THE CHAN
NEL STATE INFORMATION OBTAINED FROM A PILOT SEQUENCE SEE 3ECTION 4HE DECODING IS
PERFORMED BY MINIMIZING THE METRIC
8 nn nn
) nB
G n JX ` W J
M M M
WHERE BG IS THE CHANNEL ESTIMATE X IS THE DEINTERLEAVED OBSERVATION AFTER EQUALIZATION

M M
THE REAL OR IMAGINARY PART AND W IS A POTENTIAL CODEWORD "ECAUSE OF THE OUTER CODE
M
THE 6! SHOULD BE MODIçED TO PROVIDE RELIABILITY ESTIMATES TOGETHER WITH THE DECODED
SEQUENCE 4HIS ENABLES SOFT DECODING OF THE OUTER CODE AS WELL "Y APPLYING A SOFT OUTPUT
6ITERBI ALGORITHM 3/6! AN IMPROVEMENT OF ABOUT D" IS OBTAINED ;= 4OGETHER WITH
INNER CODING MULTICARRIER SIGNALLING AND SLOW FREQUENCY HOPPING THE INTERLEAVER PROVIDES
DUAL TIMEFREQUENCY DIVERSITY !N EXAMPLE OF SLOW FREQUENCY HOPPING IS DEPICTED IN
&IGURE %ACH PROGRAM CONSISTS OF A NUMBER OF SUBCARRIERS AND /&$- SYMBOLS THE
&IGURE 3LOW FREQUENCY HOPPING %ACH PROGRAM / USES A BANDWIDTH ! AND CHANGES
H
FREQUENCY BAND AFTER 3 GNO
PARAMETERS ! AND 3 ARE CHOSEN TO MAXIMIZE THE DIVERSITY OF THE SYSTEM ! SIMILAR
GNO
BUT SOMEWHAT MORE GENERALIZED HOPPING SCHEME IS PRESENTED IN ;=
/THER SYSTEMS

4HERE HAVE BEEN OTHER CODED /&$- SYSTEMS PROPOSED AND ANALYZED IN THE LITERATURE
)N ; = AN /&$-&- SYSTEM IS INVESTIGATED AND SIMULATED /&$- IS PROPOSED IN
%UROPE AS THE TRANSMISSION TECHNIQUE FOR THE NEW $6" SYSTEM ;= WHERE A MULTIRESO
LUTION SCHEME IS USED TOGETHER WITH JOINT SOURCECHANNEL CODING ; = 4HIS ALLOWS
SEVERAL BIT RATES AND THEREBY A GRACEFUL DEGRADATION OF IMAGE QUALITY IN THE FRINGES OF THE
BROADCAST AREA
#ODING ON FADING CHANNELS

#ODES FOR FADING CHANNELS HAVE BEEN INVESTIGATED FOR A LONG TIME AND THE SEARCH FOR GOOD
CODES IS STILL GOING ON !N OVERVIEW OF THIS SUBJECT IS FOUND IN ;= $ESIGN OF CODES
HAS BEEN ANALYZED IN ; = AND FOR TRELLIS CODED MULTIPLE 03+ IN ; =
!SYMMETRIC 03+ CONSTELLATIONS ARE CONSIDERED IN ;= AND CODE DESIGN FOR 2ICIAN FADING
CHANNELS IS INVESTIGATED IN ;= 0ERFORMANCE BOUNDS HAVE BEEN DERIVED FOR 2AYLEIGH
FADING CHANNELS IN ; = AND FOR 2ICIAN FADING CHANNELS IN
; =
5SUALLY PERFORMANCE ANALYSIS OF CODES ASSUMES PERFECT KNOWLEDGE OF THE CHANNEL
(OWEVER IN ; = AN ANALYTICAL METHOD WAS INTRODUCED THAT ALLOWS NON IDEAL CHANNEL
INFORMATION 4HIS WAS LATER GENERALIZED TO INCLUDE NON IDEAL INTERLEAVING ; = 4HIS
METHOD HAS BEEN USED TO ANALYZE A CODED /&$- SYSTEM WITH PILOT BASED CHANNEL ESTI
MATION ON 2AYLEIGH FADING CHANNELS ;= ! MAJOR BENEçT OF USING ANALYTICAL METHODS
FOR EVALUATION OF CODED SYSTEMS IS THAT A CODED BIT ERROR RATE CAN BE OBTAINED QUICKLY
AFTER SYSTEM MODIçCATIONS WITHOUT TIME CONSUMING SIMULATIONS
7IRED SYSTEMS

!N IMPORTANT DIdERENCE BETWEEN A WIRED AND A WIRELESS SYSTEM IS THE CHARACTERISTICS OF
THE CHANNEL )N THE WIRED CASE THE CHANNEL IS OFTEN CONSIDERED STATIONARY WHICH FACILI
TATES A NUMBER OF TECHNIQUES TO IMPROVE THE COMMUNICATION SYSTEM #HANNEL CODING IN
COMBINATION WITH A TECHNIQUE CALLED BIT LOADING IS OFTEN EMPLOYED FOR THIS PURPOSE -UL
TIDIMENSIONAL TRELLIS CODES ARE WELL SUITED FOR THE CHANNEL CODING 7HEN USING BIT LOADING
THE SUBCHANNELS ARE ASSIGNED INDIVIDUAL NUMBERS OF BITS ACCORDING TO THEIR RESPECTIVE
3.2S !N /&$- BASED COMMUNICATION SYSTEM USING BIT LOADING IS OFTEN REFERRED TO AS
A $-4 SYSTEM
"IT LOADING

"IT LOADING IS A TECHNIQUE THAT IS USED FOR MULTICARRIER SYSTEMS OPERATING ON STATIONARY
CHANNELS ;= ! STATIONARY CHANNEL MAKES IT POSSIBLE TO MEASURE THE 3.2 ON EACH SUB
CHANNEL AND ASSIGN INDIVIDUAL NUMBERS OF TRANSMITTED BITS ! SUBCHANNEL WITH HIGH 3.2
THUS TRANSMITS MORE BITS THAN A SUBCHANNEL WITH LOW 3.2 &IGURE SHOWS A SCHEMATIC
PICTURE OF 3.2 AND HOW THE NUMBER OF BITS ON EACH SUBCHANNEL VARY ACCORDINGLY
7HEN PERFORMING BIT LOADING ONE USUALLY OPTIMIZES FOR EITHER HIGH DATA RATE LOW
AVERAGE TRANSMITTING ENERGY OR LOW ERROR PROBABILITY 4YPICALLY TWO OF THESE ARE KEPT
CONSTANT AND THE THIRD IS THE GOAL FOR THE OPTIMIZATION 7HICH PARAMETER SHOULD BE
OPTIMIZED DEPENDS ON THE SYSTEM ITS ENVIRONMENT AND ITS APPLICATION
7HEN THERE IS ONLY ONE SYSTEM OPERATING ON A CABLE THIS SYSTEM NEITHER INTERFERES WITH
NOR IS INTERFERED BY OTHER SYSTEMS 4HIS MEANS THAT CONTROLLING THE TRANSMITTING POWER TO
REDUCE CROSSTALK IS NOT NECESSARY 'IVEN A DATA RATE AND A BIT ERROR PROBABILITY WHATEVER
TRANSMISSION ENERGY NEEDED TO ACHIEVE THESE GOALS CAN BE USED WITHIN REASONABLE LIMITS
)N A MULTI SYSTEM ENVIRONMENT WHERE THERE ARE SEVERAL SYSTEMS TRANSMITTING IN THE SAME
CABLE THE PROBLEM IS MORE COMPLICATED SINCE THE SYSTEMS EXPERIENCE CROSSTALK 4HE LEVEL
3.2 "ITS
3UBCARRIER 3UBCARRIER
&IGURE #HANNEL 3.2 LEFT AND CORRESPONDING NUMBER OF BITS ON EACH SUBCARRIER
RIGHT
OF CROSSTALK IS PROPORTIONAL TO THE TRANSMITTING POWER IN THE SYSTEMS SEE AND
)T IS THEREFORE DESIRABLE TO HAVE AN EQUAL TRANSMISSION POWER IN ALL SYSTEMS TO OBTAIN
EQUAL DISTURBANCE SITUATIONS )N A MULTI SYSTEM ENVIRONMENT THE AVERAGE TRANSMITTING
POWER IS USUALLY çXED AND THE OPTIMIZATION IS FOR EITHER HIGH DATA RATE OR LOW BIT ERROR
RATE
"IT LOADING ALGORITHMS

4HERE ARE SEVERAL TECHNIQUES FOR BIT LOADING IN $-4 SYSTEMS AND SOME OF THESE ARE
DESCRIBED IN ; = !S MENTIONED EARLIER THERE ARE SEVERAL PARAMETERS THAT
ONE CAN OPTIMIZE FOR -OST ALGORITHMS OPTIMIZE FOR HIGH DATA RATE OR LOW BIT ERROR RATE
'IVEN A CERTAIN DATA RATE AND AN ENERGY CONSTRAINT THE (UGHES (ARTOGS ALGORITHM
PROVIDES THE BIT LOADING FACTORS THAT YIELD MINIMAL BIT ERROR RATE SEE EG ;= 4HE IDEA
BEHIND THE (UGHES (ARTOGS ALGORITHM IS TO ASSIGN ONE BIT AT A TIME TO THE SUBCHANNELS
4HE ALGORITHM CALCULATES THE ENERGY COST TO SEND ONE BIT MORE ON EACH SUBCHANNEL 4HE
SUBCHANNEL WITH THE SMALLEST ENERGY COST IS THEN ASSIGNED THE BIT 4HIS PROCEDURE IS
REPEATED UNTIL A DESIRED BIT RATE IS OBTAINED #HOW HAS SHOWED THAT COMPLEXITY OF THE
(UGHES (ARTOGS ALGORITHM IS PROPORTIONAL TO THE NUMBER OF SUBCHANNELS AND THE NUMBER
OF BITS TRANSMITTED IN A $-4 FRAME ;= (E ALSO SUGGESTS A SUBOPTIMAL ALGORITHM OF
LOWER COMPLEXITY IN ;=
!N ALGORITHM THAT MAINTAINS AN EQUAL BIT ERROR PROBABILITY OVER ALL SUBCHANNELS GIVEN
A DATA RATE AND AN ENERGY CONSTRAINT IS PRESENTED BY &ISCHER IN ;=
! SUBOPTIMAL WAY OF PERFORMING BIT LOADING TO ACHIEVE A HIGH DATA RATE WHILE MAIN
TAINING A CONSTANT SYMBOL ERROR PROBABILITY ACROSS ALL SUBCHANNELS IS PRESENTED BY 4U
;= )N HIS ALGORITHM THE BIT LOADING FACTORS ARE CALCULATED ACCORDING TO
t u
$ F o
A KNF
` KNF "
J J C
*}
J
WHERE A IS THE NUMBER OF BITS CARRIED BIT LOADING FACTOR ON SUBCARRIER J $ THE AVERAGE
J J
SYMBOL TRANSMISSION ENERGY F THE CHANNEL ATTENUATION AND } THE NOISE VARIANCE 4HE
J J
CODING GAIN IS DENOTED o AND THE CONSTELLATION EXPANSION FACTOR DUE TO CODING IS DENOTED
C
" &URTHER TO OBTAIN A DESIRED SYMBOL ERROR RATE OF / THE DESIGN CONSTANT * IS CHOSEN
D
TO v t uw
0` /
*
D
- D
WHERE - IS THE NUMBER OF NEAREST NEIGHBORS

D
%XPRESSION CAN BE VIEWED AS THE UNION BOUND FOR A 1!- CONSTELLATION WITH
SOME MODIçCATIONS FOR CODING WHERE * IS THE 3.2 REQUIRED TO OBTAIN AN ERROR PROBABILITY
/ 4HE CHANNEL 3.2 INCLUDING CODING $ F o } IS DIVIDED BY THE 3.2 REQUIRED TO
D J J C J
TRANSMIT ONE BIT &INALLY THE NUMBER OF BITS NEEDED IN THE CODING KNF " IS SUBTRACTED
TO GET THE NUMBER OF BITS CARRIED BY SUBCHANNEL J
)F THE NUMBER OF SYSTEMS TRANSMITTING IN A CABLE VARY THE AMOUNT OF CROSSTALK WILL
VARY ACCORDINGLY 4O HANDLE THE SITUATION WHERE THE NUMBER OF TRANSMITTING SYSTEMS
VARY ONE CAN EITHER DO THE BIT LOADING FOR A WORST CASE OR EMPLOY ADAPTIVE BIT LOADING
#HOW ;= PRESENTS SUCH AN ADAPTIVE ALGORITHM CALLED THE BIT SWAP ALGORITHM WHICH IS
DESIGNED FOR THE CASE WHEN A çXED DATA RATE IS SPECIçED
7HEN TRYING TO MAXIMIZE THE DATA RATE WITH A CONSTANT TRANSMITTING POWER IT IS
OPTIMAL TO ALLOW BIT LOADING FACTORS TO SPAN A CONTINUOUS RANGE OF VALUES 4U PRESENTS
SOME RESULTS IN ;= ON HOW THE GRANULARITY OF BIT LOADING FACTORS AdECTS THE OBTAINED
DATA RATE IN SUCH A SYSTEM /NE WAY TO GET NON INTEGER BIT LOADING FACTORS IS TO USE
MULTIDIMENSIONAL CODES -ULTIDIMENSIONAL CODES ALLOW A FRACTIONAL NUMBER OF BITS PER
$ SYMBOL TO BE TRANSMITTED ON EACH SUBCHANNEL &OR $ $ AND $ CODES THE
GRANULARITIES BECOME BIT BITS AND BITS PER $ SYMBOL RESPECTIVELY !NOTHER
TECHNIQUE REFERRED TO AS ENERGY LOADING IS TO ALLOW SOME SORT OF çNE TUNING OF THE
TRANSMITTED ENERGY ON THE SUBCHANNELS IE ADJUSTING THE ENERGY $ IN SO THAT IT
J
CORRESPONDS TO ONE OF THE SUPPORTED BIT LOADING FACTORS (OWEVER ENERGY LOADING ONLY
WORKS IF THE TUNING IS SMALL WHICH REQUIRES MANY BIT LOADING FACTORS AND A SIDE EdECT IS
THAT A MORE COMPLEX SIGNAL CONSTELLATION MAPPERDEMAPPER IS REQUIRED
#HANNEL CODING

#ODING IN $-4 HAS BEEN ANALYZED IN EG ; = ! TYPICAL CODING SCHEME FOR $-4
CONSISTS OF AN OUTER CODE AN INTERLEAVER AND AN INNER CODE $UE TO THE TYPE OF APPLI
CATIONS THAT $-4 IS DESIGNED TO CARRY SEE 3ECTION IT IS APPEALING TO KEEP A LOW
DELAY BETWEEN TRANSMITTER AND RECEIVER 4HIS LIMITS THE INTERLEAVING DEPTH AND AdECTS
THE CHOICE OF ERROR CORRECTING CODES
4HE CODING SCHEME ANALYZED IN ;= USES AN OUTER 2EED 3OLOMON CODE AND AN INNER
TRELLIS CODE 4HE 2EED 3OLOMON CODE AND INTERLEAVING ARE DESIGNED TO REDUCE ERRORS DUE
TO IMPULSE NOISE "Y USING ONLY ONE CODER THAT CODES ACROSS SUBCARRIERS THE DELAY IS
SMALL COMPARED TO THE CASE WHERE ONE TRELLIS CODE IS USED FOR EACH SUBCARRIER 4HIS IS DUE
TO THE 6ITERBI DECODERÚS NEED FOR A CERTAIN DECISION DEPTH TO MAKE A GOOD DECISION )N
THE INVESTIGATED SYSTEM THE AMOUNT OF DATA SENT IN ONE $-4 FRAME IS ENOUGH FOR THE
6ITERBI ALGORITHM TO MAKE A DECISION
-ULTIDIMENSIONAL CODES ARE WELL SUITED FOR $-4 SYSTEMS "Y USING SEVERAL $ CON
STELLATIONS ON DIdERENT SUBCHANNELS IT IS EASY TO CREATE MULTIDIMENSIONAL CONSTELLATIONS
!S DESCRIBED EARLIER THE MULTIDIMENSIONAL CODES ALLOW FRACTIONAL BITS TO BE TRANSMITTED
WHICH REDUCES THE GRANULARITY OF THE BIT LOADING FACTORS
$ISCUSSION
4HIS SECTION IS BOTH A DISCUSSION AND A SUMMARY OF THE MATERIAL PRESENTED EARLIER IN THIS
REPORT
/NE OF THE MAJOR ADVANTAGES OF /&$- IS ITS ROBUSTNESS AGAINST MULTIPATH PROP
AGATION (ENCE ITS TYPICAL APPLICATIONS ARE IN TOUGH RADIO ENVIRONMENTS /&$- IS
ALSO SUITABLE IN SINGLE FREQUENCY NETWORKS SINCE THE SIGNALS FROM OTHER TRANSMITTERS CAN
BE VIEWED AS ECHOES IE MULTIPATH PROPAGATION 4HIS MEANS THAT IT IS FAVORABLE TO
USE /&$- IN BROADCASTING APPLICATIONS SUCH AS $!" AND $6" 4HE USE OF /&$- IN
MULTIUSER SYSTEMS HAS GAINED AN INCREASING INTEREST THE LAST FEW YEARS 4HE DOWNLINK IN
THOSE SYSTEMS IS SIMILAR TO BROADCASTING WHILE THE UPLINK PUTS HIGH DEMANDS ON EG
SYNCHRONIZATION 4HE FUTURE OF /&$- AS A TRANSMISSION TECHNIQUE FOR MULTIUSER SYSTEMS
DEPENDS ON HOW WELL THESE PROBLEMS CAN BE SOLVED
)N WIRED SYSTEMS THE STRUCTURE OF /&$- OdERS THE POSSIBILITY OF EbCIENT BITLOADING
"Y ALLOCATING A DIdERENT NUMBER OF BITS TO DIdERENT SUBCHANNELS DEPENDING ON THEIR
INDIVIDUAL 3.2S EbCIENT TRANSMISSION CAN BE ACHIEVED !LTHOUGH OTHER SYSTEMS HAVE
BEEN PROPOSED /&$- IS THE DOMINATING TECHNIQUE ON EG DIGITAL SUBSCRIBER LINES .OTE
THAT /&$- OFTEN GOES UNDER THE NAME $-4 WHEN USED IN WIRED SYSTEMS WITH BITLOADING
4HERE ARE ALSO PROBLEMS ASSOCIATED WITH /&$- SYSTEM DESIGN 4HE TWO MAIN OBSTA
CLES WHEN USING /&$- ARE THE HIGH PEAK TO AVERAGE POWER RATIO AND SYNCHRONIZATION
4HE FORMER PUTS HIGH DEMANDS ON LINEARITY IN AMPLIçERS 3YNCHRONIZATION ERRORS IN BOTH
TIME AND FREQUENCY DESTROY THE ORTHOGONALITY AND CAUSE INTERFERENCE "Y USING A CYCLIC
PREçX THE TIMING REQUIREMENTS ARE SOMEWHAT RELAXED SO THE BIGGEST PROBLEMS ARE DUE
TO HIGH FREQUENCY SYNCHRONIZATION DEMANDS $EGRADATION DUE TO FREQUENCY ERRORS CAN
BE CAUSED BOTH BY DIdERENCES IN LOCAL OSCILLATORS AND BY $OPPLER SHIFTS ! GREAT DEAL OF
EdORT IS THEREFORE SPENT ON DESIGNING ACCURATE FREQUENCY SYNCHRONIZERS FOR /&$-
!S IN ANY DIGITAL COMMUNICATION SYSTEM THERE ARE TWO ALTERNATIVES FOR MODULATION
COHERENT OR DIdERENTIAL 4HE %UROPEAN $!" SYSTEM USES DIdERENTIAL 103+ WHILE THE
PROPOSED SCHEME FOR $6" IS COHERENT 1!- $IdERENTIAL 03+ IS SUITABLE FOR LOW DATA
RATES AND GIVES SIMPLE AND INEXPENSIVE RECEIVERS WHICH IS IMPORTANT FOR PORTABLE CON
SUMER PRODUCTS LIKE $!" RECEIVERS (OWEVER IN $6" THE DATA RATE IS MUCH HIGHER AND
LOW BIT ERROR RATES ARE DIbCULT TO OBTAIN WITH DIdERENTIAL 03+ ! NATURAL CHOICE FOR $6"
IS THEREFORE MULTIAMPLITUDE SCHEMES $UE TO THE STRUCTURE IN /&$- IT IS EASY TO DESIGN
EbCIENT CHANNEL ESTIMATORS AND EQUALIZERS 4HIS IS ONE OF THE APPEALING PROPERTIES OF
/&$- WHICH SHOULD BE EXPLOITED TO ACHIEVE HIGH SPECTRAL EbCIENCY
#ODING IN WIRELESS /&$- SYSTEMS DOES NOT DIdER MUCH FROM CODING IN WIRELESS SINGLE
CARRIER SYSTEMS 4HE MAIN DIdERENCE IS THAT INTERLEAVING IN /&$- ALLOWS SYMBOLS TO BE
SPREAD IN BOTH TIME AND FREQUENCY 4HE POSSIBILITY TO INTERLEAVE IN FREQUENCY OVERCOMES
THE DRAWBACK OF NOT OBTAINING DIVERSITY FROM THE EQUALIZER 3INCE EACH SUBCHANNEL EX
PERIENCES âAT FADING CODE DESIGN AND PERFORMANCE ANALYSIS DEVELOPED FOR âAT FADING
CHANNELS CAN BE USED $ECODING CAN BE PERFORMED WITH A 6ITERBI DECODER WHERE THE
METRIC DEPENDS ON THE ESTIMATED CHANNEL ATTENUATIONS 4HIS MEANS THAT SYMBOLS ARE
WEIGHED WITH THEIR RESPECTIVE CHANNEL STRENGTH 4HIS REDUCES THE EdECT OF ERRORS CAUSED
BY SYMBOLS TRANSMITTED DURING A FADE
!CKNOWLEDGEMENTS
4HE AUTHORS WOULD LIKE TO EXTEND THEIR GRATITUDE TO THE STAd AT 4ELIA 2ESEARCH !" ,ULE¥
AND THE COLLEAGUES AT THE $IVISION OF 3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY
FOR PROVIDING VALUABLE COMMENTS AND CORRECTIONS
! 4IME FREQUENCY LATTICE

)N THIS APPENDIX WE GIVE A BRIEF OVERVIEW OF THE EdECTS OF PULSE SHAPING 7E ONLY CONSIDER
TIME AND FREQUENCY DISPERSION AND EXCLUDE CHANNEL NOISE IN THIS ANALYSIS 7E DESCRIBE
THE /&$- SIGNAL AS 8
RS W S JK JK

JK
WHERE THE FUNCTIONS S ARE TRANSLATIONS OF A PROTOTYPE FUNCTION O S

JK S
S O S ` K~ D
JK S
I {Jy S

4HIS ALLOWS US TO INTERPRET THE PULSE SHAPING PROBLEM 4HE RECEIVER USES THE FUNCTIONS
S THAT ARE TRANSLATIONS OF A POSSIBLY DIdERENT PROTOTYPE FUNCTION O S
JK Q
S O S ` K~ D
JK Q
I {Jy S

)N /&$- THESE FUNCTIONS FULçL
S p :J ` J K ` K <
l m
S
JK J K
WHERE Ha aI DENOTES THE %UCLIDEAN INNER PRODUCT ;= (ENCE THE TRANSMITTER AND RECEIVER
FUNCTIONS ARE BI ORTHOGONAL ;= 4HIS SIMPLIçES THE RECEIVER SINCE
:
RSc SCS W
l m
RS S
`
JK JK JK
(OWEVER A TIME OR FREQUENCY DISPERSIVE CHANNEL DESTROYS THIS ORTHOGONALITY "Y CAREFULLY
CHOOSING O S AND O S THE EdECTS OF THE LOSS OF ORTHOGONALITY CAN BE KEPT LOW !N
S Q
/&$- SYSTEM MUST BE SUbCIENTLY RESISTANT TO BOTH TIME AND FREQUENCY DISPERSION 4HE
FORMER CAN DEALT WITH BY INTRODUCING A GUARD SPACE USUALLY IN THE FORM OF A CYCLIC PREçX
WHILE THE LATTER IS OFTEN APPROACHED BY PULSE SHAPING )N SYSTEMS WITH A CYCLIC PREçX
AND NO PULSE SHAPING THE FUNCTIONS O S AND O S ARE CHOSEN AS THE RECTANGULAR PULSE
S Q
ALTHOUGH OF DIdERENT LENGTHS 4HE RECEIVER PROTOTYPE FUNCTION O S IN THIS CASE IS SHORTER Q
THAN THE TRANSMITTER PROTOTYPE FUNCTION O S WHICH CORRESPONDS TO THE REMOVAL OF THE
S
CYCLIC PREçX
! COMMON PROPAGATION MODEL IS OBTAINED BY ASSUMING THAT THE CHANNEL CONSISTS OF A
NUMBER OF ELEMENTARY PATHS ;= WHERE EACH PATH IS DESCRIBED BY A DELAY A FREQUENCY
OdSET AND A COMPLEX ATTENUATION 4HUS BY INVESTIGATING THE EdECTS OF A STATIC DELAY AND
FREQUENCY OdSET THE SENSITIVITY TO A FADING MULTIPATH CHANNEL CAN BE EVALUATED ;= 4HIS
ANALYSIS CAN BE MADE WITH THE CROSS AMBIGUITY FUNCTION ;= OF THE PROTOTYPE FUNCTIONS
O S AND O S
S Q
:
~ E O S Oc S ` ~ D` CS I {E S
`
S Q
WHICH CAN BE VIEWED AS A CROSSCORRELATION FUNCTION IN THE TIME FREQUENCY PLANE 4HE
BI ORTHOGONALITY OF AND S REQUIRES THAT
JK JK
:
l m `
S

S D
O S Oc S ` M~ D` CS
I {LK~
I {Ly S
`
JK J LK M S Q
D` I {LK~
M~ Ly p :M L<
4HIS IS A CONDITION ON THE SAMPLES OF THE CROSS AMBIGUITY FUNCTION AT POSITIONS M~ Ly
4HE CROSS AMBIGUITY FUNCTION SHOULD BE ZERO FOR ALL M L BUT A DELAY OR
FREQUENCY OdSET WILL DESTROY THE ORTOGONALITY SINCE ~ E IS NOT SAMPLED AT ITS ZEROS
7ITH A DELAY a~ AND A FREQUENCY OdSET ay THE SIGNAL POWER IS J a~ ayJ AND THE
INTERFERENCE POWER CAN BE UPPER BOUNDED BY ` J a~ ayJ ;= 4HIS BOUNDS THE
SIGNAL TO INTERFERENCE RATIO 3)2 FROM BELOW AS
J a~ ayJ
3)2 w
` J a~ ayJ
4HUS THE CROSS AMBIGUITY FUNCTION IS A MEASURE OF THE INTERFERENCE IN THE SYSTEM CAUSED
BY A DELAY OR A FREQUENCY OdSET )N ;= A PROTOTYPE FUNCTION IS CREATED WHICH IS
CLAIMED TO HAVE A NEAR OPTIMUM CROSS AMBIGUITY FUNCTION 4HE CROSS AMBIGUITY FUNCTION
FOR A RECTANGULAR PULSE IN A SYSTEM WITH CYCLIC PREçX IS SHOWN IN &IGURE .OTE THAT
&IGURE !MBIGUITY FUNCTION FOR A RECTANGULAR PULSE AND CYCLIC PREçX WITH LENGTHS
~ AND 3 RESPECTIVELY
BO
THE SYSTEM IS INSENSITIVE TO A TIME DELAY LESS THAN 3 BO SINCE THE CROSS AMBIGUITY
FUNCTION IS âAT AT THE TOP
4HE MAIN PROBLEM WITH USING A RECTANGULAR PULSE OS IS THAT IT IS NOT WELL LOCALIZED IN
FREQUENCY $ENOTE THE TIME AND FREQUENCY WIDTHS RESPECTIVELY OF THE UNIT ENERGY SIGNAL
OS BY
:

aS S JOSJ CS
:`

aE E J/ E J CE
`
P
WHERE / E IS THE &OURIER TRANSFORM OF OS 4HEN aS ~ AND aE FOR THE
RECTANGULAR PULSE 4HIS FREQUENCY SPREAD OF ENERGY IS THE REASON FOR )#) IN THE CASE OF
TRANSMISSION OVER FREQUENCY DISPERSIVE CHANNELS ;= 4HUS OTHER PULSES HAVE BEEN SOUGHT
TO OVERCOME THIS PROBLEM 3INCE THE 'AUSSIAN PULSE OS D`

{S
HAS A MINIMAL TIME
BANDWIDTH PRODUCT ;= IT HAS BEEN USED TO FORM SUITABLE FUNCTIONS ; = 0ROLATE
SPHEROIDAL WAVE FUNCTIONS ;= HAVE ALSO BEEN USED TO MINIMIZE OUT OF BAND ENERGY IN
PULSES UNDER CERTAIN CONDITIONS ; =
0ART
!NALYSIS OF $&4 BASED CHANNEL
ESTIMATORS FOR /&$-
!BSTRACT Ô )N THIS PAPER WE ANALYZE THE PERFORMANCE OF THREE LOW COMPLEXITY CHANNEL ESTI
MATORS BASED ON THE DISCRETE &OURIER TRANSFORM $&4 FOR ORTHOGONAL FREQUENCY DIVISION
MULTIPLEXING /&$- SYSTEMS %STIMATORS OF THIS TYPE HAVE BEEN ANALYZED FOR DISCRETE
TIME CHANNELS AND WE EXTEND THIS ANALYSIS TO CONTINUOUS TIME CHANNELS 7E PRESENT ANALYT
ICAL EXPRESSIONS FOR THEIR MEAN SQUARED ERROR -3% AND EVALUATE THEIR COMPLEXITY VERSUS
SYMBOL ERROR RATE 3%2 FOR 1!- 4HE ANALYSIS SHOWS THAT THIS TYPE OF ESTIMATORS MAY
EXPERIENCE AN IRREDUCIBLE ERROR âOOR AT HIGH 3.2S (OWEVER IN ONE OF THE THREE ESTIMATORS
THE ERROR âOOR CAN BE ELIMINATED WHILE THE COMPLEXITY STAYS LOW AND THE PERFORMANCE IS
MAXIMIZED

/ %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON !NALYSIS OF $&4 BASED
CHANNEL ESTIMATORS FOR /&$- 2ESEARCH 2EPORT 45,%! $IV OF 3IGNAL 0ROCESSING ,ULE¥ 5NI
VERSITY OF 4ECHNOLOGY 3EPT

$&4 BASED CHANNEL ESTIMATORS
)NTRODUCTION
7IRELESS DIGITAL COMMUNICATION SYSTEMS USING COHERENT SIGNALING SCHEMES SUCH AS A
QUADRATURE AMPLITUDE MODULATION 1!- REQUIRE ESTIMATION AND TRACKING OF THE FADING
CHANNEL )N GENERAL THIS MEANS A MORE COMPLEX RECEIVER THAN FOR DIdERENTIAL MODULA
TION SCHEMES SUCH AS DIdERENTIAL PHASE SHIFT KEYING $03+ WHERE THE RECEIVERS OPERATE
WITHOUT A CHANNEL ESTIMATE ;= )N ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING /&$-
SYSTEMS ; = $03+ IS APPROPRIATE FOR RELATIVELY LOW DATA RATES SUCH AS IN THE %URO
PEAN DIGITAL AUDIO BROADCAST $!" SYSTEM ;= (OWEVER FOR MORE SPECTRALLY EbCIENT
/&$- SYSTEMS COHERENT MODULATION IS MORE APPROPRIATE
7E ADDRESS LINEAR ESTIMATORS FOR /&$- WHERE ALL CHANNEL ATTENUATIONS IN A RECEIVED
SYMBOL ARE ESTIMATED SIMULTANEOUSLY 5SING THE LINEAR MINIMUM MEAN SQUARED ERROR
,--3% ESTIMATOR WHICH TAKES ADVANTAGE OF THE CORRELATION BETWEEN ALL - SUBCARRI
ERS REQUIRES AN - b - MATRIX MULTIPLICATION 4HIS COMPLEXITY CAN BE LARGE DEPENDING
ON THE NUMBER OF SUBCARRIERS IN THE SYSTEM 4HIS PAPER PRESENTS AND ANALYZES THREE
LOW COMPLEXITY SUBOPTIMAL APPROXIMATIONS OF THE ,--3% CHANNEL ESTIMATOR 4HESE
ESTIMATORS ALL SHARE THE PROPERTY THAT THEY USE THE DISCRETE &OURIER TRANSFORM $&4 TO
ESTIMATE THE CHANNEL IN THE TIME DOMAIN %STIMATORS OF THIS TYPE HAVE BEEN PROPOSED
; = BUT ONLY ANALYZED FOR DISCRETE TIME CHANNELS ;=
4HE ADDRESSED ESTIMATORS TAKE THE - NOISY FREQUENCY DOMAIN OBSERVATIONS AND TRANS
FORM THEM TO THE TIME DOMAIN BY AN INVERSE $&4 )$&4 4HE LINEAR ESTIMATION IS THEN
PERFORMED IN THE TIME DOMAIN AND THE RESULT TRANSFORMED BACK TO THE FREQUENCY DOMAIN
BY A $&4 4HE TRANSFORMS CAN BE IMPLEMENTED WITH FAST ALGORITHMS REQUIRING ONLY A
FEW MULTIPLICATIONS PER ESTIMATED ATTENUATION BUT THERE ARE STILL - COEbCIENTS TO ESTI
MATE SIMULTANEOUSLY IN THE TIME DOMAIN (OWEVER AN /&$- SYMBOL TIME IS BY DESIGN
MUCH LARGER THAN THE LENGTH OF THE CHANNEL 4HE TIME DOMAIN ESTIMATION TAKES ADVAN
TAGE OF THE FACT THAT THIS CONCENTRATES THE CHANNEL POWER TO A RELATIVELY SMALL NUMBER
OF TIME DOMAIN SAMPLES 4HREE OF THE STRATEGIES FOR DOING TIME DOMAIN APPROXIMATIONS
ARE APPROXIMATING TIME DOMAIN SAMPLES WITH LOW CHANNEL POWER AS ZERO IGNORING CROSS
CORRELATIONS AND IGNORING DIdERENCES IN VARIANCE 4HE THREE ESTIMATORS ANALYZED HERE USE
THESE THREE STRATEGIES CUMULATIVELY
!FTER PRESENTING THE /&$- SYSTEM MODEL IN 3ECTION WE INTRODUCE THE THREE
$&4 BASED ESTIMATORS IN 3ECTION )N 3ECTION WE PRESENT AN ANALYSIS OF THE AVERAGE
MEAN SQUARED ERROR -3% AND SHOW THAT THERE IS AN IRREDUCIBLE -3% âOOR INHERENT IN
$&4 BASED LOW COMPLEXITY ESTIMATORS 7E ALSO ILLUSTRATE THEIR PERFORMANCE BY PRESENTING
THE UNCODED 1!- SYMBOL ERROR RATE FOR A TONE /&$- SYSTEM ! COMPLEXITY VERSUS
PERFORMANCE COMPARISON IS DONE WHICH SINGLES OUT THE SECOND OF THE THREE ESTIMATORS AS
A GOOD TRADE Od ! SUMMARY AND CONCLUDING REMARKS APPEAR IN 3ECTION
3YSTEM MODEL

&IGURE DISPLAYS THE /&$- BASE BAND SYSTEM USED IN THIS PAPER 7E ASSUME THAT THE
USE OF A CYCLIC PREçX #0 BOTH PRESERVES THE ORTHOGONALITY OF THE SUBCARRIERS AND ELIMI
NATES INTER SYMBOL INTERFERENCE )3) BETWEEN CONSECUTIVE /&$- SYMBOLS ;= &URTHER
THE CHANNEL F~ S IS ASSUMED TO BE SLOWLY 2AYLEIGH FADING AND CONSIDERED CONSTANT DUR
ING ONE /&$- SYMBOL 4HE NUMBER OF TONES IN THE SYSTEM IS - AND THE LENGTH OF THE
CYCLIC PREçX IS + SAMPLES
W X
W (#%3 .OISE X
#%3
# F~ S #
W- ` X- `
&IGURE "ASE BAND /&$- SYSTEM 4HE CYCLIC PREçX IS NOT SHOWN IN THIS çGURE
&IGURE 4HE /&$- SYSTEM DESCRIBED AS A SET OF PARALLEL 'AUSSIAN CHANNELS WITH
CORRELATED ATTENUATIONS
5NDER THESE ASSUMPTIONS WE CAN DESCRIBE THE SYSTEM AS A SET OF PARALLEL 'AUSSIAN
CHANNELS ;= SHOWN IN &IGURE WITH CORRELATED ATTENUATIONS
t u
J
G & J - `
-3
J
R
WHERE & a IS THE FREQUENCY RESPONSE OF THE CHANNEL F ~ S DURING THE /&$- SYMBOL
AND 3 IS THE SAMPLING PERIOD OF THE SYSTEM )N MATRIX NOTATION WE DESCRIBE THE /&$-
R
SYSTEM AS
X 7G
M
WHERE X IS THE RECEIVED VECTOR 7 IS A DIAGONAL MATRIX CONTAINING THE TRANSMITTED SIGNAL
POINTS G IS A CHANNEL ATTENUATION VECTOR AND M IS A VECTOR OF INDEPENDENT AND IDENTICALLY
DISTRIBUTED COMPLEX ZERO MEAN h'AUSSIAN
i NOISE VARIABLES WITH VARIANCE } 7ITHOUT LOSS

M

OF GENERALITY WE ASSUME THAT $ JG J
J
$&4 BASED ESTIMATORS

4HE TASK OF THE CHANNEL ESTIMATOR IS TO ESTIMATE THE CHANNEL ATTENUATIONS G FROM THE
OBSERVATIONS X GIVEN THE TRANSMITTED SYMBOLS 7 &OR THE SAKE OF A TRACTABLE ANALYSIS WE
ASSUME THE W S TO BE KNOWN AT THE RECEIVER
J
3INCE /&$- SYSTEMS ARE DESIGNED SUCH THAT THE SYMBOL TIME IS SIGNIçCANTLY LONGER
THAN THE DURATION OF THE CHANNEL IMPULSE RESPONSE THE INVERSE $&4 OF THE CHANNEL
ATTENUATION VECTOR G HAS MOST OF ITS POWER CONCENTRATED TO RELATIVELY FEW SAMPLES !S AN
ILLUSTRATION OF THIS POWER CONCENTRATION &IGURE SHOWS THE CHANNEL POWER IN THE TIME
DOMAIN FOR TWO CHANNEL TYPES SAMPLE SPACED AND NON SAMPLE SPACED 3AMPLE SPACED
CHANNELS ARE CHANNELS THAT HAVE ALL FADING IMPULSES AT INTEGER MULTIPLES OF THE SYSTEM
SAMPLING RATE AND FOR WHICH THE $&4 GIVES OPTIMAL POWER CONCENTRATION ;=
3AMPLE SPACED .ONÔSAMPLE SPACED

CHANNEL CHANNEL
0OWER
0OWER
4IME 4IME
.%#, .%#,
"XBKHB RXLANK "XBKHB RXLANK
OQDEHW OQDEHW
&IGURE 3CHEMATIC PICTURES OF THE TIME DOMAIN POWER DISTRIBUTION OF THE CHANNEL IE
OF (#%3 G
$&4 BASED ESTIMATION OF SAMPLE SPACED CHANNELS IS ADDRESSED IN ;= AND THE THREE
ESTIMATORS WE PRESENT AND ANALYZE ARE GENERALIZATIONS THEREOF FOR NON SAMPLE SPACED CHAN
NELS &OR CLARITY WE çRST CALCULATE THE LINEAR MINIMUM MEAN SQUARED ERROR ,--3%
ESTIMATE OF G
7E BASE OUR ESTIMATES ON THE ,3 ESTIMATE THE BACKROTATED OBSERVATIONS
B 7` X G
M
GKR E
E 7` M IS A VECTOR OF INDEPENDENT 'AUSSIAN NOISE VARIABLES WITH COVARIANCE
WHERE M
` a`
MATRIX 1E E } 77
MM
' B CONSTITUTES A SUbCIENT STATISTIC SINCE
4HE ,3 ESTIMATE G KR
M
7 IS NON SINGULAR 4HE ,3 ESTIMATE IS A NOISY OBSERVATION OF THE CHANNEL ATTENUATIONS

AND CAN BE SMOOTHED USING CORRELATION PROPERTIES OF THE CHANNEL 4HE OPTIMAL LINEAR
ESTIMATOR IN TERMS OF MEAN SQUARED ERROR -3% IS ; =
B 67 G
G B KR
WHERE r ` a` s`

67 1 GG 1 GG
} 77
M

'

h i
AND 1 $ GG
GG
'
IS THE AUTO COVARIANCE MATRIX OF THE CHANNEL VECTOR G
!T THIS POINT WE RECOGNIZE THAT THE WEIGHTING MATRIX 67 IS OF SIZE - b- AND DEPENDS
ON THE TRANSMITTED DATA 7 !S A çRST STEP TOWARDS LOW COMPLEXITY ESTIMATORS WE WANT
TO çND A WEIGHTING MATRIX THAT IS INDEPENDENT OF THE TRANSMITTED DATA 4HIS CAN BE
OBTAINED BY CONSIDERING G B TO BE OUR OBSERVATION AND DERIVE AN ,--3% ESTIMATOR THAT
KR
CONSIDERS 7 TO BE STOCHASTIC WITH INDEPENDENT AND UNIFORMLY DISTRIBUTED CONSTELLATION

POINTS )N THAT CASE THE AUTO COVARIANCE MATRIX OF THE NOISE BECOMES 1E E 2-1 ( n
WHERE n $ JW J $ JW J` IS A CONSTELLATION FACTOR n FOR 1!- AND

h i h i MM
h i J J
2-1 $ JW J } IS THE PER SYMBOL SIGNAL TO NOISE RATIO

J M
4HE ,--3% ESTIMATE OF G B FROM G

KR
B NOW BECOMES
KR
B
G KLLRD
B
6G KR
WHERE THE çXED WEIGHTING MATRIX IS GIVEN BY

t u`
n
61 1
(
2-1
GG GG
4HIS ,--3% ESTIMATOR STILL REQUIRES - MULTIPLICATIONS PER ESTIMATED ATTENUATION AND
WE USE IT BOTH AS A REFERENCE AND AS A STARTING POINT IN THE DERIVATION OF THE $&4 BASED
LOW COMPLEXITY ESTIMATORS
7E NOW USE THE PROPERTY OF /&$- SYSTEMS IDENTIçED ABOVE AND IN ; = G IS
THE SAMPLED FREQUENCY RESPONSE OF A CHANNEL WITH SHORT TIME DURATION COMPARED TO THE
/&$- SYMBOL LENGTH AND HENCE ITS ASSOCIATED CYCLIC IMPULSE RESPONSE F (#%3 G HAS
ONLY A FEW TAPS WITH SIGNIçCANT POWER )F WE PERFORM THE ESTIMATION IN THE TIME DOMAIN
WE CAN REDUCE THE COMPLEXITY OF THE ESTIMATION BY USING THIS POWER CONCENTRATION
4HIS PROMPTS THE ESTIMATOR STRUCTURE IN &IGURE r WHERE
s THE ,3 ESTIMATE IS TRANS
FORMED INTO ITS TIME DOMAIN EQUIVALENT F B (#%3 G KR
B 4HE SMOOTHING IS THEN PER
KR
FORMED BY A LINEAR TRANSFORMATION

B 0B
F F KR
AND THE RESULT IS TRANSFORMED BACK TO THE FREQUENCY DOMAIN G B #%3 B F 4HE IMPOR
KR
TANT BENEçT OF THIS ESTIMATOR STRUCTURE IN TERMS OF COMPLEXITY IS THE LOW COMPLEXITY OF THE
$&4)$&4 IMPLEMENTED AS FAST TRANSFORMS AND THE TIME DOMAIN POWER CONCENTRATION
4HIS OdERS A SIMPLIçCATION OF WITHOUT SACRIçCING TOO MUCH IN PERFORMANCE
/UR APPROACH IS TO çND SPARSE APPROXIMATIONS OF THE ,--3% ESTIMATORÚS EQUIVALENT
TIME DOMAIN SMOOTHING MATRIX
0 % 6% '

WHERE % IS THE - b- UNITARY $&4 MATRIX AND 6 IS DEçNED IN 4HIS WILL REDUCE THE
NUMBER OF REQUIRED MULTIPLICATIONS AND THUS THE ESTIMATOR COMPLEXITY ! STRAIGHTFORWARD
WAY IS TO SIMPLY IGNORE THE COEbCIENTS IN FB THAT CONTAIN MORE NOISE THAN CHANNEL POWER
KR
AND ONLY TRANSFORM THE REMAINING ELEMENTS BACK TO THE FREQUENCY DOMAIN &OR SAMPLE
SPACED CHANNELS THIS IS A FRUITFUL APPROACH ; = SINCE THE MAJOR PART OF THE COEbCIENTS
ONLY CONTAIN NOISE AND NO CHANNEL POWER )F THE CHANNEL IS NOT SAMPLE SPACED HOWEVER
THE CHANNEL POWER IS STILL CONCENTRATED BUT DISTRIBUTED OVER ALL COEbCIENTS $UE TO THE
&REQUENCY 4IME &REQUENCY

W`
X B
G FB FB B
G

KR KR
TRANSFORMATION
,INEAR
)$&4
$&4
W` `
-
X ` B
G FB FB ` B
G
- `
KR- KR- ` - `
-
&IGURE 3TRUCTURE OF $&4 BASED CHANNEL ESTIMATORS WHERE THE LINEAR TRANSFORMATION
B 0B
CONSISTS OF A MATRIX MULTIPLICATION F F KR
LOST CHANNEL POWER IN THE IGNORED COEbCIENTS THE SIMPLIçCATION CAUSES AN IRREDUCIBLE ERROR
âOOR ;=
7E NOW MOVE THROUGH THREE SIMPLIçCATION STEPS AND OBTAIN THREE DIdERENT LOW
COMPLEXITY ESTIMATORS OF WHICH THE LAST IS THE STRAIGHTFORWARD APPROACH DESCRIBED ABOVE
4HE GENERAL CONCEPT IS BASED ON REDUCING THE NUMBER OF NON ZERO ELEMENTS IN THE TIME
DOMAIN MATRIX MULTIPLICATION WITH THE AIM OF REDUCING THE COMPUTATIONAL COM
PLEXITY AND PRESERVING THE PERFORMANCE 4HE THREE ESTIMATORS ARE SELECTED AS FOLLOWS
3EE !PPENDIX ! FOR A DETAILED DERIVATION
q %STIMATOR !
"Y CHOOSING THE , COEbCIENTS IN F B THAT HAVE THE HIGHEST CHANNEL POWER WE
KR
RESTRICT THE LINEAR TRANSFORM IN THE TIME DOMAIN TO A çXED MATRIX OF SIZE , b ,
)F , IS CHOSEN MUCH SMALLER THAN - THE COMPLEXITY REDUCTION COMPARED TO THE
,--3% IS CONSIDERABLE 4HE COMPLEXITY OF THE TIME DOMAIN PROCESSING IN THIS CASE
IS , - MULTIPLICATIONS PER ESTIMATED ATTENUATION 4HIS ESTIMATOR CONVERGES TO
THE ,--3% WHEN , - 7E HAVE PRESENTED A RELATED ESTIMATOR PREVIOUSLY IN
;=
q %STIMATOR "
&URTHER REDUCTIONS IN COMPLEXITY CAN BE DONE BY IGNORING CROSS CORRELATION BETWEEN
THE , CHOSEN TAPS IN F B AND ONLY WEIGHTING THEM INDIVIDUALLY 4HIS ESSENTIALLY
KR
MEANS THAT WE RESTRICT THE TIME DOMAIN PROCESSING TO BE A DIAGONAL , b , MATRIX

MULTIPLICATION 3INCE THIS MATRIX ONLY HAS , NON ZERO ELEMENTS THE COMPLEXITY OF
THIS PROCESSING IS ,- MULTIPLICATIONS PER ESTIMATED ATTENUATION 4O THE AUTHORSÚ
KNOWLEDGE THIS ESTIMATOR HAS NOT BEEN PRESENTED BEFORE
q %STIMATOR #
)N THIS LAST ESTIMATOR WE FURTHER RESTRICT THE TIME DOMAIN PROCESSING TO ONLY USE
THE , CHOSEN COEbCIENTS DIRECTLY AS INPUT TO THE $&4 4HIS MEANS RESTRICTING THE
MATRIX TO AN , b , IDENTITY MATRIX WHICH DOES NOT REQUIRE ANY MULTIPLICATIONS
AT ALL 7HEN , - THIS ESTIMATOR CONVERGES TO THE ,3 ESTIMATOR 4HIS ESTIMATOR

IS SIMILAR TO THE ESTIMATOR DESIGNED FOR SAMPLE SPACED CHANNELS IN ; =
%STI 2ESTRICTION ,INEAR %dECTIVE 2EQUIRED

MATOR CUMULATIVE TRANSFORMATION MATRIX SIZE MULTATTEN
,--3% .! .! v w . b. .
1, b ,
! 5SE - COEd 1 - b- LOG . ,

v w -
$, b,
" $IAGONAL MATRIX 1! - b - DIAG LOG . ,

v w -
), b ,
# )DENTITY MATRIX 1" - b - IDENT LOG .

,3 .! .! .!
4ABLE !NALYSED $&4 BASED ESTIMATORS 3EE !PPENDIX ! FOR DETAILS
4HE OUTLINED ESTIMATORS ! # ARE SUMMARIZED IN 4ABLE WHERE WE HAVE ALSO
INCLUDED THE ,--3% AND ,3 ESTIMATORS AS REFERENCES 4HE TABLE SHOWS THE TOTAL COM
PUTATIONAL COMPLEXITY INCLUDING THE )$&4 AND $&4 FOR ESTIMATORS !Ô# )N GENERAL

UNLESS , IS CLOSE TO - THE COMPLEXITY DECREASES IN 4ABLE FROM THE ,--3% TO THE
,3
0ERFORMANCE ANALYSIS

4HE ESTIMATORS PRESENTED IN THE PREVIOUS SECTION ALL HAVE DIdERENT COMPUTATIONAL COM
PLEXITIES AND THE DESIGN VARIATIONS GIVE THEM DIdERENT PERFORMANCES AS WELL 4O ILLUSTRATE
THE PERFORMANCE OF THESE ESTIMATORS WE CALCULATE THE -3% AND USE FORMULAE FROM ;=
TO OBTAIN THE UNCODED 1!- SYMBOL ERROR RATE 3%2
4HE PARAMETERS WE HAVE CHOSEN FOR THE /&$- SYSTEM ARE - SUBCARRIERS AND A
CYCLIC PREçX OF LENGTH + SAMPLES 4HE IMPULSE RESPONSE OF THE PHYSICAL CHANNEL
8
F ~ S m Sp ~ ` ~
L L
CONSISTS OF INDEPENDENT 2AYLEIGH FADING m IMPULSES UNIFORMLY DISTRIBUTED ~ OVER

L L
THE LENGTH OF THE CYCLIC PREçX AND WITH A CONSTANT POWER DELAY PROçLE &ROM THIS CHANNEL
MODEL WE CALCULATE THE AUTO COVARIANCE MATRIX 1 OF THE CHANNEL ATTENUATIONS G ;=
GG
4HE CYCLIC IMPULSE RESPONSE F % G HAS A CORRESPONDING

'
h i AUTO COVARIANCE MATRIX 1 FF
% 1 % 7E ASSUME THAT THE VARIANCES o $ JF J ARE IN DECREASING ORDER IE

'
GG J J
o w o w o ` 4HE AUTO COVARIANCE MATRIX OF THE , USED TRANSFORM COEbCIENTS

-
1 FF, IS THUS THE UPPER LEFT , b , CORNER OF 1 FF
4O
OBTAIN A COMPLEXITY MEASURE WE HAVE ASSUMED THAT . IS A POWER OF TWO AND THAT THE $&4 AND
THE )$&4 REQUIRES . LOG . COMPLEX MULTIPLICATIONS EACH ;=
4HROUGH DIRECT CALCULATION OF THE AUTO COVARIANCE MATRIX OF THE ESTIMATION ERROR
|r sr s } '
1 $
D0 D0
B
G`G G`G B
FOR ALL ESTIMATORS WE OBTAIN THEIR RESPECTIVE AVERAGE -3%S

` a
,2$ 3Q@BD 1
-
D0 D0
.OTE THAT THE DIAGONAL ELEMENTS OF 1 ARE THE INDIVIDUAL ERROR VARIANCES FOR EACH
D0 D0
CHANNEL ATTENUATION 4HE CALCULATIONS ARE DERIVED IN !PPENDIX ! 4HE çNAL -3%
EXPRESSIONS FOR THE ,--3% ESTIMATOR THE LOW COMPLEXITY ESTIMATORS !Ô# AND THE ,3
ESTIMATOR ARE DISPLAYED IN 4ABLE !PPENDIX ! ALSO CONTAINS A NOTE ON SAMPLE SPACED
CHANNELS THAT IS OF INTEREST WHEN COMPARING THIS ANALYSIS WITH THE ANALYSIS IN ;= !S
DISPLAYED IN THE TABLE ESTIMATORS ! " AND # EXPERIENCE AN ERROR âOOR ,2$ DUE TO
THE CHANNEL POWER IN THE - ` , EXCLUDED CHANNEL TAPS 4HIS ERROR âOOR IS THE SAME FOR
ALL $&4 BASED LOW COMPLEXITY ESTIMATORS 4HE INDIVIDUAL RANKING OF THE LOW COMPLEXITY
ESTIMATORS IN TERMS OF -3% FOR A çXED , IS ,2$ v ,2$ v ,2$ ! "
%STIMATOR !VERAGE -3%

-0` wJ-
,--3% -
n
2-1 n
wJ-
2-1
`
J

0
,
! -3%
n wJ,
- 2-1 wJ,
n
2-1
`
J

0
,
" - 2-1
n oJ
n -3%
oJ
J 2-1
# ,
-
n
2-1
-3%
,3 2-1
n
wJ, Ô EIGENVALUES OF 2FF,
o J Ô DIAGONAL ELEMENTS OF 2FF IN DECREASING ORDER

`
0
-
-3% -
oJ -3% âOOR
J ,
4ABLE !VERAGE -3% FOR THE INVESTIGATED ESTIMATORS 1 DENOTES THE COVARIANCE FF,
MATRIX OF THE , DOMINATING TAPS IN F .OTE THAT THE w S ARE EIGENVALUES OF 1 J- FF
5SING THE FORMULAE FROM ;= WE DISPLAY 1!- 3%2 CURVES FOR TWO DIdERENT
NUMBERS OF INCLUDED TRANSFORM COEbCIENTS , AND , IN &IGURE 4HE
1!- 3%2 OF THE FULL ,--3% ESTIMATOR AND THE ,3 ESTIMATOR ARE ALSO INCLUDED IN THE
çGURE AS REFERENCES .OTE THAT FOR , THERE IS NO VISIBLE DIdERENCE IN 3%2 BETWEEN
THE THREE LOW COMPLEXITY ESTIMATORS AND THAT THE 3%2 LEVELS Od AT HIGH 3.2S DUE TO
THE ERROR âOOR )T IS ONLY FOR HIGHER VALUES OF , THAT A DIdERENCE IN 3%2 IS NOTICEABLE
BETWEEN THE LOW COMPLEXITY ESTIMATORS )T IS ALSO NOTEWORTHY THAT EVEN AT , OUT
OF A POSSIBLE - THE ERROR âOOR IS VISIBLE AND THE LOW COMPLEXITY ESTIMATORS PERFORM
WORSE THAN THE ,3 ESTIMATOR ABOVE A CERTAIN 3.2 &OR , THE çGURE ALSO SHOWS
THAT THE PERFORMANCE OF THE ESTIMATORS IS DECREASING FROM ! TO #

1!- 3%2
1!- 3%2

- -
,--3% ,--3%
! !
" "
# #

,3
,3

3.2 ;D"= 3.2 ;D"=
&IGURE 5NCODED 1!- 3%2 FOR THREE SYSTEMS USING THE LOW COMPLEXITY ESTIMATORS
! " AND # RESPECTIVELY .OTE %STIMATORS ! " AND # HAVE THE SAME 3%2 FOR ,
4HE PERFORMANCE OF THE LOW COMPLEXITY ESTIMATORS ESPECIALLY FOR HIGH 3.2S DEPENDS
STRONGLY ON THE NUMBER OF INCLUDED TAPS !N ANALYSIS OF THIS BEHAVIOR SHOWS THAT THE THREE
LOW COMPLEXITY ESTIMATORS ARE QUITE DIdERENT IN TERMS OF COMPLEXITY VERSUS PERFORMANCE
4HIS IS ILLUSTRATED IN &IGURE WHICH SHOWS THAT THE COMPLEXITY NEEDS TO BE HIGH TO MAKE
ESTIMATOR ! THE BEST IN TERMS OF 3%2 )N GENERAL ESTIMATORS " AND # ARE MORE EbCIENT
PER REQUIRED MULTIPLICATION &OR A SUBCARRIER SYSTEM THE COMPLEXITY OF ESTIMATOR # IS
ALWAYS MULTIPLICATIONS PER ATTENUATION WHILE ESTIMATOR " HAS A COMPLEXITY OF BETWEEN
AND MULTIPLICATIONS PER ATTENUATION DEPENDING ON THE NUMBER OF TAPS USED
)F WE WANT TO ELIMINATE THE ERROR âOOR ENTIRELY WE HAVE TO USE ALL TAPS , -
IN ESTIMATORS !Ô# %dECTIVELY THIS TURNS ESTIMATOR ! INTO THE HIGH COMPLEXITY ,--3%
ESTIMATOR AND ESTIMATOR # INTO THE LOW PERFORMANCE ,3 ESTIMATOR (OWEVER ESTIMATOR
" WHICH HAS LOWER COMPLEXITY THAN ESTIMATOR ! AND BETTER PERFORMANCE THAN ESTIMATOR
# IS A GOOD COMPROMISE BETWEEN THE TWO %STIMATOR ! DOES NOT HAVE A COMPLEXITY LOW
ENOUGH TO COMPETE WITH THE OTHER TWO AND THE APPROXIMATIONS IN ESTIMATOR # SEEM TO
BE TOO CRUDE TO PROVIDE A GOOD ESTIMATE 4HIS ENABLES US TO SINGLE OUT ESTIMATOR " AS THE

3.2 D"

,3
1!- 3%2
"

#

!

,--3%

-ULTIPLICATIONS PER ESTIMATED ATTENUATION
&IGURE 3%2 VERSUS ESTIMATOR COMPLEXITY AT 3.2 D" .OTE THE DISCONTINUITIES
OF THE ABSCISSA
BEST TRADE Od BETWEEN COMPLEXITY AND PERFORMANCE AMONG THE THREE ESTIMATORS ANALYZED
!S A çNAL COMPARISON WE PRESENT THE 1!- 3%2 PERFORMANCE OF ESTIMATOR " WITH
ALL TAPS INCLUDED THE ,--3% ESTIMATOR AND THE ,3 ESTIMATOR IN &IGURE 4HE 3%2
PERFORMANCE OF ESTIMATOR " IS GOOD FOR LOW 3.2S WHERE IT RESEMBLES THAT OF THE ,--3%
ESTIMATOR AND THIS AT LESS THAN OF THE COMPLEXITY NUMBER OF MULTIPLICATIONS OF THE
,--3% !T HIGH 3.2S IT CONVERGES TO THE 3%2 OF THE ,3 ESTIMATOR BUT THERE IS NO ERROR
âOOR AND THE PERFORMANCE NEVER BECOMES WORSE THAN THAT OF THE ,3 ESTIMATOR %STIMATOR
" HAS MORE THAN A D" GAIN OVER THE ,3 ESTIMATE FOR 3.2S LESS THAN D" AND A D"
GAIN FOR 3.2S BELOW D"
#ONCLUSIONS
)N THIS PAPER WE HAVE PRESENTED THE -3% AND 3%2 PERFORMANCES OF THREE LOW COMPLEXITY
$&4 BASED ESTIMATORS !Ô# 5SING , OF THE - TIME DOMAIN COEbCIENTS YIELDS ESTIMA
TORS WITH COMPLEXITY EXCLUDING THE $&4)$&4 OF , - ,- AND MULTIPLICATIONS
PER ESTIMATED CHANNEL ATTENUATION RESPECTIVELY /NLY THE çRST OF THESE ESTIMATORS IS PO
TENTIALLY OF HIGH COMPLEXITY SINCE , v - 7E HAVE PROVIDED ANALYTICAL EXPRESSIONS FOR
THE MEAN SQUARED ERROR OF ALL THREE ESTIMATORS AND SHOWN THAT IF THE NUMBER OF INCLUDED
TAPS IS LESS THAN - THEY SUdER FROM AN IRREDUCIBLE ERROR âOOR
4HE ERROR âOOR CAN BE REMOVED IF ALL TAPS ARE USED IN THE LINEAR TRANSFORM BUT ONLY ES
TIMATOR " MAINTAINS BOTH ITS PERFORMANCE AND ITS LOW COMPLEXITY IN THIS CASE 4HE OTHER
TWO DESIGNS EITHER EXPERIENCE A DRASTICALLY INCREASED COMPLEXITY ESTIMATOR ! OR CON
VERGE TO THE POOR PERFORMANCE OF THE ,3 ESTIMATOR ESTIMATOR # %STIMATOR " MAINTAINS
GOOD PERFORMANCE WITH LOW COMPLEXITY BY IGNORING THE RELATIVELY SMALL CROSS CORRELATION

1!- 3%2

%STIMATOR MULT
,--3%
" -

,3

3.2 ;D"=
&IGURE 5NCODED 1!- 3%2 FOR ESTIMATOR " WHERE ALL TAPS ARE USED , -
#URVES FOR THE ,--3% AND ,3 ESTIMATORS ARE INCLUDED AS REFERENCES
BETWEEN THE TIME DOMAIN CHANNEL COEbCIENTS 3O WE CONSIDER ESTIMATOR " USING ALL -
COEbCIENTS TO BE THE MOST SUITABLE OF THE $&4 BASED CHANNEL ESTIMATORS )N THE INVESTI
GATED SYSTEM IT HAS ALMOST THE SAME PERFORMANCE AS THE ,--3% ESTIMATOR FOR LOW 3.2S
AND THIS AT LESS THAN OF THE COMPLEXITY &URTHER IN TERMS OF SYMBOL ERROR RATE THIS
ESTIMATOR HAS MORE THAN A D" GAIN OVER THE ,3 ESTIMATOR FOR 3.2S LESS THAN D"
! %STIMATOR EXPRESSIONS

)N THIS APPENDIX WE PROVIDE EXPRESSIONS FOR THE LINEAR TRANSFORMATIONS OF THE THREE LOW
COMPLEXITY ESTIMATORS AND THE -3% FOR EACH ESTIMATOR !T THE END WE HAVE ALSO INCLUDED
A NOTE ON SAMPLE SPACED CHANNELS WHICH IS OF INTEREST WHEN COMPARING OUR ANALYSIS TO
THE ONE IN ;=
4O SIMPLIFY THE MATRIX NOTATION WE ASSUME THAT THE COEbCIENTS IN THE CYCLIC IM
PULSE RESPONSE F B ARE ORDERED ACCORDING TO DECREASING CHANNEL POWER 4HIS IS JUSTIçED
KR
SINCE PERMUTATIONS OF THE $&4)$&4 COEbCIENTS DO NOT CHANGE THE ESTIMATORS Ô IT ONLY
CHANGES THE ORDER IN WHICH
h THE i COEbCIENTS ARE INDEXED 4HE CHANNEL POWER IN COEbCIENT
F IS DENOTED o $ JF J WHICH ARE THE DIAGONAL ELEMENTS OF 1
BKRJ J J FF
"EFORE WE START THE DERIVATION WE WRITE THE ESTIMATOR STRUCTURE &IGURE IN MATRIX
NOTATION
B %0% 7` X %0% G
G 0
'B '

KR
WHERE 0 IS THE MATRIX REPRESENTING THE LINEAR TRANSFORMATION IN THE TIME DOMAIN AND % IS
THE - b- UNITARY $&4 MATRIX .OTE %` % &URTHER WE NEED THE AUTO COVARIANCE
'
MATRIX OF F WHICH IS ` a
1 $ FF % 1 % FF
' '
GG
7E ARE MINIMIZING THE ,2$ AND THUS NEED AN EXPLICIT EXPRESSION FOR THE AUTO
COVARIANCE MATRIX OF THE ESTIMATION ERROR
|r sr s } '
1 $
D0 D0 GB0 ` G G B0 ` G
t u
n
%0% 1
'
( %0 % ` ' '
2-1
GG
1 %0 % ` %0% 1
1
GG
' ' ' '
GG GG
WHICH GIVES THE ,2$ ACCORDING TO

4O SAVE SPACE THE CALCULATIONS BELOW ARE NOT PRESENTED IN DETAIL (OWEVER THE RESPEC
TIVE 0 MATRICES OF THE ESTIMATORS ARE SUBSTITUTED IN AND THE FOLLOWING EQUALITIES
ARE APPLIED
` a
q 3Q@BD 414 3Q@BD 1 WHEN 4 IS A UNITARY MATRIX
'
q 3Q@BD # 1# 3Q@BD # # 1 WHEN # AND # ARE DIAGONAL MATRICES
b c
q 1 FF, 4 1 4 WHERE % 4
'
, GG , 5 ` AND 4 CONTAINS THE çRST ,
, - , ,
COLUMNS OF %
q 4 5'
, , WHERE 4 , AND 5 - ` , ARE DEçNED ABOVE
4O SIMPLIFY THE ,2$ EXPRESSIONS WE ALSO USE THAT THE TRACE OF A MATRIX IS EQUIVALENT
TO THE SUM OF ITS EIGENVALUES ;= &URTHER RELATION IMPLIES THAT 1 AND 1 GG FF
SHARE THE SAME EIGENVALUES ;= WHICH IS USED TO AVOID SEPARATE NOTATIONS
q ,3 ESTIMATOR
4HE ,3 ESTIMATE IS USED AS INPUT TO THE )$&4 IN &IGURE AND ITS -3% IS
n
,2$
2-1
4HIS ESTIMATE ONLY REQUIRES ONE MULTIPLICATION PER ESTIMATED ATTENUATION 3INCE IT
IS THE INPUT TO THE REST OF THE ESTIMATORS THIS ONE MULTIPLICATION WILL SHOW UP IN
THE FOLLOWING COMPLEXITY EXPRESSIONS
q ,--3% ESTIMATOR
4HE ,--3% ESTIMATOR IS GIVEN IN AND AND ITS ,2$ BECOMES
t u`
n
,2$ 3Q@BD 1 (` 1
( 1
- 2-1
GG GG GG
n 8
` w -

J-
- 2-1 w
J
J-
2-1
n
WHERE THE w J- S ARE EIGENVALUES OF 1 GG AND 1 FF
)MPLEMENTING THIS ESTIMATOR AS A MATRIX MULTIPLICATION AS IN REQUIRES -

MULTIPLICATIONS PER ESTIMATED ATTENUATION
q %STIMATOR !
)MPOSING THE çRST RESTRICTION ON THE LINEAR TRANSFORMATION
v w
0 b
0 , ,

THE MINIMAL -3% IS OBTAINED IF
t u`
n
0 , b , 1 FF, 1 FF,
2-1
(
WHERE 1 FF, IS THE UPPER LEFT , b , CORNER OF 1 FF
4HE ,2$ OF THIS ESTIMATOR IS

t u`
n
,2$ 3Q@BD 1 (` 1
( 1
,2$
- 2-1
FF, FF, FF,
n 8
` w ,

,2$
J,
- 2-1 w
J
J,
n
2-1
WHERE THE w J, S ARE EIGENVALUES OF 1 FF, AND
` a 8
`-
,2$ 3Q@BD 5 '

- `,
1 5 GG - ` ,
-
o J

J ,
WHERE 5 ` CONTAINS THE LAST - ` , COLUMNS OF % 7E CALL ,2$ THE -3% âOOR
- ,
SINCE IT ONLY DEPENDS ON THE NUMBER OF EXCLUDED TAPS - ` , AND LOWER BOUNDS
THE -3%

)MPLEMENTING THIS ESTIMATOR ACCORDING TO &IGURE REQUIRES KNF -
,
-

MUL
TIPLICATIONS PER ESTIMATED ATTENUATION
q %STIMATOR "
!PPLYING THE SECOND RESTRICTION ON THE LINEAR TRANSFORMATION
v w
# b
0 , ,
"
WHERE # , CH@F p p p , ` WE OBTAIN A MINIMAL -3% IF

o
p J
J

o
J 2-1
n
4HE -3% OF THIS ESTIMATOR IS

n 8
` o ,
,2$ J

,2$
- 2-1 o
J J 2-1
n
WHERE ,2$ IS GIVEN BY

,
-

MUL
TIPLICATIONS PER ESTIMATED ATTENUATION
q %STIMATOR #
!PPLYING THE LAST RESTRICTION ON THE LINEAR TRANSFORMATION
v w
( b
0 , ,
#

WE DO NOT HAVE ANY CHOICE IN THE DESIGN EXCEPT FOR , AND THE -3% BECOMES
, n
,2$
,2$
- 2-1
WHERE AGAIN ,2$ IS GIVEN BY
MULTIPLI
CATIONS PER ESTIMATED ATTENUATION
! NOTE ON SAMPLE SPACED CHANNELS

4HE ABOVE EXPRESSIONS ARE DERIVED FOR A GENERAL CASE BUT THEY HAVE SOME INTERESTING
PROPERTIES FOR SAMPLE SPACED CHANNELS THAT ARE WORTH NOTING #ONSIDER A CHANNEL IMPULSE
RESPONSE
8 +
F ~ S m S p ~ ` L3
L R
L
WHERE THE FADING AMPLITUDES m S OF THE SAMPLE SPACED IMPULSES ARE INDEPENDENT
L
4HEN % DIAGONALIZES 1 AND 1 BECOMES DIAGONAL WITH ONLY + NON ZERO ELEMENTS
GG FF
4HE CHANNEL POWER IN THE JTH COEbCIENT OF F B IS THEREFORE EQUIVALENT TO THE JTH LARGEST
KR
EIGENVALUE wJ- OF 1 AND 1 AND THE EIGENVALUES OF 1

GG FF BECOMES w w FF, J, J-
o OF WHICH ONLY THE çRST + ARE NON ZERO (ENCE THE ,2$S FOR THE ESTIMATORS BECOME
J
%STIMATOR !VERAGE -3%

`
0 -
,--3%
2-1
-
n
oJ
oJ
n
2-1
`
J
0
,
!
- 2-1
n
oJ
oJ
n
,2$
2-1
`
J
0
,
"
- 2-1
n
oJ
oJ
n
,2$
J 2-1
# ,
-
n
2-1

,2$
,3 2-1
n
&IRST OF ALL ESTIMATOR ! IS NOW EQUIVALENT TO ESTIMATOR " AND SINCE o FOR J w + J
BOTH ESTIMATOR ! AND " ARE EQUIVALENT TO THE ,--3% ESTIMATOR FOR , w + &URTHER
SINCE ,2$ FOR , w + WE CAN CHOOSE , + IN ESTIMATOR # WHICH REDUCES THE NOISE
COMPARED TO THE ,3 ESTIMATOR TO A FRACTION +- 4HIS LAST OBSERVATION WAS ALSO DONE IN
;=
0ART
/&$- CHANNEL ESTIMATION BY
SINGULAR VALUE DECOMPOSITION
!BSTRACT Ô )N THIS PAPER WE PRESENT AND ANALYSE LOW RANK CHANNEL ESTIMATORS FOR ORTHOGONAL
FREQUENCY DIVISION MULTIPLEXING /&$- USING THE FREQUENCY CORRELATION OF THE CHANNEL
,OW RANK APPROXIMATIONS BASED ON THE DISCRETE &OURIER TRANSFORM $&4 HAVE BEEN PRO
POSED BUT THEY SUdER FROM POOR PERFORMANCE WHEN THE CHANNEL IS NOT SAMPLE SPACED
7E APPLY THE THEORY OF OPTIMAL RANK REDUCTION TO LINEAR MINIMUM MEAN SQUARED ERROR
,--3% ESTIMATORS AND SHOW THAT THESE ESTIMATORS WHEN USING A çXED DESIGN ARE RO
BUST TO CHANGES IN CHANNEL CORRELATION AND SIGNAL TO NOISE RATIO 3.2 4HE PERFORMANCE
IS PRESENTED IN TERMS OF UNCODED SYMBOL ERROR RATE 3%2 FOR A SYSTEM USING 1!-

/ %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON /&$- CHANNEL ESTIMATION
BY SINGULAR VALUE DECOMPOSITION 2ESEARCH 2EPORT 45,%! $IV OF 3IGNAL 0ROCESSING ,ULE¥
5NIVERSITY OF 4ECHNOLOGY 3EPT

36$ BASED CHANNEL ESTIMATORS
)NTRODUCTION
7IRELESS DIGITAL COMMUNICATION SYSTEMS USING MULTI AMPLITUDE MODULATION SCHEMES SUCH
AS QUADRATURE AMPLITUDE MODULATION 1!- REQUIRE ESTIMATION AND TRACKING OF THE
FADING CHANNEL )N GENERAL THIS MEANS A MORE COMPLEX RECEIVER THAN FOR DIdERENTIAL
MODULATION SCHEMES SUCH AS DIdERENTIAL PHASE SHIFT KEYING $03+ WHERE THE RECEIVERS
OPERATE WITHOUT A CHANNEL ESTIMATE ;=
)N ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING /&$- SYSTEMS $03+ IS APPROPRIATE
FOR RELATIVELY LOW DATA RATES SUCH AS IN THE %UROPEAN DIGITAL AUDIO BROADCAST $!"
SYSTEM ;= (OWEVER FOR MORE SPECTRALLY EbCIENT /&$- SYSTEMS COHERENT MODULATION
IS MORE APPROPRIATE
4HE STRUCTURE OF /&$- SIGNALLING ALLOWS A CHANNEL ESTIMATOR TO USE BOTH TIME AND
FREQUENCY CORRELATION 3UCH A TWO DIMENSIONAL ESTIMATOR STRUCTURE IS GENERALLY TOO COM
PLEX FOR A PRACTICAL IMPLEMENTATION 4O REDUCE THE COMPLEXITY SEPARATING THE USE OF
TIME AND FREQUENCY CORRELATION HAS BEEN PROPOSED ;= 4HIS COMBINED SCHEME USES TWO
SEPARATE &)2 7IENER çLTERS ONE IN THE FREQUENCY DIRECTION AND THE OTHER IN THE TIME
DIRECTION
)N THIS PAPER WE PRESENT AND ANALYSE A CLASS OF BLOCK ORIENTED CHANNEL ESTIMATORS FOR
/&$- WHERE ONLY THE FREQUENCY CORRELATION OF THE CHANNEL IS USED IN THE ESTIMATION
7HATEVER THEIR LEVEL OF PERFORMANCE IT MAY BE IMPROVED WITH THE ADDITION OF A SECOND
çLTER USING THE TIME CORRELATION ; =
4HOUGH A LINEAR MINIMUM MEAN SQUARED ERROR ,--3% ESTIMATOR USING ONLY FRE
QUENCY CORRELATION HAS LOWER COMPLEXITY THAN ONE USING BOTH TIME AND FREQUENCY COR
RELATION IT STILL REQUIRES A LARGE NUMBER OF OPERATIONS 7E INTRODUCE A LOW COMPLEXITY
APPROXIMATION TO A FREQUENCY BASED ,--3% ESTIMATOR THAT USES THE THEORY OF OPTIMAL
RANK REDUCTION /THER TYPES OF LOW RANK APPROXIMATIONS BASED ON THE DISCRETE TIME
&OURIER TRANSFORM $&4 HAVE BEEN PROPOSED FOR /&$- SYSTEMS BEFORE ; = 4HE
WORK PRESENTED IN THIS PAPER WAS INSPIRED BY THE OBSERVATIONS IN ;= WHERE IT IS SHOWN THAT
$&4 BASED LOW RANK CHANNEL ESTIMATORS HAVE LIMITED PERFORMANCE FOR NON SAMPLE SPACED
CHANNELS AND HIGH 3.2S
!FTER PRESENTING THE /&$- SYSTEM MODEL AND OUR SCENARIO IN 3ECTION WE IN
TRODUCE THE ESTIMATORS AND DERIVE THEIR COMPLEXITIES IN 3ECTION 7E ANALYSE THE
SYMBOL ERROR RATE 3%2 PERFORMANCE IN 3ECTION WHERE WE ALSO DISCUSS DESIGN CONSID
ERATIONS 4HE PROPOSED LOW RANK ESTIMATOR IS COMPARED TO OTHER ESTIMATORS IN 3ECTION
AND A SUMMARY AND CONCLUDING REMARKS APPEAR IN 3ECTION
3YSTEM DESCRIPTION

3YSTEM MODEL
&IGURE DISPLAYS THE /&$- BASE BAND MODEL USED IN THIS PAPER 7E ASSUME THAT
THE USE OF A CYCLIC PREçX #0 ;= BOTH PRESERVES THE ORTHOGONALITY OF THE TONES AND
ELIMINATES INTER SYMBOL INTERFERENCE )3) BETWEEN CONSECUTIVE /&$- SYMBOLS &URTHER
THE CHANNEL FS ~ IS ASSUMED TO BE SLOWLY FADING SO IT IS CONSIDERED TO BE CONSTANT
DURING ONE /&$- SYMBOL 4HE NUMBER OF TONES IN THE SYSTEM IS - AND THE LENGTH OF
THE CYCLIC PREçX IS + SAMPLES
&IGURE "ASE BAND MODEL OF AN /&$- SYSTEM Ú#0Ú DENOTES THE CYCLIC PREçX
5NDER THESE ASSUMPTIONS WE CAN DESCRIBE THE SYSTEM AS A SET OF PARALLEL 'AUSSIAN
CHANNELS SHOWN IN &IGURE WITH CORRELATED ATTENUATIONS G 4HE ATTENUATIONS ON
J
&IGURE 4HE /&$- SYSTEM DESCRIBED AS A SET OF PARALLEL 'AUSSIAN CHANNELS WITH
CORRELATED ATTENUATIONS
EACH TONE ARE GIVEN BY

t u
J
G & J - `
-3
J
R
WHERE & a IS THE FREQUENCY RESPONSE OF THE CHANNEL F S ~ DURING THE /&$- SYMBOL
AND 3 IS THE SAMPLING PERIOD OF THE SYSTEM )N MATRIX NOTATION WE DESCRIBE THE /&$-
R
SYSTEM AS
X 7G
M
WHERE X IS THE RECEIVED VECTOR 7 IS A MATRIX CONTAINING THE TRANSMITTED SIGNALLING POINTS
ON ITS DIAGONAL G IS A CHANNEL ATTENUATION VECTOR AND M IS A VECTOR OF IID COMPLEX
ZERO MEAN 'AUSSIAN NOISE WITH VARIANCE } M
#HANNEL MODEL

7E ARE USING A FADING MULTI PATH CHANNEL MODEL ;= CONSISTING OF , IMPULSES
`
8
,
F ~ m p ~ ` ~ 3
J J R
J
WHERE m ARE ZERO MEAN COMPLEX 'AUSSIAN RANDOM VARIABLES WITH A POWER DELAY PROçLE
J
t ~ )N THIS PAPER WE HAVE USED , IMPULSES AND TWO VERSIONS OF THIS CHANNEL
J
MODEL
q 3YNCHRONIZED CHANNEL 4HIS IS A MODEL OF A PERFECTLY TIME SYNCHRONIZED /&$-

SYSTEM WHERE THE çRST FADING IMPULSE ALWAYS HAS A ZERO DELAY ~ AND OTHER
FADING IMPULSES HAVE DELAYS THAT ARE UNIFORMLY AND INDEPENDENTLY DISTRIBUTED OVER
THE LENGTH OF THE CYCLIC PREçX 4HE IMPULSE POWER DELAY PROçLE t ~ "D`
J
~ J ~ QLR
DECAYS EXPONENTIALLY ;=
q 5NIFORM CHANNEL !LL IMPULSES HAVE THE SAME AVERAGE POWER AND THEIR DELAYS ARE
UNIFORMLY AND INDEPENDENTLY DISTRIBUTED OVER THE LENGTH OF THE CYCLIC PREçX
3CENARIO
/UR SCENARIO CONSISTS OF A WIRELESS 1!- /&$- SYSTEM DESIGNED FOR AN OUTDOOR
ENVIRONMENT THAT IS CAPABLE OF CARRYING DIGITAL VIDEO 4HE SYSTEM OPERATES AT K(Z
BANDWIDTH AND IS DIVIDED INTO TONES WITH A TOTAL SYMBOL PERIOD OF xS OF WHICH
xS IS THE CYCLIC PREçX /NE /&$- SYMBOL THUS CONSISTS OF SAMPLES -
+
FOUR OF WHICH ARE CONTAINED IN THE CYCLIC PREçX + 4HE UNCODED DATA RATE OF THE
SYSTEM IS -"ITSEC 7E ASSUME THAT ~ SAMPLE FOR THE SYNCHRONIZED CHANNEL
QLR
,INEAR CHANNEL ESTIMATION ACROSS TONES

)N THE FOLLOWING WE PRESENT THE ,--3% ESTIMATE OF THE CHANNEL ATTENUATIONS G FROM
THE RECEIVED VECTOR X AND THE TRANSMITTED DATA 7 7E ASSUME THAT THE RECEIVED /&$-
SYMBOL CONTAINS DATA KNOWN TO THE ESTIMATOR Ô EITHER TRAINING DATA OR RECEIVER DECISIONS
4HE COMPLEXITY REDUCTION OF THE ,--3% ESTIMATOR CONSISTS OF TWO SEPARATE STEPS )N
THE çRST STEP WE MODIFY THE ,--3% BY AVERAGING OVER THE TRANSMITTED DATA OBTAINING A
SIMPLIçED ESTIMATOR )N THE SECOND STEP WE REDUCE THE NUMBER OF MULTIPLICATIONS REQUIRED
BY APPLYING THE THEORY OF OPTIMAL RANK REDUCTION ;=
,--3% ESTIMATION

4HE ,--3% ESTIMATE OF THE CHANNEL ATTENUATIONS G IN GIVEN THE RECEIVED DATA X
AND THE TRANSMITTED SYMBOLS 7 IS ;=
r ` a` s`
B
G KLLRD 1 GG 1 GG
} 77 ' B
GKR
M
WHERE v w
B
G 7` X
X X
aaa
X - `
3

KR
W W W - `
h i ,3 ESTIMATE OF G } IS THE VARIANCE OF THE ADDITIVE CHANNEL NOISE AND

IS THE LEAST SQUARES
M
1 $ GG
GG
'
IS THE CHANNEL AUTOCORRELATION 4HE SUPERSCRIPT a DENOTES (ERMITIAN '
TRANSPOSE )N THE FOLLOWING WE ASSUME WITHOUT LOSS OF GENERALITY

h THAT
i THE VARIANCES OF

THE CHANNEL ATTENUATIONS IN G ARE NORMALIZED TO UNITY IE $ JG J J
4HE ,--3% ESTIMATOR IS OF CONSIDERABLE COMPLEXITY SINCE A MATRIX INVERSION

IS NEEDED EVERY TIME THE TRAINING DATA IN 7 CHANGES 7E REDUCE THE COMPLEXITY OF THIS
ESTIMATOR BY AVERAGING OVER THE hTRANSMITTEDi DATA ;= IE WE REPLACE THE TERM 77 ` '
IN WITH ITS EXPECTATION $ 77 ` !SSUMING THE SAME SIGNAL CONSTELLATION i ON
'
h `
ALL TONES AND EQUAL PROBABILITY ON ALL CONSTELLATION POINTS WE HAVE $ 77
'
$ FJW J G ( WHERE ( IS THE IDENTITY MATRIX $EçNING THE AVERAGE SIGNAL TO NOISE RATIO

J
AS 2-1 $ FJW J G } WE OBTAIN A SIMPLIçED ESTIMATOR

J M
t u`
B1 n B
G 1
( G
2-1
GG GG KR
WHERE
h i h i
n $ JW J $ JW J
J J
IS A CONSTANT DEPENDING ON THE SIGNAL CONSTELLATION )N THE CASE OF 1!- TRANSMISSION

n "ECAUSE 7 IS NO LONGER A FACTOR IN THE MATRIX CALCULATION THE INVERSION OF
1
2-1 ( DOES NOT NEED TO BE CALCULATED EACH TIME THE TRANSMITTED DATA IN 7 CHANGES
GG
n
&URTHERMORE IF 1 AND 2-1 ARE KNOWN BEFOREHAND OR ARE SET TO çXED NOMINAL VALUES
THE MATRIX 1 1
2-1 (` NEEDS TO BE CALCULATED ONLY ONCE 5NDER THESE CONDITIONS
GG
n
GG GG
THE ESTIMATION REQUIRES - MULTIPLICATIONS PER TONE 4O FURTHER REDUCE THE COMPLEXITY OF
THE ESTIMATOR WE PROCEED WITH LOW RANK APPROXIMATIONS BELOW
/PTIMAL LOW RANK APPROXIMATIONS

/PTIMAL RANK REDUCTION IS ACHIEVED BY USING THE SINGULAR VALUE DECOMPOSITION 36$
;= 4HE 36$ OF THE CHANNEL AUTOCOVARIANCE MATRIX IS
1 GG 4c4 '

WHERE 4 IS A UNITARY MATRIX CONTAINING THE EIGENVECTORS AND c IS A DIAGONAL MATRIX

CONTAINING THE SINGULAR VALUES w w w w w w ` ON ITS DIAGONAL )N !PPENDIX !
-

IT IS SHOWN THAT THE OPTIMAL RANK O ESTIMATOR IS
B 4aO 4 G
G O
B '
KR
3INCE
WE ARE DEALING WITH (ERMITIAN MATRICES THE wK S ARE ALSO EIGENVALUES (OWEVER WE USE THE
TERMINOLOGY OF THE 36$ SINCE IT IS MORE GENERAL AND CAN BE USED IN OPTIMAL RANK REDUCTION OF NON
(ERMITIAN MATRICES
WHERE a IS A DIAGONAL MATRIX WITH THE VALUES

O

wJ
n J O `
p
J
wJ
2-1
J O - `
6IEWING THE ORTHONORMAL MATRIX 4 AS A TRANSFORM THE SINGULAR VALUE w OF 1 IS

'
J GG
THE CHANNEL POWER VARIANCE CONTAINED IN THE J TRANSFORM COEbCIENT AFTER TRANSFORMING
SG
THE ,3 ESTIMATE G B 3INCE 4 IS UNITARY THIS TRANSFORMATION CAN BE VIEWED AS ROTATING THE
KR
B
VECTOR G SO THAT ALL ITS COMPONENTS ARE UNCORRELATED ;= 4HE DIMENSION OF THE SPACE
KR
OF ESSENTIALLY TIME AND BAND LIMITED SIGNALS LEADS US TO THE RANK NEEDED IN THE LOW RANK
ESTIMATOR )N ;= IT IS SHOWN THAT THIS DIMENSION IS ABOUT !3
WHERE ! IS THE ONE
SIDED BANDWIDTH AND 3 IS THE TIME INTERVAL OF THE SIGNAL !CCORDINGLY THE MAGNITUDE OF
THE SINGULAR VALUES OF 1 SHOULD DROP RAPIDLY AFTER ABOUT +
LARGE VALUES WHERE + IS
GG
THE LENGTH OF THE CYCLIC PREçX ! 3 3 +3 AND !3

+

R R
7E PRESENT THE CHANNEL POWER CONTAINED IN THE çRST COEbCIENTS IN &IGURE 4HE
CALCULATIONS ARE BASED ON OUR SCENARIO AND THE TWO CHANNEL MODELS THE SYNCHRONIZED AND
THE UNIFORM 4HE MAGNITUDE OF THE CHANNEL POWER DROPS RAPIDLY AFTER ABOUT J IE
COEbCIENTS WHICH IS CONSISTENT WITH THE OBSERVATION THAT THE DIMENSION OF THE SPACE
SPANNED BY 1 IS APPROXIMATELY +
THAT IS
IN THIS CASE
GG
&IGURE 2ELATIVE CHANNEL POWER w %JG J IN THE TRANSFORM COEbCIENTS FOR THE TWO
J J
EXAMPLE CHANNELS
! BLOCK DIAGRAM OF THE RANKÒ ESTIMATOR IN IS SHOWN IN &IGURE WHERE THE
,3 ESTIMATE IS CALCULATED FROM X BY MULTIPLYING BY 7`
4HETRANSFORM IN THIS SPECIAL CASE OF LOW RANK APPROXIMATION IS THE +ARHUNEN ,OEVE AKA (OTELLING
TRANSFORM OF H
&IGURE "LOCK DIAGRAM OF THE RANKÒ CHANNEL ESTIMATOR
%STIMATOR COMPLEXITY

4HE LIMITING FACTOR OF THE RANKÒ ESTIMATORS IS AN ERROR âOOR SEE 3ECTION 4O ELIMINATE
THIS ERROR âOOR UP TO A GIVEN 3.2 WE NEED TO MAKE SURE OUR ESTIMATOR RANK IS LARGE ENOUGH
4HIS PROMPTS AN ANALYSIS OF THE COMPUTATIONAL COMPLEXITY OF THE RANKÒ ESTIMATOR 4HE
IMPLEMENTATION WE HAVE CHOSEN IS BASED ON WRITING AS A SUM OF RANK MATRICES
WHICH GIVES US THE EXPRESSION
` ` $
8 O
8 % O
B
G
O p T T J
B
G
J P T G
' B
KR J J KR
J
J J
$ %
WHERE P p T AND T G
J J J J
BKR T G B IS THE %UCLIDIAN INNER PRODUCT 4HE LINEAR COM
'
KR
J
BINATION OF O VECTORS OF LENGTH - ALSO REQUIRES O- MULTIPLICATIONS 4HE ESTIMATION THUS

REQUIRES O- MULTIPLICATIONS AND THE TOTAL NUMBER OF MULTIPLICATIONS PER TONE BECOMES
O )N COMPARISON WITH THE FULL ESTIMATOR WE HAVE MANAGED TO REDUCE THE NUMBER
OF MULTIPLICATIONS FROM - TO O PER TONE 4HE SMALLER O IS THE LOWER THE COMPUTATIONAL
COMPLEXITY BUT THE LARGER THE APPROXIMATION ERROR BECOMES &OLLOWING THE ANALYSIS IN
3ECTION WE CAN EXPECT A GOOD APPROXIMATION WHEN O IS IN THE RANGE OF SAMPLES IN
THE CYCLIC PREçX WHICH IS USUALLY MUCH SMALLER THAN THE NUMBER OF TONES -
! LEGITIMATE QUESTION AT THIS POINT IS WHAT HAPPENS FOR A SYSTEM WITH MANY TONES
AND MANY SAMPLES IN THE CYCLIC PREçX 4HE NUMBER OF CALCULATIONS PER TONE CAN BE
CONSIDERABLE IF A RANKÒ ESTIMATOR IS USED DIRECTLY ON ALL TONES IN THE SYSTEM /NE SOLUTION
TO THIS PROBLEM IS A PARTITIONING OF THE TONES INTO REASONABLE SIZED BLOCKS AND AT A CERTAIN
PERFORMANCE LOSS PERFORM THE ESTIMATION INDEPENDENTLY IN THESE BLOCKS "Y DIVIDING THE
CHANNEL ATTENUATIONS INTO * EQUALLY SIZED BLOCKS THE BANDWIDTH IN EACH BLOCK IS REDUCED
BY A FACTOR * 2EFERRING AGAIN TO THE DIMENSION OF THE SPACE OF ESSENTIALLY TIME AND
BANDLIMITED SIGNALS ;= THE EXPECTED NUMBER OF ESSENTIAL BASE VECTORS IS REDUCED FROM
+
TO +*
(ENCE THE COMPLEXITY OF THE ESTIMATOR DECREASES ACCORDINGLY
4O ILLUSTRATE THE IDEA LET US ASSUME WE HAVE A SYSTEM WITH - TONES AND A
+ SAMPLE CYCLIC PREçX 4HE UNIFORM CHANNEL CORRELATION BETWEEN THE ATTENUATIONS
G AND G IN THIS SYSTEM IS SEE !PPENDIX "
L M

IF L M
Q `
L`M
Ì {+
IF L M
LM D -
L`M
I {+
-
4HIS ONLY DEPENDS ON THE DISTANCE BETWEEN THE TONES L ` M AND THE RATIO BETWEEN THE
LENGTH OF THE CYCLIC PREçX AND THE NUMBER OF TONES +- 4HE TONE SYSTEM CAN BE
DESCRIBED BY

X 7 G M

X
7
G M
THAT IS AS PARALLEL TONE SYSTEMS
X 7 G
M J
J J J J
7E HAVE THE SAME CHANNEL CORRELATION IN EACH SUBSYSTEM AS WE HAVE IN THE TONE SCENARIO
IN THIS PAPER +- "Y ESTIMATING THE CHANNEL ATTENUATIONS G IN J
EACH SUB SYSTEM INDEPENDENTLY WE NEGLECT THE CORRELATION BETWEEN TONES IN DIdERENT
SUB SYSTEMS BUT OBTAIN THE SAME -3% PERFORMANCE AS IN OUR TONE SCENARIO
%STIMATOR PERFORMANCE AND DESIGN

7E PROPOSE A GENERIC LOW RANK FREQUENCY BASED CHANNEL ESTIMATOR IE THE ESTIMATOR IS
DESIGNED FOR çXED NOMINAL VALUES OF 3.2 AND CHANNEL CORRELATION (ENCE WE NEED TO
ANALYSE HOW THE RANK CHANNEL CORRELATION AND 3.2 SHOULD BE CHOSEN FOR THIS ESTIMATOR SO
THAT IT IS ROBUST TO VARIATIONS IN THE CHANNEL STATISTICS IE MISMATCH !S A PERFORMANCE
MEASURE WE USE UNCODED SYMBOL ERROR RATE 3%2 FOR 1!- SIGNALLING 4HE 3%2 IN
THIS CASE CAN BE CALCULATED FROM THE MEAN SQUARED ERROR -3% WITH THE FORMULAE IN
;=
2ANK REDUCTION

h i
4HE MEAN SQUARED ERROR RELATIVE TO THE CHANNEL POWER $ JG J OF THE RANKÒ ESTIMATOR
J
IS MAINLY DETERMINED BY THE CHANNEL POWER CONTAINED IN THE TRANSFORM COEbCIENTS AND
CAN BE EXPRESSED SEE !PPENDIX #
` t
8
O
n
u `
8
-

LRD O w ` p
p
w
- 2-1 -
J J J J
J J O
WHERE w AND p ARE GIVEN BY AND RESPECTIVELY 4HE -3% IS A MONOTON
J J
ICALLY DECREASING FUNCTION OF 2-1 AND CAN BE BOUNDED FROM BELOW BY THE LAST TERM
`
8
-
LRDO w v LRD O

-
J
J O
WHICH IS THE SUM OF THE CHANNEL POWER IN THE TRANSFORM COEbCIENTS NOT USED IN THE
ESTIMATE 4HIS -3% âOOR LRDO WILL GIVE RISE TO A ERROR âOOR IN THE SYMBOL ERROR RATES
4HE ERROR âOOR IS THE MAIN LIMITATION ON THE COMPLEXITY REDUCTION ACHIEVED BY OPTIMAL
RANK REDUCTION !S AN ILLUSTRATION &IGURE DISPLAYS THE 3%2 RELATIVE TO THE CHANNEL
VARIANCE FOR THREE DIdERENT RANKS AS A FUNCTION OF THE 3.2 4HE RANKS CHOSEN ARE O
AND AND THE CHANNEL USED IN THE EXAMPLE IS THE SYNCHRONIZED CHANNEL 4HE
CORRESPONDING 3%2 âOORS ARE SHOWN AS HORIZONTAL LINES &OR O THE 3%2 âOOR IS
RELATIVELY SMALL AND THE 3%2 OF THE RANK` ESTIMATOR IS COMPARABLE TO THE ORIGINAL
FULL RANK ESTIMATOR IN THE RANGE TO D" IN 3.2 "Y CHOOSING THE APPROPRIATE
RANK ON THE ESTIMATOR WE CAN ESSENTIALLY AVOID THE IMPACT FROM THE 3%2 âOOR UP TO A
GIVEN 3.2 7HEN WE HAVE FULL RANK O - NO 3%2 âOOR EXISTS
&IGURE ,OW RANK ESTIMATOR SYMBOL ERROR RATE AS A FUNCTION OF 3.2 WITH RANKS O
AND #ORRESPONDING 3%2 âOORS SHOWN AS HORIZONTAL LINES 3YNCHRONIZED CHANNEL
"ASED ON THE CHANNEL POWERS PRESENTED IN &IGURE WE SHOW THE CORRESPONDING
3%2 âOORS RELATIVE TO THE CHANNEL VARIANCE IN &IGURE !FTER ABOUT RANK` THE 3%2
âOOR DECREASES RAPIDLY 7E ARE THEREFORE ABLE TO OBTAIN A GOOD ESTIMATOR APPROXIMATION
WITH A RELATIVELY LOW RANK
3%2 PERFORMANCE UNDER MISMATCH

)N PRACTICE THE TRUE CHANNEL CORRELATION AND 3.2 ARE NOT KNOWN 4O GET A GENERAL
EXPRESSION FOR THE ESTIMATOR 3%2 WE DERIVE IT UNDER THE ASSUMPTION THAT THE ESTIMATOR
IS DESIGNED FOR CORRELATION 1 AND SIGNAL TO NOISE RATIO 2-1 BUT THE TRUE VALUES ARE
GG
= RESPECTIVELY WHERE G
1E E AND 2-1 E DENOTES A CHANNEL WITH DIdERENT STATISTICS THAN
GG
G 4HIS ALLOWS US TO ANALYSE THIS ESTIMATORÚS SENSITIVITY TO DESIGN ERRORS 5NDER THESE
ASSUMPTIONS THE RELATIVE -3% OF THE RANKÒ ESTIMATE BECOMES SEE !PPENDIX #
` v
8
O
n
w
8
- `

LRD O x ` p
p
x
- = -
J J J J
J
2-1 J O
&IGURE %STIMATOR 3%2 âOOR AS A FUNCTION OF ESTIMATOR RANK #IRCLES SHOW THE 3%2
âOORS APPEARING IN &IGURE
WHERE x IS THE J DIAGONAL ELEMENT OF 4

J
SG '
1E E 4 CF )T CAN BE INTERPRETED AS THE
GG
E
VARIANCE OF THE TRANSFORMED CHANNEL 4 G
'
UNDER CORRELATION MISMATCH SINCE
|r sr s }
'
$ E
4 G 4
' ' E
G 4 1E E 4
'
GG
)T SHOULD BE NOTED THAT THE ELEMENTS OF 4 G'E ARE NO LONGER UNCORRELATED (OWEVER DUE TO
THE FACT THAT THE POWER DELAY PROçLE IS SHORT COMPARED TO THE /&$- SYMBOL THE çRST O
ELEMENTS CAN BE EXPECTED TO CONTAIN MOST OF THE POWER 4HIS PROPERTY WILL ENSURE ONLY
A SMALL PERFORMANCE LOSS WHEN THE ESTIMATOR IS DESIGNED FOR WRONG CHANNEL STATISTICS
)F RANKÒ ESTIMATORS ARE USED IN A REAL SYSTEM THE SENSITIVITY TO MISMATCH IN BOTH
CHANNEL CORRELATION AND 3.2 ARE IMPORTANT 7E WILL SHOW THAT A RANKÒ ESTIMATOR BASED
ON THE UNIFORM CHANNEL MODEL AND A NOMINAL 3.2 CAN BE USED AS çXED GENERIC ESTIMATOR
WITH ONLY A SMALL LOSS IN AVERAGE PERFORMANCE 7E DIVIDE THE MISMATCH ANALYSIS INTO TWO
PARTS çRST WE ANALYSE THE 3%2 WHEN WE HAVE A MISMATCH IN CHANNEL CORRELATION AND
LATER WE ANALYSE THE 3%2 WHEN WE HAVE A MISMATCH IN 3.2
)NCORRECT CHANNEL CORRELATION

&ROM WITH NO 3.2 MISMATCH 2-1 2-1 = BUT INCORRECT CHANNEL CORRELATION
1 1E E WE OBTAIN THE PERFORMANCE FOR THE CORRELATION MISMATCH CASES 7E COM
GG GG
PARED THE PERFORMANCE OF OUR CHANNEL ESTIMATOR IN TWO MISMATCH SITUATIONS I USING THE
A UNIFORM CHANNEL WHEN THE TRUE CHANNEL MODEL WAS THE SYNCHRONIZED CHANNEL AND II
USING THE SYNCHRONIZED CHANNEL WHEN THE TRUE CHANNEL MODEL WAS THE UNIFORM CHANNEL
4HE RESULTING CHANNEL ESTIMATES THAT WERE USED IN THE DETECTION OF THE DATA PRODUCED
NO NOTICABLE DIdERENCE IN SYMBOL ERROR RATES Ô LESS THAN D" CHANGE IN EdECTIVE 3.2
FOR AN AVERAGE 3.2 UP TO D" 4O SHOW THE DIdERENCES MORE CLEARLY THE -3%S ARE
DISPLAYED IN &IGURE &OR THE MISMATCHED CASES MARKED WITH ÚqÚ THE UNIFORM DESIGN
IS MORE ROBUST IE THE ERROR IN CASE OF MISMATCH IS LOWER 7ITH THE RESTRICTION THAT
THE TRUE CHANNEL HAS A POWER DELAY PROçLE SHORTER THAN THE CYCLIC PREçX DESIGNING FOR A
UNIFORM POWER DELAY PROçLE CAN BE SEEN AS A MINIMAX DESIGN
&IGURE -3% FOR CORRECT AND MISMATCHED DESIGN 4HE LATTER IS MARKED WITH DOTS q
)NCORRECT 3.2

&INALLY WE EVALUATE THE SENSITIVITY TO MISMATCH IN DESIGN 3.2 FOR A RANK ESTIMATOR
7HEN THERE IS NO MISMATCH IN CHANNEL CORRELATION AND NOMINAL 3.2S OF AND
D" ARE USED IN THE DESIGN THE SENSITIVITY TO 3.2 MISMATCH IS NOT THAT LARGE (OWEVER
IN &IGURE WE PRESENT THE 3%2 FOR THE SAME RANK ESTIMATORS BUT WITH THE DIdERENCE
THAT THE TRUE CHANNEL CORRELATION IS MISMATCHED WITH THE DESIGN CORRELATION )N THIS
SECOND CASE THERE IS A CLEAR DIdERENCE BETWEEN THE TWO DESIGNS THE HIGHER THE NOMINAL
DESIGN 3.2 THE BETTER THE OVERALL PERFORMANCE OF THE ESTIMATOR IN THE RANGE TO D" IN
3.2 )T SHOULD BE NOTED THAT A ,--3% ESTIMATOR DESIGNED FOR A LARGE 3.2 APPROACHES
THE ,3 ESTIMATOR
'ENERIC LOW RANK ESTIMATOR

)F WE WANT A ROBUST GENERIC CHANNEL ESTIMATOR DESIGN FOR /&$- SYSTEMS OF THE LOW
RANK TYPE THE ANALYSIS IN THE PREVIOUS SECTION SUGGESTS THE USE OF THE UNIFORM CHANNEL
CORRELATION AND A RELATIVELY HIGH 3.2 AS NOMINAL DESIGN PARAMETERS 4HE DESIGN OF SUCH
AN ESTIMATOR ONLY REQUIRES KNOWLEDGE ABOUT THE LENGTH OF THE CYCLIC PREçX THE NUMBER
OF TONES IN THE SYSTEM AND THE TARGET RANGE OF 3.2S FOR THE APPLICATION )F THE RECEIVER
&IGURE 2ANK ESTIMATOR 3%2 WHEN 3.2S OF AND D" ARE USED IN THE DESIGN
4HE ESTIMATORS ARE DESIGNED FOR INCORRECT CHANNEL CORRELATION
CANNOT AdORD AN ESTIMATOR THAT INCLUDES TRACKING OF CHANNEL CORRELATION AND 3.2 THIS
CHANNEL ESTIMATOR WORKS REASONABLY WELL FOR çXED 3.2 AND CHANNEL CORRELATION
0ERFORMANCE GAIN

&OR THE SCENARIO USED IN THIS PAPER 3EC WE CHOOSE A RANK ESTIMATOR WITH UNIFORM
DESIGN AND 2-1 D" 4HE PERFORMANCE OF THIS ESTIMATOR IS PRESENTED IN &IG
WHERE THE 3%2 FOR THE ,3 ESTIMATE AND KNOWN CHANNEL ARE ALSO SHOWN !S CAN BE
SEEN THE LOW RANK ESTIMATOR IS D" BETTER THAN THE ,3 ESTIMATOR AND LESS THAN D"
FROM THE KNOWN CHANNEL
#OMPARISON TO &)2 çLTERS

!N ALTERNATIVE TO USING LOW RANK ESTIMATORS TO SMOOTH THE CHANNEL ESTIMATES IS TO USE
A &)2 çLTER INSTEAD (ENCE WE WILL COMPARE OUR PROPOSED LOW RANK ESTIMATORS TO &)2
çLTERS OF THE SAME COMPLEXITY 4HE &)2 çLTERS ARE O TAPS 7IENER çLTERS ;= IE O
MULTIPLICATIONS PER TONE THAT ARE DESIGNED FOR THE SAME CHANNEL CORRELATION AND 3.2 AS
THE LOW RANK ESTIMATORS &IGURE SHOWS THE 3%2 FOR RANKÒ ESTIMATORS IN COMPARISON
WITH &)2 çLTERS OF THE SAME COMPUTATIONAL COMPLEXITY 7HEN THE COMPLEXITY IS
MULTIPLICATIONS PER TONE ! THE RANKÒ ESTIMATOR HAS ABOUT D" ADVANTAGE IN 3.2
OVER THE &)2 çLTER IN THE RANGE OF 3.2S SHOWN 7HEN THE NUMBER OF CALCULATIONS GOES
DOWN TO MULTIPLICATIONS PER TONE " THE 3%2 âOOR OF THE RANKÒ ESTIMATOR BECOMES
VISIBLE AND THE &)2 çLTER PERFORMS BETTER AT 3.2S ABOVE D"
(OWEVER IT SHOULD BE NOTED THAT THE PERFORMANCE OF THE LOW RANK ESTIMATORS DEPEND
HEAVILY OF THE SIZE OF THE CYCLIC PREçX )F THE CYCLIC PREçX WERE TO BE DECREASED RELATIVE TO
&IGURE 3%2 FOR 1!- TRAINING DATA AND A SYNCHRONIZED CHANNEL 4HE GENERIC
RANK` ESTIMATOR DESIGNED FOR A UNIFORM CHANNEL AND D" IN 3.2 IS COMPARED TO THE
,3 ESTIMATOR AND KNOWN CHANNEL AT THE RECEIVER
THE /&$- SYMBOL THE LOW RANK ESTIMATOR WOULD INCREASE ITS PERFORMANCE 4HIS IS DUE
TO THE FACT THAT THE ÞDIMENSIONÞ OF THE CHANNEL WHOSE DURATION IS ASSUMED TO BE SHORTER
THAN THE CYCLIC PREçX DECREASES AND CAN THUS BE REPRESENTED WITH FEWER COEbCIENTS /N
THE OTHER HAND IF THE CYCLIC PREçX INCREASES IN SIZE MORE COEbCIENTS ARE NEEDED TO AVOID
LARGE APPROXIMATION ERRORS (ENCE WHETHER OR NOT THE LOW RANK ESTIMATOR IS BETTER THAN
THE &)2 çLTER DEPENDS ON THE RELATIVE SIZE OF THE CYCLIC PREçX AND THE ALLOWED COMPLEXITY
4HE USE OF TIME CORRELATION
4HE LOW RANK ESTIMATOR PRESENTED IN THIS PAPER IS BASED ON FREQUENCY CORRELATION ONLY
BUT THE TIME CORRELATION OF THE CHANNEL CAN ALSO BE USED 4HE TWO DIMENSIONAL ,--3%
ESTIMATOR CAN BE SIMPLIçED USING THE SAME TECHNIQUE WITH RANK REDUCTION AS DESCRIBED
HERE (OWEVER IN ;= IT IS SHOWN THAT SUCH AN ESTIMATOR GIVES AN INFERIOR PERFORMANCE
FOR A çXED COMPLEXITY (ENCE IT SEEMS THAT SEPARATING THE USE OF FREQUENCY AND TIME
CORRELATION IS THE MOST EbCIENT WAY OF ESTIMATING THE CHANNEL
/THER APPROACHES TO USE THE TIME CORRELATION IS EG TO USE A DECISION DIRECTED SCHEME
;= OR &)2 çLTERS ; = 4HE FORMER CAN BE USED IN A SLOW FADING ENVIRONMENT WHERE
IT OdERS GOOD PERFORMANCE FOR A MINIMAL COMPLEXITY AND THE LATTER IS PREFERRED IN CASE OF
FAST FADING )T IS POSSIBLE TO USE A BANK OF &)2 çLTERS AND CHOOSE THE MOST APPROPRIATE
ACCORDING THE ESTIMATED $OPPLER FREQUENCY ;=
&IGURE 3%2 COMPARISON BETWEEN THE RANKÒ ESTIMATORS AND &)2 7IENER çLTERS OF
THE SAME COMPLEXITY "OTH ESTIMATORS ARE DESIGNED FOR THE UNIFORM CHANNEL AND D"
3.2 ! MULTIPLICATIONS PER TONE AND " MULTIPLICATIONS PER TONE
#ONCLUSIONS
7E HAVE INVESTIGATED LOW COMPLEXITY LOW RANK APPROXIMATIONS OF THE ,--3% CHANNEL
ESTIMATOR FOR NON SAMPLE SPACED CHANNELS 4HE INVESTIGATION SHOWS THAT AN ESTIMATOR
ERROR âOOR INHERENT IN THE LOW RANK APPROXIMATION IS THE SIGNIçCANT LIMITATION TO THE
ACHIEVED COMPLEXITY REDUCTION 7E SHOWED THAT A GENERIC LOW RANK ESTIMATOR DESIGN
BASED ON THE UNIFORM CHANNEL CORRELATION AND A NOMINAL 3.2 CAN BE USED IN OUR TONE
SCENARIO #OMPARED WITH THE FULL ,--3% THERE IS ONLY A SMALL LOSS IN PERFORMANCE
UP TO A 3.2 OF D" BUT A REDUCTION IN COMPLEXITY WITH A FACTOR -O &OR
SYSTEMS WITH MORE SUBCHANNELS THIS GAIN IS EVEN LARGER 4HE GENERIC ESTIMATOR DESIGN
ONLY REQUIRES KNOWLEDGE ABOUT THE LENGTH OF THE CYCLIC PREçX THE NUMBER OF TONES IN THE
SYSTEM AND THE TARGET RANGE OF 3.2S FOR THE APPLICATION
7E ALSO COMPARED LOW RANK ESTIMATORS TO &)2 çLTERS ACROSS THE TONES 4HE COMPARISON
SHOWED THAT AT LOW COMPLEXITIES AND HIGH 3.2S THE &)2 çLTERS IS THE PREFERABLE CHOICE
DUE TO THE ERROR âOOR IN THE LOW RANK APPROXIMATION (OWEVER IF WE CAN ALLOW UP TO
MULTIPLICATIONS PER TONE IN OUR SCENARIO THE LOW RANK ESTIMATOR IS MORE ADVANTAGEOUS
!LSO THE LOW RANK ESTIMATORS IMPROVE THEIR PERFORMANCE AS THE CYCLIC PREçX DECREASES IN
SIZE
! /PTIMAL RANK REDUCTION

4HE OPTIMAL RANK REDUCTION IS FOUND FROM THE CORRELATION MATRICES
N O
1 B $ GG B '
1 GG
GGKR KR
N O n
1B B
B
$ G GB 1 '

(
2-1
GKR GKR KR KR GG
AND THE 36$

1 B
`
1B

0 #0 '

GGKR GKR GKR B
WHERE 0 AND 0 ARE UNITARY MATRICES AND # IS A DIAGONAL MATRIX WITH THE SINGULAR
VALUES C w C w a a a w C ` ON ITS DIAGONAL 4HE BEST LOW RANK ESTIMATOR ;= IS THEN
-
v w
B 0
G
# O
0 1
' ` B
G
O
GLS GLS KR
WHERE # IS THE O b O UPPER LEFT CORNER OF # IE WE EXCLUDE ALL BUT THE O LARGEST SINGULAR
O
VECTORS )N THIS PAPER WE HAVE 1 B 1 AND 1B B 1

2-1 ( AND WE NOTE THAT
GGKR GG GKR GKR GG
n
THEY SHARE THE SAME SINGULAR VECTORS IE THE ONES OF 1 4c4 4HUS WE MAY GG
'
EXPRESS AS
t t u u`
n
4c4 4 c
'
( 4 '

2-1
t u`
n
4c c
( 4 0 #0
' '
2-1
t u`
n
0 0 4 AND # c c
(
2-1
4HE RANK O ESTIMATOR NOW BECOMES

v w t u u`
t
# n

B
G 4 O
4 4 c
'
( 4 B
G '
O
2-1
KR
v wt u` v w
# n
B a B
4 O
c
( 4 G 4 4 G ' O '
2-1 KR KR
WHERE a IS THE O b O UPPER LEFT CORNER OF

O
t u`
n w w `
ac c
( CH@F aaa
-
2-1 w
2-1 n
w `
2-1 -
n
.OTE THAT 0 0 SINCE WE ARE ESTIMATING THE SAME TONES AS WE ARE OBSERVING IE
SMOOTHING AND AN EIGENVALUE DECOMPOSITION COULD BE USED TO ACHIEVE OPTIMAL RANK RE
DUCTION )N THE GENERAL CASE WHEN EG PILOT SYMBOL ASSISTED MODULATION ;= IS USED AND
THERE ARE KNOWN SYMBOLS PILOTS ON ONLY A PART OF THE SUBCHANNELS WE HAVE 0 0
SINCE 1 B AND 1B B DONÚT SHARE THE SAME SINGULAR VECTORS THE MATRICES ARE NOT EVEN
GGKR GKR GKR
OF THE SAME SIZE (ENCE THE MORE GENERAL 36$ MUST BE USED WHICH MOTIVATES THE
NOMENCLATURE IN THIS ARTICLE
" #HANNEL CORRELATION MATRICES

5SING THE CHANNEL MODEL IN THE ATTENUATION ON TONE J BECOMES
`
8
m D`
,
J
G
J H
I { ~
- H
H
AND THE CORRELATION MATRIX FOR THE ATTENUATION VECTOR G

h i
1GG $ GG :Q < '
LM
CAN BE EXPRESSED AS ~ ÚS INDEPENDENT

J
: : 9` `
8
t ~ D`
, ,
`
L`M
Q LM aaa E ~ ~J J H
I {~ H
- C~ C~ ,
J H
` :
8
E ~ t ~ D`
,
L`M
~H H H
I {~ H
- C~ H
H
WHERE t~ IS THE MULTI PATH INTENSITY PROçLE AND E ~ IS THE PROBABILITY DENSITY FUNC ~J J
TION OF ~
J
4HE CORRELATION MATRICES OF THE THREE CHANNELS USED IN THIS PAPER ARE CALCULATED BELOW
q 3YNCHRONIZED CHANNEL
4HE PROBABILITY DISTRIBUTIONS FOR THE DELAYS ARE
E ~ p ~
~
|
+ IF ~ : +<
E ~ H , H
~H H
OTHERWISE
AND THE POWER DELAY PROçLE IS t ~ " D` 3UBSTITUTING IN AND ~ ~ QLR
NORMALIZING Q TO UNITY GIVES US

JJ
r s
+

` ` D`

+ {I
L`M
,
~ QLR -
I {
L`M
Q r ~ QLR
s -
LM
+
, ` ~ `D ` QLR
+
~ QLR
q 5NIFORM CHANNEL
4HE PROBABILITY DISTRIBUTIONS FOR THE DELAYS ARE
|
+ IF ~ : +<
E ~ H , H
~H
OTHERWISE
H
AND THE POWER DELAY PROçLE IS CONSTANT t ~ " 3UBSTITUTED IN AND
NORMALIZING Q TO UNITY GIVES US
JJ

IF L M
Q ` L`M
Ì {+
IF L M
LM D -
L`M
I {+
-
# %STIMATOR MEAN SQUARED ERROR

)N THIS APPENDIX WE DERIVE THE -3% OF THE RANKÒ ESTIMATOR IN 7E ALSO PRESENT THE
-3% âOOR WHICH BOUNDS THE ACHIEVABLE -3% FROM BELOW IN LOW RANK APPROXIMATIONS OF
THE ,--3% ESTIMATOR 4O GET A GENERAL EXPRESSION FOR THE MEAN SQUARED ERROR FOR THE
RANKÒ APPROXIMATION OF THE ,--3% ESTIMATOR WE ASSUME THAT THE ESTIMATOR HAS BEEN
DESIGNED FOR CHANNEL CORRELATION 1 AND SIGNAL TO NOISE RATIO 2-1 BUT THE REAL CHANNEL
GG
E HAS THE CORRELATION 1

G E AND THE REAL SIGNAL TO NOISE RATIO IS 2-1
= &ROM AND
E 7` M HAS THE AUTOCOVARIANCE MATRIX
GG
WE HAVE G B GKR
E
M E WHERE THE NOISE TERM M
MM
n E B
1E E 2-1 ( 4HE ESTIMATION ERROR D G ` G OF THE RANKÒ ESTIMATOR IS
O O
t v wu v w
D 4 (`
a '
4 G E`4 a O
4' M
E O
O

AND THE MEAN SQUARED ERROR IS
h i
LRD O 3Q@BD $ D D '

-
O O
4O SIMPLIFY THE EXPRESSION WE USE THAT

E AND M
q G E ARE UNCORRELATED HENCE THE CROSS TERMS ARE CANCELLED IN THE EXPECTATION
` a
q 3Q@BD 4 4 3Q@BD IF 4 IS A UNITARY MATRIX AND 3Q@BD
! 3Q@BD
'
3Q@BD ! ;=
0
q 3Q@BD # # @ C WHEN # IS A DIAGONAL MATRIX WITH THE ELEMENTS C ON
J JJ J J
ITS DIAGONAL AND NOT NECESSARILY A DIAGONAL MATRIX HAS DIAGONAL ELEMENTS @ JJ
5SING IN THE MEAN SQUARED ERROR BECOMES

t v wu t v wu
'
'
a a
LRD O 3Q@BD 4 ( ` 4 1GE GE 4 ( ` O O
4
'
-
v w v w
' 4'
'
a a
4 O
4 1ME ME 4 O

` ` 8 ` n
8 8
O - O

x ` p
x
p
- -
J
J
J

=
2-1 J O
J
J
J
8
` t
O
n
u
8
` -

x ` p
p
x
- -
J
J
J
=
2-1
J
J O
J
WHERE x IS THE CHANNEL POWER IN THE JTH TRANSFORM COEbCIENT IE THE JTH DIAGONAL
J
E 4 4HE -3% CAN BE LOWER BOUNDED LRD O w LRD O BY

ELEMENT OF THE MATRIX 4 1 '
GG
WHAT WE CALL THE -3% âOOR

8
` -
LRD O x
- J
J O
` a
)F THERE IS NO MISMATCH IN 2-1 OR CHANNEL CORRELATION WE HAVE x CH@F 4 1 4
J
'
GG
= 2-1 AND THE -3% BECOMES

w AND 2-1
J
` t
8
O
n
u `
8
-

LRD O w ` p
p
w
- 2-1 -
J J J J
J J O
0ART
! COMPARATIVE STUDY OF PILOT BASED
CHANNEL ESTIMATORS FOR WIRELESS
/&$-
!BSTRACT Ô 4HIS REPORT DEALS WITH PILOT BASED CHANNEL ESTIMATION IN WIRELESS /&$- SYS
TEMS 7E ASSUME THAT THE RECEIVER IS ABLE TO USE ALL TRANSMITTED PILOTS WHICH IS THE CASE
IN BROADCASTING AND IN THE DOWNLINK OF A MULTIUSER SYSTEM &OUR ESTIMATORS OF WHICH
TWO HAVE BEEN PROPOSED IN THE LITERATURE ARE COMPARED BOTH IN TERMS OF MEAN SQUARED
ERROR AND BIT ERROR RATES )N THE LATTER CASE WE SIMULATE A MULTIUSER SYSTEM WHICH IN
CORPORATES CHANNEL CODING 4HE CHANNEL ESTIMATION IS A TWO DIMENSIONAL PROBLEM TIME
AND FREQUENCY AND BOTH SEPARABLE AND NON SEPARABLE ESTIMATORS ARE INVESTIGATED 7E DE
SIGN LOW RANK APPROXIMATIONS OF THESE ESTIMATORS AND COMPARE THE PERFORMANCE AT GIVEN
COMPLEXITIES 4HE COMPARISON SHOWS THAT THE USE OF SEPARABLE ESTIMATORS INCREASES THE
PERFORMANCE SUBSTANTIALLY COMPARED TO NON SEPARABLE ESTIMATORS WITH THE SAME COMPLEX
ITY &OR THE SCENARIO INVESTIGATED IN THIS REPORT THE PERFORMANCE IS FURTHER IMPROVED BY
APPLYING LOW RANK APPROXIMATIONS TO SEPARABLE ESTIMATORS

- 3ANDELL AND / %DFORS ! COMPARATIVE STUDY OF PILOT BASED CHANNEL ESTIMATORS FOR WIRELESS /&$-
2ESEARCH 2EPORT 45,%! $IV OF 3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY 3EPT

#OMPARATIVE STUDY OF CHANNEL ESTIMATORS
)NTRODUCTION
7IRELESS ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING /&$- IS CURRENTLY USED AND PRO
POSED FOR SEVERAL BROADCASTING APPLICATIONS 4HE %UROPEAN STANDARD FOR DIGITAL AUDIO
BROADCAST $!" ;= USES /&$- WITH DIdERENTIAL PHASE SHIFT KEYING $03+ 4HIS IS
SUITABLE FOR LOW BIT RATE SYSTEMS BUT WHEN HIGHER BIT RATES ARE REQUIRED MULTIAMPLI
TUDE MODULATION IS MORE APPROPRIATE 0ROPOSALS FOR DIGITAL VIDEO BROADCASTING ; =
HAVE INCLUDED MULTIAMPLITUDE MODULATION /&$- 4HESE SCHEMES CAN BE MADE DIdEREN
TIAL WHICH OdERS THE ADVANTAGE OF AVOIDING CHANNEL ESTIMATION $IdERENTIAL AMPLITUDE
AND PHASE SHIFT KEYING $!03+ ;= IS AN EXAMPLE OF THIS APPROACH )N $!03+ HOW
EVER THE CONSTELLATION POINTS ARE NON UNIFORMLY DISTRIBUTED IN THE SIGNAL SPACE WHICH
REDUCES PERFORMANCE 4HERE MAY ALSO BE METRIC DIbCULTIES CONCERNING DECODING #O
HERENT MODULATION ON THE OTHER HAND GIVES BETTER PERFORMANCE BUT BECAUSE OF THE
NECESSARY CHANNEL ESTIMATION IT REQUIRES MORE COMPLEXITY AT THE RECEIVER )T IS OF INTER
EST THEREFORE TO INVESTIGATE THE PERFORMANCE OF COHERENT /&$- SYSTEMS USING CHANNEL
ESTIMATORS WITH DIdERENT LEVELS OF COMPLEXITY )N THIS PAPER WE ANALYZE LOW COMPLEXITY
COHERENT DEMODULATION RECEIVER SCHEMES SUITABLE FOR HIGH BIT RATE /&$-
/NE WAY OF ESTIMATING THE CHANNEL IN A âAT FADING ENVIRONMENT IS TO MULTIPLEX PILOTS
KNOWN SYMBOLS INTO THE TRANSMITTED SIGNAL &ROM THESE SYMBOLS ALL CHANNEL ATTENU
ATIONS ARE ESTIMATED WITH AN INTERPOLATION çLTER 4HIS TECHNIQUE IS CALLED PILOT SYMBOL
ASSISTED MODULATION 03!- AND WAS INTRODUCED FOR SINGLE CARRIER SYSTEMS BY -OHER
AND ,ODGE ;= AND ANALYZED BY #AVERS ;= 3INCE EACH SUBCHANNEL IN /&$- IS âAT
FADING 03!- CAN BE GENERALIZED TO TWO DIMENSIONS WHERE PILOTS ARE TRANSMITTED IN CER
TAIN POSITIONS IN THE TIME AND FREQUENCY GRID OF /&$- 4HE CHANNEL ESTIMATION IS THEN
PERFORMED BY A TWO DIMENSIONAL INTERPOLATION (¶HER ;= PROPOSES TO USE çNITE IMPULSE
RESPONSE &)2 çLTERS FOR THIS AND TO SEPARATE THE USE OF TIME AND FREQUENCY CORRELATION
(E ARGUES THAT THIS IS A GOOD TRADE Od BETWEEN COMPLEXITY AND PERFORMANCE
4HE SPACING OF PILOT SYMBOLS IN 03!- FOR SINGLE CARRIER SYSTEMS WAS INVESTIGATED IN
;= )T WAS FOUND THAT THE OPTIMUM SPACING WAS SOMEWHAT CLOSER THAN THE .YQUIST RATE
IE THE INVERSE OF THE BANDWIDTH OF THE CHANNEL COVARIANCE FUNCTION 7E GENERALIZE THIS
RESULT TO TWO DIMENSIONS FOR THE /&$- TIME FREQUENCY GRID 5SING A DENSE PILOT PATTERN
MEANS THAT THE CHANNEL IS OVERSAMPLED IMPLYING THAT LOW RANK ESTIMATION METHODS ;=
CAN WORK WELL 4HIS TYPE OF LOW COMPLEXITY ESTIMATION PROJECTS THE OBSERVATIONS ONTO A
SUBSPACE OF SMALLER DIMENSION AND PERFORMS THE ESTIMATION IN THAT SUBSPACE "Y OVER
SAMPLING THE CHANNEL IE PLACING THE PILOT SYMBOLS CLOSE TO EACH OTHER THE OBSERVATIONS
ESSENTIALLY LIE IN A SUBSPACE AND LOW RANK ESTIMATION IS VERY EdECTIVE
)N THIS REPORT WE PRESENT AND ANALYZE PILOT BASED /&$- CHANNEL ESTIMATORS THAT RELY
ON BOTH TIME AND FREQUENCY CORRELATION OF THE FADING CHANNEL 4HE ESTIMATORS ARE LINEAR
AND FEEDFORWARD IE NO DECISION DIRECTION OR FEEDBACK IS USED 7E DIVIDE THEM INTO TWO
CLASSES DIMENSIONAL $ AND SEPARABLE ESTIMATORS 4HE LATTER USES DIMENSIONAL
$ INTERPOLATION çLTERS IN THE TIME AND FREQUENCY DIRECTIONS SEPARATELY )N EACH CLASS
WE COMPARE A &)2 7IENER çLTER ;= WITH A LOW RANK APPROXIMATION OF THE LINEAR MIN
IMUM MEAN SQUARED ERROR ,--3% ESTIMATOR ;= 4HE ESTIMATORS ARE COMPARED BOTH
IN TERMS OF MEAN SQUARED ERROR -3% AND CODED BIT ERROR RATE "%2 4HE SYSTEM AND
THE SCENARIO ARE INTRODUCED IN 3ECTION 4HE ESTIMATORS ARE DESCRIBED IN 3ECTION
AND THEIR PERFORMANCE IS PRESENTED IN 3ECTION BOTH IN TERMS OF MEAN SQUARED ERROR
AND CODED BIT ERROR RATE &INALLY IN 3ECTION WE PRESENT CONCLUSIONS
3YSTEM DESCRIPTION

/&$- SYSTEM
)N THIS REPORT WE CONSIDER AN /&$- SYSTEM OPERATING IN A 2AYLEIGH FADING CHANNEL
ENVIRONMENT 4HIS SYSTEM USES A CYCLIC PREçX ;= WHICH IS A COPY OF THE LAST PART
OF THE /&$- SYMBOL AND ACTS AS A GUARDSPACE BETWEEN CONSECUTIVE /&$- SYMBOLS
(ENCE IF THE IMPULSE RESPONSE OF THE CHANNEL IS SHORTER THAN THE CYCLIC PREçX INTER
SYMBOL INTERFERENCE )3) IS AVOIDED &URTHERMORE IF THE CHANNEL IS ASSUMED CONSTANT
DURING ONE /&$- SYMBOL INTER CARRIER INTERFERENCE )#) IS ALSO AVOIDED ;=
)N &IGURE A A SCHEMATIC VIEW OF THE BASE BAND /&$- SYSTEM IS SHOWN 4HE MOD
&IGURE /&$- SYSTEM A "ASE BAND MODEL B PARALLEL SUBCHANNELS MODEL Ú#0Ú
b
AND Ú#0Ú DENOTE THE INSERTION AND DELETION OF THE CYCLIC PREçX RESPECTIVELY
ULATION ON - SUBCARRIERS IS PERFORMED BY AN INVERSE DISCRETE &OURIER TRANSFORM )$&4 IN

THE TRANSMITTER ;= 3IMILARLY DEMODULATION IS DONE WITH A DISCRETE &OURIER TRANSFORM
$&4 IN THE RECEIVER 4HE EdECTIVE SYMBOL LENGTH IS 3 -3 WHERE 3 IS THE SAMPLING
R R
PERIOD OF THE SYSTEM !DDING A CYCLIC PREçX #0 WITH A LENGTH OF 3 +3 MAKES THE
& R
TOTAL SYMBOL LENGTH 3

3 )F )3) AND )#) ARE ELIMINATED WE CAN DESCRIBE THE SYSTEM
&
AS A SET OF PARALLEL 'AUSSIAN CHANNELS ;= SHOWN IN &IGURE B WITH CORRELATED CHANNEL
ATTENUATIONS t u
J
G & J - `
-3
J
R
WHERE & a IS THE FREQUENCY RESPONSE OF THE CHANNEL F ~ DURING THE /&$- SYMBOL 4HE
RECEIVED SIGNAL X ON SUBCHANNEL J CAN THUS BE DESCRIBED AS
J
X G W
M
J J J J
WHERE W IS THE TRANSMITTED DATA SYMBOL AND M THE CHANNEL NOISE AT SUBCARRIER J 4HE
J J
RELATION HOLDS FOR EVERY /&$- SYMBOL THUS CREATING A TWO DIMENSIONAL GRID WITH
FREQUENCY SUBCARRIERS ON ONE AXIS AND TIME /&$- SYMBOLS ON THE OTHER
3CENARIO
4HE CHANNEL ESTIMATION IS BASED ON PILOTS TRANSMITTED AT CERTAIN POSITIONS IN THE TIME
FREQUENCY GRID OF THE /&$- SYSTEM 4HE CHANNEL ATTENUATIONS ARE ESTIMATED BY MEANS
OF INTERPOLATION BETWEEN THESE PILOTS WHERE WE ASSUME THAT THE CHANNEL ESTIMATORS CAN
USE ALL TRANSMITTED PILOTS 4HIS IS THE CASE IN EG BROADCASTING OR IN THE DOWNLINK OF
A MULTIUSER SYSTEM )N BOTH THESE CASES THERE IS ONLY ONE PHYSICAL CHANNEL BETWEEN THE
TRANSMITTER AND THE RECEIVER 4HUS CHANNEL ATTENUATIONS IN NEIGHBORING TIME FREQUENCY
GRIDPOINTS ARE HIGHLY CORRELATED A FEATURE THAT CAN BE USED FOR CHANNEL ESTIMATION )N THE
UPLINK OF A MULTIUSER SYSTEM ON THE OTHER HAND EACH USER HAS THEIR OWN PHYSICAL CHANNEL
SO CHANNEL ATTENUATIONS STEMMING FROM DIdERENT MOBILE TRANSMITTERS MUST BE ASSUMED
TO BE UNCORRELATED 4O ESTIMATE THE ATTENUATIONS FOR ONE USER ONLY PILOTS TRANSMITTED BY
THAT USER CAN BE USED 4HUS THE UPLINK IS QUITE DIdERENT FROM OUR SCENARIO AND WILL NOT
BE CONSIDERED HERE
4HE INVESTIGATED /&$- SYSTEM HAS A BANDWIDTH OF -(Z AND IS OPERATING IN THE
'(Z FREQUENCY BAND 4HE NUMBER OF SUBCARRIERS IS - WHICH MAKES THE
EdECTIVE SYMBOL LENGTH xS 4HE ENVIRONMENT IS A MACROCELL WHICH IS ASSUMED TO HAVE
A MAXIMUM DELAY SPREAD OF xS AND A MAXIMUM $OPPLER FREQUENCY OF (Z 4HUS THE
MAXIMUM $OPPLER FREQUENCY RELATIVE TO THE INTER CARRIER SPACING IS E WHICH
#MAX
CORRESPONDS TO A VEHICLE SPEED OF KMH 4HE POWER DELAY PROçLE IS EXPONENTIALLY
DECAYING WITH ROOT MEAN SQUARE 2-3 WIDTH ~ xS 4O ELIMINATE )3) WE USE A
RMS
GUARD SPACE OF xS WHICH CORRESPONDS TO + SAMPLES 4HE LENGTH OF THE /&$-

SYMBOL IS
xS WHICH MAKES THE RELATIVE SIZE OF THE GUARD SPACE
4HE CORRESPONDING 2-1 LOSS IS D" /UR SYSTEM MODEL ASSUMES THAT THE CHANNEL IS
CONSTANT DURING AN /&$- SYMBOL )N REALITY )#) OCCURS DUE TO CHANNEL FADING DURING
THE TRANSMISSION OF AN /&$- SYMBOL ; = (OWEVER WITH A MAXIMUM RELATIVE
$OPPLER FREQUENCY OF THE SIGNAL TO )#) RATIO IS D" ;= 4HIS IS NEGLIGIBLE IN THE
2-1 RANGES WE ARE LOOKING AT AND CONSEQUENTLY WE IGNORE THE )#) AND USE THE MODEL IN

)NTERLEAVING IS PERFORMED SEPARATELY IN FREQUENCY AND TIME OVER A FRAME CONSISTING
OF /&$- SYMBOLS 4HIS CORRESPONDS TO A MAXIMUM DELAY OF MS &IRST INTER
LEAVING IN FREQUENCY IS DONE BY PLACING CONSECUTIVE DATA SYMBOLS SUBCARRIERS APART
)NTERLEAVING IS THEN PERFORMED IN TIME WITH A UNIQUE PATTERN FOR EACH SUBCARRIER 4HESE
PATTERNS ARE RANDOM PERMUTATIONS AND CHANGED EVERY FRAME "Y HAVING DIdERENT INTER
LEAVING PATTERNS ON ALL SUBCARRIERS CHANNEL ATTENUATIONS ARE INTERLEAVED IN BOTH TIME AND
FREQUENCY 4HIS PRODUCES AN ALMOST PERFECT INTERLEAVING WITH NO SIGNIçCANT PERFORMANCE
LOSS
&OR ERROR CORRECTION A RATE CONVOLUTIONAL CODE WITH THE OCTAL POLYNOMIALS
IS USED IE THE CODE POLYNOMIALS ARE ;=
F #
#
#
#
#

F #
#
#
#
#
4HE CONSTRAINT LENGTH IS M AND A TAIL OF M

ZEROS IS APPENDED TO CLEAR THE
$ $
ENCODERÚS MEMORY 4HE RECEIVER USES A SOFT DECISION 6ITERBI DECODER WITH A TRUNCATED
MEMORY LENGTH OF M BITS 4HE BITS ARE MODULATED USING "03+ IN EACH DIMENSION
$
AND THE INPHASE AND QUADRATURE PARTS ARE CONCATENATED TO FORM 103+ SYMBOLS 4HIS
MAKES THE DATA RATE OF THE SYSTEM -BITS
#HANNEL MODEL

)N OUR ANALYSIS WE USE THE WIDE SENSE STATIONARY UNCORRELATED SCATTERING 73353 CHANNEL
MODEL INTRODUCED IN ;= "Y CONSIDERING THE CHANNEL TO BE CONSTANT OVER ONE /&$-
SYMBOL THE INSTANTANEOUS FREQUENCY RESPONSE OF THE , `PATH CHANNEL AT TIME S IS
8 `
,
& E S P D I t M
{%#M S {E ~ M

, M
WHERE t IS THE PHASE % THE $OPPLER FREQUENCY AND ~ THE DELAY OF THE M PATH !LL
M #M M
SG
THESE PARAMETERS ARE INDEPENDENT RANDOM VARIABLES 4O OBTAIN 2AYLEIGH FADING WITH THE
*AKESÚ SPECTRUM ;= AND AN EXPONENTIALLY DECAYING POWER DELAY PROçLE WITH 2-3 VALUE
~ WE CHOOSE THE PROBABILITY DENSITY FUNCTIONS AS ;=
RMS
O t {
t v t {
O % Q
J% J%
%# #
{%#M A X ` %# %# M AX
# #MAX

`~ ~ RM S
O ~ v~ v3
`
D
~
~ RM S D
`3BO ~ RM S
BO
4HE RANDOM VARIABLES % AND ~ CAN EASILY BE OBTAINED FROM A UNIFORMLY DISTRIBUTED
#
RANDOM GENERATOR WITH OUTPUTS : < BY USING THE INVERSES OF THE DESIRED CUMULATIVE
DISTRIBUTION FUNCTIONS ;=
0ILOT PATTERN

"Y USING A TWO DIMENSIONAL GENERALIZATION ;= OF PILOT SYMBOL ASSISTED MODULATION ;=
KNOWN SYMBOLS PILOTS ARE TRANSMITTED ON CERTAIN POSITIONS IN THE TIME FREQUENCY GRID
4HE NUMBER OF PILOTS TO USE IS A TRADE Od BETWEEN DATA RATE AND CHANNEL ESTIMATION
PERFORMANCE (OWEVER BY VIEWING THE CHANNEL ESTIMATION IN THE TIME FREQUENCY GRID AS
A TWO DIMENSIONAL INTERPOLATION FUNDAMENTAL LIMITS ON THE DENSITY OF PILOTS CAN BE DE

RIVED 4HE SCATTERED PILOT SYMBOLS CAN BE SEEN AS NOISY SAMPLES OF THE TWO DIMENSIONAL
STOCHASTIC SIGNAL &E S 4HESE SAMPLES HAVE TO BE PLACED CLOSE ENOUGH TO FULçL THE SAM
PLING THEOREM AND AVOID ALIASING .OTE THAT THE EdECTIVE 3.2 IS LOWERED BY USING MANY
PILOTS SINCE A SMALLER PART OF THE TRANSMITTED POWER IS USED FOR DATA SYMBOLS 3INCE
&E S IN IS THE &OURIER TRANSFORM OF THE CHANNEL IMPULSE RESPONSE AT TIME S WHICH
IS ASSUMED TO BE CONSTANT FOR ONE /&$- SYMBOL THE AUTO COVARIANCE FUNCTION OF &E S
IS THE SPACED FREQUENCY SPACED TIME CORRELATION FUNCTION OF THE CHANNEL ;= "
1 && aE aS $ F&E S&c E ` aE S ` aSG aE aS "
4HE BANDWIDTH OF THIS FUNCTION IS ! THE $OPPLER SPREAD IN THE aE DIRECTION AND ~
C MAX
THE MULTIPATH SPREAD IN THE aS DIRECTION ;= &OR THE ANALYZED /&$- SYSTEM WE
HAVE
E
! %
#MAX
-3
C #MAX
R
~ MAX +3 R
WHERE E #MAXIS THE MAXIMUM $OPPLER FREQUENCY RELATIVE TO THE INTER CARRIER SPACING
)F WE ASSUME THAT PILOTS ARE PLACED - SUBCARRIERS APART IN EVERY - /&$- SYMBOLS
E S
WE HAVE t u
-
G & Ja K a - -
+ 3
E
-3
JK S R
R
SINCE THE INTER CARRIER SPACING IS - 3 AND THE DURATION OF AN /&$- SYMBOL IS -
+ 3
R R
4O FULçLL THE SAMPLING THEOREM ;= WE NEED

-
-
+
E

- S ` a

+
-
E#MAX
)N THE ANALYZED SYSTEM WE HAVE - + AND E #MAX WHICH GIVES

-

E

- S ` a

)N ;= WHERE 03!- FOR SINGLE CARRIER SYSTEMS IS ANALYZED IT IS SHOWN THAT THE "%2
CAN BE LOWERED BY PLACING THE PILOT SYMBOLS CLOSER THAN THAT SPECIçED BY THE SAMPLING
THEOREM .OTE THAT THERE EXISTS A PILOT SPACING WHICH OPTIMIZES THE TRADE Od BETWEEN
IMPROVED CHANNEL ESTIMATION AND REDUCED 3.2 ON THE DATA SYMBOLS "Y VARYING THE
PILOT SPACINGS - AND - IT WAS FOUND THAT - AND - WAS CLOSE TO OPTIMAL IN
E S E S
TERMS OF "%2 4HE USED PILOT PATTERN IS SHOWN IN &IGURE 4HIS MEANS THAT
{ OF THE BANDWIDTH AND THE TRANSMITTED POWER IS USED FOR PILOTS .OTE THAT THE
CHANNEL IS OVERSAMPLED WHICH MEANS THAT LOW RANK ESTIMATORS CAN BE VERY EdECTIVE ;=
&IGURE 4HE PILOT PATTERN USED IN THE SYSTEM 0ILOT SYMBOLS ARE MARKED WITH GREY
SQUARES
)N OUR STUDY THE PILOT SYMBOLS HAVE THE SAME AVERAGE POWER AS THE DATA SYMBOLS
(OWEVER A TECHNIQUE CALLED BOOSTED PILOTS CAN ALSO BE USED WHICH IS PROPOSED FOR $6"
;= 4HIS MEANS THAT THE PILOT SYMBOLS ARE TRANSMITTED WITH A HIGHER AVERAGE POWER
THAN THE DATA SYMBOLS 4HE AVERAGE 3.2 ON THE DATA SYMBOLS IS REDUCED BUT THE CHANNEL
ESTIMATES ARE BETTER SINCE THE 3.2 AT THE PILOT SYMBOLS IS INCREASED 4HUS BY CHOOSING
A SUITABLE POWER LEVEL FOR THE PILOT SYMBOLS THE BIT ERROR RATE CAN BE DECREASED
%STIMATORS
)N /&$- SYSTEMS THE OPTIMAL LINEAR ESTIMATOR IN THE MEAN SQUARED ERROR SENSE IS A $
BOTH TIME AND FREQUENCY çLTER (OWEVER THE COMPLEXITY OF THIS ESTIMATOR IS USUALLY
TOO LARGE FOR IT TO BE OF PRACTICAL USE ! NUMBER OF SUBOPTIMAL LOW COMPLEXITY CHANNEL
ESTIMATORS HAVE BEEN SUGGESTED IN THE LITERATURE SEE EG ; = 7E WILL INVESTIGATE
TWO CLASSES OF ESTIMATORS DIMENSIONAL AND SEPARABLE 4HE USE OF SEPARABLE çLTERS IS
A COMMON METHOD TO REDUCE COMPLEXITY IN MULTIDIMENSIONAL SIGNAL PROCESSING ;= &OR
BOTH SEPARABLE AND NON SEPARABLE ESTIMATORS WE LOOK AT &)2 7IENER çLTERS AND LOW RANK
APPROXIMATIONS OF ,--3% ESTIMATORS 7E COMPARE ALL ESTIMATORSÚ PERFORMANCES FOR
TWO LEVELS OF COMPLEXITY 3INCE THEY ARE ALL LINEAR ESTIMATORS A REASONABLE MEASURE OF
COMPLEXITY IS THE AVERAGE NUMBER OF MULTIPLICATIONS PER ESTIMATED ATTENUATION
)N THE SEQUEL WE USE THE FOLLOWING NOTATION 4HE BACKROTATED OR LEASTÔSQUARES
ESTIMATED CHANNEL ATTENUATIONS AT PILOT POSITIONS ARE DENOTED BY
X
O
JK
W
JK
JK
WHERE X IS THE RECEIVED SIGNAL AT SUBCARRIER J IN /&$- SYMBOL K AND W IS THE CORRE
JK JK
SPONDING TRANSMITTED PILOT SYMBOL 4HE çNAL ESTIMATE OF THE CHANNEL ATTENUATIONS G JK
ARE LINEAR COMBINATIONS OF THE O ÚS WHERE THE COEbCIENTS ARE CHOSEN ACCORDING TO EACH
JK
&IGURE 4WO DIMENSIONAL &)2 7IENER çLTER 4HE ESTIMATED TONE b IS A LINEAR
COMBINATION OF THE PILOT TONES d
ESTIMATORÚS STRUCTURE "Y ARRANGING THE AVAILABLE ,3 ESTIMATES AT PILOT POSITIONS IN A

VECTOR O AND THE CHANNEL ATTENUATIONS TO BE ESTIMATED IN A VECTOR G THE LINEAR MINIMUM
MEAN SQUARED ERROR ESTIMATOR OF G IS ;=
B 1GO 1` O
G
OO
WHERE 1GO IS THE CROSS COVARIANCE MATRIX BETWEEN G AND O AND 1OO IS THE AUTO COVARIANCE
MATRIX OF O $EPENDING ON THE NUMBER OF PILOTS USED AND THEIR RELATIVE LOCATIONS THE
SIZE OF O AND THE CORRESPONDING AUTO COVARIANCE MATRIX 1OO WILL CHANGE !LSO DEPENDING
ON THE NUMBER OF ESTIMATED ATTENUATIONS THE SIZE OF G WILL CHANGE &URTHERMORE 1GO
DEPENDS ON THE RELATIVE POSITIONS BETWEEN ESTIMATED ATTENUATIONS AND THE USED PILOT
POSITIONS "ELOW WE ADDRESS SEVERAL CHOICES ON USED PILOTS AND ESTIMATED ATTENUATIONS
$ çLTERS
4HE $ 7IENER çLTER IS OPTIMAL IN TERMS OF -3% IF COMPLEXITY IS NOT CONSIDERED (OW
EVER FOR A çXED COMPLEXITY THE NUMBER OF çLTER TAPS THAT CAN BE USED IS QUITE SMALL 7E
USE THIS ESTIMATOR AS A REFERENCE AND INVESTIGATE A REDUCED COMPLEXITY ESTIMATOR WHICH
IS DERIVED USING THE THEORY OF OPTIMAL RANK REDUCTION ;=
$ ESTIMATOR
)F THE ALLOWED COMPLEXITY IS * MULTIPLICATIONS PER ATTENUATION THE TWO DIMENSIONAL çLTER
USES THE * PILOTS CLOSEST TO THE ESTIMATED ATTENUATION )N &IGURE WE DISPLAY AN
EXAMPLE OF THE SEVEN PILOT POSITIONS USED * TO ESTIMATE ONE CHANNEL ATTENUATION
&OR EVERY ESTIMATED CHANNEL ATTENUATION THERE IS A SET OF * ASSOCIATED PILOTS /PTIMAL
WEIGHTS ARE CALCULATED ACCORDING TO &OR THE ESTIMATOR WITH THE LOWER COMPLEXITY
WE WILL USE THE CLOSEST PILOTS AND FOR THE HIGHER COMPLEXITY THE CLOSEST
&IGURE 3TRUCTURE OF THE LOWÔRANK DIMENSIONAL ESTIMATOR 4HE TONES TO ESTIMATE
ARE MARKED WITH b AND THE PILOTS USED ARE MARKED WITH d
,OWÔRANK $ ESTIMATOR

4HE LOWÔRANK $ ESTIMATOR IS IN A SENSE AN APPROXIMATION OF THE OPTIMAL $ ESTIMATOR
IN THE PREVIOUS SECTION 4HE LOW COMPLEXITY IS ACHIEVED BY A GENERALIZATION OF THE IDEAS IN
;= 4O ALLOW A LOW RANK APPROXIMATION * ATTENUATIONS G ARE ESTIMATED SIMULTANEOUSLY
G
USING THE * CLOSEST PILOTS O )F THE ATTENUATIONS TO BE ESTIMATED AND THE PILOTS USED ARE
O
CHOSEN PROPERLY THE ESTIMATOR CAN BE WELL APPROXIMATED BY A LOW RANK ESTIMATOR THEREBY
REDUCING THE COMPLEXITY CONSIDERABLY WHILE MAINTAINING MOST OF THE PERFORMANCE .OTE
THAT THE ESTIMATED ATTENUATIONS CAN BE CHOSEN ARBITRARILY IN THE TIME FREQUENCY GRID )N
&IGURE AN EXAMPLE IS GIVEN FOR THE LOCATION OF ESTIMATED ATTENUATIONS * AND
G
THE USED PILOT SYMBOLS *

O
4HE ESTIMATOR BECOMES

B & O
G Q
WHERE & IS A LOW RANK 7IENER çLTER ;= &ROM THE SINGULAR VALUE DECOMPOSITION 36$
Q
`
1GO 1OO
4f5 '
WHERE 4 AND 5 ARE UNITARY MATRICES AND f IS A DIAGONAL MATRIX ;= THE LOW RANK 7IENER
çLTER IS DETERMINED BY ;=
& 4f 5 1OO
Q Q
`
'
WHERE f IS A * b * DIAGONAL MATRIX CONTAINING THE Q LARGEST SINGULAR VALUES 4HE

Q G O
COMPLEXITY OF THIS ESTIMATOR IS FOUND IN !PPENDIX ! TO BE

t u
*
Q

O
* G
MULTIPLICATIONS PER ESTIMATED ATTENUATION WHERE Q IS THE RANK OF THE ESTIMATOR NUMBER
OF SINGULAR VALUES USED * THE NUMBER OF PILOTS USED AND * THE NUMBER OF ATTENUATIONS
O G
TO BE ESTIMATED
&OR THE LOWER COMPLEXITY ESTIMATOR WE CHOSE * PILOTS IN THE TIME DIRECTION
O
AND IN THE FREQUENCY DIRECTION AND * ATTENUATIONS TO ESTIMATE IN THE TIME

G
DIRECTION AND IN THE FREQUENCY DIRECTION 4HE LATTER WERE PLACED IN THE MIDDLE OF THE
FORMER IN ORDER TO EXPLOIT AS MUCH CORRELATION AS POSSIBLE 7ITH A RANK OF Q THE
NUMBER OF MULTIPLICATIONS PER ATTENUATION IS ACCORDING TO %Q
t u

"

LOW
&OR THE HIGHER COMPLEXITY WE CHOSE PILOTS IN THE TIME DIRECTION AND IN THE
FREQUENCY DIRECTION AND ATTENUATIONS TO ESTIMATE IN THE TIME DIRECTION AND IN
THE FREQUENCY DIRECTION 4HE RANK USED WAS GIVING
t u

"

HIGH
MULTIPLICATIONS PER ATTENUATION
3EPARABLE çLTERS

3INCE $ çLTERS IN GENERAL TEND TO HAVE A LARGE COMPUTATIONAL COMPLEXITY THE OUTER
PRODUCT OF TWO $ çLTERS CAN GIVE A GOOD TRADE Od BETWEEN PERFORMANCE AND COMPLEX
ITY 4HIS IS A STANDARD TECHNIQUE IN MULTIDIMENSIONAL SIGNAL PROCESSING ;= AND IT HAS
ALSO BEEN PROPOSED FOR PILOT BASED CHANNEL ESTIMATION IN /&$- SYSTEMS ;= )N PILOT
BASED ESTIMATION SCHEMES THE MAJOR ADVANTAGE IS THE LOW NUMBER OF MULTIPLICATIONS PER
USED PILOT 4HIS ALLOWS THE ESTIMATOR TO BE BASED ON MORE PILOTS THUS IMPROVING THE
PERFORMANCE
"ASED ON THE PILOT PATTERN CHOSEN THE GENERAL CONCEPT USED IN THIS REPORT IS SHOWN
IN &IGURE WHERE A $ çLTER IS APPLIED IN THE FREQUENCY DIRECTION 4HEREAFTER A $
çLTER IS APPLIED IN THE TIME DIRECTION TO COMPLETE THE INTERPOLATION TO ALL POINTS IN THE
GRID
7E INVESTIGATE BOTH AN ESTIMATOR BASED ON THE PROPOSAL IN ;= AND A VARIANT THEREOF
WHICH ALLOWS THE USE OF MORE PILOTS BY A LOW RANK APPROXIMATION IN THE FREQUENCY DIREC
TION
3EPARABLE &)2 çLTERS

4HE USE OF SEPARATE $ &)2 çLTERS IN THE TIME AND FREQUENCY DIRECTIONS HAS BEEN PRO
POSED BY (¶HER IN ;= &IRST ALL ATTENUATIONS IN /&$- SYMBOLS CONTAINING PILOTS ARE
ESTIMATED 4HIS IS DONE WITH A &)2 7IENER çLTER OF LENGTH * 4WO ATTENUATIONS ON
E
DIdERENT POSITIONS RELATIVE TO THE PILOTS WILL NEED DIdERENT çLTERS SO THERE WILL BE - E
DIdERENT çLTERS FOR THIS ESTIMATION .OTE THAT THESE çLTERS ARE NON CAUSAL IN THE SENSE
THAT THEY WILL USE PILOTS ON BOTH SIDES OF THE ESTIMATED ATTENUATION IN ORDER TO EXPLOIT
THE CLOSEST PILOTS !FTER THIS PROCEDURE THERE WILL BE ESTIMATES OF ALL ATTENUATIONS IN EVERY
- /&$- SYMBOL &)2 7IENER çLTERS OF LENGTH * ARE NOW USED IN THE TIME DIRECTION TO
S
SG
S
OBTAIN ESTIMATES OF ALL ATTENUATIONS (ERE THERE WILL BE - ` DIdERENT çLTERS DEPENDING
S
&IGURE 3EPARABLE çLTER BASED ON ONE DIMENSIONAL çLTERS IN FREQUENCY AND TIME
DIRECTIONS &ILTERING IN THE FREQUENCY DIRECTION IS PERFORMED çRST
ON WHICH ATTENUATION IS ESTIMATED 4HESE çLTERS CAN BE NONCAUSAL WHICH WILL INTRODUCE
A DELAY IN THE SYSTEM )F THIS DELAY CANNOT BE ACCEPTED CAUSAL çLTERS MUST BE USED
4HE TOTAL NUMBER OF MULTIPLICATIONS PER ESTIMATED ATTENUATION IS
*

*
E
-
S
S
SINCE THE FREQUENCY DIRECTION çLTER HAS TO BE APPLIED IN ONLY ONE OUT OF EVERY - /&$-
S
SYMBOLS 4HIS FACT CAN BE USED IN THE DESIGN OF THE çLTERS SINCE THE FREQUENCY DIRECTION
çLTER TAPS ARE CHEAPER IN TERMS OF COMPLEXITY "Y REDUCING THE NUMBER OF TAPS IN THE TIME
DIRECTION çLTER BY ONE - TAPS CAN BE ADDED TO THE FREQUENCY DIRECTION çLTER WITHOUT
E
CHANGING THE TOTAL COMPLEXITY

&OR THE LOWER COMPLEXITY WE USED TAPS IN THE FREQUENCY çLTER AND TAPS IN THE TIME
çLTER 4HIS RESULTS IN

"

LOW
MULTIPLICATIONS PER ATTENUATION &OR THE HIGHER COMPLEXITY AND TAPS WERE USED FOR
THE FREQUENCY AND TIME çLTERS RESPECTIVELY 4HIS MEANS A COMPLEXITY OF

"

HIGH
,OW RANK SEPARABLE çLTER

"Y USING OBSERVATIONS FROM ;= WHERE LOW RANK APPROXIMATIONS OF CHANNEL ESTIMATORS ARE
PRESENTED WE REPLACE ONE OF THE &)2 çLTERS IN THE ESTIMATOR PROPOSED BY (¶HER )NSTEAD OF
&)2 7IENER çLTERS IN BOTH DIRECTIONS A LOW RANK APPROXIMATION OF THE FREQUENCY DIRECTION
,--3% ESTIMATOR IS USED IN COMBINATION WITH THE TIME DIRECTION &)2 çLTER (ENCE A
FREQUENCY DIRECTION çLTERING IS PERFORMED FOR EACH /&$- SYMBOL CONTAINING PILOTS !N
OBVIOUS WAY OF DOING THIS çLTERING IS TO ESTIMATE ALL ATTENUATIONS IN AN /&$- SYMBOL
USING ALL PILOTS (OWEVER WHEN USING ALL PILOTS THE COMPLEXITY REDUCTION IS NOT SO LARGE
THAT IT CAN COMPETE WITH A SHORT &)2 7IENER çLTER 4HE NUMBER OF MULTIPLICATIONS PER
ATTENUATION IS SEE !PPENDIX !
t u
*
Q

O
* G
WHERE Q IS RANK USED * AND * ARE THE NUMBER OF ATTENUATIONS TO ESTIMATE AND NUMBER
G O
OF PILOTS USED RESPECTIVELY 3INCE PILOTS FAR AWAY FROM THE ESTIMATED ATTENUATIONS ARE
WEAKLY CORRELATED THEY DO NOT CONTRIBUTE MUCH TO THE ESTIMATE "Y EXCLUDING THEM
THE COMPLEXITY GOES DOWN WHILE THE PERFORMANCE IS ALMOST THE SAME (ENCE THE /&$-
SYMBOL IS PARTITIONED INTO A NUMBER OF SUB SYMBOLS WHERE THE ATTENUATIONS ARE ESTIMATED
USING ONLY THE * PILOTS CLOSEST TO THE SUB SYMBOL CONSISTING OF * SUBCARRIERS ;= )N
O G
&IGURE AN EXAMPLE IS SHOWN FOR * CHANNEL ATTENUATIONS AND * PILOTS

G O
,OW RANK APPROXIMATIONS CAN BE DONE FOR THE TIME DIRECTION çLTERING AS WELL BUT IN THIS
REPORT WE HAVE CHOSEN TO USE AN &)2 çLTER INSTEAD
&IGURE 3TRUCTURE OF THE LOWÔRANK ESTIMATOR IN THE FREQUENCY DIRECTION 4HE * G
ATTENUATIONS TO ESTIMATE ARE MARKED WITH b AND THE * PILOT SYMBOLS USED ARE
O
MARKED WITH d
7E CHOSE FOR THE LOWER COMPLEXITY TO ESTIMATE ATTENUATIONS IN THE FREQUENCY

DIRECTION USING PILOTS AND A RANK OF 4HIS RESULTS IN
MULTIPLICATIONS
PER ATTENUATION IN THE FREQUENCY DIRECTION #OMBINED WITH A TAP TIME çLTER THIS GIVES
A TOTAL OF

"

LOW
MULTIPLICATIONS PER ATTENUATION &OR THE HIGHER COMPLEXITY WE USED PILOTS TO ESTIMATE
ATTENUATIONS WITH A RANK OF 4OGETHER WITH A TIME çLTER WITH TAPS THIS GIVES
` a

"

HIGH

4HE FOUR INVESTIGATED ESTIMATORS ARE SUMMARIZED IN 4ABLE
#OMPLEXITY AND USED PILOTS

3INCE ALL ESTIMATORS ARE LINEAR THE CHANNEL ESTIMATES ARE LINEAR COMBINATIONS OF A NUMBER
OF PILOTS 4HE NUMBER OF PILOTS USED DEPENDS ON THE COMPLEXITY AND THE TYPE OF ESTIMATOR
%STIMATOR 3TRUCTURE MULTATT PILOTS

$ 5SES THE * CLOSEST PILOTS
O
r * sO * O
,OW RANK $ %STIMATES * ATTENUATIONS USING

G Q
*O
*G
* O
* PILOTS AND A RANK OF Q

O
3EPARABLE 3EPARABLE &)2 çLTER WITH *

* * *
*E
E -S S E S
FREQUENCY AND * TIME TAPS

S
r s
,OW RANK %STIMATES * ATTENUATIONS USING
G
Q
-S

*O
*G

*S * *
O S
SEPARABLE * PILOTS AND A RANK OF Q FREQUENCY

O
AND * TAPS &)2 çLTER TIME

S
4ABLE 4HE FOUR CHANNEL ESTIMATORS INVESTIGATED IN THIS REPORT
4HE AVERAGE NUMBER OF MULTIPLICATIONS PER ATTENUATION AND THE NUMBER OF PILOTS THE
ESTIMATORS ARE BASED ON ARE SHOWN IN 4ABLE 4HE ESTIMATORS USE THE PARAMETERS
DESCRIBED IN THE PREVIOUS SECTION !S CAN BE SEEN IN THE TABLE FOR A çXED COMPLEXITY
THE NUMBER OF PILOTS USED IN THE ESTIMATES CAN BE INCREASED BY POSING RESTRICTIONS ON THE
ESTIMATORS SUCH AS SEPARABILITY AND LOW RANK (OWEVER BECAUSE A LARGE NUMBER OF PILOTS
ARE USED MANY WILL BE ONLY WEAKLY CORRELATED WITH THE ESTIMATED CHANNEL ATTENUATIONS
AND WILL NOT THEREFORE CONTRIBUTE MUCH 4HUS CONSIDERING CORRELATION MISMATCH IN THE
DESIGN THE ESTIMATION MAY ACTUALLY BE DEGRADED BY INCREASING THE NUMBER OF USED PILOTS
4HE MAIN ADVANTAGE OF USING MANY PILOTS IS THAT THE IMPACT OF THE CHANNEL NOISE IS
REDUCED BY A LARGE AVERAGING
$ESIGN ASPECTS

)N ORDER TO MAKE THE CHANNEL ESTIMATORS ATTRACTIVE TO IMPLEMENT WE ASSUME THAT THEY
ARE çXED IE DESIGNED FOR BOTH A çXED CHANNEL CORRELATION AND A çXED 3.2
4HE FREQUENCY CORRELATION IS DETERMINED BY THE POWER DELAY PROçLE OF THE CHANNEL
;= AND THE TIME CORRELATION IS DETERMINED BY THE $OPPLER FREQUENCY ;= .EITHER THE
POWER DELAY PROçLE NOR THE $OPPLER FREQUENCY ARE KNOWN BY THE RECEIVER 5SING OUR
CHANNEL MODEL WE DESIGN THE ESTIMATORS FOR A MAXIMUM RELATIVE $OPPLER FREQUENCY OF
AND A UNIFORM POWER DELAY PROçLE OVER THE LENGTH OF THE CYCLIC PREçX 4HE USE OF THESE
WORST CASE PARAMETERS FOLLOWS THE RECOMMENDATIONS IN ;= WHERE PILOT SYMBOL ASSISTED
%STIMATOR ,OW COMPLEXITY (IGH COMPLEXITY

MULTATT PILOTS MULTATT PILOTS
$
,OW RANK $
3EPARABLE &)2
,OW RANK SEPARABLE
4ABLE !VERAGE NUMBER OF MULTIPLICATIONS PER TONE AND THE NUMBER OF PILOTS THE
ESTIMATORS ARE BASED ON
0ARAMETER 4RUE $ESIGN

.O OF SUBCARRIERS
4IME DISPERSION
| xS `
| xS
"D ~ xR
~ 3 3 ~ 3
0OWER DELAY PROçLE BO BO BO
OTHERWISE OTHERWISE
-AX REL $OPPLER FREQUENCY
3.2 6ARYING D"
4ABLE $ESIGN AND TRUE VALUES OF SYSTEM PARAMETERS 4HE CONSTANT " IS A NORMALIZA
TION FACTOR
MODULATION IS ANALYZED &OR THE DETERMINATION OF THE CORRELATION MATRICES SEE !PPENDIX
" #ONTRARY TO THE WORST CASE RECOMMENDATIONS FOR çXED DESIGN CORRELATIONS THE çXED
DESIGN 3.2 SHOULD BE CHOSEN TO A BEST CASE 4HIS IMPLIES A CLOSE TO OPTIMAL PERFORMANCE
FOR 3.2S BELOW THE DESIGN 3.2 WHERE THE EdECTS OF 3.2 MISMATCH ARE SMALL COMPARED
TO THE OVERALL NOISE LEVEL 7E HAVE CHOSEN THE DESIGN 3.2 TO D"
7E EVALUATE THE ESTIMATORS UNDER MISMATCH IE THEY ARE DESIGNED FOR THE WRONG
CHANNEL CORRELATION AND 3.2 0ARAMETERS FOR THE DESIGN AND THE TRUE VALUES OF THE CHANNEL
STATISTICS ARE SHOWN BELOW IN 4ABLE .OTE THAT THERE IS NO MISMATCH IN $OPPLER
FREQUENCY 'IVEN THE DESIGN FOR RELATIVE $OPPLER FREQUENCY THE PERFORMANCE IS
APPROXIMATELY THE SAME FOR E #MAX v ;= 4HE 3.2 IS DEçNED AS THE TRANSMITTED
ENERGY PER DATA BIT OVER THE CHANNEL NOISE VARIANCE
h i h i
$ JG J $ JW J
J J
2- 1 h i a
$ JM J
J
A
WHERE A DENOTES THE NUMBER OF INFORMATION BITSSYMBOL )N OUR CASE WE HAVE A
0ERFORMANCE EVALUATION

7E EVALUATE THE PERFORMANCE OF THE FOUR INVESTIGATED ESTIMATORS BOTH IN TERMS OF MEAN
SQUARED ERROR -3% AND CODED BIT ERROR RATE "%2 4HE -3% IS THEORETICALLY CALCULATED
WHILE THE "%2 IS SIMULATED 4O SIMPLIFY THE -3% CALCULATIONS WE IGNORE EDGE EdECTS IN
THE TIME FREQUENCY GRID AND ASSUME THAT IT IS OF INçNITE EXTENT &OR A SYSTEM WHERE THE
NUMBER OF SUBCARRIERS IS MUCH LARGER THAN THE LENGTH OF THE ESTIMATOR THESE EdECTS CAN
BE IGNORED
-EAN SQUARED ERROR

3INCE ALL ESTIMATORS ARE LINEAR THEY CAN BE EXPRESSED AS
B &O
G
BY COLLECTING ALL USED PILOTS IN A VECTOR O AND CALCULATING THE CORRESPONDING ESTIMATOR
MATRIX & 4HE COVARIANCE MATRIX OF THE ERROR D G ` G B CAN BE EXPRESSED AS ;=
1DD 1GG ` 1GO & ` &1GO

&1OO &
' ' '

&OR ALL ESTIMATORS THERE WILL BE DIdERENT MEAN SQUARED ERRORS DEPENDING ON THE ESTIMATED
ATTENUATION )N ORDER TO COMPARE THE ESTIMATORS WE ONLY LOOK AT THE AVERAGE ERROR OVER
ALL ATTENUATIONS IE
8
*G

-3% 1DD M M TR 1DD
* G
M
* G
WHERE * IS THE NUMBER OF ESTIMATED ATTENUATIONS AND ÚTRÚ DENOTES THE TRACE OF A MATRIX
G
;=
)N &IGURE THE -3% FOR THE ESTIMATORS WITH THE LOWER COMPLEXITY LEVEL ARE SHOWN
AS A FUNCTION OF 3.2 )T SHOULD BE NOTED THAT THE NON SEPARABLE ESTIMATORS HAVE AN ERROR
âOOR THAT IS ALREADY VISIBLE AT LOW 3.2 &OR THE SEPARABLE ESTIMATORS THE ERROR CURVES LEVEL
OUT FOR VERY HIGH 3.2S BUT THIS ERROR âOOR IS HARDLY NOTICEABLE IN THE çGURE "ECAUSE
THERE WILL ALWAYS BE AN INTERPOLATION ERROR EVEN IN THE NOISELESS CASE ALL THE ESTIMATORS
HAVE AN ERROR âOOR 4HIS IS DUE TO çNITE çLTER LENGTHS &OR 2-1 D" THE LOW RANK
SEPARABLE ESTIMATOR IS D" BETTER THAN SEPARABLE &)2 çLTERS
4HE -3% CURVES FOR THE HIGHER COMPLEXITY ARE SHOWN IN &IGURE 4HE ERROR âOORS
HAVE NOW BEEN LOWERED AND ARE ONLY NOTICEABLE FOR THE $ ESTIMATOR .OTE ALSO THAT
THE MUTUAL ORDERING IS THE SAME AS FOR THE LOWER COMPLEXITY IE THE LOW RANK SEPARABLE
ESTIMATOR IS THE BEST AND THE $ ESTIMATOR IS THE WORST 4HE DIdERENCE BETWEEN THE LOW
RANK SEPARABLE ESTIMATOR AND SEPARABLE &)2 çLTERS IS NOW ABOUT D" )N BOTH &IGURES
AND IT CAN BE SEEN THAT SEPARABLE ESTIMATORS PERFORM BETTER THAN NON SEPARABLE
4HIS WAS NOTED IN ;= WHERE IT WAS ARGUED THAT SEPARABLE ESTIMATORS PROVIDE A GOOD
TRADE Od BETWEEN COMPLEXITY AND PERFORMANCE
"IT ERROR RATE

4HE ESTIMATORS HAVE BEEN SIMULATED IN THE CODED SYSTEM )N &IGURE THE CODED "%2 IS
SHOWN FOR THE ESTIMATORS WITH THE LOWER COMPLEXITY { MULTIPLICATIONS PER ATTENUATION
!S A REFERENCE A SYSTEM WITH PERFECT KNOWLEDGE OF THE CHANNEL AT THE RECEIVER IS INCLUDED
!S OBSERVED ABOVE ALL ESTIMATORS SUdER FROM AN ERROR âOOR WHICH APPEARS DUE TO THE
INTERPOLATION )N &IGURE THIS IS ONLY NOTICEABLE FOR THE $ ESTIMATOR 4HE OTHER
ESTIMATORS DO NOT HAVE THIS DRAWBACK FOR 2-1 D" AND THEY PERFORM BETTER )T IS
ALSO NOTICEABLE THAT ESTIMATORS THAT PERFORM WELL IN TERMS OF -3% ALSO HAVE A LOW "%2
WHICH IS EXPECTED 4HE BEST ESTIMATOR IS THE LOW RANK SEPARABLE ESTIMATOR WHICH IS ONLY
ABOUT D" WORSE THAN KNOWN CHANNEL AND D" BETTER THAN SEPARABLE &)2 çLTERS
.OTE THAT FOR -3% THIS LATTER DIdERENCE WAS D"
)N &IGURE THE "%2 CURVES FOR THE ESTIMATORS WITH THE HIGHER COMPLEXITY ARE
SHOWN !GAIN THE "%2 WITH KNOWN CHANNEL IS INCLUDED AS A REFERENCE
4HE LOW RANK SEPARABLE ESTIMATOR IS NOW ONLY D" AWAY FROM KNOWN CHANNEL AND
STILL ABOUT D" BETTER THAN SEPARABLE &)2 çLTERS )N THIS çGURE WE NOTE THAT THE PER
FORMANCE OF ALL ESTIMATORS HAS INCREASED BUT THE ORDERING BETWEEN THEM IS NOT CHANGED
IE THE LOW RANK SEPARABLE ESTIMATOR IS THE BEST AND THE $ IS THE WORST 4HE INVESTIGA
TION HERE SUGGESTS THAT THIS HOLDS FOR MOST COMPLEXITY LEVELS (OWEVER FOR OTHER TYPES OF
&IGURE -EAN SQUARED ERROR RELATIVE TO CHANNEL POWER FOR THE FOUR ANALYSED ESTIMA
TORS WITH THE LOWER COMPLEXITY MULTIPLICATIONS PER TONE
&IGURE -EAN SQUARED ERROR RELATIVE TO THE CHANNEL POWER FOR THE FOUR ANALYSED
ESTIMATORS WITH THE HIGHER COMPLEXITY MULTIPLICATIONS PER TONE
&IGURE #ODED BIT ERROR RATE WITH THE LOW COMPLEXITY ESTIMATORS
&IGURE #ODED BIT ERROR RATE WITH THE HIGH COMPLEXITY ESTIMATORS
CHANNELS AND SCENARIOS SUCH AS THE UPLINK ANOTHER ESTIMATOR MIGHT BE BETTER 3EPARATE
STUDIES ARE REQUIRED FOR THESE CIRCUMSTANCES
&INALLY THE TWO LEVELS OF COMPLEXITY FOR THE LOW RANK SEPARABLE ESTIMATOR WHICH WAS
SHOWN TO BE THE BEST ARE COMPARED TO KNOWN CHANNEL )N &IGURE IT CAN BE SEEN
THAT THE LOW AND HIGH COMPLEXITY ESTIMATORS ARE ABOUT D" AND D" AWAY FROM
KNOWN CHANNEL RESPECTIVELY 4HE "%2 WILL DECREASE WITH INCREASING COMPLEXITY BUT TO
&IGURE "%2 OF KNOWN CHANNEL AND THE SEPARABLE LOW RANK ESTIMATOR OF LOW COM
PLEXITY MULTATT AND HIGH COMPLEXITY MULTATT
GET REALLY CLOSE TO THE PERFORMANCE OF KNOWN CHANNEL A VERY HIGH COMPLEXITY IS NEEDED
4HIS PROMPTS AN ANALYSIS OF THE TRADE Od BETWEEN COMPLEXITY AND PERFORMANCE BUT THIS
IS BEYOND THE SCOPE OF THIS REPORT
#ONCLUSIONS
)N THIS REPORT WE HAVE INVESTIGATED FOUR /&$- CHANNEL ESTIMATORS SUITABLE FOR BROAD
CASTING OR FOR THE DOWNLINK IN A MULTIUSER SYSTEM 4HE ESTIMATORS USE PILOTS IE KNOWN
SYMBOLS TRANSMITTED IN CERTAIN POSITIONS IN THE TIME FREQUENCY GRID OF /&$- 4WO CLASSES
OF ESTIMATORS DIMENSIONAL AND SEPARABLE WERE INVESTIGATED 7ITHIN EACH CLASS WE COM
PARED AN &)2 7IENER çLTER WITH A LOW RANK ,--3% ESTIMATOR 4HROUGH ANALYTICAL CAL
CULATIONS OF THE -3% AND SIMULATION OF THE CODED "%2 IT WAS FOUND THAT THE SEPARABLE
ESTIMATORS WERE THE BEST FOR A çXED COMPLEXITY 7ITHIN THE CLASS OF SEPARABLE ESTIMATORS
THE LOW RANK ESTIMATOR WAS SHOWN TO BE ABOUT D" BETTER THAN THE &)2 ESTIMATOR FOR
THE CODED "%2 4WO LEVELS OF COMPLEXITIES WERE INVESTIGATED AND MULTIPLICATIONS
PER ESTIMATED ATTENUATION AND IT WAS FOUND THAT FOR THE CODED "%2 THE FORMER IS D"
FROM KNOWN CHANNEL AND THE LATTER D" ! NATURAL CONTINUATION OF THIS INVESTIGATION
OF CHANNEL ESTIMATION IN /&$- SYSTEMS IS A MORE COMPREHENSIVE STUDY OF THE TRADE Od

BETWEEN COMPLEXITY AND PERFORMANCE
7E HAVE USED A PILOT PATTERN WHERE OF THE TRANSMITTED SYMBOLS ARE KNOWN 4HIS
PILOT PATTERN IS SUbCIENT TO OBTAIN GOOD ESTIMATIONS OF THE CHANNEL ATTENUATIONS WHILE
INTRODUCING ONLY A SMALL OVERHEAD 7E HAVE ASSUMED THAT THE RECEIVER CAN USE ALL PILOT
SYMBOLS THAT ARE TRANSMITTED 'ENERALLY THIS IS NOT THE CASE IN THE UPLINK IN A MULTIUSER
SYSTEM WHERE THE CHANNEL ESTIMATION CAN BE BASED ONLY ON PILOTS TRANSMITTED BY A SINGLE
USER (ENCE FOR THE UPLINK A SEPARATE STUDY MUST BE MADE TO INVESTIGATE THE PERFORMANCE
OF THE CHANNEL ESTIMATORS
! #OMPLEXITY OF LOW RANK ESTIMATORS

4HE LOW RANK $ ESTIMATOR CAN BE FORMULATED AS
8 Q
8Q
B& O
G Q F F O
J
'
HF OI F
J J
J
J J
SINCE & IS A RANK Q MATRIX 4HE INNER PRODUCTS HF OI REQUIRE * MULTIPLICATIONS EACH
Q J O
IE A TOTAL OF Q* MULTIPLICATIONS 4HE LINEAR COMBINATION IS OVER Q VECTORS OF LENGTH *

O G
IE REQUIRES Q* MULTIPLICATIONS 3INCE * ATTENUATIONS ARE SIMULTANEOUSLY ESTIMATED

G G
THE NUMBER OF MULTIPLICATIONS PER ATTENUATION BECOMES

t u
Q*
Q* *
Q

O G O
* G * G
" #ORRELATION MATRICES

4HE AUTO CORRELATION OF THE CHANNEL MODEL IS
1 aE aS $ F& E S &c E ` aE S ` aSG

&&
8 ` ` ` D` ` `
,
%#M S aS
$ D D I tM t M I { %#M S I { E ~ M E aE ~ M

, MM

3INCE ALL RANDOM VARIABLES ARE INDEPENDENT WE HAVE
8 h i h ` a i
,
1 aE aS $ D a
$ D I {%#M S I { E~M
,
&&
h i h ` a i
M
$ D a
$ D
I {%#M
1 aE 1 aS
S I { E~M
E S
IE THE CHANNEL CORRELATION IS SEPARABLE 4HE EXPECTATIONS CAN BE FOUND FROM STANDARD
&OURIER TRANSFORMS ;=
h i
1 aS $ D
S
a
I {%#M
) {%
S
aS #MAX
` ` a
h ` a i `D RM S
a 3BO ~ I { E
1 aE $ D
` D`
I { E~M
RM S
I{aE~
E
3BO ~
RMS
WHERE ) a IS THE ZEROTH ORDER "ESSEL FUNCTION OF THE çRST KIND .OTE THAT THE CORRELATION
FUNCTION FOR THE UNIFORM POWER DELAY PROçLE CAN BE OBTAINED BY LETTING ~ RMS
` D` a I { E 3BO
1 UNIFORM
aE
E
I{aE 3 BO
4HE CORRELATION BETWEEN CHANNEL ATTENUATIONS SEPARATED BY J SUBCARRIERS AND K /&$-

SYMBOLS IS h i
$ G Gc ` ` Q J Q K
J K J JK K E K
WHERE
a `
` D` ERM S

t u
J + ~ I {J-
` D` ERM S
I{JE
Q J 1
-3 ~ -
E E
+~
tR
t u u RMS
+
Q K 1 K -
+ 3 ) {E
K
-
S S R #MAX
AND E~RMS ~ 3 IS THE 2-3 SPREAD RELATIVE TO THE SAMPLING INTERVAL 3INCE THE ,3
RMS R
ESTIMATES AT PILOT POSITIONS ARE

X M
O G

JK JK
W W
JK JK
JK JK
THE CROSS CORRELATION AND THE AUTO CORRELATION ARE

h i
$ G OcJK Q J ` J Q K ` K
J K E S
| }
h c i p J ` J K ` K

$ O O JK Q J ` J Q K ` K
} $
J K E

S
JW J
M
J
5SING THESE FUNCTIONS THE AUTO CORRELATION 1 OO AND THE CROSS CORRELATION 1 GO CAN BE
CALCULATED
0ART
#OMBINED LINEAR 6ITERBI EQUALIZERS Ô
! COMPARATIVE STUDY AND A MINIMAX
DESIGN
!BSTRACT Ô #OMBINED LINEAR 6ITERBI EQUALIZER #,6% IS A TERM OFTEN USED FOR A CLASS OF DIGITAL
RECEIVERS REDUCING THE COMPLEXITY OF THE 6ITERBI DETECTOR BY ASSUMING AN APPROXIMATE
CHANNEL MODEL TOGETHER WITH LINEAR PRE EQUALIZATION OF THE RECEIVED DATA
7E RECONSIDER A WEIGHTED LEAST SQUARES DESIGN TECHNIQUE FOR #,6%S BY INTRODUCING
A MINIMAX CRITERION FOR SUPPRESSING THE STRONGEST COMPONENT OF THE RESIDUAL INTERSYMBOL
INTERFERENCE 0REVIOUSLY IN ;= WE HAVE STUDIED THE PERFORMANCE OF SOME PROPOSED #,6%
DESIGN METHODS AND EVALUATED THEM BY SIMULATED BIT ERROR RATES (ERE WE INVESTIGATE THE
PERFORMANCE OF THE MINIMAX DESIGN AND OF THE #,6% DESIGNS FOUND IN LITERATURE ;
= FOR TWO '3- TEST CHANNELS
7E ALSO PRESENT A COMPARISON OF THE #,6% DESIGNS BASED ON A COMMON QUADRATIC
OPTIMIZATION CRITERION FOR THE SELECTION OF THE CHANNEL PREçLTER AND THE DESIRED IMPULSE
RESPONSE

. 3UNDSTR¶M / %DFORS 0 DLING ( %RIKSSON 0 / "¶RJESSON AND 4 +OSKI #OMBINED LINEAR
6ITERBI EQUALIZERS Ô ! COMPARATIVE STUDY AND A MINIMAX DESIGN )N 0ROC )%%% 6EHIC 4ECHNOL #ONF
PAGES Ô 3TOCKHOLM 3WEDEN *UNE

#OMBINED LINEAR 6ITERBI EQUALIZERS
)NTRODUCTION
4HE -AXIMUM ,IKELIHOOD 3EQUENCE $ETECTOR -,3$ IS A PROCEDURE FOR ESTIMATING A
SEQUENCE OF BITS FROM A SEQUENCE OF CHANNEL OUTPUT OBSERVABLES GIVEN A MODEL OF THE
COMMUNICATION SYSTEM )N THE PRESENCE OF INTERSYMBOL INTERFERENCE )3) THE 6ITERBI
ALGORITHM 6! PROVIDES AN EbCIENT WAY OF COMPUTING THE -,3$ ; = (OWEVER
THE 6! STILL BECOMES IMPRACTICAL WHEN THE TIME SPREAD OF THE )3) IS LARGE BECAUSE OF THE
EXPONENTIAL RELATION BETWEEN )3) TIME SPREAD AND 6! COMPLEXITY
4HE COMPLEXITY OF A 6ITERBI DETECTOR CAN BE REDUCED BY GIVING THE 6! AN APPROXIMATE
CHANNEL MODEL WITH A SHORTER TIME SPREAD THAN THAT OF THE ORIGINAL CHANNEL 4HE CLASS OF
RECEIVERS EMPLOYING THIS TECHNIQUE TOGETHER WITH LINEAR PRE EQUALIZATION OF THE RECEIVED
DATA ARE OFTEN REFERRED TO AS COMBINED LINEAR 6ITERBI EQUALIZERS #,6%S SEE ;
= /THER CLASSES OF RECEIVERS ADDRESSING THE SAME COMPLEXITY PROBLEM CAN BE
FOUND IN EG ; = )N THIS PAPER WE FOCUS ON #,6%S
7HEN DESIGNING #,6%S IT IS OFTEN DESIRABLE TO MINIMIZE THE BIT ERROR RATE OF THE
RECEIVER 4HE BIT ERROR PROBABILITY DEPENDS ON THE DESIGN PARAMETERS SUCH AS THE CHANNEL
MODEL AND THE IMPULSE RESPONSE OF THE PREçLTER IN A COMPLICATED AND NON LINEAR WAY
4HE PRE çLTERING OF THE RECEIVED DATA PERTURBS THE SIGNAL SPACE AND COLOURS THE CHANNEL
NOISE )GNORING THIS COLOURING OR GIVING THE 6! AN APPROXIMATE CHANNEL MODEL RESULT IN A
DISPLACEMENT OF THE DECISION REGIONS FROM THEIR OPTIMAL LOCATIONS CF THE RESIDUAL )3) IN
;= )NSTEAD OF USING THE BIT ERROR RATE AS A DESIGN CRITERION OTHER MORE FEASIBLE CRITERIA
ARE USED IN #,6% DESIGN METHODS ; =
)N THIS PAPER WE INVESTIGATE THE PERFORMANCE OF A MINIMAX #,6% DESIGN 4HREE OTHER
PRINCIPAL TECHNIQUES FOR DESIGNING #,6%S ; = ARE ALSO OVERVIEWED AND COMPARED
4HE TRANSMISSION SYSTEM MODEL

! CONTINUOUS TIME MODEL OF A TRANSMISSION SYSTEM AS DESCRIBED IN ;= MAY WITHOUT
INFORMATION LOSS BE REPRESENTED BY A DISCRETE TIME MODEL AS IN &IG
ni
y
i
bi h Σ Recei-
ver
&IGURE $ISCRETE TRANSMISSION SYSTEM MODEL
)N BLOCK TRANSMISSION SYSTEMS BLOCKS OF INFORMATION ARE TRANSMITTED SO THAT THE DE

CODING CAN BE PERFORMED INDEPENDENTLY ON EACH BLOCK SEE EG ;= &OR SUCH SYSTEMS IT
IS CONVENIENT TO USE THE MATRIX FORMALISM ;=
X 'A
M
WHERE THE TRANSMITTED MESSAGE IS CODED ANTIPODALLY IN A F`

G AND THE CHANNEL -
OBSERVABLES ARE X 2
` 4HE TIME INVARIANT CHANNEL IMPULSE RESPONSE IE THE )3)
- +
COEbCIENTS IS REPRESENTED BY A 4OEPLITZ BAND MATRIX ' )T IS A KNOWN -

+ ` b -
MATRIX WITH THE IMPULSE RESPONSE G OF LENGTH + IN ITS COLUMNS ARRANGED SO THAT MATRIX
MULTIPLICATION CORRESPONDS TO CONVOLUTION 4HE NOISE VECTOR M 2
` IS A JOINTLY - +
'AUSSIAN ZERO MEAN RANDOM VECTOR WITH A - 1 DISTRIBUTION WHERE 1 DENOTES THE
M M
NOISE COVARIANCE MATRIX
#,6% DESIGN

4HE PERFORMANCE EVALUATION OF THE #,6%S IN THIS PAPER IS PERFORMED ON BLOCK TRANSMIS
SION SYSTEMS BUT HISTORICALLY THE DESIGN METHODS HAVE FOCUSED ON CONTINUOUS TRANSMISSION
SYSTEMS AND 6!S WITH INçNITE HORIZON IE FA G` 4O RELATE TO EXISTING METHODS WE
H H
HAVE CHOSEN TO CONçNE THE DEVELOPMENT OF THE MINIMAX DESIGN TO A CRITERION BASED ON SE
QUENCES OF INçNITE LENGTH 3OME REMARKS ON #,6% DESIGN FOR BLOCK TRANSMISSION SYSTEMS
CAN BE FOUND IN SECTION
! DESIGN MODEL IS PRESENTED IN &IG CF ;= WHERE P IS THE DESIRED IMPULSE RESPONSE
$)2 IE THE CHANNEL MODEL GIVEN TO THE 6! )F THE TIME DELAY MODELLED BY THE çLTER C
IS ZERO THE SYSTEM IS EQUIVALENT TO THE ONE FOUND IN ;= 3INCE THIS PAPER ONLY CONSIDERS
CAUSAL CHANNEL IMPULSE RESPONSES THE INTRODUCTION OF THE TIME DELAY OdERS THE POSSIBILITY
OF PLACING THE ENERGY OF THE $)2 IN AN ARBITRARY POSITION 4HIS POSSIBILITY IS ACCOUNTED
FOR IN ; = BY ALLOWING THE CHANNEL IMPULSE RESPONSE ANTI CAUSAL COMPONENTS
ni
yi To VA
h Σ p
–
bi Σ εi
+
d q
&IGURE $ISCRETE DESIGN MODEL FOR INçNITE SEQUENCES
4HE ERROR IN &IG CAN BE EXPRESSED AS

H
:A c G c O ` C c P
M c O<
H H
WHERE c DENOTES CONVOLUTION "Y USING KWK, W ,W THE VARIANCE OF IS GIVEN BY

3
H
h i
$ K'O ` #PK1
KOK1
H A
M
WHERE O AND P ARE VECTORS CONTAINING THE IMPULSE RESPONSE OF THE PREçLTER O AND THE $)2
P RESPECTIVELY AND 1 AND 1 ARE COVARIANCE MATRICES FOR THE TRANSMITTED SEQUENCE A
A M
AND THE NOISE M ' AND # ARE 4OEPLITZ BAND MATRICES SUCH THAT THE MULTIPLICATIONS 'O
AND #P DESCRIBE CONVOLUTION 3INCE THE LENGTH OF G c O IS GREATER THAN THE LENGTH OF C c P
THE SUBTRACTION 'O ` #P IN NECESSITATES THAT THE SIZE OF # IS CHOSEN SUCH THAT THE
DIMENSIONS AGREE 4HE RESIDUAL )3) IS DEçNED BY THIS DIdERENCE AS
RESIDUAL )3) 'O ` #P
IE AS THE )3) THAT IS NOT ACCOUNTED FOR IN THE 6! CF ;=
! SELECTION OF PREçLTER DESIGNS

)N THIS SECTION WE COMPARE DESIGN METHODS FOR O AND P 4HE METHODS ARE DUE TO &ALCONER
AND -AGEE ;= &REDRICSSON ;= AND DLING ET AL ;= WHERE THE LAST ONE IS A WEIGHTED
LEAST SQUARES METHOD INSPIRED BY ;=
"Y INTRODUCING A WEIGHTING MATRIX 6 IN SELECTIVE WEIGHTING OF THE RESIDUAL )3)
BECOMES POSSIBLE 4HIS IS USED TO FORMULATE THE DESIGN CRITERION
) O P K6'O ` #PK1

KOK1 A M

)N THE SEQUEL BOTH THE CHANNEL INPUT AND THE CHANNEL NOISE ARE ASSUMED WHITE AND
STATIONARY HENCE 1 ( AND 1 } ( #OMPLETING THE SQUARE IN GIVES
A M M
)O P KO ` O K

KPK! N
WHERE
' 6 6'
} (
3 3
! # 6 ( ` 6' ` ' 6 6#

3
` 3
a M
3 3
O `' 3
6 6#P
3
)N THE PRESENCE OF NOISE THE MATRICES AND ! ARE POSITIVE DEçNITE SO THE MINIMUM OF
WITH RESPECT TO O IS OBTAINED IF
O O `'
3
6 6#P
3

WITH A RESIDUAL ERROR OF KPK!

4HE MOST STRAIGHTFORWARD DESIGN APPROACH IS TO ASSUME 6 ( IE A UNIFORM WEIGHT
ING OF THE RESIDUAL )3) AND TO çND THE GLOBAL MINIMUM OF BY USING IN COMBI
NATION WITH çNDING A P THAT MINIMIZES KPK! UNDER SOME CONSTRAINT EG KPK 4HIS
IS DONE BY &ALCONER AND -AGEE IN ;= WHERE THE PREçLTER OBTAINED IS
O %, `' 3
#P %,

AND THE $)2

P THE NORMALIZED EIGENVECTOR CORRESPONDING
%,

TO THE SMALLEST EIGENVALUE OF !
4HERE ARE OTHER METHODS THAT DO NOT MINIMIZE BUT STILL OFTEN RENDER A LOWER
PROBABILITY OF BIT ERROR THAN THE METHOD ABOVE /NE SUCH METHOD WAS PRESENTED BY
&REDRICSSON IN ;= &OR THE PURPOSE OF PRESERVING THE SIMILARITY TO THE EXPRESSIONS IN THE
ORIGINAL REFERENCE WE PRESENT HIS RESULT IN THE &OURIER DOMAIN
0 E' c E
/ E
%
J'E J
}
%
M
AND
J'E J
}
J0 E J M

}
%
M
%QUATION CORRESPONDS TO OF &ALCONER AND -AGEE 4HE $)2 HOWEVER IS
DETERMINED BY SPECTRUM MATCHING THE LEFT HAND SIDE TO THE RIGHT HAND SIDE OF EQUATION
GIVEN A LENGTH CONSTRAINT ON P 4HIS MATCHING WAS ADDRESSED BY "EARE IN ;=
WHERE AN ADAPTIVE ALGORITHM WAS PRESENTED
! WEIGHTED LEAST SQUARES 7,3 DESIGN APPROACH FOR O AND P WAS PRESENTED BY DLING
ET AL IN ;= 4HE $)2 IN THIS DESIGN METHOD IS ASSIGNED AN EXACT COPY OF THE CORRE
SPONDING POSITIONS OF 'O THUS GIVING THE 6! A CORRECT CHANNEL MODEL FOR THOSE POSITIONS
IE
P # 'O
6 +2 3
6 +2

4HE PREçLTER O 6 +2 IS CHOSEN BY MODIFYING TO
O `'
3
P
6 6# 3

P
6 +2
K
WHERE THE POSITION K IS CHOSEN AS A SUITABLE INDEX IN P "Y CHOOSING THE WEIGHTING
6 +2
MATRIX IN AS
6 CH@F a a a a a a a a a a a a
POS J
WHERE THE ZEROES COINCIDE WITH THE $)2 POSITION AND J IS CHOSEN SO THAT IT COINCIDES WITH
THE KTH POSITION OF P 4HIS ENSURES THAT THE TRIVIAL ALL ZERO SOLUTION FOR O IS AVOIDED 6 +2
AND THAT THE ENERGY IN 'O IS CONCENTRATED TO THE $)2 INTERVAL %QUATION CAN
6 +2
NOW BE SIMPLIçED TO THE FORM IN WHICH IT WAS PRESENTED BY DLING ET AL
O 6 +2 `'
3
p J
WHERE p IS A VECTOR WITH IN POSITION J AND ZEROES ELSEWHERE

J
! MINIMAX DESIGN

4HE CRITERION OF HAS THE TOTAL ENERGY OF THE WEIGHTED RESIDUAL )3) AS ONE PART )T
CAN BE DISCUSSED IF ALSO THE DISTRIBUTION OF THE RESIDUAL )3) IS OF ANY IMPORTANCE FOR THE
PROBABILITY OF BIT ERROR OF THE RESULTING RECEIVER (ERE WE INVESTIGATE AN APPROACH THAT
TAKES INTO ACCOUNT THE MAXIMUM ABSOLUTE VALUE OF THE RESIDUAL )3) THEREBY SHAPING THE
DISTRIBUTION OF THE SAME ,ET US USE THIS MINIMAX APPROACH AND SOLVE
N O
O
@QF LHM L@W ) O
,,
O H
H
WHERE ) O IS THE HTH ELEMENT IN THE VECTOR

H
) O J6'O ` p J

} KOK
J M
4HE EXPRESSION J6'O ` p J DENOTES THE VECTOR OF THE ABSOLUTE VALUES OF EACH ELEMENT
J
IN 6'O`p 4HE $)2 P

J # 'O
,,
3
THE WEIGHTING MATRIX 6 AND p ARE CHOSEN
,, J
AS IN THE 7,3 DESIGN METHOD
3IMULATIONS
4O EVALUATE THE PERFORMANCES OF THE #,6%S FOR THE DIdERENT PREçLTER AND DESIRED IMPULSE
RESPONSE DESIGN METHODS DESCRIBED IN SECTION WE HAVE SIMULATED THE BLOCK TRANSMIS
SION SYSTEM OF SECTION 7E HAVE USED TWO '3- TEST CHANNELS ;= THE 4YPICAL 5RBAN
AREA CHANNEL 45 AND THE 2URAL !REA CHANNEL 2!
0.8
Typical Urban
0.4 0.6 Rural area
Impulse resp.
0.4 Impulse resp.
0.2
0.2
0 0
0 10 20 0 10 20
4 2
Typical Urban Rural area
Freq. resp. Freq. resp.
2 1
0 0
0 0.2 0.4 0 0.2 0.4
&IGURE )MPULSE AND FREQUENCY RESPONSES OF THE '3- 4YPICAL 5RBAN CHANNEL LEFT
AND 2URAL !REA CHANNEL RIGHT
7HEN IMPLEMENTING THE MINIMAX DESIGN WE HAVE USED A SEQUENTIAL QUADRATIC PRO
GRAMMING METHOD PROVIDED BY THE ÞMINIMAXÞ ROUTINE OF THE -ATLAB3, /PTIMIZATION
4OOLBOX3, ;= TO SOLVE STARTING WITH AN INITIAL PREçLTER O GIVEN BY
4O DETERMINE THE PREçLTER O AND THE $)2 P OF &REDRICSSON WE HAVE SOLVED EQUATION
BY MEANS OF A LEAST SQUARES çT OF THE SPECTRUM COEbCIENTS OF P TO THE RIGHT HAND
SIDE OF 4HE $)2 P WERE THEN CALCULATED ANALYTICALLY FROM THESE COEbCIENTS 4HE
2! CHANNEL HAS A SMOOTH FREQUENCY RESPONSE AND IS COMPARATIVELY EASY TO MATCH 4HE
MATCHING OF P TO THE 45 CHANNEL IS MORE DIbCULT DUE TO THE SPECTRAL DIPS OF THIS CHANNEL
SEE &IG !S A CONSEQUENCE AT HIGH 3.2S THE NUMBER OF POINTS USED IN THE LEAST
SQUARES çT MIGHT HAVE TO BE ADJUSTED IN ORDER TO OBTAIN REAL COEbCIENTS
Typical Urban Area Channel
-1
10
Bit error rate (BER)
-2
10 x Minimax * WLS
+ Fredricsson o FaMa
-3
10
-5 0 5 10 15
Q:3 taps, P:53 taps
&IGURE "IT ERROR RATE FOR THE '3- 4YPICAL 5RBAN CHANNEL
3IMULATION RESULTS ARE SHOWN IN &IG AND FOR #,6% DESIGNS BY THE &ALCONER AND
-AGEE METHOD ;= ÚOÚ THE 7,3 METHOD ;= ÚcÚ THE -INIMAX METHOD ÚXÚ AND THE
METHOD OF &REDRICSSON ;= ÚÚ 4HE SIMULATIONS ON THE 2! CHANNEL ARE ALSO COMPARED
WITH THE FULL COMPLEXITY 6ITERBI DECODER ;= DOTTED LINE IN &IG 3UCH A COMPARISON
WAS NOT FEASIBLE IN SIMULATIONS ON THE 45 CHANNEL BECAUSE OF THIS CHANNELÚS LENGTH )N
ALL CASES WE HAVE CHOSEN THE LENGTH OF THE DESIRED IMPULSE RESPONSE TO COEbCIENTS AND
THE BLOCK LENGTH TO BITS 4HE PREçLTER LENGTH IS SET TO ONE COEbCIENT MORE THAN TWICE
THE )3) IE COEbCIENTS FOR THE 2! CHANNEL AND FOR THE 45 CHANNEL
#ONCLUSIONS AND FUTURE WORK

4HE BASIC IDEA IN MOST DESIGN METHODS FOR #,6%S IS REâECTED BY THE CRITERION ) O P
4HE MAIN DIdERENCE BETWEEN THE METHODS PRESENTED IN THE LITERATURE ; =
LIES IN THE WAY THE $)2 P IS CHOSEN &ALCONER AND -AGEE çND THE GLOBAL MINIMUM OF
THE CRITERION UNDER THE CONSTRAINT KPK 4HE 7,3 METHOD AND THE METHOD PROPOSED
BY &REDRICSSON HAS SLIGHTLY DIdERENT APPROACHES WHERE THE SUBSEQUENT PROCESSING OF DATA
BY THE 6! IS TAKEN INTO CONSIDERATION WHEN APPLYING THE CRITERION &REDRICSSON USES A
PROJECTION ON THE MINIMUM DISTANCE ERROR SEQUENCE GIVING AN EdECTIVE SIGNAL TO NOISE
RATIO ;= TAILORED FOR THE 6! 4HE 7,3 METHOD ENSURES THAT THE $)2 GIVEN TO THE 6!
IS A TRUE REPLICA OF THE TOTAL SYSTEM IMPULSE RESPONSE IN THE CORRESPONDING TIME INTERVAL
)N OUR SIMULATIONS THE 7,3 RECEIVER SHOWS A SUPERIOR PERFORMANCE AND IS INDEED CLOSE
TO THE FULL COMPLEXITY 6ITERBI DECODER 4HE RECEIVER PROPOSED BY &REDRICSSON PERFORMS
Rural Area Channel
-1
10
Bit error rate (BER)
-2
10 x Minimax * WLS o FaMa
+ Fredricsson .. Full Viterbi
-3
10
-10 -5 0 5 10
Q:3 taps, P:13 taps
&IGURE "IT ERROR RATE FOR THE '3- 2URAL AREA CHANNEL
WELL ON THE 45 CHANNEL WHICH IS SLIGHTLY SURPRISING CONSIDERING THE SPECTRAL SHAPE OF THIS
CHANNEL 4HE RESULTS IN THE PRESENTED SIMULATIONS AGREE WITH APPLICABLE OBSERVATIONS IN
; = AND IN OUR EARLIER INVESTIGATIONS ; =
4HE NEW METHOD BASED ON THE MINIMAX DESIGN WAS INTRODUCED AS AN ATTEMPT TO SHAPE
THE DISTRIBUTION OF THE RESIDUAL )3) IN A FASHION FAVOURABLE TO THE 6! "EING SIMILAR TO
THE 7,3 METHOD IT GIVES A TRUNCATED VERSION OF THE TOTAL SYSTEM IMPULSE RESPONSE AS A
$)2 TO THE 6! BUT INSTEAD OF MINIMIZING THE CRITERION )O P IT SUPPRESSES THE LARGEST
RESIDUAL )3) COEbCIENT 4HE PERFORMANCE IS ALMOST UP TO PAR WITH THE 7,3 RECEIVER
WHICH INDICATES A POTENTIAL FOR THE CONCEPT OF SHAPING THE RESIDUAL )3)
4HE HITHERTO DISCUSSED METHODS FOR #,6% DESIGN ARE DERIVED FOR CONTINUOUS TRANS
MISSION SYSTEMS (OWEVER MANY CONTEMPORARY AND FUTURE COMMUNICATION SYSTEMS ARE
OF BLOCK TRANSMISSION TYPE EG THE CELLULAR TELEPHONE SYSTEMS OF %UROPE '3- *APAN
*$# AND THE 53! !$# 4O OUR KNOWLEDGE THERE ARE TODAY NO #,6% DESIGN METHODS
THAT TAKE ADVANTAGE OF THE STRUCTURE OF SUCH SYSTEMS !N INCREASED UNDERSTANDING OF THE
PROPERTIES OF BLOCK TRANSMISSION SYSTEMS COULD RESULT IN IMPROVED RECEIVERS WITH RESPECT
TO BIT ERROR PROBABILITY AS WELL AS REDUCED IMPLEMENTATION COMPLEXITY AND COST )N #,6%S
DEVELOPED FOR BLOCK TRANSMISSION SYSTEMS THIS COULD BE REâECTED BY THE TIME INVARIANT
LINEAR PREçLTERING BEING REPLACED BY EG A GENERAL MATRIX MULTIPLICATION IN ORDER TO UTI
LIZE THE ÞEDGEÞ EdECTS AT THE BLOCK BOUNDARIES FOR PERFORMANCE IMPROVEMENT 4HE NOISE
CORRELATION DUE TO THE PREçLTER O IS ANOTHER IMPORTANT ISSUE IN CONNECTION WITH #,6%S
CF ;= 4HIS IS RECOGNIZED BY &REDRICSSON AND "EARE BUT NOT CONSIDERED IN THE OTHER
DESCRIBED METHODS
7E REGARD THE ABOVE ISSUES AS KEY COMPONENTS IN THE DEVELOPMENT OF NEW #,6%S
3OURCE CODING

0ART
$ESIGN AND ANALYSIS OF ROBUST SOURCE
CODES
!BSTRACT Ô )N THIS REPORT WE ARE PROPOSING A FRAMEWORK FOR ROBUSTNESS ANALYSIS OF SOURCE
CODES IN COMBINATION WITH A DESIGN PROCEDURE FOR çNDING AN OPTIMAL ROBUST CODE 4HE
ROBUSTNESS IS DEçNED AS LOW SUSCEPTIBILITY TO CHANGES IN THE PROBABILITY DISTRIBUTION OF THE
SOURCE )N MANY APPLICATIONS THE PROBABILITY DISTRIBUTION IS NOT WELL KNOWN NOR TIME
INVARIANT (ENCE BY INTRODUCING A ROBUSTNESS MEASURE WE CAN DESIGN A CODE BASED ON
A RELATIVELY POOR ESTIMATE OF THE PROBABILITY DISTRIBUTION WITHOUT RISKING A CATASTROPHIC
INCREASE OF THE AVERAGE CODE WORD LENGTH IF THE ESTIMATE WAS INCORRECT OR THE SOURCE CHAR
ACTERISTICS CHANGE
4HE BASIC CONCEPTS ARE ROBUSTNESS IN GENERAL AND GRADIENT ROBUSTNESS IN PARTICULAR
4HE GRADIENT ROBUSTNESS 2R # OF A VARIABLE LENGTH CODE # WITH CODE WORD LENGTHS LI
r0 s`
I
I . ` IS DEçNED AS 2R # L
I I ` L WHERE L IS THE ARITHMETIC MEAN OF THE
CODE WORD LENGTHS )N THE EXPERIMENTAL PART IT IS SHOWN THAT EVEN A SMALL LOSS IN THE DEGREE
OF COMPRESSION CAN GIVE A SUBSTANTIAL INCREASE OF THE ROBUSTNESS OF THE CODE 4HE PROCEDURE
FOR çNDING THE OPTIMAL ROBUST CODE IS COMPUTATIONALLY INTENSE BUT AN EASY TO COMPUTE
APPROXIMATION FORMULA IS GIVEN 4HE EXPERIMENTS PERFORMED USING THE APPROXIMATION
FORMULA ONLY LEAD TO MINOR DIdERENCES IN THE OBTAINED ROBUSTNESS COMPARED TO THE OPTIMAL
ROBUST CODE
3OME OF THE OBSERVATIONS DONE IN THE EXPERIMENTS ARE
q 4HE LENGTHS OF THE LONGEST CODE WORDS ARE REDUCED WHEN INTRODUCING ROBUSTNESS THUS
REDUCING THE REQUIRED MEMORY SPACE FOR STORING CODE BOOKS
q 7HEN THE EXPERIMENTS ON ENTROPY CLOSE CODES ARE APPLIED TO (UdMAN CODES WE GET
ROUGHLY THE SAME RESULTS 4HE DIdERENCES IS DUE TO THE QUANTIZATION OF CODE WORD
LENGTHS IN THE (UdMAN CODE
q 4HREE DIdERENT METHODS FOR MEASURING THE BEHAVIOUR OF THE GRADIENT ROBUST CODES
COMPARED TO THE OPTIMAL DATA COMPRESSION CODES ARE SHOWING PROMISING RESULTS
4HE ANALYSIS AND EXPERIMENTS IN THIS REPORT ONLY COVER A SMALL PART OF THE POSSIBILITIES
BUT THE RESULTS OBTAINED ARE PROVIDING INCENTIVE FOR FURTHER STUDIES ! ROBUSTNESS MEASURE
WE ARE PLANNING TO INVESTIGATE IN THE FUTURE IS BASED ON THE ARITHMETIC MEAN OF THE CODE
WORD COSTS

/ %DFORS AND 0 / "¶RJESSON $ESIGN AND ANALYSIS OF ROBUST SOURCE CODES 2ESEARCH 2EPORT 45,%!
,ULE¥ 5NIVERSITY OF 4ECHNOLOGY ,ULE¥

2OBUST SOURCE CODES
2OBUST SOURCE CODES
)NTRODUCTION
4HIS REPORT IS CONCERNED WITH TWO MAJOR POINTS ONE IS TO PROPOSE ROBUSTNESS MEASURES
TO BE USED WITH STATIC CODE BOOK SOURCE CODERS AND THE OTHER IS TO PROPOSE DESIGN
PROCEDURES FOR SUCH CODES 2OBUSTNESS IN THIS CASE IS DEçNED AS LOW AVERAGE CODE WORD
LENGTH SUSCEPTIBILITY TO CHANGES IN THE PROBABILITY DISTRIBUTION OF THE SOURCE
)N MANY APPLICATIONS THE PROBABILITY DISTRIBUTION OF THE SOURCE IS NEITHER WELL KNOWN
NOR TIME INVARIANT )N A SITUATION WHERE SOME KIND OF DATA COMPRESSION IS NEEDED AN
EdECTIVE BUT COMPUTATIONALLY INTENSE METHOD TO SOLVE THE PROBLEM WITH A TIME VARYING
PROBABILITY DISTRIBUTION IS TO USE AN ADAPTIVE SOURCE CODER SEE EG ;= AND ;= (OW
EVER MANY APPLICATIONS ARE NOT DEPENDENT ON THE BEST POSSIBLE COMPRESSION RATE A HIGH
COMPRESSION SPEED OR PORTABLE LOW COST HARDWARE MIGHT BE MORE IMPORTANT "ECAUSE
OF THE NATURE OF THESE LIMITATIONS A STATIC CODER IS OFTEN A SUITABLE SOLUTION ,ONG TIME
REGISTRATION OF %#'S ; = WHERE DATA COMPRESSION CODING IS USED IS A TYPICAL AP
PLICATION WHERE A ROBUST SOURCE CODER IS SUITABLE SINCE ONE OF THE REASONABLE SYSTEM
SPECIçCATIONS IS SMALL AND PORTABLE HARDWARE )F WE DECIDE TO USE A STATIC SOURCE CODE
THERE ARE SEVERAL DIdERENT METHODS AVAILABLE FOR DESIGNING THE CODE /NE EXTREME IS TO
ASSIGN CODE WORDS WITH EQUAL LENGTH AND THE OTHER EXTREME IS TO DO SOME KIND OF ESTI
MATION OF THE PROBABILITY DISTRIBUTION OF THE SOURCE AND DESIGN AN OPTIMAL CODE FOR THAT
PROBABILITY DISTRIBUTION 4HE INTENTION OF THIS REPORT IS TO PROPOSE TOOLS FOR THE ANALYSIS
AND CONSTRUCTION OF A SPECTRUM OF STATIC CODES IN BETWEEN THESE TWO EXTREMES
4HERE ARE SEVERAL METHODS TO INTRODUCE WHAT WE CALL ROBUSTNESS /NE APPROACH IS TO
PUT RESTRICTIONS ON THE LENGTH OF THE LONGEST CODE WORDS SEE EG ;= AND "¶RJESSON ET
AL USED A PARTITIONING OF THE SYMBOL SET IN ; = 4HE SITUATION WHERE CODES ARE
DESIGNED USING AN INCORRECT ESTIMATE OF THE PROBABILITY DISTRIBUTION HAS BEEN COVERED BY
A NUMBER OF AUTHORS SEE EG ;= AND ;= %VEN THOUGH PARTS OF THE PROBLEM HAVE BEEN
ADDRESSED BEFORE WE HAVE NOT FOUND A UNIçED APPROACH TO THE CONCEPT WE CALL ROBUSTNESS
)N #HAPTER WE OUTLINE THE CONDITIONS UNDER WHICH THE INVESTIGATION IS PERFORMED
AND SOME BASIC NOTATIONS ARE INTRODUCED )N #HAPTER THE CONCEPT OF ROBUSTNESS IN
GENERAL AND GRADIENT ROBUST CODES IN PARTICULAR ARE DISCUSSED TOGETHER WITH THE ANALYSIS
OF SOME BASIC PROPERTIES OF GRADIENT ROBUST CODES 4HE MAIN RESULTS OF THE BEHAVIOUR OF
GRADIENT ROBUST CODES ARE EVALUATED BY EXPERIMENTS IN #HAPTER ! DISCUSSION IN
COMBINATION WITH SOME CONCLUSIONS IS PRESENTED IN #HAPTER
3YSTEM DESCRIPTION AND BASIC NOTATIONS

4HE SOURCE CODING SYSTEM ANALYSED IN THIS REPORT IS SHOWN IN &IGURE WHERE THE SOURCE
IS DEçNED BY A PAIR H3 OI OF SOURCE SYMBOLS 3 FR R R ` G AND A VECTOR OF
b c -
PROBABILITIES O O O a a a O ` &URTHER THE SYMBOLS PRODUCED BY THE SOURCE

3
-
ARE ASSUMED TO BE INDEPENDENT 4HE SOURCE CODE IS DEçNED BY A SET OF CODE WORDS
# FB B B ` G WHERE EVERY CODE WORD B IS ASSOCIATED WITH A COST K IN SOME
- J J
SUITABLE UNIT FOR INSTANCE NATS OR BITS

! SET FREQUENTLY USED IN THE SEQUEL IS THE - ` DIMENSIONAL PROBABILITY SIMPLEX a `
-
TO WHICH THE PROBABILITY DISTRIBUTION O BELONGS

2OBUST SOURCE CODES
&IGURE 3OURCE CODING SYSTEM
$EçNITION 4HE - ` DIMENSIONAL PROBABILITY SIMPLEX IS DEçNED AS THE FOLLOWING

SUBSET OF THE %UCLIDEAN SPACE 1 -
`
8
-
a - `
P1 J -
P > P w
H H
H
WHICH IS A CLOSED SUBSET OF THE - CELL : < -
/NE OF THE QUANTITIES WE ARE TAKING INTO CONSIDERATION IS THE AVERAGE COST PER CODED
SYMBOL 4HIS QUANTITY FOR THE ABOVE DESCRIBED SYSTEM IS GIVEN BY $EçNITION
$EçNITION &OR A SOURCE CODING SYSTEM CONSISTING OF A SOURCE H3 OI AND A CODE #
THE AVERAGE CODING COST FUNCTION 6 # O WHEN O a ` IS DEçNED BY
-
`
8
-
6 # O OK
H H
H
WHERE K IS THE COST ASSIGNED TO THE CODE WORD B

J J
)N A CASE WHERE WE CONSIDER VARIABLE LENGTH CODERS AND DECIDE TO USE THE LENGTH OF
EACH CODE WORD AS THE CODING COST K EXPRESSION REPRESENTS THE AVERAGE CODE WORD
J
LENGTH )N THIS SITUATION 3HANNONÚS 3OURCE #ODING 4HEOREM ;=0STATES THAT THE COST
6 " O IS ALWAYS GREATER THAN OR EQUAL TO THE ENTROPY 'O ` ` O KNFO OF THE
-
H H
H
SOURCE
2OBUSTNESS
4HE REASON FOR INTRODUCING ROBUSTNESS IS THAT WE WOULD LIKE TO BE ABLE TO DESIGN STATIC
SOURCE CODES THAT ARE CHARACTERIZED BY A HIGH ROBUSTNESS OF THE CODING COST AGAINST CHANGES
IN THE PROBABILITY DISTRIBUTION OF THE SOURCE WITHOUT INCREASING THE CODING COST TOO
MUCH 4HE EXPRESSION ÞHIGH ROBUSTNESS AGAINSTÞ CAN BE INTERPRETED AS ÞLOW SUSCEPTIBILITY
TOÞ $IdERENT APPLICATIONS OR SITUATIONS MIGHT CHANGE THE MEANING OF ÞROBUSTNESSÞ AND
ÞCODING COSTÞ )N THIS CHAPTER WE HAVE CHOSEN TO FOCUS ON TWO LEVELS OF REçNEMENT OF THE
CONCEPT ROBUSTNESS 4HE çRST LEVEL IS A GENERAL DESCRIPTION OF WHAT WE MEAN BY SOURCE
CODING ROBUSTNESS AND THE SECOND LEVEL IS A CONCRETE EXAMPLE OF A ROBUSTNESS MEASURE
GRADIENT ROBUSTNESS
2OBUST SOURCE CODES
0ROPERTIES OF A ROBUSTNESS MEASURE

7ITHOUT CONCENTRATING ON A PARTICULAR ROBUSTNESS MEASURE THERE ARE A FEW REASONABLE
PROPERTIES THAT CAN BE ATTACHED TO ROBUSTNESS MEASURES IN GENERAL 7E ASSUME A RO
BUSTNESS MEASURE TO BE A REAL VALUED FUNCTION INTRODUCING A PARTIAL ORDERING OF DIdERENT
CODES AND ASSIGNING THE HIGHEST ROBUSTNESS TO A CODE WHERE THE CODE WORD COSTS ASSOCI
ATED WITH EACH CODE WORD ARE ALL EQUAL 4HE DEçNITION BELOW IS THE ONE USED THROUGHOUT
THIS REPORT
$EçNITION ,ET 5 DENOTE A SET OF POSSIBLE CODES FOR AN - `SYMBOL SOURCE &URTHER
-
TO EVERY CODE " 5 ASSUME THAT THERE IS A VECTOR K :K K a a a K ` < OF POSITIVE REAL
m - m -
3
m
VALUED CODE WORD COSTS 7E DEçNE A ROBUSTNESS MEASURE 1h # BASED ON THE CRITERION
h AS A FUNCTION HAVING THE FOLLOWING TWO PROPERTIES
4HE ROBUSTNESS 1h # IS A REAL VALUED NON NEGATIVE FUNCTION ON THE SET OF ALL SOURCE
CODES ACCORDING TO SOME CRITERION h IE
1h # 5 ` 1

-
AND IF THE ELEMENTS OF THE CODE WORD COST VECTOR K :K K a a a K ` < ASSOCIATED WITH
-
3
THE CODE # 5 ARE ALL EQUAL IE K K K ` THEN 1h # w 1h #

- - m
# 5
m -
2EMARK !S A CONSEQUENCE OF $EçNITION WE SAY THAT IF 1h # 1h # THEN
THE CODE # IS A MORE ROBUST CODE THAN #
7HICH ROBUSTNESS CRITERION h TO BE USED IS A CHOICE DEPENDENT ON THE SITUATION IN

WHICH THE ANALYSIS IS DONE )N THE NEXT SECTION WE INTRODUCE A ROBUSTNESS MEASURE WHICH
HAS THE PROPERTIES OF $EçNITION
'RADIENT ROBUST CODES

4O DEMONSTRATE THE ROBUSTNESS CONCEPT WE HAVE CHOSEN TO INTRODUCE A ROBUSTNESS MEA
SURE BASED ON A DIRECTIONAL DERIVATIVE OF THE AVERAGE CODING COST 0ICTURE THE FOLLOWING
SITUATION ! PROBABILITY DISTRIBUTION OF THE SOURCE IS ESTIMATED AND IT IS SUSPECTED TO
CHANGE SLIGHTLY WITH TIME (OWEVER IT IS NOT KNOWN IN WHICH DIRECTION THE CHANGE WILL
TAKE PLACE
4HE GRADIENT ROBUSTNESS MEASURE IS BASED ON A DIRECTIONAL DERIVATIVE OF THE AVERAGE
CODING COST SEE EXPRESSION IN THE DIRECTION D WITH RESPECT TO THE PROBABILITY
DISTRIBUTION O 4HIS CAN BE EXPRESSED AS
6 # O 6 # O
GD ` 6 # O 8
` -
KHL DK
D G
H H
G
H
WHERE D IS A UNIT VECTOR IN A VALID DIRECTION IN THE PROBABILITY SIMPLEX a `0 ! VALID

DIRECTION D IN THE PROBABILITY SIMPLEX a ` WILL HAVE TO SATISFY THE CONDITION ` D
-
-
- H H
2OBUST SOURCE CODES
,ET % BE THE SET OF UNIT VECTORS IN THE VALID DIRECTIONS THEN

` `
8 -
8 -
% D1 J -
D > H D H
H H
3INCE THE DIRECTION OF CHANGE IS UNKNOWN WE CHOSE D TO BE THE DIRECTION IN WHICH THE
DIRECTIONAL DERIVATIVE IS THE LARGEST AND DEçNE THE ROBUSTNESS 1Q # TO BE THE RECIPROCAL

1Q # 0 `

L@W -
DK
D$ H H H
4HE MAXIMIZATION OF THE DENOMINATOR OF EXPRESSION CAN BE DONE BY APPLYING STAN
DARD LINEAR ALGEBRA OPERATIONS IN THE %UCLIDEAN SPACE 1 4HE MAXIMUM EQUALS THE -
LENGTH OF THE PROJECTION OF THE GRADIENT R6 # O ONTO THE HYPER PLANE COINCIDING WITH
THE PROBABILITY SIMPLEX a ` )T CAN BE SHOWN THAT
-
V
` U ` `
8- U8 -
8 -
L@W DK T K ` K
D$
H
H H
H
-
H
I
I
4HE INTERESTED READER CAN çND A MORE DETAILED ANALYSIS OF EXPRESSION IN !PPENDIX
! 5SING THE ABOVE CALCULATIONS WE ARE READY TO PROPOSE A DEçNITION OF GRADIENT
ROBUSTNESS
$EçNITION 4HE GRADIENT ROBUSTNESS 1Q # OF A SOURCE CODE # WITH CODE WORD COSTS
K :K K a a a K ` < IS DEçNED AS
-
3

1Q # Q0 a
- ` ` K `K
H H
WHERE K IS THE ARITHMETIC MEAN OF THE CODE WORD COSTS IE K -
0 - `
K
H H
/NE CAN EASILY VERIFY THAT THE GRADIENT ROBUSTNESS SATISçES THE PROPERTIES OF $EçNITION

4HE DESIGN OF ROBUST SOURCE CODES

!PART FROM THE ANALYSIS OF ROBUSTNESS IT IS DESIRABLE TO HAVE A DESIGN PROCEDURE THAT
MAKES IT POSSIBLE TO USE A ROBUSTNESS MEASURE FOR THE DESIGN OF ROBUST SOURCE CODES 4HE
çRST DESIGN STEP IS TO ESTIMATE THE PROBABILITY DISTRIBUTION FOR THE SOURCE IN QUESTION )F
THE SOURCE IS TIME INVARIANT AND THE PROBABILITY DISTRIBUTION IS ESTIMATED WITH A SUb
CIENT ACCURACY THE MOST STRAIGHTFORWARD METHOD IS TO DESIGN AN OPTIMAL STATIC SOURCE
CODE EG A (UdMAN CODE FOR THAT PARTICULAR DISTRIBUTION (OWEVER IF THE PROBABILITY
DISTRIBUTION OF THE SOURCE IS TIME VARYING THE DESIGN PROCEDURE FOR A STATIC SOURCE CODE
IS NOT STRAIGHTFORWARD
2OBUST SOURCE CODES
"Y USING A SUITABLE ROBUSTNESS MEASURE WE HAVE A TOOL FOR çNDING A ROBUST STATIC
SOURCE CODE TO BE USED ON A SOURCE WITH A PROBABILITY DISTRIBUTION THAT CHANGES SLIGHTLY
WITH TIME $EçNITION STATES THAT A CODE WITH EQUAL CODE WORD COSTS IS THE MOST ROBUST
CODE (ENCE WE CAN çND THE MOST ROBUST CODE BY CHOOSING A CODE WITH EQUAL CODE WORD
COSTS %VEN THOUGH THIS SEEMS LIKE A NICE PROPERTY THE UNIVERSALLY MOST ROBUST CODE IS
PROBABLY NOT A VALID OPTION IN A TYPICAL APPLICATION )N A CASE WHERE THE CODE WORD COSTS
EQUALS THE CODE WORD LENGTHS THE UNIVERSALLY MOST ROBUST CODE IS A çXED LENGTH CODE IE
NO DATA COMPRESSION IS ACHIEVED
4O BE ABLE TO USE THE ROBUSTNESS MEASURE FOR DESIGN OF ROBUST SOURCE CODES WITH SOME
DEGREE OF DATA COMPRESSION WE WILL HAVE TO EXCLUDE SOME OF THE POSSIBLE CODES 4HIS CAN
BE DONE BY DEçNING A SET OF ADMISSIBLE CODES 5 c DUE TO SOME CRITERION 4HE CRITERION CAN
FOR INSTANCE BE A LIMIT ON THE AVERAGE CODE COST 6 # O AT THE ESTIMATED PROBABILITY
DISTRIBUTION O 7E THEREFORE SUGGEST THE FOLLOWING PROCEDURE FOR THE DESIGN OF ROBUST
SOURCE CODES
$EçNE A SUITABLE ROBUSTNESS CRITERION h AND çND A CORRESPONDING ROBUSTNESS MEA

SURE 1h #
3ELECT A SET OF ADMISSIBLE CODES 5 c | 5 WHICH FULçLS SOME CRITERION

-
&IND THE MOST ROBUST CODE # NOS WITHIN THE SET 5 c IE
# @QFL@W 1h #

NOS
"4 c
)N THIS REPORT THE CODE # NOS IS CALLED THE OPTIMAL ROBUST CODE IN THE SET 5 c
4HE CODING COST FOR GRADIENT ROBUST CODES

4HE DEçNITION OF GRADIENT ROBUST CODES WAS DONE WITHOUT TAKING THE ACTUAL CODING COST
UNDER CONSIDERATION (OWEVER WHEN WE HAVE FOUND OUR ROBUST CODE THERE ARE A NUMBER
OF ALGEBRAIC AND GEOMETRIC INTERPRETATIONS THAT CAN BE DONE
3UPPOSE THAT WE HAVE AN ESTIMATED PROBABILITY DISTRIBUTION O AN OPTIMAL MINIMAL
COST CODE # SUCH THAT 6 # O IS MINIMIZED AND AN OPTIMAL ROBUST CODE # SUCH
. . 1
THAT 1h # IS MAXIMIZED &URTHER ASSUME THAT THE CODE WORD COSTS FOR # AND # ARE
1 . 1
GIVEN BY THE VECTORS K AND K RESPECTIVELY )F THE PROBABILITY DISTRIBUTION OF THE SOURCE
. 1
CHANGES FROM THE ESTIMATED O TO P EXPRESSION GIVE US THE CODING COSTS
`
8
-
6 # P
. PK
H .H
H
AND
`
8
-
6 # P
1 PK
H 1H
H
3INCE THE AIM OF DESIGNING A ROBUST CODE IS TO OBTAIN A CODE # WITH A DIdERENT
1
BEHAVIOUR THAN THE OPTIMAL MINIMAL COST CODE # WE ASSUME THAT K K 4HE TWO
. . 1
2OBUST SOURCE CODES
EXPRESSIONS AND ARE LINEAR FUNCTIONS ON 1 BUT WE ARE ONLY INTERESTED IN THE
-
PARTS WHERE P a ` ! SCHEMATIC PICTURE OF THE TWO HYPER PLANES IS SHOWN IN &IGURE
-

&IGURE 3CEMATIC PICTURE OF THE AVERAGE CODING COST HYPER PLANES 4HE INDEPENDENT
VARIABLE IS P
4HE INTERSECTION OF THE TWO PLANES IE FOR THE POINTS P a ` WHERE 6 # P
- .
6 # P GIVE US A BOUNDARY BETWEEN TWO DISJOINTED PARTS OF THE SIMPLEX /N ONE SIDE
1
IT IS MORE BENEçCIAL TO USE # AND ON THE OTHER SIDE IT IS MORE BENEçCIAL TO USE # /N
. 1
THE BOUNDARY THE CHOICE OF CODE DOES NOT AdECT THE AVERAGE CODING COST )F WE CALCULATE
THE DIdERENCE IN AVERAGE CODING COST IE
a6 P 6 # P ` 6 # P
. 1
IT IS OBVIOUS THAT # IS MORE BENEçCIAL THAN # IF a6 P AND VICE VERSA

1
$EPENDING ON THE CONDITIONS WE ARE WORKING UNDER THE INTERPRETATION OF THE GOODNESS
OF OUR ROBUST CODE MIGHT VARY (ERE ARE TWO POSSIBLE GOODNESS MEASURES
q )F WE WANT TO LIMIT THE WORST CASE AVERAGE CODING COST WE MIGHT BE INTERESTED
IN THE LARGEST VALUE ON 6 # P ON SOME PRE DEçNED SET OF POSSIBLE PROBABILITY
1
DISTRIBUTIONS FOR THE SOURCE )N THIS CASE THE VALUE OF 6 # P IS IRRELEVANT

.
q )F WE HAVE A CONDITIONAL PROBABILITY ON THE SOURCE STATISTICS OP J O BASED ON THE

ESTIMATED O WE MIGHT WANT TO LOOK AT THE EXPECTED GLOBAL REDUCTION OF CODING COST
:
6 O OP J Oa6 PCP
a- `
2OBUST SOURCE CODES
)F THE GOODNESS MEASURE IS VERY IMPORTANT IE IF THE APPLICATION IS DEPENDING HEAVILY
ON THE GOODNESS MEASURE A PARTICULAR ROBUSTNESS MEASURE 1h # MIGHT BEE NEEDED )F
THIS IS NOT THE SITUATION SOME KIND OF GENERAL ROBUSTNESS MEASURE CAN BE USED INSTEAD
'RADIENT ROBUST ENTROPY CLOSE VARIABLE LENGTH CODES

)F WE USE THE DEçNITION OF GRADIENT ROBUST SOURCE CODES IT IS FAIRLY STRAIGHTFORWARD TO
APPLY THE CONCEPT TO ENTROPY CLOSE VARIABLE LENGTH CODES /UR DEçNITION OF ENTROPY CLOSE
CODES IS GIVEN BELOW
$EçNITION !N ENTROPY CLOSE VARIABLE LENGTH CODE #P IS A CODE WHERE THE CODE
WORD COST EQUALS THE SELF INFORMATION OF THE CODED SOURCE SYMBOL )F #P IS DESIGNED FOR
A PROBABILITY DISTRIBUTION P :P P a a a P ` < THEN THE COST VECTOR K :K K a a a K ` <
-
3
-
3
ASSOCIATED WITH #P HAS THE FOLLOWING ENTRIES

K ` KNF P
J J
4HE ABOVE DEçNITION IMPLIES THAT AN ENTROPY CLOSE CODE #P DESIGNED FOR A SOURCE
WITH PROBABILITY DISTRIBUTION P :P P a a a P ` < WILL HAVE AN AVERAGE CODING COST
-
3
6 # P THAT EQUALS THE ENTROPY 'P 4HE MOTIVATION FOR FOCUSING ON ENTROPY CLOSE
CODES ARE THE ANALYTICAL EXPRESSIONS IN P FOR THE CODE WORD COSTS )F WE WORK WITH OTHER
CODES FOR INSTANCE (UdMAN CODES THERE MIGHT NOT EXIST SUCH ANALYTICAL EXPRESSIONS )N
#HAPTER WE WILL SEE THAT THE RESULTS OBTAINED FOR ENTROPY CLOSE CODES CAN TO SOME
EXTENT BE APPLIED TO (UdMAN CODES &OR ENTROPY CLOSE CODES THE AVERAGE CODING COST
EQUALS THE AVERAGE CODE WORD LENGTH OF THE CODE DUE TO THE FACT THAT WE INTERPRET THE
COSTS THE ` KNFP ÚS AS CODE WORD LENGTHS
H
!S A CONSEQUENCE OF $EçNITION THE ENTROPY CLOSE CODE ITSELF AND THE AVERAGE
CODE COST AT THE ESTIMATED PROBABILITY DISTRIBUTION ARE COMPLETELY DEçNED BY THE CODE
CONSTRUCTION PROBABILITY DISTRIBUTION P )N THE SEQUEL WE WILL CHANGE THE NOTATIONS FOR
ENTROPY CLOSE CODES TO OBTAIN LESS COMPLICATED EXPRESSIONS 4HE CHANGES ARE
#P P
6 #P O 6 P O
1Q #P 1Q P
)F THE GRADIENT ROBUSTNESS IS TO BE USED FOR THE DESIGN OF AN OPTIMAL GRADIENT ROBUST
CODE WE NEED A SET OF ADMISSIBLE CODES 6 c 4HE RESTRICTION CHOSEN IS TO LIMIT THE EXPECTED
CODING COST AT THE ESTIMATED PROBABILITY DISTRIBUTION O )F 6 P O IS RESTRICTED TO BE
LESS THAN OR EQUAL TO 6 c WE DEçNE THE SET OF ESTIMATION POINT LIMITED CODES ACCORDING
TO THE DEçNITION BELOW
$EçNITION 4HE SET OF ESTIMATION POINT LIMITED %0, CODES IS DEçNED AS
6 c O FP a - ` J 6 P O v 6 c G
WHERE O IS THE ESTIMATED SOURCE PROBABILITY DISTRIBUTION 6 c IS THE UPPER LIMIT ON THE EX
PECTED CODING COST AT O AND a ` IS THE SET OF ALL POSSIBLE CODES PROBABILITY DISTRIBUTIONS
-
FOR THE SOURCE

2OBUST SOURCE CODES
!SSUME THAT WE HAVE AN ESTIMATE O OF A SOURCE PROBABILITY DISTRIBUTION &URTHER

ASSUME IT IS DESIRED TO DESIGN AN OPTIMAL GRADIENT ROBUST ENTROPY CLOSE CODE WITHOUT
CHANGING THE AVERAGE CODING COST AT O MORE THAN A FACTOR
p IE A GRADIENT ROBUST
ENTROPY CLOSE CODE WHICH SATISçES
6 P O v
p6 O O
p'O
WHERE p IS A POSITIVE REAL VALUED NUMBER SUCH THAT

p'O KNF- 4HIS RESTRICTION
ON p DOES NOT AdECT THE ANALYSIS IN A NEGATIVE SENSE SINCE THE ONLY RESTRICTION IS THAT ONLY
DATA COMPRESSION CODES ARE CONSIDERED )N THE SEQUEL WE WILL REFER TO p AS THE DESIGN
PARAMETER FOR GRADIENT ROBUST ENTROPY CLOSE CODES ! CONSEQUENCE OF THE ABOVE IS THAT
THE çXED LENGTH CODE IS NOT AN ADMISSIBLE CODE 4HE SET OF ADMISSIBLE CODES IS
6 O FP a
p
- ` J 6 P O v
p'OG
WHICH IS THE SET OF %0, CODES SEE $EçNITION WHERE 6 c

p'O 4HE OPTIMAL
GRADIENT ROBUST CODE IN 6 O IS GIVEN BY
p
P @QFL@W 1Q P

P5 O
NOS
p
WHICH IS A VARIATION OF %XPRESSION

4HE FOLLOWING PROPERTIES OF THE OPTIMAL ROBUST CODE CAN BE OBTAINED FROM THE EXPRES
SIONS AND 4HE INTERESTED READER CAN çND PROOFS IN !PPENDIX "
0ROPERTY !N OPTIMAL GRADIENT ROBUST ENTROPY CLOSE CODE EXISTS FOR EVERY ESTIMATED
PROBABILITY DISTRIBUTION O WHICH IS AN INTERIOR POINT OF THE SIMPLEX a ` AND EVERY SET
-
OF ENTROPY CLOSE %0, CODES 6 Op
0ROPERTY 4HE SET OF ENTROPY CLOSE %0, CODES 6 O IS CONVEX p
0ROPERTY 4HE OPTIMAL ROBUST ENTROPY CLOSE CODE IS FOUND BY MAXIMIZING THE GRADIENT
ROBUSTNESS 1Q P UNDER THE CONSTRAINT 6 P O
p'O
4HE çRST PROPERTY ENSURES THAT THERE IS AN OPTIMAL ROBUST CODE AND BOTH THE SECOND
AND THE THIRD PROPERTY WILL TO SOME EXTENT SIMPLIFY THE OPTIMIZATION PROCEDURE FOR çND
ING THE OPTIMAL ROBUST CODE 0ROPERTY IMPLIES THAT WHEREVER WE ARE IN THE SET 6 O p
WE HAVE ÞFREE SIGHTÞ TO THE OPTIMAL SOLUTION AND 0ROPERTY ALLOWS US TO CONCENTRATE
ON THE BORDER OF THE SET 6 O
p
%XPERIMENTAL EVALUATION OF GRADIENT ROBUSTNESS

4HE AIM OF THIS EXPERIMENTAL PART IS BOTH TO ELUCIDATE THE ROBUSTNESS CONCEPT AND TO
EVALUATE SOME OF THE CONSEQUENCES IT HAS ON THE CODE CONSTRUCTION !S MENTIONED IN
#HAPTER THE MAIN PROBLEM IS TO MAXIMIZE THE ROBUSTNESS 1Q P ON A SET OF ADMISSIBLE
2OBUST SOURCE CODES
CODES 6 O 4HIS MAXIMIZATION CAN BE EXPRESSED AS A SYSTEM OF -

NON LINEAR
p
EQUATIONS OBTAINED BY APPLICATION OF ,AGRANGIAN MULTIPLIERS TO ENSURE THE TWO CONSTRAINTS
Pa - `

AND
6 P O
p'O
(OWEVER THE OBTAINED SYSTEM OF EQUATIONS IS NOT EASILY SOLVED FOR LARGE VALUES ON -
4HEREFORE THE EXPERIMENTS IN THIS CHAPTER ARE PERFORMED BY USING A MODIçED GRADIENT
SEARCH OVER THE SET 6 O &OR THE INTERESTED READER WE HAVE INCLUDED A DESCRIPTION OF THE
p
NUMERICAL OPTIMIZATION METHOD IN !PPENDIX # ,ATER IN THIS CHAPTER WE ALSO PROPOSE
A COMPUTATIONALLY CHEAP APPROXIMATION FORMULA FOR THE OPTIMAL SOLUTION
0ROPERTIES EXAMINED

)N THIS REPORT WE HAVE CONCENTRATED ON A FEW PROPERTIES TO EXAMINE 4HE BASIC QUESTIONS
TREATED IN THE EXPERIMENTS ARE THE FOLLOWING
q !RE THERE ANY GENERAL CHANGES IN THE CODE WORD LENGTHS THAT CAN BE SEEN IN OUR
EXPERIMENTS WHEN GRADIENT ROBUSTNESS IS INTRODUCED
q 7HAT IS THE DEPENDENCE BETWEEN ACHIEVED ROBUSTNESS AND THE DESIGN PARAMETER p
q )S IT POSSIBLE TO çND ROBUST CODES THAT ARE CLOSE TO THE OPTIMAL ROBUST CODE WITHOUT
USING A COMPLEX NUMERICAL ALGORITHM
q )S IT POSSIBLE TO EXTEND THE RESULTS OBTAINED FOR ENTROPY CLOSE CODES TO (UdMAN
CODES
q !RE THERE OTHER CODE DESIGN METHODS THAT HAVE SIMILAR ROBUSTNESS PROPERTIES
0ROBABILITY DISTRIBUTIONS USED IN THE EXPERIMENTS

!S A DEMONSTRATION OF THE PROPERTIES OF GRADIENT ROBUST SOURCE CODES A NUMBER OF EXPER
IMENTS ARE PERFORMED WHERE DIdERENT SITUATIONS ARE ANALYZED ! SET OF EXPERIMENTS CAN
NOT BE EXHAUSTIVE BUT THE EXPERIMENTAL SITUATIONS WE HAVE CHOSEN WILL ELUCIDATE SOME
MORE OR LESS GENERAL PROPERTIES
4HE EXPERIMENTS ARE BASED ON A FAMILY OF MIXED ,APLACIAN AND 'AUSSIAN LIKE PROB
ABILITY DISTRIBUTIONS 4HE TWO BASIC STRUCTURES ARE THE FOLLOWING
b c 3
+E m E m E m a a a E - ` m
+ + +
AND b c3
E n
& E n E n a a a E - ` n
& & &
WHERE `
`
8
E H m D` D`
-
H I
+
-m -m H - `
I
2OBUST SOURCE CODES
AND `
`
8
E H m D` D`
-
H
I

&
- m - m H - `
I
4HE PROBABILITY DISTRIBUTIONS E m AND E n CAN BE INTERPRETED AS PARAMETERIZED

+ &
SAMPLED AND TRUNCATED VERSIONS OF THE CONTINUOUS ,APLACIAN AND 'AUSSIAN DISTRIBUTIONS
4HE TRUNCATION IS DONE IN A WAY THAT ONLY THE PART ABOVE THE MEAN IS USED 4HE PARAME
TERS ARE IN BOTH CASES NORMALIZED WITH RESPECT TO THE NUMBER OF SOURCE SYMBOLS - SUCH
THAT THE SAME SHAPE OF THE SAMPLED CONTINUOUS DISTRIBUTION WILL OCCUR FOR DIdERENT -S
)N &IGURE E m AND E n ARE PRESENTED FOR A SYMBOL SOURCE WITH PARAMETERS
+ &
AND RESPECTIVELY
&IGURE 0ROBABILITY DISTRIBUTIONS FOR VARIOUS PARAMETER VALUES
4HE PROBABILITY DISTRIBUTIONS CHOSEN FOR THE EXPERIMENTS ARE
O

E&

E + 'O :BITSYMBOL<
O

E+
E

+ 'O :BITSYMBOL<
O

E&

E + 'O :BITSYMBOL<
O

E+
E

+ 'O :BITSYMBOL<
4HE PROBABILITY DISTRIBUTIONS O a a a O ARE MIXTURES OF LOW ENTROPY PARAMETERS

AND AND MEDIUM ENTROPY DISTRIBUTIONS PARAMETERS AND 7E HAVE CHOSEN
NOT TO CONSIDER PROBABILITY DISTRIBUTIONS WHERE THE ENTROPY IS CLOSE TO KNF SINCE
SOURCES WITH SUCH DISTRIBUTIONS DO NOT GAIN MUCH FROM DATA COMPRESSION CODING
%XPERIMENTS ON OPTIMAL GRADIENT ROBUST CODES

)N THE SEQUEL WE WILL PRESENT SOME EXPERIMENTAL RESULTS TRYING TO ANSWER THE QUESTIONS
RAISED IN 3ECTION 4HE çRST QUESTION CONCERNED THE CHANGE IN CODE WORD LENGTH WHEN
INTRODUCING A ROBUST CODE INSTEAD OF AN OPTIMAL COMPRESSION CODE !LL OUR EXPERIMENTS
SHOW THE SAME PATTERN 4HE SHORT CODE WORDS ARE ALMOST UNCHANGED WHILE THE LONG CODE
WORDS ARE SHORTENED ! VISUALIZATION OF THE CHANGES IN CODE WORD LENGTH IS PRESENTED
IN &IGURE WHERE O IS USED AS THE PROBABILITY DISTRIBUTION OF THE SOURCE 4HE TWO
2OBUST SOURCE CODES
GRADIENT ROBUST CODES WERE DESIGNED USING DESIGN PARAMETERS p AND p 4HE
LINE FOR WHICH p IS THE OPTIMAL COMPRESSION CODE
&IGURE #ODE WORD LENGTHS USING O
4HE RESULT PRESENTED IN &IGURE CAN BE INTERPRETED BY CONSIDERING THE FOLLOWING
ARGUMENTS
q THE OPTIMIZATION PROCEDURE TRIES TO MINIMIZE THE STANDARD DEVIATION OF THE CODE
WORD LENGTHS THUS SHRINKING THE SPAN BETWEEN THE LONGEST AND SHORTEST CODE WORDS
q AND THE CODING COST IS TO BE KEPT BELOW A CERTAIN LEVEL THUS FORCING MOST OF THE
CHANGES TO TAKE PLACE WHERE THE PROBABILITIES ARE THE SMALLEST
4HE SECOND QUESTION WAS CONCERNED WITH THE DEPENDENCE BETWEEN ACHIEVED ROBUSTNESS
AND THE DESIGN PARAMETER p 7E HAVE PERFORMED NUMERICAL EXPERIMENTS ON THE FOUR PROB
ABILITY DISTRIBUTIONS O O WHERE p WAS SELECTED IN THE INTERVAL : < IE BETWEEN
AND INCREASED AVERAGE CODING COST AT THE ESTIMATED PROBABILITY DISTRIBUTION )N
&IGURE THE ACHIEVED ROBUSTNESS RELATIVE TO THE ROBUSTNESS OF THE OPTIMAL COMPRESSION
CODE IS PRESENTED FOR DIdERENT VALUES ON p
!S ILLUSTRATED IN &IGURE EVEN SMALL VALUES ON THE DESIGN PARAMETER p CAN GIVE
QUITE A SUBSTANTIAL INCREASE OF THE ROBUSTNESS 4HIS EdECT IS DUE TO THE FACT THAT THERE
ARE A LARGE NUMBER OF LONG CODE WORDS THAT CAN BE SHORTENED WITHOUT LOSING MUCH IN
COMPRESSION
!N APPROXIMATION FORMULA FOR GRADIENT ROBUST CODES

4HE THIRD QUESTION IN 3ECTION IS CONCERNED WITH THE POSSIBILITY OF çNDING A SIMPLIçED
PROCEDURE FOR THE DESIGN OF GRADIENT ROBUST CODES 4HE NUMERICAL ALGORITHM OUTLINED IN
!PPENDIX # IS COMPUTATIONALLY INTENSE WHICH IS THE CASE OF ANY OPTIMIZATION ALGORITHM
OPERATING ON A NON LINEAR PROBLEM WHERE MANY VARIABLES ARE INVOLVED AND WE ARE THEREFORE
2OBUST SOURCE CODES
3.5
3.0
2.5
Relative robustness
2.0
1.5
1.0
0.5
p1 p2 p3 p4
0
0 0.02 0.04 0.06 0.08 0.10
Design parameter d
&IGURE !CHIEVED ROBUSTNESS FOR DIdERENT VALUES ON p
TRYING TO çND A SIMPLIçED DESIGN METHOD "ASED ON THE FACT THAT THE OPTIMIZATION
PROCEDURE IS MINIMIZING THE STANDARD DEVIATION OF THE CODE WORD LENGTHS UNDER THE
CONSTRAINT 6 P O
p'O WE HAVE CHOSEN TO APPLY A SIMILAR OPERATION ON THE
PROBABILITY DISTRIBUTION /NE OF THE MOTIVATIONS FOR THIS IS THAT THE CODE WORD LENGTHS
ARE STRICTLY DECREASING CONTINUOUS FUNCTIONS OF THEIR RESPECTIVE DESIGN PROBABILITIES
3INCE BOTH THE UNIFORM DISTRIBUTION O :- - a a a - < AND THE CORRESPOND
TMH
3
ING ENTROPY CLOSE CODE WORD LENGTHS HAVE ZERO STANDARD DEVIATION WE TRY TO çND A
GRADIENT ROBUST CODE ON THE STRAIGHT LINE FROM O TO O 4HE PROBABILITY DISTRIBUTIONS TMH
ON THE STRAIGHT LINE ARE GIVEN BY
PO w ` wO
wO TMH w : <
4HE SET OF ADMISSIBLE CODES IS CONVEX 0ROPERTY HENCE THERE IS EXACTLY ONE w w O p
IN THE INTERVAL : < SUCH THAT PO wO IS A BOUNDARY POINT OF 6 O IE p
6 ` w OO
w OO
p p
TMH O
p'O
,ET EXPRESSION BE THE DEçNITION OF A FUNCTION HENCEFORTH REFERRED TO AS w O p
4HE VALUE ON w O CAN EASILY BE CALCULATED BY APPLYING SOME METHOD FOR çNDING SOLUTIONS
p
TO ONE VARIABLE EQUATIONS EG THE BISECTION METHOD WITH STARTING POINTS w AND w + 4
)NSERTING w O INTO WE GET AN EXPRESSION FOR A DISTRIBUTION P CHARACTERIZING

p
w
AN APPROXIMATION OF THE OPTIMAL SOLUTION P NOS
P ` w OO
w OO
w
p p
TMH
7E HAVE PERFORMED THE SAME EXPERIMENTS AS IN THE PREVIOUS SECTION ON THE FOUR DIS
TRIBUTIONS O O WHERE THE APPROXIMATION FORMULA WAS USED INSTEAD OF THE
OPTIMIZATION ALGORITHM !S A COMPARISON BETWEEN CODE WORD LENGTHS OF THE OPTIMAL
2OBUST SOURCE CODES
SOLUTION AND THE APPROXIMATIVE SOLUTION WE PRESENT THE CODE WORD LENGTHS FOR THE AP
PROXIMATIVE SOLUTION IN &IGURE )F WE COMPARE THE CODE WORD LENGTHS WITH THE ONES
PRESENTED IN &IGURE WE CAN OBSERVE THAT THE MEDIUM LENGTH CODE WORDS ARE THE ONES
THAT DIdER THE MOST
&IGURE !PPROX SOLUTION CODE WORD LENGTHS USING O
"Y EXPERIMENTAL EVALUATION WE OBSERVED THAT THE APPROXIMATION FORMULA HAVE
ROUGHLY THE SAME EdECT AS THE OPTIMIZATION ALGORITHM 5SING THE SAME VALUES ON THE DE
SIGN PARAMETER p AS IN &IGURE WE PERFORMED THE SAME EXPERIMENTS FOR THE APPROXIMA
TIVE SOLUTION AS FOR THE OPTIMAL SOLUTION AND FOUND THAT THERE ARE ONLY MINOR DIdERENCES
4HE RELATIVE DIdERENCE IN ROBUSTNESS BETWEEN THE OPTIMAL GRADIENT ROBUST CODE AND THE
APPROXIMATION GIVEN BY IS PRESENTED IN &IGURE WHERE THE RELATIVE DIdERENCE
IN ROBUSTNESS IS GIVEN BY 1Q P ` 1Q P 1a P .OTE THAT 1Q P v 1Q P
NOS w NOS w NOS
SINCE P IS THE OPTIMAL ROBUST SOLUTION

NOS
&ROM &IGURE IT CAN BE CONCLUDED THAT FOR THE EXPERIMENTS PERFORMED THERE IS
ONLY A SMALL LOSS IN OPTIMALITY IF WE USE THE APPROXIMATION INSTEAD OF THE MORE
COMPLICATED OPTIMIZATION ALGORITHM
4HE ROBUSTNESS OF THE CODE GIVEN BY CAN BE EXPRESSED EXPLICITLY IN TERMS OF O
AND p 4HE GRADIENT ROBUSTNESS IS

1Q P R r s
` ` KNF P
`
w
0 0
-
H wH

-
-
I
KNF P
wI
WHERE
w O p
P ` w OO
p

-
wH H
2OBUST SOURCE CODES
&IGURE $IdERENCE BETWEEN OPTIMAL AND APPROXIMATIVE SOLUTION
!PPLICATION TO (UdMAN CODES

%NTROPY CLOSE CODES ARE SELDOM USED IN REAL SITUATIONS $IdERENT IMPLEMENTATIONS OF
ARITHMETIC CODING WILL TO SOME EXTENT GIVE CODES WHICH ARE CLOSE TO THE ACTUAL ENTROPY OF
A SOURCE AND IF THE PROBABILITY DISTRIBUTION HAS SOME SPECIAL PROPERTIES OTHER TYPES OF
SOURCE CODERS WILL GIVE ENTROPY CLOSE CODING 3UCH A SITUATION WILL OCCUR FOR (UdMAN CODES
IF THE PROBABILITY DISTRIBUTION IS ON THE FORM O ` WHERE M ARE INTEGERS (OWEVER
H
MH
H
THE OBTAINED RESULTS FROM THE PREVIOUS SECTIONS SHOULD BE APPLICABLE TO SOME EXTENT ON
(UdMAN CODES 4HE APPLICATION TO (UdMAN CODES IS PERFORMED IN THE FOLLOWING MANNER
q %STIMATE THE PROBABILITY DISTRIBUTION OF THE SOURCE AND CALL THE ESTIMATE O
q 0ICK A SUITABLE VALUE FOR THE DESIGN PARAMETER p
q &IND THE OPTIMAL GRADIENT ROBUST ENTROPY CLOSE CODE CHARACTERIZED BY P NOS
q !PPLY (UdMANÚS ALGORITHM ON P NOS TO GET A (UdMAN CODE # P

' NOS
4HE EXPERIMENTS ARE PERFORMED ON THE SAME PROBABILITY DISTRIBUTIONS AS IN THE PRE
VIOUS SECTIONS THUS ALLOWING US TO COMPARE THE RESULTS IN A STRAIGHTFORWARD MANNER
&OR THE PROBABILITY DISTRIBUTIONS O O THE EXPERIMENTS SHOW THE SAME TYPE OF
BEHAVIOUR FOR THE CODE WORD LENGTHS AS THE ENTROPY CLOSE CODES 4HE LONG CODE WORDS
ARE SHORTENED AND THE SHORTER ONES ARE ALMOST UNCHANGED !S A DEMONSTRATION OF THE
CHANGES WE HAVE CHOSEN TO PLOT THE CODE WORD LENGTHS SEE &IGURE FOR PROBABILITY
DISTRIBUTION O WHERE THE DESIGN PARAMETER WAS CHOSEN TO p OPTIMAL COMPRESSION
CODE p AND p
)N &IGURE WE HAVE PLOTTED THE ACHIEVED ROBUSTNESS RELATIVE TO THE ROBUSTNESS OF
THE (UdMAN CODE FOR THE ORIGINAL PROBABILITY DISTRIBUTION IE 1Q # P 1Q # O
' NOS '
FOR DIdERENT VALUES ON THE DESIGN PARAMETER p "Y COMPARING WITH &IGURE WE CAN
2OBUST SOURCE CODES
&IGURE (UdMAN CODE WORD LENGTHS USING O
SEE THAT HIGHER VALUES ON THE RELATIVE ROBUSTNESS SEEM TO BE ACHIEVED FOR (UdMAN CODES
3OMETHING ELSE NOTEWORTHY IS THAT THE CURVES OF RELATIVE ROBUSTNESS ACHIEVED FOR THE DIF
FERENT PROBABILITY DISTRIBUTIONS CROSS EACH OTHER WHICH WAS NOT THE SITUATION FOR ENTROPY
CLOSE CODES SEE &IGURE
&IGURE !CHIVED ROBUSTNESS FOR (UdMAN CODES
4HERE ARE SEVERAL DIdERENCES BETWEEN ENTROPY CLOSE CODES AND (UdMAN CODES THAT ARE
AdECTING THE ACHIEVED ROBUSTNESS 7HILE THERE ARE AN UNCOUNTABLE NUMBER OF DIdERENT
ENTROPY CLOSE CODES FOR EVERY - `SYMBOL SOURCE THERE ARE ONLY A çNITE NUMBER OF DIdERENT
(UdMAN CODES 4HE CODE WORD LENGTHS FOR (UdMAN CODES CAN ONLY TAKE INTEGER VALUES
THUS GIVING LARGE RELATIVE DIdERENCES FOR HIGH PROBABILITY CODEWORDS %VEN THOUGH THERE
2OBUST SOURCE CODES
ARE DIdERENCES THE METHOD SEEMS TO WORK FAIRLY WELL FOR THE PROBABILITY DISTRIBUTIONS
USED IN THE EXPERIMENTS
%VEN THOUGH THE DESIGN PARAMETER p LIMITS THE CODING COST FOR ENTROPY CLOSE CODES
AT THE PROBABILITY DISTRIBUTION O WE CAN NOT EXPECT THE SAME THING TO APPLY FULLY FOR
(UdMAN CODES DUE TO THE DIdERENCES MENTIONED ABOVE )N &IGURE WE HAVE PRESENTED
THE ACTUAL OBTAINED RELATIVE DIdERENCE 6 # P O ` 6 # O O6 # O O FOR
' NOS ' '
THE DIdERENT VALUES ON THE DESIGN PARAMETER p 4HE DOTTED LINE SYMBOLIZES THE RELATIVE
DIdERENCE WE TRIED TO OBTAIN IE p
&IGURE !CTUAL DIdERENCES IN CODING COST FOR THE (UdMAN CODES
4AKING THE CURVES IN &IGURE UNDER CONSIDERATION WE GET ONE PART OF THE EXPLA
NATIONS FOR THE FACT THAT THE CURVES IN &IGURE CROSS EACH OTHER "Y PRESENTING THE
ACHIEVED ROBUSTNESS AGAINST THE ACTUAL INCREASE OF CODING COST INSTEAD OF THE DESIGN PA
RAMETER p SEE &IGURE WE GET A MORE VALID PICTURE OF THE SITUATION (OWEVER THERE
ARE STILL DIdERENCES BETWEEN THE ENTROPY CLOSE CODES AND (UdMAN CODES THAT CANNOT BE
EXPLAINED FULLY BY THE DIdERENCE BETWEEN p AND THE ACTUAL INCREASE OF CODING COST
%VEN THOUGH THERE ARE A NUMBER OF QUESTIONS FOR WHICH WE HAVE NO EXPLICIT ANSWERS
EXCEPT THAT IT IS RELATED TO THE QUANTIZATION OF THE CODE WORD LENGTHS THE BASIC PROPERTIES
FOR GRADIENT ROBUST ENTROPY CLOSE CODES SEEM TO SOME EXTENT BE VALID FOR (UdMAN CODES
TOO 4HE BASIC PROPERTIES SUCH AS THE SHORTENING OF THE LONG CODE WORDS ARE THE SAME
FOR BOTH THE (UdMAN CODES AND THE ENTROPY CLOSE CODES
! PERFORMANCE EVALUATION

!S MENTIONED IN 3ECTION THERE ARE SEVERAL POSSIBLE METHODS FOR EVALUATING THE
ÞGOODNESSÞ OF A ROBUST SOURCE CODE )N THE CASE OF GRADIENT ROBUST SOURCE CODES THE
MOST NATURAL WAY IS TO TRY TO EXTRACT INFORMATION FROM THE ROBUSTNESS MEASURE 1Q #
(OWEVER THE THERE ARE OTHER METHODS WHICH PROBABLY ARE EASIER TO INTERPRET )N THIS
SECTION WE ARE FOCUSING ON THE FOLLOWING APPROACHES
2OBUST SOURCE CODES
&IGURE !CHIEVED ROBUSTNESS VS ACTUAL INCREASE OF CODING COST
q 4HE çRST APPROACH WHICH IS BASED ON THE ASSUMPTION THAT WE DO NOT KNOW THE
DIRECTION OF CHANGE WE CALCULATE THE CODING COST FOR BOTH THE OPTIMAL COMPRESSION
CODE 6 # P AND THE ROBUST CODE 6 # P IN THE MOST UNFAVOURABLE DIRECTION
. 1
RESPECTIVELY AND SEE WHICH BEHAVES THE WORST 4HIS TYPE OF INTERPRETATION IS THE ONE
CLOSEST TO THE DEçNITION OF GRADIENT ROBUSTNESS !N INTERPRETATION OF THIS MEASURE
IS THAT WE LOOK AT TWO CODERS SEPARATELY AND CONSIDER THE WORST CASE DIRECTIONS
RESPECTIVELY
q !S A SECOND APPROACH WE LOOK AT THE DIdERENCE IN CODING COST a6 P 6 # P`

.
6 # P AND CHOSE THE WORST DIRECTION OF CHANGE !N INTERPRETATION OF THIS MEA

1
SURE IS THAT WE LOOK AT TWO CODERS WORKING IN PARALLEL ON THE SAME SOURCE AND
MEASURE THE DIdERENCE IN CODING COST IN A WORST CASE DIRECTION
q 4HE THIRD APPROACH IS BASED ON THE CODING COST AT THE UNIFORM DISTRIBUTION O TMH
:- - -< WHERE WE COMPARE THE CODING COSTS 6 # O AND 6 # O

3
. TMH 1 TMH
4HIS MEASURE CAN BE USED IN SITUATIONS WHERE THERE ARE BURSTS OF NOISE IN THE SYS
TEM SUCH THAT THE PROBABILITY DISTRIBUTION OF THE SOURCE BECOMES ALMOST âAT !N
APPLICATION WHERE THIS IS A CONCEIVABLE SITUATION IS DATA ACQUISITION IN COMBINATION
WITH POORLY ATTACHED WIRING OR OTHER ARTIFACT SOURCES
)N THE çRST APPROACH WE LOOK AT THE EXPRESSIONS FOR THE CODING COSTS IN THE MOST
UNFAVOURABLE DIRECTIONS D AND D RESPECTIVELY 4HE CODING COST CAN BE EXPRESSED AS
. 1
C
6 C 6 # O
CD 6 # O

1Q #
. . . .
.
AND
C
6 C 6 # O
CD 6 # O

1Q #
1 1 1 1
1
2OBUST SOURCE CODES
&IGURE 0ERFORMANCE MEASURED IN THE WORST DIRECTIONS RESPECTIVELY
WHERE C IS THE %UCLIDEAN DISTANCE FROM O SEE &IGURE

"Y DEçNITION OF %0, CODES WE KNOW THAT
p6 # O 6 # O HENCE
. 1
CAN BE EXPRESSED AS
C
6 C
p6 # O

1Q #
1 .
1
%VEN THOUGH THE MOST UNFAVOURABLE DIRECTION MOST CERTAINLY IS DIdERENT FOR THE TWO
CODES WE CAN BY SETTING 6 C 6 C SAY THAT THE POINT OF BREAK EVEN LIES AT A
. 1
DISTANCE
6 # O1Q # 1Q #
C p
. . 1
1Q # ` 1Q #
6
1 .
7E SHOULD BE SOMEWHAT CAREFUL WITH THE INTERPRETATION OF C SINCE IT IS BASED ON TWO

6
DIdERENT DIRECTIONS OF CHANGE OF THE SOURCE PROBABILITY DISTRIBUTION (OWEVER WHEN

THE %UCLIDEAN DISTANCE BETWEEN THE ACTUAL SOURCE PROBABILITY DISTRIBUTION P AND THE
ESTIMATED PROBABILITY DISTRIBUTION O EXCEED THE VALUE ON C IN DIdERENT DIRECTIONS THE
6
WORST CASE PERFORMANCE MIGHT BE BETTER IF WE USE THE ROBUST CODE 4O ILLUSTRATE THIS
CONCEPT WE PRESENT 6 C p AND 6 C FOR p AND p 4HE
. 1
PROBABILITY DISTRIBUTION WE CHOSE TO WORK WITH ARE O &IGURE AND O &IGURE
4HE SECOND APPROACH CHOSEN FOR THE PERFORMANCE EVALUATION IS BASED ON THE DIdERENCE
IN CODING COST BETWEEN THE TWO CODES WHICH CAN BE EXPRESSED AS
`
8
-
a6 P 6 # P ` 6 # P
. 1 P aK
H H
H
WHERE K AND K ARE THE COST VECTORS ASSOCIATED WITH THE CODES " AND " RESPECTIVELY
. 1 . 1
AND aK K ` K 4HE DIRECTIONAL DERIVATIVE IN THE WORST CASE DIRECTION Da OF THIS

H .H 1H
FUNCTION CAN BE CALCULATED BY USING THE SAME LINEAR ALGEBRA METHODS AS IN 3ECTION
2OBUST SOURCE CODES
&IGURE 6 C AND 6 C IN THE WORST CASE DIRECTION RESPECTIVELY USING O "REAK
. 1
EVEN POINTS WHERE THE DASHED LINES CROSS THE SOLID LINE
AND !PPENDIX ! (ENCE

V
U `
6 P 6 O
GD ` 6 O U 8` a -
L@W L@W KHL T aK ` aK

D$ D $ D G G
H
H
WHERE aK -
0 - `
aK 4HE DIdERENCE IN CODING COST IN THE WORST DIRECTION CAN BE
I I
EXPRESSED AS
V
U `
U8 ` a -
a6 C 6 # O ` 6 # O
CT
. aK ` aK
1 H
H
WHERE C IS THE %UCLIDEAN DISTANCE FROM THE ESTIMATED PROBABILITY DISTRIBUTION O SEE
&IGURE
%XPRESSION CAN BE REDUCED TO
V
U `
U8 ` a -
a6 C `p6 # O
CT . aK ` aK
H
H
BY TAKING THE DEçNITION OF %0, CODES INTO CONSIDERATION 4HE POINT OF BREAK EVEN CAN
BE OBTAINED BY SETTING a6 C AND WE GET
6 # O
Ca p Q0
.
- ` àK ` aKa
H H
&ROM EXPRESSION WE GET THE DISTANCE Ca ABOVE WHICH IT IS MORE BENEçCIAL TO USE
THE ROBUST CODE IF THE DIRECTION OF CHANGE IS THE WORST POSSIBLE 4HE DIdERENCE BETWEEN
2OBUST SOURCE CODES
&IGURE 6 C AND 6 C IN THE WORST CASE DIRECTION RESPECTIVELY USING O "REAK
. 1
EVEN POINTS WHERE THE DASHED LINES CROSS THE SOLID LINE
THE DISTANCE AND THE DISTANCE IS THAT WE MAKE THE CALCULATIONS IN THE SAME
DIRECTION FOR BOTH CODES IN THE LATTER ONE 4O ILLUSTRATE THIS SECOND METHOD WE PRESENT
a6 C FOR p AND p 4HE PROBABILITY DISTRIBUTIONS ARE THE SAME AS IN THE
çRST METHOD OF PERFORMANCE EVALUATION IE O &IGURE AND O &IGURE
4HE LAST AND PROBABLY THE MOST EASILY INTERPRETED APPROACH ON THE GOODNESS OF
THE ROBUST CODE IS WHERE WE ONLY LOOK AT THE CODING COST AT THE UNIFORM PROBABILITY
DISTRIBUTION 7E HAVE CHOSEN TO MEASURE THE GOODNESS AS THE DIdERENCE IN CODING COSTS
IE
a6 6 # O ` 6 # O
TMH . TMH 1 TMH
5SING EXPRESSION WE HAVE ILLUSTRATED THE DIdERENCE IN AVERAGE CODING COST AT THE âAT
PROBABILITY DISTRIBUTION SEE &IGURE WHERE WE USE THE SAME PROBABILITY DISTRIBUTIONS
AS BEFORE
4HE CURVES ARE DETERMINED BY USING DIdERENT VALUES ON THE DESIGN PARAMETER p 4HE
DASHED LINES SYMBOLIZE THE DESIGN PARAMETERS USED IN THE PREVIOUS TWO METHODS FOR ANA
LYZING THE PERFORMANCE
$ISCUSSION AND CONCLUSIONS

)N THIS REPORT A LARGE NUMBER OF DIdERENT ASPECTS HAVE BEEN INVESTIGATED REGARDING ROBUST
CODES IN GENERAL AND GRADIENT ROBUST CODES IN PARTICULAR 4HE INVESTIGATIONS HAVE BEEN
PERFORMED BOTH THROUGH ANALYTICAL EXPRESSIONS AND THROUGH EXPERIMENTAL EVALUATIONS
3OME ASPECTS OF THE INVESTIGATION THAT SHOULD BE NOTED ARE THE FOLLOWING
q 4HE GRADIENT ROBUST CODES EXAMINED ARE ONLY ONE CLASS OF ROBUST CODES AND MANY
APPLICATIONS WOULD PROBABLY GAIN MORE FROM OTHER TYPES OF ROBUSTNESS MEASURES
2OBUST SOURCE CODES
&IGURE 0ERFORMANCE MEASURED IN THE WORST DIRECTION OF THE DIdERENCE
4HE QUESTION OF HOW TO DECIDE WHICH ROBUSTNESS MEASURE IS THE BEST FOR A PARTICULAR
SITUATION IS AN OPEN QUESTION AT THIS POINT
q 4HE EXPERIMENTS ONLY CONSIDER SOURCES WHERE THE NUMBER OF SYMBOLS IS -
4HE REASON FOR THIS IS THAT WE WANTED TO USE AS MANY SYMBOLS AS POSSIBLE WITHOUT
INCREASING THE EXECUTION TIME FOR THE NUMERICAL ALGORITHMS TOO MUCH
q 4HE EXPERIMENTS ARE PERFORMED ON A LIMITED NUMBER OF DIdERENT PROBABILITY DIS
TRIBUTIONS WHICH IS A FACT THAT WILL HAVE TO BE TAKEN INTO CONSIDERATION WHEN THE
RESULTS ARE INTERPRETED (OWEVER THE EXPRESSIONS USED ARE CONTINUOUS AND BEHAVES
FAIRLY WELL EXCEPT FOR THE ONES IN THE APPLICATION TO (UdMAN CODES WHERE THE CODE
WORD LENGTHS ARE NON ANALYTICAL INTEGER APPROXIMATIONS OF THE ONES OBTAINED FOR
ENTROPY CLOSE CODES
q 7E HAVE NOT SHOWN THAT THE OPTIMAL GRADIENT ROBUST %,0 CODE IS UNIQUE 4HERE
MIGHT IN FACT BE SEVERAL LOCAL OPTIMA IN THE EXPRESSIONS USED FOR ROBUST CODES
OF WHICH WE ONLY çND ONE WHEN USING THE OPTIMIZATION PROCEDURE DESCRIBED IN
!PPENDIX # %VEN THOUGH WE HAVE NOT BEEN ABLE TO SHOW THAT THE OPTIMAL
ROBUST CODE IS UNIQUE OUR HYPOTHESIS IS THAT IN FACT IT IS UNIQUE 4HE PROBLEM IN
SHOWING THE UNIQUENESS GOES BACK TO SHOWING THAT THE SET OF CODES WITH GRADIENT
ROBUSTNESS GREATER THAN OR EQUAL TO SOME çXED VALUE IS CONVEX 7E WILL CONTINUE
WORKING ON THIS PROBLEM
)N THE EXPERIMENTS WE HAVE OBSERVED THAT THE GRADIENT ROBUST CODES FOR THE PROB
ABILITY DISTRIBUTIONS EXAMINED SEE #HAPTER HAVE CERTAIN USEFUL PROPERTIES 4HE
PROPERTIES WE HAVE TRIED TO ELUCIDATE ARE MORE OR LESS CONNECTED TO CERTAIN SITUATIONS
WHICH MIGHT ARISE IN REAL APPLICATIONS (OPEFULLY WITHOUT OVERRATING THE CONTENTS OF THE
ANALYSIS AND THE EXPERIMENTS THE FOLLOWING CONCLUSIONS ARE MADE
q /UR DEçNITION OF ROBUSTNESS MEASURE FOR SOURCE CODES AND THE PROPOSED DESIGN
PROCEDURE FOR OPTIMAL ROBUST SOURCE CODES PROVIDE A FRAMEWORK FOR A LARGE NUMBER
2OBUST SOURCE CODES
&IGURE a6 C FOR p AND p USING O "REAK EVEN POINTS WHERE THE
DASHED LINES CROSSES THE SOLID LINE
OF DIdERENT CLASSES OF ROBUST CODES ! CERTAIN CLASS OF ROBUST SOURCE CODES CAN BE
CREATED BY FOLLOWING THE DIRECTIONS OF #HAPTER
q "Y INTRODUCING GRADIENT ROBUST CODES WE HAVE OBSERVED THAT THE MAXIMAL CODE WORD
LENGTH OF THE CODE IS REDUCED &OR LOW ENTROPY SOURCES THE DECREASE IN MAXIMAL CODE
WORD LENGTH IS SUBSTANTIAL EVEN FOR SMALL LOSSES IN ACHIEVED COMPRESSION )N SOME
APPLICATIONS IT IS BENEçCIAL TO REDUCE THE LENGTH OF THE LONGEST CODE WORDS ! GREAT
ADVANTAGE OF SHORT MAXIMAL CODE WORD LENGTH IS THAT THE MEMORY SIZE REQUIRED TO
STORE CODE BOOKS CAN BE REDUCED SUBSTANTIALLY SEE EG ;=;= AND ;= ! NUMBER
OF PAPERS HAVE BEEN PUBLISHED WHERE THE CONSTRUCTION OF LENGTH LIMITED (UdMAN
CODES AND PATH LENGTH LIMITED BINARY SEARCH TREES ARE ADDRESSED SEE EG ;=;=
AND ;=
q )N OUR EXPERIMENTS THE GRADIENT ROBUSTNESS OF CODES INCREASES SUBSTANTIALLY WITH

MINOR LOSS OF OPTIMALITY OF THE COMPRESSION RATE THUS MAKING GRADIENT ROBUST CODES
LESS SENSITIVE TO CHANGES IN THE PROBABILITY DISTRIBUTION OF THE SOURCE "Y TAKING
THIS PROPERTY INTO CONSIDERATION WE CAN CONSTRUCT VARIABLE LENGTH CODES BASED ON
FAIRLY POOR ESTIMATES OF THE SOURCE PROBABILITY DISTRIBUTION WITH AN ACCEPTABLE
BEHAVIOUR 4HE ESTIMATION OF THE SOURCE PROBABILITY DISTRIBUTION FROM THE POINT OF
VIEW OF MINIMUM REDUNDANCY SOURCE CODING HAS BEEN ADDRESSED IN EG ;=
q 7E PRESENT AN APPROXIMATION FORMULA FOR çNDING AN APPROXIMATION OF THE OPTIMAL

GRADIENT ROBUST CODE 4HE COMPUTATION OF THE APPROXIMATIVE SOLUTION IS VERY FAST
COMPARED TO THE COMPUTATION OF THE OPTIMAL SOLUTION USING THE MODIçED GRADIENT
SEARCH 4HE APPROXIMATION FORMULA ONLY REQUIRES THE SOLUTION OF A ONE VARIABLE
EQUATION WHEREAS THE OPTIMIZATION PROCEDURE IS WORKING WITH THE SAME NUMBER OF
VARIABLES AS THE NUMBER OF SOURCE SYMBOLS )N THE EXPERIMENTS THE DIdERENCE IN
ROBUSTNESS BETWEEN THE OPTIMAL SOLUTION AND THE APPROXIMATION WAS SMALL
2OBUST SOURCE CODES
&IGURE a6 C FOR p AND p USING O "REAK EVEN POINTS WHERE THE
DASHED LINES CROSSES THE SOLID LINE
q 7HEN APPLYING THE EXPERIMENTS ON GRADIENT ROBUST ENTROPY CLOSE CODES TO (UdMAN
CODES WE HAVE OBSERVED THAT THE PROPERTIES ARE ROUGHLY THE SAME 4HE OBTAINED RO
BUSTNESS EVEN SEEMS TO BE SLIGHTLY HIGHER FOR (UdMAN CODES (OWEVER THE METHOD
WE USED FOR INTRODUCING GRADIENT ROBUSTNESS TO (UdMAN CODES IS SOMEWHAT ELUSIVE
WHEN IT COMES TO DEPENDENCE BETWEEN THE DESIGN PARAMETER p AND THE ACTUAL VALUE
ON THE INCREASE OF THE CODING COST 4HIS PROBLEM IS DUE TO THE INTEGER QUANTIZATION
OF THE CODE WORD LENGTHS OF (UdMAN CODES
q 4HE PERFORMANCE EVALUATIONS DONE ARE BASED ON THREE DIdERENT APPROACHES FOR
MEASURING THE GOODNESS OF A GRADIENT ROBUST CODE /NE OF THE APPROACHES IS BASED
ON THE ROBUSTNESS MEASURE ITSELF AND THE OTHER TWO ARE INCLUDED FOR COMPARISON AND
BECAUSE THEY PROBABLY ARE EASIER TO INTERPRET )N THE EXPERIMENTS IT WAS EVIDENT THAT
SMALL CHANGES IN THE AVERAGE CODING COST CAN GIVE SUBSTANTIAL ADVANTAGES IN DIdERENT
WORST CASE SITUATIONS 4HE LAST APPROACH WE USED IN THE PERFORMANCE ANALYSIS WAS
BASED ON THE DIdERENCE IN AVERAGE CODING COST AT THE âAT PROBABILITY DISTRIBUTION
! NOTEWORTHY PROPERTY OF THIS LAST METHOD IS THAT ONE OF THE POSSIBLE ROBUSTNESS
MEASURES BASED ON IT IMPLIES A MINIMIZATION OF THE ARITHMETIC MEAN OF THE CODE
WORD LENGTHS WHEREAS THE GRADIENT ROBUSTNESS MEASURE IMPLIES A MINIMIZATION OF
THE UNWEIGHTED STANDARD DEVIATION OF THE CODE WORD LENGTHS IE WE HAVE A CLOSE
CONNECTION TO THE WELL KNOWN QUANTITIES ARITHMETIC MEAN AND STANDARD DEVIATION
! MORE THOROUGH ANALYSIS AND THE INTRODUCTION OF OTHER ROBUSTNESS MEASURES ARE
UNDER CONSIDERATION SINCE THE RESULTS OBTAINED IN THIS REPORT SHOW THAT THE INTRODUCTION
OF ROBUSTNESS CAN GIVE CERTAIN BENEçCIAL PROPERTIES TO SOURCE CODES AT A LOW COST
2OBUST SOURCE CODES
&IGURE a6 FOR DIdERENT VALUES ON THE DESIGN PARAMETER p USING O AND O
TMH
$ASHED LINES SYMBOLIZE THE PARAMETER VALUES USED IN THE PREVIOUS EVALUATIONS
! !NALYSIS OF THE GRADIENT ROBUSTNESS

0 `
)N 3ECTION WE STATE THAT THE MAXIMIZATION OF D K OVER THE SET % IS GIVEN BY
-
H H H
V
` U ` `
8 -
U8 8 - -
L@W DK T K ` K
D$ H
H H
- H
H
I
I
WHERE THE SET % IS GIVEN BY

` `
8
-
8
-
% D1 J -
D >
H D
H

H H
4O PROVE WE USE STANDARD LINEAR ALGEBRA OPERATIONS WHICH0 `CAN BE FOUND IN

MOST TEXTBOOKS ON THE SUBJECT EG ;= &IRST WE OBSERVE THAT
D K IS AN INNER -
H H H
PRODUCT HD KI WHERE D IS CONSTRAINED TO BELONG TO A SUBSPACE OF 1 &ROM LINEAR ALGEBRA -
WE KNOW THAT NTHE MAXIMIZATION O CAN BE DONE BY ORTHOGONAL PROJECTION OF K ONTO
0 `
THE SUBSPACE D 1 J -

D FOLLOWED BY A CALCULATION OF THE LENGTH OF THE
-
H H
PROJECTION 4HE ORTHOGONAL PROJECTION KD OF K IS GIVEN BY

KD K ` HM KI M
WHERE M O : a a a < IS THE ORTHOGONAL DIRECTION OF THE SUBSPACE &URTHER THE
-
3
LENGTH OF KD IS V
U ` `
U8 8 - -
JKD J JK ` HM KI MJ T K ` K
-
H I
H I
WHICH COMPLETES THE PROOF OF

2OBUST SOURCE CODES
" 0ROPERTIES OF GRADIENT ROBUST ENTROPY CLOSE %0,

CODES
)N THIS APPENDIX WE ARE PROVIDING PROOFS FOR THE PROPERTIES PRESENTED IN 3ECTION 8 &OR
CONVENIENCE WE CONSIDER KNFW TO BE THE NATURAL LOGARITHM /THER BASES WILL ONLY CHANGE
THE EXPRESSIONS BY A CONSTANT $ETAILED INFORMATION ON THE MATHEMATICAL TOOLS USED IN
THE PROOFS CAN BE FOUND IN ;=
0ROPERTY !N OPTIMAL GRADIENT ROBUST ENTROPY CLOSE CODE EXISTS FOR EVERY ESTIMATED
PROBABILITY DISTRIBUTION O WHICH IS AN INTERIOR POINT OF THE SIMPLEX a ` AND EVERY SET -
OF ENTROPY CLOSE %0, CODES 6 O p
0ROOF 7E WANT TO SHOW THAT THERE IS A P 6 O MAXIMIZING 1Q P ON 6 O 3INCE
p p

1Q P R r s
0 - ` ` KNF P

0 - `

KNF P
H H - I I
IT IS SUbCIENT TO SHOW THAT THE EXPRESSION
` `
8
-
8
-
)P ` KNF P
KNF P
-
H I
H I
ATTAINS ITS MINIMUM ON 6 O 3INCE 6 P O v

p'O ON 6 O AND O IT IS
p p
H
CLEAR THAT NO P CAN BE ZERO DUE TO THE EXPRESSIONS AND )O IS A CONTINUOUS
H
FUNCTION ON THE INTERIOR OF THE SIMPLEX a ` HENCE ESPECIALLY ON 6 O &OR P O THE
-
p
AVERAGE CODING COST ATTAINS ITS MINIMUM 6 O O 'O 4HE SET 6 O IS COMPACT p
SINCE IT IS THE INVERSE IMAGE ) ` & OF A COMPACT SET & :'O

p'O< AND
6 O | a ` ! CONTINUOUS FUNCTION ON A COMPACT SET ATTAINS ITS EXTREMES ON THE SET
p
-
IE )O ATTAINS ITS MINIMUM ON 6 O (ENCE AN OPTIMAL ROBUST %0, CODE EXISTS IN
p
6 O
p

0ROPERTY 4HE SET OF ENTROPY CLOSE %0, CODES 6 O IS CONVEX p
0ROOF 7E KNOW THAT P 6 O 6 P O v

p'O 4HE SET 6 O IS CONVEX IF
p p
AND ONLY IF P ` wQ

wR 6 O FOR ALL w Q 6 O AND R 6 O 4HE
p p p
AVERAGE CODING COST AT O IS

`
8
-
6 P O ` O KNF ` wQ

wR v ` w6 Q O
w6 R O v
p'O
H H H
H
DUE TO THE CONVEXITY OF ` KNFW (ENCE THE SET 6 O IS CONVEX p

0ROPERTY 4HE OPTIMAL ROBUST ENTROPY CLOSE CODE IS FOUND BY MAXIMIZING THE GRADIENT
ROBUSTNESS 1Q P UNDER THE CONSTRAINT 6 P O
p'O
2OBUST SOURCE CODES
0ROOF &ROM 0ROPERTY WE KNOW THAT THE DESIGN PROBABILITY DISTRIBUTION FOR THE
OPTIMAL ROBUST CODE CAN BE FOUND IN 6 O )F THERE IS AN INTERIOR MINIMUM POINT P
p
THE GRADIENT R)P MUST BE ZERO OR ORTHOGONAL TO THE PROBABILITY SIMPLEX a ` SEE EG -
;= 4HE GRADIENT IS

P )
P

R) P
) P
P- `
WHERE
)P P -
KNF 1 `
J
P J-P J
-
H

PH
)F THE GRADIENT IS TO BE ZERO OR ORTHOGONAL TO THE SIMPLEX a ` IT IS NECESSARY THAT -
ALL COMPONENTS OF R)O ARE EQUAL SINCE THE ORTHOGONAL DIRECTION OF THE SIMPLEX IS
b c 3
a a a )N THE CASE WHERE ALL P ARE EQUAL IT IS TRIVIAL THAT THE GRADIENT IS ZERO
H
BUT THIS POINT DOES NOT BELONG TO 6 O )N THE CASE WHERE ALL P ARE NOT EQUAL WE EXPRESS
p
H
THE ORTHOGONALITY AS

P -
P -
KNF 1 ` J
KNF 1 ` J K K
-P J
-

H
P -PH
P K
-
H H
3INCE ALL P ARE NOT EQUAL THERE MUST BE A LARGEST AND A SMALLEST ONE $ENOTE THESE BY
H
PL@W AND PLHM )F THE EQUALITY HOLDS FOR ALL J AND K THEN IT MUST HOLD FOR J AND K
CORRESPONDING TO PLHM AND PL@W IE

P -
P -
- PLHM
KNF 1 LHM `
-
P

- PL@W
KNF 1 L@W` P -
H H H H
#ONSIDERING THAT
PLHM -
P -
1 ` `
AND 1 L@W
-
H
P H
-
H
P H
WE HAVE OBTAINED A CONTRADICTION (ENCE THERE ARE NO INTERIOR MINIMUM POINTS AND
THE DESIGN PROBABILITY P FOR THE OPTIMAL GRADIENT ROBUST CODE MUST BE LOCATED ON THE
BOUNDARY OF 6 O IE WHERE 6 P O
p'O
p

# ! NUMERICAL OPTIMIZATION METHOD

4HE METHOD USED FOR THE OPTIMIZATION IS DESIGNED FOR THE CONDITIONS CONSIDERED IN THIS
REPORT 3INCE WE KNOW FROM 0ROPERTY AND 0ROPERTY THAT THE SET 6 O IS CONVEX p
AND THAT THE OPTIMIZING POINT RESIDES ON THE BOUNDARY WE DEVELOPED A MODIçED VERSION OF
A GRADIENT SEARCH ALGORITHM FOR çNDING THE OPTIMIZING POINT 4HE CONNECTION TO GRADIENT
SEARCH IS OBVIOUS BUT THERE ARE SOME DIdERENCES ONE SHOULD BE AWARE OF
)N &IGURE A VISUALIZATION IS DONE OF THE OPTIMIZATION SITUATION 4HE DASHED TRI
ANGULAR SHAPED CURVES ARE CONTOURS OF THE ROBUSTNESS MEASURE 1Q P SEE THE EXPRESSIONS
2OBUST SOURCE CODES
&IGURE !N ILLUSTRATION OF THE OPTIMIZATION SITUATION 4HE INDEPENDENT VARIABLE IS

O
AND 4HE DASHED ELLIPTICAL CURVES ARE CONTOURS OF THE CODING COST FUNCTION
6 P O SEE THE EXPRESSIONS AND 4HE OPTIMUM POINT P IS GIVEN BY NOS
EXPRESSION REVISITED HERE
P @QFL@W 1Q P

P5 O
NOS
p
7E KNOW FROM 0ROPERTY THAT THE P IS TO BE FOUND ON THE BOUNDARY OF 6 O
NOS
p
REPRESENTED BY THE SOLID ELLIPTICAL CURVE IN &IGURE )NSTEAD OF MOVING ALONG THE
BOUNDARY OF 6 O WE HAVE CHOSEN A VARIATION OF THE GRADIENT SEARCH METHOD 4HE STEPS
p
OF THE ITERATIVE SEARCH FOR P ARE DESCRIBED BELOW )T SHOULD BE NOTED THAT THE
NOS
Q0 NOTATIONS
0 ` ` W
FOR THE INNER PRODUCT AND THE NORM ARE HW XI
W X AND KWK
-
H H H
-
H H
RESPECTIVELY
#HOOSE A STARTING POINT P 6 O AN INCREMENTAL STEP SIZE w A DIRECTION

p
CHANGE INTEGER * AND INITIALIZE THE COUNTER M
)F M IS NOT AN INTEGER MULTIPLE OF * THEN SELECT THE DIRECTION OF CHANGE TO BE
C R1Q P
M M
OTHERWISE SELECT THE DIRECTION OF CHANGE TO BE
HR6 P O R1Q P I

C R6 P O ` a R1Q P
M M
KR1Q P K
M M
M
2OBUST SOURCE CODES
4HE NEXT POINT P M

IS GIVEN BY
P M
P
waq aC
M M M
WHERE q IS A POSITIVE SCALAR FOR WHICH P
q a C IS A BOUNDARY POINT OF 6 O
M M M M
p
)NCREMENT M AND GO TO STEP IF P IS NOT ÞCLOSE ENOUGHÞ TO THE OPTIMIZING POINT

M
P NOS
4HE PRINCIPAL DIdERENCE BETWEEN A GRADIENT SEARCH BASED ON THE DIRECTION ALONE
AND A GRADIENT SEARCH BASED ON ALTERNATION BETWEEN DIRECTION AND IS SHOWN
IN &IGURE WHERE PATH ) AND )) SYMBOLIZE THE TWO METHODS RESPECTIVELY !S ILLUSTRATED
IN THE çGURE A GRADIENT SEARCH BASED ONLY ON R1Q P WILL IN MOST CASES NOT CONVERGE
M
TO P 4HIS OBSERVATION HAS BEEN VERIçED THROUGH EXPERIMENTS DURING THE DEVELOPMENT
NOS
OF THE ALGORITHM
&IGURE )LLUSTRATION OF THE OPTIMIZATION PATHS FOR TWO DIdERENT GRADIENT METHODS
4HE STARTING POINT P IS CHOSEN AS A âATTENED VERSION OF THE ESTIMATED PROBABILITY DIS
TRIBUTION O BY MOVING TOWARDS THE RECTANGULAR PROBABILITY DISTRIBUTION Q : a a a < - 3
ALONG A STRAIGHT LINE IE

P ` |O
|Q
WHERE | IS CHOSEN SUCH THAT 6 P O v
p'O !N ANALYTICAL EXPRESSION FOR SUCH
A | CAN BE OBTAINED BY OBSERVING THAT
6 ` |O
|Q O v ` |'O
| KNF -
(ENCE IF WE CHOSE | TO BE
p'O
|
KNF - ` 'O
IT IS ENSURED THAT P 6 O
p
4HE ABOVE ALGORITHM IS NOT SELF ADJUSTING AND THEREFORE THE PARAMETERS w AND *
MIGHT HAVE TO BE CHANGED TO OBTAIN A PROPER CONVERGENCE OF P TO P 4HE CONVERGENCE
M NOS
CAN BE MONITORED BY PLOTTING THE VALUES OF

HR6 P O R1Q P I
T
M M
KR1Q P K a KR6 P OK

M
M M
2OBUST SOURCE CODES
AND
V 6 P O
M M
DURING THE ITERATIONS OF THE ALGORITHM !T THE OPTIMUM P R6 P O AND R1Q P
NOS NOS NOS
ARE POINTING IN THE SAME DIRECTION SEE EG;= &URTHER WE KNOW THAT THE OPTIMIZING
POINT RESIDES ON THE BOUNDARY OF 6 O IE WHERE 6 P O
p'O (ENCE IF
p
T AND V
p'O WE HAVE AN INDICATION ON THE CONVERGENCE P P
M M M NOS
)N THE EXPERIMENTS PERFORMED THE ALGORITHM SEEMS TO CONVERGE WITHIN A FEW HUNDRED
ITERATIONS WHEN THE NUMBER OF SOURCE SYMBOLS IS - w AND * )N SOME
EXTREME CASES * WAS CHOSEN TO A HIGHER VALUE TO OBTAIN CONVERGENCE
! MORE THOROUGH ANALYSIS OF THE OPTIMIZATION ALGORITHM IS NOT PERFORMED IN THIS
REPORT SINCE IT IS OUT OF THE SCOPE OF THIS REPORT 4HE ONLY REASON FOR DESIGNING A SPECIAL
ALGORITHM IN THIS CASE IS A MATTER OF SPEEDING UP THE CALCULATIONS DURING THE EXPERIMENTS
2OBUST SOURCE CODES
0ART
! PERFORMANCE ANALYSIS OF LOOK UP
TABLE BASED VARIABLE LENGTH DECODERS
!BSTRACT Ô )N THIS REPORT WE ARE PRESENTING TWO DECODING ALGORITHMS FOR BINARY VARIABLE
LENGTH CODES BASED ON A LOOK UP TABLE APPROACH 4HIS TYPE OF ALGORITHMS ARE FAMILIAR TO
SOFTWARE DESIGNERS BUT THE AUTHORS HAVE NOT BEEN ABLE TO çND ANY SCIENTIçC MATERIAL WHERE
THE DECODING SPEED IS ANALYSED 4HE ALGORITHMS WILL DECODE ONE OR SEVERAL SOURCE SYMBOLS
FOR EACH CYCLE OF THE ALGORITHM 4HE LOOK UP TABLE APPROACH IS BASED ON A COMPLETION OF THE
TREE REPRESENTATION OF THE VARIABLE LENGTH CODE $ECODING IS DONE BY INDEXING A TABLE WITH
A çXED LENGTH BLOCK FROM THE CONCATENATED VARIABLE LENGTH CODE SEQUENCE /NE RESTRICTION
IS THAT THE çXED LENGTH BLOCK MUST BE AT LEAST AS LONG AS THE MAXIMAL CODE WORD LENGTH IN
THE USED VARIABLE LENGTH CODE
"OTH THE SPEED AND MEMORY REQUIREMENT PROPERTIES OF THE ALGORITHMS ARE STUDIED )T
IS SHOWN THAT THE LOOK UP TABLE ALGORITHMS ARE CONSIDERABLY FASTER THAN THE TREE SEARCH
ALGORITHM SEEN IN MOST TUTORIAL BOOKS AT A COST OF MEMORY REQUIREMENTS EXPONENTIALLY
GROWING WITH THE çXED LENGTH BLOCK SIZE
/N THE ONE HAND THE MEMORY REQUIREMENTS OF THE LOOK UP TABLE DECODERS ARE LARGE
BUT ON THE OTHER HAND THE COST PER BIT OF MEMORY HAS SHOWN A RAPIDLY DECREASING TREND
DURING THE LAST FEW DECADES
$EDICATED HARDWARE PROPOSALS ARE PRESENTED FOR THE LOOK UP TABLE ALGORITHMS AS WELL
AS A SOFTWARE EVALUATION OF THE DECOMPRESSION SPEEDS ON AN I 0# USING A BIT #
COMPILER

/ %DFORS ! %RENDI AND 0 / "¶RJESSON ! PERFORMANCE ANALYSIS OF LOOK UP TABLE BASED VARIABLE LENGTH
DECODERS 2ESEARCH 2EPORT 45,%! ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY ,ULE¥

6ARIABLE LENGTH DECODERS
)NTRODUCTION
6ARIABLE LENGTH CODING BASED ON 3HANNONS 3OURCE #ODING 4HEOREM ;= IS A COMMON
DATA COMPRESSION TECHNIQUE 4HE CODE CONSTRUCTION METHODS EG THE ONE PRESENTED
BY (UdMAN ;= USES THE PRINCIPLE THAT SYMBOLS WITH A HIGH PROBABILITY OF APPEARANCE
SHOULD REQUIRE LESS STORAGE SPACE THAN LESS FREQUENT SYMBOLS 4HIS IS DONE BY ASSIGN
ING SHORT CODE WORDS TO THE HIGH PROBABILITY SYMBOLS AND LONG CODE WORDS TO THE LOW
PROBABILITY ONES
! VARIABLE LENGTH CODED SEQUENCE CAN BE DECODED BY A TREE SEARCH "Y MATCHING THE
BITS IN THE SEQUENCE AGAINST THE BRANCHES IN THE CODE TREE ONE WILL UPON ARRIVAL AT A LEAF
HAVE DECODED ONE SOURCE SYMBOL (OWEVER THE TREE SEARCH IS NOT A VERY FAST DECODING
METHOD )F THE AVERAGE CODE WORD LENGTH IS 6 BITS A TRIVIAL TREE SEARCH WILL REQUIRE
AN AVERAGE OF 6 MATCHINGS BEFORE A SOURCE SYMBOL IS DECODED 4HE APPROACH WE HAVE
CHOSEN IS TO COMPLETE THE CODE TREE TO A CERTAIN DEPTH OF EVERY BRANCH ALLOWING A TABULAR
DECODING WHERE ONE OR SEVERAL SOURCE SYMBOLS ARE DECODED PER CYCLE OF THE ALGORITHM
$IdERENT TYPES OF SIMILAR ALGORITHMS HAVE BEEN USED IN COMPRESSION SOFTWARE BUT AS FAR AS
THE AUTHORS KNOW NO SCIENTIçC MATERIAL HAS BEEN PUBLISHED WHERE THE SPEED PERFORMANCE
IS ANALYSED 4O MAKE SURE THAT THERE IS NO AMBIGUITY IN THE ANALYSIS WE CONSTRUCT A SET
OF DECODERS WHICH WE ARE USING IN THE ANALYSIS
)N #HAPTER THE BASIC STRUCTURES AND THE CODING ALGORITHMS ARE INTRODUCED 4HE
TABULAR DECODING CONSISTS OF TWO GROUPS OF ALGORITHMS EACH GROUP CONSISTING OF A LOOK UP
TABLE CONSTRUCTION ALGORITHM AND A VARIABLE LENGTH DECODER 4HE çRST TWO ALGORITHMS ARE
DESCRIBING A LOOK UP TABLE DECODER AND THE TWO LATTER ONES AN EXTENDED LOOK UP TABLE
DECODER #HAPTER ALSO CONTAINS A PROPOSAL ON DEDICATED HARDWARE FOR HIGH SPEED
DECODING
)N #HAPTER THE DECODING SPEED AND THE REQUIRED MEMORY SPACE OF THE LOOK UP
TABLE DECODING ALGORITHMS ARE ANALYSED 4HE POSSIBLE PROBLEMS WITH LARGE MEMORY
REQUIREMENTS CAN BE DEALT WITH BY INTRODUCING SMALLER CHANGES IN THE DECODING AND
ENCODING ALGORITHMS ! GROUPING STRATEGY CAN BE APPLIED ON THE VARIABLE LENGTH CODE
TO REDUCE THE MEMORY REQUIREMENTS SEE FOR INSTANCE ; = AND THERE ARE ALSO
ALGORITHMS AVAILABLE FOR DESIGNING LENGTH LIMITED VARIABLE LENGTH CODES SEE FOR INSTANCE
; = 4HESE METHODS FOR SOLVING MEMORY PROBLEMS ARE NOT INCLUDED IN THE
REPORT
)F A SHORT INTRODUCTION TO THE ALGORITHMS IS DESIRED IT IS RECOMMENDED TO HAVE A BRIEF
LOOK AT THE CHAPTERS AND IN COMBINATION WITH THE TWO APPENDICES ! AND "
WHICH CONTAIN A FEW EXAMPLES ON DECODING AND A 0# IMPLEMENTATION OF THE ALGORITHMS
!LGORITHMS AND A HARDWARE PROPOSAL

)N THIS CHAPTER THE CODING AND DECODING ALGORITHMS ARE DESCRIBED 4HE CODING ALGORITHM
IS A STRAIGHTFORWARD IMPLEMENTATION BUT IT IS INCLUDED FOR THE PURPOSE OF COMPLETENESS
4HE ALGORITHM IMPROVEMENTS IN THIS REPORT CONCERN THE DECODING PART WHERE TWO DIdERENT
TYPES OF LOOK UP TABLES ARE USED TO ACHIEVE A FAST DECODING PROCEDURE
4HE ENCODERDECODER MODEL USED IN THIS CHAPTER IS PRESENTED IN &IGURE WHERE
IS A DATA SEQUENCE OF SOURCE SYMBOLS AND ! IS A SEQUENCE OF BITS REPRESENTING THE

CORRESPONDING VARIABLE LENGTH CODE SEQUENCE
A B Storage/ B A
Encoder Decoder
Channel
&IGURE %NCODER$ECODER MODEL
4O ENSURE THAT THERE IS NO AMBIGUOUSNESS IN THE MODEL DESCRIPTION USED A FEW BASIC
DEçNITIONS ARE STATED -OST OF THE NOTATIONS USED ARE LISTED IN !PPENDIX #
$EçNITION -
DENOTES
3 THE SET OF NON EMPTY SEQUENCES CONSISTING OF ELEMENTS FROM
THE SET - IE -

-
M
M
$EçNITION 4HE SET OF SOURCE SYMBOLS 3 FR J H - ` G IS A SET OF -

H
SYMBOLS FROM WHICH THE SOURCE PRODUCES A SEQUENCE 3

h i
$EçNITION ! BINARY VARIABLE LENGTH PREçX CODE # " F G
J H - `
H
IS A SET OF CODE WORDS WHERE EVERY CODE WORD " HAS A CERTAIN LENGTH K BITS AND NO " IS
H H H
THE PREçX OF ANY OTHER CODE WORD " I H SEE FOR INSTANCE ;=
I
$EçNITION "Y A TRIMMED BINARY VARIABLE LENGTH CODE WE MEAN A CODE # THAT HAS
NO EMPTY LEAVES IN THE TREE REPRESENTATION
0 ` ` OF THE CODE
0 4HIS CAN BE EXPRESSED AS EQUALITY
IN THE +RAFT INEQUALITY ;= -
v IE
KH ` `
WHERE K IS THE CODE
- KH
H H H
WORD LENGTH ACCORDING TO $EçNITION
2EMARK !S LONG AS WE ARE STUDYING BINARY VARIABLE LENGTH CODES THE CODE CAN ALWAYS
BE TRIMMED ACCORDING TO $EçNITION WITHOUT ANY LOSS IN COMPRESSION RATE )N FACT
THE COMPRESSION RATE IS ENHANCED BY TRIMMING A CODE 4HIS IS DUE TO THE FACT THAT THE
NUMBER OF LEAVES CAN BE INCREASED OR DECREASED BY ONE BY ADDING OR REMOVING ONE
NODE
$EçNITION 6ARIABLE LENGTH CODING OF A SYMBOL FROM THE SOURCE SYMBOL SET 3 ACCORD
ING TO $EçNITION WITH A VARIABLE LENGTH CODE # ACCORDING TO $EçNITION IS DEçNED
AS A MAPPING 5+" 3 # SUCH THAT
5+"
R ` "
H H H - `
"EFORE DESCRIBING THE ENCODING AND DECODING ALGORITHMS A FEW FUNCTIONS AND A CON
CATENATION OPERATOR ARE INTRODUCED WHICH ARE TO BE USED ON SEQUENCES LATER ON
$EçNITION ,ET ! BE BINARY SEQUENCE ! n n n L `

WHERE n F G 4HE
H
VALUATION OF THAT SEQUENCE IS DENOTED BY U@K!

`
8
``
L
U@K! n H
L H
H
$EçNITION ! BINARY SEQUENCE ! n n n ` OF LENGTH L WITH A CERTAIN VALUA

L
TION M FH J H ` G IS DENOTED BY AHMRDPL M

L
AHMRDPL M ! RTBG SG@S U@K! M
2EMARK 4HE FUNCTIONS U@K! IN $EçNITION AND AHMRDPL M IN $EçNITION
DO NOT NECESSITATE CALCULATION ON AN ORDINARY COMPUTER SINCE THE BITS n n n `
L
IS THE INTERNAL REPRESENTATION OF THE VALUATION
$EçNITION ,ET AND ! BE TWO SEQUENCES m m m ` AND ! n n n L M `

BELONGING TO THE SAME SET -
THE CONCATENATION OPERATOR h IS DEçNED BY
h ! m m m `n
L n n M `
4HE ALGORITHM DESCRIPTION IN THE SEQUEL IS DONE IN AN ABSTRACT WAY BUT IN !PPENDIX
! AN EdORT IS MADE TO ELUCIDATE THE THEORY BY A FEW EXAMPLES
%NCODING ALGORITHM

4HE ALGORITHM DESCRIBED IN THIS SECTION IS A STANDARD VARIABLE LENGTH CODING PROCEDURE
4HE BASIC STRUCTURE OF THIS TYPE OF CODING WAS çRST PROPOSED BY 3HANNON ;= IN
!LGORITHM %NCODING (AVING A SEQUENCE OF SOURCE SYMBOLS m m m `

L
THE FOLLOWING ALGORITHM CAN BE USED FOR ENCODING INTO A BINARY SEQUENCE OF CONCATENATED
VARIABLE LENGTH CODE WORDS ! 4HE ALGORITHM IS BASED ON $EçNITION
H !
! ! h 5 +"m H
HH

HE H L FNSN
!FTER COMPLETING THE ALGORITHM ! CONTAINS THE VARIABLE LENGTH CODED VERSION OF THE SE
QUENCE
! LOOK UP TABLE DECODER

4HE LOOK UP TABLE DECODER PROPOSED IN THIS SECTION WILL DECODE ONE SOURCE SYMBOL FOR EACH
MATCHING THUS SPEEDING UP THE DECODING PROCEDURE COMPARED TO A TREE SEARCH ALGORITHM
4HE DECODING ALGORITHM IS BASED ON A TABULAR METHOD WHERE THE LEAVES OF A COMPLETED
CODE TREE ARE USED AS THE TABULAR ENTRIES #OMPLETING THE CODE TREE IS TO BE INTERPRETED
AS AN EXTENSION OF EVERY BRANCH TO A CERTAIN DEPTH KL@W WHERE KL@W IS THE MAXIMAL CODE
WORD LENGTH IN THE CODE USED
&IRST A DECODE TABLE IS INTRODUCED IN THE FORM OF A DECODE ARRAY WHICH IS CONSTRUCTED
ACCORDING TO !LGORITHM
!LGORITHM ,OOK UP TABLE ,ET # BE PRE DEçNED TRIMMED VARIABLE LENGTH PREçX
CODE ACCORDING TO $EçNITION AND DENOTE THE MAXIMAL CODE WORD LENGTH IN # BY KL@W
(AVING AN ARRAY IMPLEMENTATION OF OUR LOOK UP TABLE CDBNCD :H< 3 FOR H L@W ` K
THE CONTENTS ARE DETERMINED BY THE FOLLOWING ALGORITHM
H
I
" " h AHMRDPKL@W ` K I
H H
CDBNCD :U@K"< R H
I I

HE I L@W `
K
FNSN
KH
HH

HE H - FNSN
!FTER COMPLETING THE ABOVE ALGORITHM THE CDBNCD :a< ARRAY CAN BE USED IN THE DECODING
ALGORITHM TO PERFORM A DECODING
4HE çRST CODE WORD OF A VARIABLE LENGTH CODED SEQUENCE ! CAN NOW BE DECODED BY
INDEXING CDBNCD :a< WITH THE VALUATION OF THE çRST KL@W BITS OF ! 4HE BITS OF THE NEXT CODE
WORD IN THE SEQUENCE WILL NOT EdECT THE DECODED SYMBOL RETURNED BY CDBNCD :a< 4HIS IS
DUE TO THE STEPS OF !LGORITHM !FTER THE BITS OF THE çRST CODE WORD ANOTHER SET
OF KL@W BITS ARE TAKEN 2EPEATING THIS THE WHOLE SEQUENCE CAN BE DECODED
!LGORITHM ,OOK UP TABLE DECODER ,ET ! BE THE REPRESENTATION OF A BINARY

CONCATENATED VARIABLE LENGTH CODE SEQUENCE ! n n n ` FOR INSTANCE CREATED BY
M
!LGORITHM AND LET KL@W BE THE MAXIMAL CODE WORD LENGTH IN THE CODE # !SSUMING A
DECODE ARRAY CDBNCD :a< IE A LOOK UP TABLE CREATED BY !LGORITHM THE DECODING OF !
INTO IS EXECUTED IN THE FOLLOWING MANNER
I b c
C CDBNCD U@Kn n I I

n I
KL@W `

hC
I I
KDMFSGC
HE I M FNSN
WHERE KDMFSGC IS A FUNCTION RETURNING THE LENGTH OF THE CODE WORD ASSOCIATED WITH THE
SOURCE SYMBOL C 7HEN COMPLETING THE ALGORITHM CONTAINS THE DECODED SOURCE SYMBOL
SEQUENCE
2EMARK )N STEP OF !LGORITHM THE INDEX OF THE BINARY SEQUENCE ! MIGHT EXCEED
THE WELL DEçNED BITS OF ! IE EXCEED M ` )F THIS SITUATION OCCURS THE UNDEçNED BITS
MAY BE çLLED WITH ANY CONTENTS EG ZEROS OR ONES
2EMARK 4HE FUNCTION KDMFSGR CANb BE IMPLEMENTED AS

H
c AN ARRAY CONTAINING THE
CODE WORD LENGTHS K EG KDMFSG :H< K K K ` DEçNING KDMFSG 3
H -
KDMFSG
FH J H KL@W G BY R ` KDMFSG :H<
H
!N EXTENDED LOOK UP TABLE DECODER

! MORE EbCIENT DECODING ALGORITHM THAN IN THE PREVIOUS SECTION CAN BE DERIVED IN A
SOMEWHAT DIdERENT MANNER )NSTEAD OF COMPLETING THE CODE TREE TO THE FULL DEPTH OF EVERY
BRANCH DECODING THE çRST SYMBOL BY A TABULAR INDEXATION IT IS POSSIBLE TO COMPLETE THE
TREE TO A PRE DEçNED DEPTH K w KL@W BY A RECURSIVE EXTENSION OF ITSELF 3UCH AN
CDOSG
APPROACH WILL ALLOW MORE THAN ONE SOURCE SYMBOL TO BE DECODED AT EACH INDEXATION !NY
DECODING ALGORITHM CAN BE USED TO PERFORM THE RECURSIVE EXTENSION OF THE TREE BUT TO
MAKE THE DESCRIPTION OF !LGORITHM SHORTER THE DECODE ARRAY FROM !LGORITHM IS
USED 4HE DECODING PROCEDURE IS BASED ON TAKING K BIT BLOCKS AND DECODING AS MANY
CDOSG
SYMBOLS AS POSSIBLE IN THAT CERTAIN BLOCK

4HE CONTENTS OF A DECODE ARRAY BASED ON A RECURSIVELY EXTENDED TREE IS DETERMINED
BY !LGORITHM
!LGORITHM %XTENDED LOOK UP TABLE !SSUME A PRE DEçNED TRIMMED PREçX FREE
VARIABLE LENGTH CODE # ACCORDING TO $EçNITION WHERE THE MAXIMAL CODE WORD LENGTH IN
# IS KL@W (AVING A LOOK UP TABLE CDBNCD :H< 3 FOR H L@W ` CREATED BY !LGORITHM
K
THE CONTENTS OF THE EXTENDED LOOK UP TABLE CDBNCD :I< 3

FOR I
$ ` KCDOSG
IS DETERMINED BY THE FOLLOWING ALGORITHM
I
#
" AHMRDPK I VGDQD "
CDOSG KCDOSG `
J b c
C CDBNCD U@K

L@W `
J J J K
J J
KDMFSGC
HE J v K SGDM # # h C FNSN
CDOSG
CDBNCD :I< #
$
I I

HE I FNSN
KCDOSG
4HE DECODE ARRAY CDBNCD :a< CAN NOW BE USED IN THE EXTENDED LOOK UP TABLE DECODER
$
2EMARK )N STEP OF !LGORITHM THE INDEX OF THE BINARY SEQUENCE " MIGHT EXCEED
THE WELL DEçNED BITS OF " IE EXCEED K ` )F THIS SITUATION OCCURS THE UNDEçNED
CDOSG
BITS MAY BE çLLED WITH ANY CONTENTS EG ZEROS OR ONES
!LL CODE WORDS FULLY CONTAINED IN THE çRST K BITS OF A BINARY SEQUENCE ! CAN NOW
CDOSG
BE DECODED BY INDEXING CDBNCD :a< WITH THE VALUATION OF THOSE BITS !T THE END OF THE
$
LAST CODE WORD ANOTHER SET OF K BITS IS TAKEN 2EPEATING THIS THE WHOLE SEQUENCE CAN
CDOSG
BE DECODED
!LGORITHM %XTENDED LOOK UP TABLE DECODER ,ET ! REPRESENT A BINARY CON
CATENATED VARIABLE LENGTH CODE SEQUENCE ! n n n ` FOR INSTANCE CREATED BY !LGO
M
RITHM !SSUMING A LOOK UP TABLE CDBNCD :a< CREATED BY !LGORITHM WITH A CHOSEN
$
DEPTH K CDOSG THE DECODING OF ! INTO IS EXECUTED IN THE FOLLOWING MANNER
I H I
# CDBNCD U@Kn n $ I I
n I
KCDOSG `
h#
I I
KDMFSG#
HE I M FNSN
WHERE KDMFSG# IS A FUNCTION RETURNING THE SUM OF THE LENGTHS OF THE CODE WORDS ASSOCIATED
WITH THE SOURCE SYMBOL SEQUENCE # 7HEN COMPLETING THE ALGORITHM CONTAINS THE
DECODED SOURCE SYMBOL SEQUENCE
2EMARK )N STEP OF !LGORITHM THE INDEX OF THE BINARY SEQUENCE ! MIGHT EXCEED
THE WELL DEçNED BITS OF ! IE EXCEED M ` )F THAT SITUATION OCCURS THE UNDEçNED BITS
MAY BE çLLED WITH ANY CONTENTS EG ONES OR ZEROS &URTHER TO MAKE SURE THAT NO EXTRA
SYMBOLS ARE ADDED TO # WILL HAVE TO BE TRUNCATED UNTIL KDMFSG# HAS THE SAME SIZE AS
THE WELL DEçNED BITS OF n n
n
I I `
I KCDOSG
2EMARK !S IN !LGORITHM THE FUNCTION KDMFSG# CAN BE IMPLEMENTED AS AN

ARRAY
! DEDICATED HARDWARE PROPOSAL

)N THIS 3ECTION A PROPOSAL IS MADE ON A DEDICATED HARDWARE FOR THE PRESENTED DECOD
ING ALGORITHMS 4HE HARDWARE WILL BE SOMEWHAT DIdERENT FOR THE TWO ALGORITHMS 4HE
EXTENDED LOOK UP TABLE ALGORITHM IS IMPLEMENTED IN A WAY THAT WILL ALLOW HIGH SPEED
DECODING WITHOUT CARING ABOUT THE REQUIRED MEMORY SPACE )N THE LOOK UP TABLE IMPLE
MENTATION MORE CARE IS TAKEN OVER THE REQUIRED MEMORY SPACE AT THE COST OF A LOWER
DECOMPRESSION SPEED
!CCORDING TO 3ECTION THE LOOK UP TABLE DECODER WILL NEED A CDBNCD :a< ARRAY WITH
KL@W ENTRIES CONTAINING ONE SOURCE SYMBOL EACH &URTHER A KDMFSG :a< ARRAY SEE 2EMARK
WITH - ENTRIES IS NEEDED FOR THE CODE WORD LENGTHS )F WE PUT THE CDBNCD :a< ARRAY
IN ONE 2!- RANDOM ACCESS MEMORY AND THE KDMFSG :a< ARRAY IN A SECOND 2!- THE
DECODER CAN BE IMPLEMENTED AS IN &IGURE
&OR THE EXTENDED LOOK UP TABLE ALGORITHM THERE IS A DIdERENT SITUATION 4HERE ARE
TWO MAJOR DIdERENCES THE KDMFSG a FUNCTION HAS TO RETURN THE TOTAL CODE WORD LENGTH OF
A SEQUENCE OF SOURCE SYMBOLS AND THE ENTRIES IN THE LOOK UP TABLE WILL HAVE TO CONTAIN
SEQUENCES OF SOURCE SYMBOLS
)N ORDER TO PREVENT A CALCULATION OF KDMFSG# IT IS STORED FOR EVERY SEQUENCE IN THE
CDBNCD :a< ARRAY 4HIS WILL IMPLY THAT THE KDMFSG :a< ARRAY WILL CONTAIN
$ ENTRIES IE KCDOSG
THE SAME NUMBER OF ENTRIES AS THE CDBNCD :a< ARRAY 5SING THE FACT THAT THE NUMBER OF
$
ENTRIES ARE THE SAME THE TWO ARRAYS CAN BE PLACED IN THE SAME 2!- INDEXING THEM WITH
THE SAME ADDRESS IE THE SAME K BITS OF THE BINARY CODE SEQUENCE
CDOSG
4O BE ABLE TO STORE A SOURCE SYMBOL SEQUENCE # CONTAINING M SYMBOLS IT HAS BEEN

CHOSEN TO REPRESENT # AS A çXED LENGTH SEQUENCE #B WHERE # OCCUPIES THE çRST M POSITIONS
Shift register (lmax bits)

Storage/
Buffer Channel
length(D)
Look-up table memory (RAM)
Code word length

memory
(RAM)
&IGURE $EDICATED LOOK UP TABLE HARDWARE

% $
B
4HE MEMORY REPRESENTATION OF SUCH A SEQUENCE CAN BE INTERPRETED AS A TUPLE M # 4HE
B WILL HAVE TO BE LARGE ENOUGH TO STORE ALL SEQUENCES IN
NUMBER OF AVAILABLE POSITIONS IN #
THE LOOK UP TABLE
4HE PROPOSED HARDWARE IMPLEMENTATION IS SHOWN IN &IGURE
Shift register (ldepth bits)

Storage/
Buffer Channel
Look-up table and code

sequence length memory
(RAM)
length ( D )
D n
&IGURE $EDICATED EXTENDED LOOK UP TABLE HARDWARE
2EMARK 4HE BUdER AND SHIFT REGISTER IMPLEMENTATION CAN BE DONE IN A WAY THAT
WILL ALLOW ANY SHIFT TO BE DONE IN CONSTANT TIME /NE APPROACH IS TO IMPLEMENT THE SHIFT
REGISTER AS A NET OF BINARY LOGIC IE A BARREL TYPE SHIFT REGISTER
$ECODING ALGORITHM PROPERTIES

4HE PROPERTIES WE ARE INVESTIGATING IN THIS CHAPTER ARE THE DECODING SPEED AND THE
MEMORY REQUIREMENTS OF THE DECODING ALGORITHMS 4HE SPEED OF AN ALGORITHM IS MEASURED
IN THE ASYMPTOTIC NUMBER OF DECODED SOURCE SYMBOLS PER ALGORITHM CYCLE 4HIS MAKES THE
MEASURE IMPLEMENTATION INDEPENDENT
4HERE ARE SEVERAL METHODS FOR STORING THE DECODING TABLES AND EACH METHOD WILL
REQUIRE A DIdERENT AMOUNT OF MEMORY 4HE MEMORY SIZES CONSIDERED IN THE ANALYSIS ARE
BASED ON THE HARDWARE IMPLEMENTATIONS PROPOSED IN 3ECTION
$EçNITION !LGORITHM CYCLE 4HE ALGORITHM CYCLE USED FOR MEASURING THE ALGO
RITHM SPEED CONSISTS OF THE TWO BASIC STEPS SHOWN BELOW /NE EXECUTION OF THE STEPS H
AND HH IS DEçNED AS ONE ALGORITHM CYCLE
H 'ET BITS FROM THE STORAGECHANNEL
HH $ECODE BITS DIdERENT APPROACH FOR THE ALGORITHMS
)N THE TREE SEARCH ALGORITHM THE ALGORITHM CYCLE CONSISTS OF ÞGET ONE BIT AND MATCH
WITH THE BRANCHES IN THE CODE TREEÞ AND IN THE LOOK UP TABLE AND EXTENDED LOOK UP TABLE
ALGORITHMS !LGORITHM AND IT CONSISTS OF THE STEPS
$EçNITION !LGORITHM SPEED ,ET b b 7 3 0 # BE A MARKOV CHAIN DE

M M
SCRIBING THE NUMBER OF DECODED SOURCE SYMBOLS AT ALGORITHM CYCLE M OF DECODING ALGORITHM
7 USING THE CODE # ON THE SOURCE 3 WITH PROBABILITY DISTRIBUTION 0 4HE SPEED OF ALGO
RITHM 7 UNDER THESE CONDITIONS IS DEçNED AS THE FOLLOWING ASYMPTOTIC NUMBER OF DECODED
SOURCE SYMBOLS PER ALGORITHM CYCLE
8
L `
h 3 0 # KHL
7
L L b M
M
%XPRESSION OF $EçNITION WILL BE USED IMPLICITLY IN THE SEQUEL WITHOUT REF
ERENCES
!LGORITHM SPEED

)N THE SPEED ANALYSIS OF THE ALGORITHMS THE AVERAGE CODE WORD LENGTH IS USED AS THE
INDEPENDENT VARIABLE 4HE FOLLOWING DEçNITION WILL GIVE THE OBSERVED AVERAGE CODE WORD
LENGTH FOR A CERTAIN CODING SITUATION
$EçNITION 4HE THE AVERAGE CODE WORD LENGTH WHEN USING THE CODE # ON A SOURCE
WITH PROBABILITY DISTRIBUTION 0 IS GIVEN BY 6 # 0 :BITSYMBOL<
`
8
-
6 # 0 OK
H H
H
)NFORMATION ON AVERAGE CODE WORD LENGTH CAN BE FOUND IN SEVERAL TEXTS CONCERNING
VARIABLE LENGTH CODING SEE FOR INSTANCE ; =
4HE çRST TWO PROPERTIES ARE GIVEN WITHOUT FORMAL PROOF AND ALL THREE OF THEM ARE BASED
ON THE ASYMPTOTIC NUMBER OF DECODED SOURCE SYMBOLS PER ALGORITHM CYCLE ACCORDING TO
$EçNITION 4HE AVERAGE CODE WORD LENGTH 6 # 0 OF $EçNITION IS USED AS THE
INDEPENDENT VARIABLE
0ROPERTY 4REE SEARCH SPEED 4HE ORIGINAL TREE SEARCH ALGORITHM WILL ON AVER
AGE DECODE ONE SOURCE SYMBOL PER 6 # 0 BIT MATCHINGS AGAINST THE BRANCHES IN THE CODE
TREE (ENCE THE DECODING SPEED IS

h 32 3 0 #
6 # 0
0ROPERTY ,OOK UP TABLE SPEED !S MENTIONED IN 3ECTION THE LOOK UP TA
BLE DECODER IN !LGORITHM WILL DECODE ONE SOURCE SYMBOL PER ITERATION (ENCE THE
DECODING SPEED IS
h 3 0 #
+3
0ROPERTY %XTENDED LOOK UP TABLE SPEED 4HE DECODING SPEED OF !LGORITHM
IS BOUNDED BY t u
K
K
L@W vh 3 0 # v
CDOSG CDOSG
$+3
6 # 0 6 # 0
0ROOF ,ET US START WITH THE UPPER BOUND &IRST ASSUME THAT L IS THE NUMBER OF SYMBOLS
IN THE SEQUENCE AND THAT M IS THE NUMBER OF BITS IN THE CODE SEQUENCE ! WHEN USING
THE CODE # ON 4HE MOST FAVOURABLE SITUATION WOULD BE IF THE DECODER ACTUALLY DECODED
K
CDOSG BITS EVERY STEP OF THE ALGORITHM )F THE DECODER HAD TO USE J STEPS TO DECODE ! INTO
THE TOTAL NUMBER OF DECODED BITS WOULD BE JK 4HE OBSERVED AVERAGE CODE WORD
CDOSG
LENGTH OF ML BITSSYMBOL IN COMBINATION WITH JK M THEN PRODUCES THE UPPER

CDOSG
BOUND
L L K
h 3 0 # v L
CDOSG
J MK
$ +3
6 # 0
CDOSG
)F WE CONSIDER THE LOWER BOUND IT IS QUITE OBVIOUS THAT THE EXTENDED LOOK UP TABLE
DECODER WILL DECODE AT LEAST ONE SYMBOL PER ITERATION (OWEVER IT IS NOT A VERY APPEALING
LOWER BOUND 4HEREFORE CONSIDER A SITUATION WHERE TWO CONSECUTIVE ALGORITHM STEPS ARE
STUDIED )F THE DECODER MANAGES TO DECODE J BITS DURING THE çRST ALGORITHM STEP THE NEXT
K
CDOSG `J BITS IN THE SEQUENCE MUST BELONG TO ONE AND ONLY ONE CODE WORD OF LENGTH GREATER
OR EQUAL TO K
CDOSG ` J
HENCE IN THE NEXT STEP OF THE ALGORITHM AT LEAST K `J
CDOSG
BITS WILL BE DECODED &ROM THIS SITUATION WE CAN CONCLUDE THAT EVERY TWO STEPS OF THE
ALGORITHM AT LEAST KCDOSG
BITS WILL BE DECODED 5SING THE SAME TYPE OF ARGUMENTATION
AS IN EXPRESSION WE ARRIVE IN
K

h 3 0 # w L
CDOSG
$ +3
6 # 0
%XPRESSION IN COMBINATION WITH THE ÚAT LEAST ONE SYMBOL PER ITERATIONÚ STATEMENT
PRODUCES t u
K

h 3 0 # w L@W
CDOSG
$+3
6 # 0
"Y COMBINING THE TWO EXPRESSIONS AND THE PROOF IS COMPLETED
4HEOREM 5SING THE THREE DECODING ALGORITHMS TREE SEARCH LOOK UP TABLE AND EX
TENDED LOOK UP TABLE ON THE SAME SYMBOL SOURCE WITH THE SAME VARIABLE LENGTH CODE THE
FOLLOWING RELATION WILL HOLD FOR THE SPEED OF THE ALGORITHMS
h 32 3 0 # v h+3 3 0 # v h $+3 3 0 #
WHERE h 3 0 # h 3 0 # AND h

32 +3 3 0 # ARE THE INDIVIDUAL SPEEDS OF THE
$ +3
ALGORITHMS ACCORDING TO THE EXPRESSIONS AND
0ROOF &OR EVERY VARIABLE LENGTH CODE # THE AVERAGE CODE WORD LENGTH WILL BE GREATER
OR EQUAL TO ONE BIT PER SYMBOL IE 6 # 0 w 4HIS IS DUE TO THE FACT THAT EVERY CODE
WORD MUST HAVE A LENGTH OF AT LEAST ONE BIT 5SING THIS WE GET THE FOLLOWING BOUNDS ON
h 3 0 #
32
h 32 3 0 # v
4HIS IMPLIES h 3 0 # v h 3 0 # 5SING THE EXPRESSIONS AND THE
32 +3
CONCLUSION IS THAT THE RELATION IN 4HEOREM HOLDS
3INCE ONLY UPPER AND LOWER BOUNDS ARE DERIVED ON h A SIMPLE EXPERIMENTAL EVALU
$ +3
ATION OF THE SPEED IS PRESENTED IN &IGURE ALONG WITH THE THEORETICAL SPEED PROPERTIES
4HE EXPERIMENTAL DATA WAS CREATED USING A UNIFORMLY DISTRIBUTED STOCHASTIC VARIABLE
t < AND A MAPPING
x y
E
t t
@t

WHERE OBSERVATIONS OF E t :< WERE USED AS THE INPUT SEQUENCE TO THE
ALGORITHM 4HE PARAMETER @ IN EXPRESSION WAS SET TO DIdERENT VALUES TO CHANGE THE
SHAPE OF THE DISTRIBUTION OF E
t IE TO CHANGE THE ENTROPY )T CAN BE SHOWN THAT
t u
` W
/Q W ` v W v
@t
@W @

&ROM THE EXPRESSIONS AND IT FOLLOWS THAT

r s x y
` M
/Q E
t vM ` v M v
@M
@

WHERE M IS AN INTEGER 4HIS WILL IMPLY THAT THE PROBABILITY OF THE SMALLEST E
r VALUE ON
s t WILL
INCREASE WITH @ AND THE REST OF THE PROBABILITIES ARE SCALED TO MAKE /Q E t v
4HE REASON FOR CHOOSING THE ABOVE DESCRIBED METHOD FOR CREATING TEST DATA IS A MATTER
OF A SIMPLE REALIZATION IN THE # PROGRAMMING LANGUAGE
)N &IGURE WE HAVE PLOTTED THE THEORETICAL VALUES AND THE RESULT FROM THE EXPERI
MANTAL EVALUATION !T LEAST FOR THIS EXPERIMENT THE EXPERIMENTAL VALUES ARE NOT TOO FAR
FROM THE UPPER BOUND ON h $+3
16
Tree-search
Decoded symbols per algorithm cycle

14
Look-up table
12
Extended look-up table (upper and lower bound)
+ Extended look-up table (experimental)
10
+
6 +
+
4
+
2 +
+
+
0
0 1 2 3 4 5 6 7 8
Average code word length, W [bit/symbol]
&IGURE $ECODING SPEED USING A SOURCE WITH - SYMBOLS AND K CDOSG
-EMORY REQUIREMENTS

&ROM THE LOOK UP TABLE CONSTRUCTION ALGORITHMS !LGORITHM AND IT IS OBVIOUS THAT
THE MEMORY REQUIREMENTS OF THE TABLES ARE LARGE FOR VARIABLE LENGTH CODES WITH A LARGE
MAXIMUM CODE WORD LENGTH
4HERE ARE SEVERAL DIdERENT WAYS OF STORING THE LOOK UP TABLES FOR THE DECODING ALGO
RITHMS HOWEVER THE STRUCTURES CHOSEN IN THIS SECTION ARE BASED ON THE PROPOSED HARDWARE
IMPLEMENTATION OF THE DECODING ALGORITHMS SEE 3ECTION &OR INSTANCE BY USING DY
NAMIC MEMORY ALLOCATION THE REQUIRED MEMORY SPACE FOR THE EXTENDED LOOK UP TABLE
ALGORITHM CAN BE REDUCED BUT IN THAT CASE A DEDICATED HARDWARE IMPLEMENTATION WILL BE
LESS EbCIENT AND MORE COMPLEX
"EFORE PROCEEDING WITH THE ANALYSIS THE FOLLOWING LEMMA IS STATED WHICH WILL BE OF
CONSIDERABLE USE IN THE FORTHCOMING ANALYSIS
,EMMA 4HE SMALLEST MEMORY SPACE REQUIRED TO STORE ONE SYMBOL FROM A SET -
FL J H * ` G OF SIZE * SYMBOLS IS
H
LDL- DKNF *E :AHS<
0ROOF (AVING A MEMORY OF SIZE M BITS ONE CAN REPRESENT ONE OUT OF DIdERENT SYMBOLS M
4O BE ABLE TO STORE ONE OUT OF * SYMBOLS ONE HAS TO CHOOSE w * 3INCE M IS AN INTEGER M
WE WILL HAVE TO PICK THE SMALLEST INTEGER M SATISFYING THE INEQUALITY IE M DKNF *E
THUS PROVING ,EMMA
&OR BOTH DECODING ALGORITHMS THE LOOK UP TABLE DECODER AND THE EXTENDED LOOK UP
TABLE DECODER THE MEMORY SPACE REQUIRED FOR THE DECODE ARRAY IE THE LOOK UP TABLE
WILL BE EXPONENTIALLY GROWING WITH THE DEPTH OF THE COMPLETED TREE
)N THE LOOK UP TABLE ALGORITHM IE !LGORITHM A TABLE WITH L@W ENTRIES IS USED K
EACH ENTRY CONTAINING ONE SYMBOL FROM THE SET OF SOURCE SYMBOLS !PART FROM THE LOOK UP
TABLE A TABLE WITH CODE WORD LENGTHS IS NEEDED SEE 2EMARK WITH A NUMBER OF ENTRIES
CORRESPONDING TO THE NUMBER OF CODE WORDS IE THE NUMBER OF SOURCE SYMBOLS
4HE RESULT OF THE ABOVE DISCUSSION WILL IMPLY THE FOLLOWING PROPERTIES BASED ON ,EMMA

0ROPERTY ,OOK UP TABLE MEMORY !SSUME A SET 3 OF - SOURCE SYMBOLS AND
A MAXIMAL CODE WORD LENGTH OF KL@W BITS 4HE TOTAL MEMORY SPACE REQUIRED FOR THE LOOK UP
TABLE AND THE TABLE OF CODE WORD LENGTHS IS :BIT<
i L@W LDL3
- LDLFH J H KL@W G
K
+3
\ [Z ] \ [Z ]
LOOK UP TABLE CODE WORD LENGTH TABLE
L@W DKNF -E
- DKNF KL@W E
K
)N THE EXTENDED LOOK UP TABLE ALGORITHM TWO ARRAYS ARE USED CDBNCD :a< AND KDMFSG :a< $
WITH KCDOSG
ENTRIES EACH
4HE DECODED SEQUENCE # CAN CONTAIN AT MOST K SYMBOLS WILL HAPPEN IF ONE OF THE
CDOSG
CODE WORDS HAS A LENGTH OF ONE BIT THEREFORE THE çXED LENGTH SYMBOL SEQUENCE # B MUST
BE OF LENGTH K TO BE ABLE TO STORE AN ARBITRARY CODE
CDOSG
0ROPERTY %XTENDED LOOK UP TABLE MEMORY !SSUME A SET OF SOURCE SYMBOLS
3 FR J H - ` G AND A CHOSEN DEPTH K
H OF THE RECURSIVELY EXTENDED TREE 4HE
CDOSG
TOTAL MEMORY SPACE REQUIRED BY THE EXTENDED LOOK UP TABLE IS :BIT<

" #
i KCDOSG
K LDL3
LDLFH J H K G !
\ [Z ] \ [Z ]
$+3 CDOSG CDOSG

çXED LENGTH SEQUENCE NUMBER OF VALID SYMBOLS KDMFSG #
KCDOSG
K CDOSG DKNF - E
DKNF KCDOSG E
)N &IGURE THE EXPRESSIONS AND ARE PLOTTED AS A FUNCTIONS OF THE DEPTH
OF THE COMPLETED TREE .OTE THAT THE MEMORY SIZE IS GIVEN IN BYTES IE IN BLOCKS OF
BITS
#ONCLUSIONS
)N THIS REPORT IT IS SHOWN THAT IT IS POSSIBLE TO ACHIEVE A CONSIDERABLE SPEED UP IN THE
VARIABLE LENGTH DECODING PROCEDURE COMPARED TO THE TREE SEARCH ALGORITHM BY LOOKING
AT BLOCKS OF RECEIVED BITS AND UTILIZING A LOOK UP TABLE FOR DECODING
4HE LOOK UP TABLE DECODER !LGORITHM WILL DECODE ONE SOURCE SYMBOL PER ALGO
RITHM CYCLE AND THE EXTENDED LOOK UP TABLE DECODER !LGORITHM WILL DECODE ONE OR
MORE SOURCE SYMBOLS PER ALGORITHM CYCLE (OWEVER THE MEMORY REQUIREMENTS ARE LARGE
IN BOTH CASES
&OR ANY GIVEN VARIABLE LENGTH CODE THE SIZE OF THE LOOK UP TABLE !LGORITHM WILL
BE DETERMINED BY THE MAXIMAL CODE WORD LENGTH ! LARGER TABLE WILL NOT INCREASE THE
DECODING SPEED AND THEREFORE WE HAVE A çXED MEMORY REQUIREMENT IN THIS CASE
4HE SIZE OF THE EXTENDED LOOK UP TABLE !LGORITHM CAN BE CHOSEN BY INCREASING
THE DEPTH OF THE COMPLETED CODE TREE ! LARGER EXTENDED LOOK UP TABLE WILL IMPLY A HIGHER
109
108
6
409
N=
Memory size [byte]

e 256
abl N=
107 p t
ook-u
l
ed
end 096
Ext N= 4
56
106 N= 2
able
p t
k-u
Loo
105
104
14 16 18 20 22 24
Completed tree depth (l max resp. l depth)
&IGURE 2EQUIRED MEMORY SIZE
DECODING SPEED 4HEREFORE IT IS BENEçCIAL THAT THE DEPTH OF THE COMPLETED TREE BE AS LARGE
AS POSSIBLE ON CONDITION THAT THERE IS ENOUGH MEMORY AVAILABLE TO STORE THE TABLE
/N ONE HAND THE MEMORY REQUIREMENTS OF THE LOOK UP TABLE DECODERS ARE LARGE BUT
ON THE OTHER HAND THE COST PER BIT OF MEMORY HAS SHOWN A RAPIDLY DECREASING TREND DURING
THE LAST FEW DECADES )F THE MAXIMAL CODE WORD LENGTH OF AN OPTIMAL VARIABLE LENGTH CODE
MAKE THE LOOK UP TABLE SIZE EXCEED THE FEASIBLE ADDRESS SPACE DUE TO HARDWARE LIMITATIONS
OR MEMORY COSTS THERE ARE SEVERAL METHODS FOR SHORTENING THE MAXIMAL CODE WORD LENGTH
IE DESIGNING OPTIMAL VARIABLE LENGTH CODES WITH A RESTRICTED MAXIMAL CODE WORD LENGTH
SEE FOR INSTANCE ; =
! #ODING EXAMPLES

4HE THREE EXAMPLES CONTAINED IN THIS APPENDIX ARE BASED ON THE THEORY IN #HAPTER
DESCRIBING THE ENCODING AND DECODING PROCEDURES
%XAMPLE %NCODING #ONSIDER THE VARIABLE LENGTH CODE REPRESENTED AS A BINARY TREE
IN çGURE &ROM THIS TREE IT IS RELATIVELY STRAIGHTFORWARD TO CREATE THE ENCODING TABLE
s0
0
1
0
s1
1 s2
0
1 s3
&IGURE #ODE TREE

)NDEX 3YMBOL #ODE 7ORD

R "
R "
R "
R "
4ABLE 6ARIABLE LENGTH CODE

5SING TABLE A SEQUENCE
R R R R R R R R R R
WILL BE CODED INTO THE BINARY SEQUENCE
! " h " h " h " h " h " h " h " h "

h h h h h h h h

2EMARK 4HE BINARY SEQUENCE WILL IN THE CONSIDERED IMPLEMENTATION BE STORED IN A
DATA STRUCTURE IN WHICH THE COMPUTER ALLOWS BIT OPERATIONS AND USUALLY HOLDS BITS 4HIS
WILL IMPLY THAT THE LAST BIT SEGMENT OF ! MAY NOT BE ENTIRELY çLLED WITH RELEVANT DATA
)N ORDER TO KNOW WHEN TO STOP DECODING THE NUMBER OF SYMBOLS WILL BE STORED TOO
%XAMPLE ,OOK UP TABLE DECODING &IRST APPLY !LGORITHM ON THE VARIABLE LENGTH
CODE IN ORDER TO CONSTRUCT THE LOOK UP TABLE 4HE LOOK UP TABLE CONSTRUCTION IS EQUIVALENT
TO COMPLETING THE BINARY TREE IN &IGURE THUS OBTAINING THE TREE IN &IGURE 4HIS
0 s0
0 1
s0
0 1
0 s0
1
s0
0 s1
1
0 1
s1
1
0 s2
1
s3
Depth
&IGURE #OMPLETED TREE
WILL PROVIDE THE DECODE ARRAY IN 4ABLE WHICH IS USED TO DECODE THE BINARY SEQUENCE !
GIVEN IN %XAMPLE 4HE DECODING IS DESCRIBED BY THE FOLLOWING NINE STEP EXECUTION WHERE
A SLIDING WINDOW OF SIZE KL@W BITS IS USED
)NDEX 3YMBOL
R
R
R
R
R
R
R
R
4ABLE ,OOK UP TABLE
2SDO 6HMCNV 2XLANK +DMFSG

R
R
R
R
R
R
R
R
R
%XAMPLE %XTENDED LOOK UP TABLE DECODING .OW APPLY !LGORITHM ON THE
LOOK UP TABLE FROM %XAMPLE IN ORDER TO CONSTRUCT THE EXTENDED LOOK UP TABLE )N THIS
EXAMPLE IT HAS BEEN CHOSEN TO SET K KL@W BUT IT CAN BE SET TO ANY VALUE K
CDOSG CDOSG w
KL@W 4HE DECODE ARRAY CONSTRUCTION IS EQUIVALENT TO COMPLETING THE BINARY TREE IN &IGURE
BY IT SELF IN A RECURSIVE MANNER THUS OBTAINING THE TREE IN &IGURE 4HIS
0 s0 s0 s0
0 1
s0 s0
0 1
0 s0 s1
1
s0
0 s1 s0
1
0 1
s1
1
0 s2
1
s3
Depth
&IGURE #OMPLETED TREE BY RECURSIVE EXTENSION
PROCEDURE PROVIDES THE EXTENDED DECODE ARRAY IN 4ABLE WHICH IS USED TO DECODE THE
)NDEX 3YMBOL
R R R
R R
R R
R
R R
R
R
R
4ABLE %XTENDED LOOK UP TABLE
BINARY SEQUENCE ! GIVEN IN %XAMPLE 4HE DECODING IS DESCRIBED BY THE FOLLOWING SIX STEP
EXECUTION WHERE A SLIDING WINDOW OF SIZE K BITS IS USED
CDOSG
2SDO 6HMCNV 2XLANKR +DMFSG

R
R
R
R R R
R R
R
" ! 0# IMPLEMENTATION
4HIS APPENDIX DESCRIBES A 0# IMPLEMENTATION OF THE LOOK UP TABLE DECODER AND THE
EXTENDED LOOK UP TABLE DECODER 4HE FOLLOWING EQUIPMENT WAS USED
q )"-0# CLONE I-(Z -" 2!-
q 7ATCOM # COMPILER 2ATIONAL 3YSTEMS $/3 EXTENDER
4HE EXECUTION SPEED OF THIS IMPLEMENTATION WILL NOT BE PROPORTIONAL TO THE EXECU
TION TIME EXPECTED BY A DEDICATED HARDWARE SINCE DYNAMIC MEMORY ALLOCATION HAS BEEN
USED AND THE STANDARD SHIFT OPERATIONS OF THE I PROCESSOR DOES NOT PROVIDE THE SAME
SPEED AS A DEDICATED BARREL SHIFTER (OWEVER THIS INFORMATION IS INCLUDED TO GIVE AN EX
EMPLIçCATION OF THE DECODING SPEED OBTAINED ON A 0# 4HE DECODING TABLE CONSTRUCTION
ALGORITHMS ARE NOT INCLUDED IN THIS DESCRIPTION
)N THE PROGRAM THE BINARY SEQUENCE TO DECODE IS LOCATED IN THE 2!- MEMORY WHERE
THE BUdER SIZE CAN BE CHOSEN ARBITRARY AS LONG AS THE COMPUTER HAVE SUbCIENT AMOUNT
OF 2!- )F THE SEQUENCE DOES NOT çT IN THE 2!- DISK OPERATIONS ARE INCLUDED THAT WILL
AUTOMATICALLY çLL THE BUdER WITH NEW DATA WHEN IT IS EMPTY
"OTH IMPLEMENTATIONS ARE BASED ON THE FOLLOWING TWO FUNCTIONS
TMRHFMDC KNNJ M AHSRHMS M
UNHC CQNO M AHSRHMS M
WHERE THE LOOK?N?BITS FUNCTION RETURNS THE VALUE OF THE çRST N BITS IN THE SEQUENCE
AND THE DROP?N?BITS FUNCTION DROPS THE çRST N BITS OF THE SEQUENCE
" 4HE LOOK UP TABLE DECODER

4HE BASIC DATA STRUCTURES USED IN THE LOOK UP TABLE DECODER TO DESCRIBE THE CODE ARE
THE FOLLOWING SEE !LGORITHM
HMS KDMFSG :-<
HMS CDBNCD :,<
"ASICALLY THE MAIN DECODING LOOP IN THE PROGRAM WILL HAVE THE FOLLOWING STRUCTURE
WHERE IT IS ASSUMED THAT THE NUMBER OF CODED SOURCE SYMBOLS NO?OF?SYMBOLS IS KNOWN
FROM HEADER INFORMATION ON THE CODE SEQUENCE
ENQH H MN NE RXLANKR H

F
CDBNCDC RXLANK CDBNCD :KNNJ M AHSRK L@W<
CQNO M AHSRKDMFSG :CDBNCDC RXLANK<
c 2SNQD CDBNCDC RXLANK RNLDVGDQD c G
" 4HE EXTENDED LOOK UP TABLE DECODER

4HE BASIC DATA STRUCTURE USED IN THE EXTENDED LOOK UP TABLE DECODER TO DESCRIBE THE
CODE IS THE FOLLOWING
SXODCDE RSQTBS S@AKD DMSQX F
HMS RXLA MN
HMS c RXLA RSQ
HMS KDMFSG G CDBNCD$ :,<
WHERE SYMB?NO AND
SYMB?STR IS THE REPRESENTATION OF THE SEQUENCE # OF !LGORITHM

4HE MAIN LOOP IN THE PROGRAM WILL HAVE THE FOLLOWING STRUCTURE WHERE IT IS ASSUMED
THAT THE NUMBER OF CODED SOURCE SYMBOLS NO?OF?SYMBOLS IS KNOWN FROM HEADER INFOR
MATION ON THE CODED SEQUENCE LIKE IN THE LOOK UP TABLE DECODER
ENQH H MN NE RXLANKR H

F
AHSR KNNJ M AHSRKCDOSG
CQNO M AHSRCDBNCD$ :AHSR< KDMFSG
c 2SNQD SGD CDBNCD$ :AHSR< RXLA MN
RXLANKR ONHMSDC @S AX CDBNCD :AHSR< RXLA RSQ
RNLDVGDQD c G
" $ECOMPRESSION SPEED

5SING THE 0# IMPLEMENTATION OF THE DECODING ALGORITHMS AN EXPERIMENTAL EVALUATION OF
THE DECOMPRESSION SPEED HAS BEEN DONE )N &IGURE THE DECOMPRESSION SPEED USING
SEVEN DIdERENT BYTE SOURCE çLES THE SAME DATA AS IN 3ECTION IS PRESENTED
4HE çLE SIZE IS SMALL ENOUGH TO ALLOW THE DECOMPRESSION TO BE DONE WITHOUT BUdER çLLING
DISK ACCESS

5
x10
3
2.5 Look-up table

+
Extended look-up table
Decoded symbols per second

2 +
+
1.5 +
1 +
+ + + + + +
+
0.5
0
0 1 2 3 4 5 6 7 8
Average code word length, W [bit/symbol]
&IGURE $ECODING SPEED USING A I 0#
# .OTATIONS
! " /RDERED SEQUENCES OF SOME TYPE

B
# &IXED LENGTH ORDERED SEQUENCE
# 3 - 3ETS
- M
4HE CARTESIAN PRODUCT -\ b - [Zb b -]
M TIMES
FLDLADQ J BNMCHSHNMG 3ET DEçNITION

mn
H H H
.UMBERED MEMBERS OF AN ORDERED SEQUENCE
O
H 0ROBABILITY VARIABLE
RKL"
H H H H .UMBERED SET MEMBER " IS A SEQUENCE H
* - L M KL@W K CDOSG #ONSTANT NUMERIC VALUES

H I )NTEGER VARIABLES
b t E
t 3TOCHASTIC VARIABLES
h i -EASURED QUANTITIES
M@LD a &UNCTIONMAPPING
M@LD :a< !RRAY
!SSIGNMENT
-APPING
` -APPING DEçNITION
DaE 5PWARD ROUNDING TO THE NEAREST INTEGER CEILING
BaC $OWNWARD ROUNDING TO THE NEAREST INTEGER âOOR
"IBLIOGRAPHY
;= / %DFORS - 3ANDELL * * VAN DE "EEK $ ,ANDSTR¶M AND & 3J¶BERG !N INTRO
DUCTION TO ORTHOGONAL FREQUENCY DIVISION MULTIPLEXING 2ESEARCH 2EPORT 45,%!
$IV OF 3IGNAL 0ROCESSING ,ULE¥ 5NIVERSITY OF 4ECHNOLOGY 3EPT
;= / %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON
!NALYSIS OF $&4 BASED CHANNEL ESTIMATORS FOR /&$- 2ESEARCH 2EPORT 45,%!
CHANNEL ESTIMATION BY SINGULAR VALUE DECOMPOSITION 2ESEARCH 2EPORT 45,%!
;= - 3ANDELL AND / %DFORS ! COMPARATIVE STUDY OF PILOT BASED CHANNEL ESTIMATORS
FOR WIRELESS /&$- 2ESEARCH 2EPORT 45,%! $IV OF 3IGNAL 0ROCESSING
,ULE¥ 5NIVERSITY OF 4ECHNOLOGY 3EPT
;= . 3UNDSTR¶M / %DFORS 0 DLING ( %RIKSSON 0 / "¶RJESSON AND 4 +OSKI
#OMBINED LINEAR 6ITERBI EQUALIZERS Ô ! COMPARATIVE STUDY AND A MINIMAX DESIGN
)N 0ROC )%%% 6EHIC 4ECHNOL #ONF PAGES Ô 3TOCKHOLM 3WEDEN *UNE

;= / %DFORS AND 0 / "¶RJESSON $ESIGN AND ANALYSIS OF ROBUST SOURCE CODES 2ESEARCH
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COMPLEXITY ALGORITHMS IN DIGITAL RECEIVERS

%STIMATION AND DETECTION 

 !NALYSIS OF $&4 BASED CHANNEL ESTIMATORS FOR /&$- 

 /&$- CHANNEL ESTIMATION BY SINGULAR VALUE DECOMPOSITION 

! /PTIMAL RANK REDUCTION                             

 ! COMPARATIVE STUDY OF PILOT BASED CHANNEL ESTIMATORS FOR WIRELESS

 #OMBINED LINEAR 6ITERBI EQUALIZERS Ô ! COMPARATIVE STUDY AND A MIN

3OURCE CODING 

 ! PERFORMANCE ANALYSIS OF LOOK UP TABLE BASED VARIABLE LENGTH DECODERS

;= / %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON !NALYSIS

;= / %DFORS - 3ANDELL * * VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON /&$-

;= . 3UNDSTR¶M / %DFORS 0 DLING ( %RIKSSON 0 / "¶RJESSON AND 4 +OSKI #OM

;= / %DFORS ! %RENDI AND 0 / "¶RJESSON ! PERFORMANCE ANALYSIS OF LOOK UP TABLE

%STIMATION AND DETECTION

#HANNEL ESTIMATION IN /&$- SYSTEMS

&IGURE  3CHEMATIC PICTURE OF A DIGITALLY IMPLEMENTED /&$- SYSTEM

%XPRESSING THE /&$- SYSTEM IN THE FORM OF A MATRIX EXPRESSION YIELDS

&IGURE  3CHEMATIC PICTURE OF LOW COMPLEXITY CHANNEL ESTIMATORS

3EQUENCE DETECTION IN SYSTEMS WITH INTER SYMBOL INTERFERENCE

XJ ,INEAR 6ITERBI WBJ

4HIS PART IS REPRODUCED FROM

BENEçCIAL FROM AN INTERFERENCE POINT OF VIEW

 3YSTEM MODELS

q ! CYCLIC PREçX IS USED

q 4RANSMITTER AND RECEIVER ARE PERFECTLY SYNCHRONIZED

4RANSMITTER #HANNEL 2ECEIVER

q #HANNEL NOISE IS ADDITIVE WHITE AND COMPLEX 'AUSSIAN

 #ONTINUOUS TIME MODEL

W K S ME S  S XK

&IGURE  "ASE BAND /&$- SYSTEM MODEL

TRANSMITTER USES THE FOLLOWING WAVEFORMS

J6- THE COMMON INTERPRETATION OF /&$- IS THAT IT USES - SUBCARRIERS EACH

TRANSMITTED BASE BAND SIGNAL FOR /&$- SYMBOL NUMBER K IS

WHERE W W    W ` ARE COMPLEX NUMBERS FROM A SET OF SIGNAL CONSTELLATION

POINTS 7HEN AN INçNITE SEQUENCE OF /&$- SYMBOLS IS TRANSMITTED THE OUTPUT

THE CYCLIC PREçX 4HE RECEIVED SIGNAL BECOMES

QS  F c R S  F~  SRS ` ~ C~

THE TRANSMITTER WAVEFORMS  S IE J

4HE INTEGRATION INTERVALS ARE 3  S  3 AND   ~  3 BO BO WHICH IMPLIES THAT

WHERE M IS ADDITIVE WHITE 'AUSSIAN NOISE !7'. 

2-1 KNRR  ` KNF  ` o 

 $ISCRETE TIME MODEL

&IGURE  $ISCRETE TIME /&$- SYSTEM

THE TERM M  #%3 E

DISCRETE TIME CHANNEL INSTEAD OF THE SAMPLED FREQUENCY RESPONSE AS IN  

 ! TIME FREQUENCY INTERPRETATION

PROTOTYPE FUNCTION OS IE

q .ONLINEARITIES AND CLIPPING DISTORTION

 3YSTEM ENVIRONMENTS

 7IRELESS SYSTEMS

&IGURE  4HE WIRELESS DOWNLINK ENVIRONMENT

&IGURE  4HE WIRELESS UPLINK ENVIRONMENT

OF SIGNALS FROM ALL MOBILE TERMINALS

 7IRED SYSTEMS

 3UBSCRIBER LINE TRANSFER FUNCTION

 .OISE AND CROSSTALK

&IGURE  .EAR END CROSSTALK .%84 

&IGURE  &AR END CROSSTALK &%84 

4HE SPECTRAL DENSITY OF .%84 IS MODELLED IN ;= AS

AND THE SPECTRAL DENSITY OF &%84 AS

 3YMBOL SYNCHRONIZATION

! GREAT DEAL OF ATTENTION IS GIVEN TO SYMBOL SYNCHRONIZATION IN /&$- SYSTEMS (OWEVER

%STIMATION AND DETECTION

!NALYSIS OF $&4 BASED CHANNEL ESTIMATORS FOR /&$-

/&$- CHANNEL ESTIMATION BY SINGULAR VALUE DECOMPOSITION

! /PTIMAL RANK REDUCTION

! COMPARATIVE STUDY OF PILOT BASED CHANNEL ESTIMATORS FOR WIRELESS

#OMBINED LINEAR 6ITERBI EQUALIZERS Ô ! COMPARATIVE STUDY AND A MIN

3OURCE CODING

! PERFORMANCE ANALYSIS OF LOOK UP TABLE BASED VARIABLE LENGTH DECODERS

;= / %DFORS - 3ANDELL VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON !NALYSIS

;= / %DFORS - 3ANDELL VAN DE "EEK 3 + 7ILSON AND 0 / "¶RJESSON /&$-

;= . 3UNDSTR¶M / %DFORS 0 DLING ( %RIKSSON 0 / "¶RJESSON AND 4 +OSKI #OM

;= / %DFORS ! %RENDI AND 0 / "¶RJESSON ! PERFORMANCE ANALYSIS OF LOOK UP TABLE

&IGURE 3CHEMATIC PICTURE OF A DIGITALLY IMPLEMENTED /&$- SYSTEM

&IGURE 3CHEMATIC PICTURE OF LOW COMPLEXITY CHANNEL ESTIMATORS

BENEçCIAL FROM AN INTERFERENCE POINT OF VIEW

3YSTEM MODELS

q ! CYCLIC PREçX IS USED

q 4RANSMITTER AND RECEIVER ARE PERFECTLY SYNCHRONIZED

q #HANNEL NOISE IS ADDITIVE WHITE AND COMPLEX 'AUSSIAN

#ONTINUOUS TIME MODEL

W K S ME S S XK

&IGURE "ASE BAND /&$- SYSTEM MODEL

J6- THE COMMON INTERPRETATION OF /&$- IS THAT IT USES - SUBCARRIERS EACH

WHERE W W W ` ARE COMPLEX NUMBERS FROM A SET OF SIGNAL CONSTELLATION

POINTS 7HEN AN INçNITE SEQUENCE OF /&$- SYMBOLS IS TRANSMITTED THE OUTPUT

THE CYCLIC PREçX 4HE RECEIVED SIGNAL BECOMES

QS F c R S F~ SRS ` ~ C~

THE TRANSMITTER WAVEFORMS S IE J

4HE INTEGRATION INTERVALS ARE 3 S 3 AND ~ 3 BO BO WHICH IMPLIES THAT

WHERE M IS ADDITIVE WHITE 'AUSSIAN NOISE !7'.

2-1 KNRR ` KNF ` o

$ISCRETE TIME MODEL

&IGURE $ISCRETE TIME /&$- SYSTEM

THE TERM M #%3 E

DISCRETE TIME CHANNEL INSTEAD OF THE SAMPLED FREQUENCY RESPONSE AS IN

! TIME FREQUENCY INTERPRETATION

PROTOTYPE FUNCTION OS IE

3YSTEM ENVIRONMENTS

7IRELESS SYSTEMS

&IGURE 4HE WIRELESS DOWNLINK ENVIRONMENT

&IGURE 4HE WIRELESS UPLINK ENVIRONMENT

OF SIGNALS FROM ALL MOBILE TERMINALS

7IRED SYSTEMS

3UBSCRIBER LINE TRANSFER FUNCTION

.OISE AND CROSSTALK

&IGURE .EAR END CROSSTALK .%84

&IGURE &AR END CROSSTALK &%84

4HE SPECTRAL DENSITY OF .%84 IS MODELLED IN ;= AS

3YMBOL SYNCHRONIZATION

! GREAT DEAL OF ATTENTION IS GIVEN TO SYMBOL SYNCHRONIZATION IN /&$- SYSTEMS (OWEVER

#ARRIER PHASE NOISE

3AMPLING FREQUENCY SYNCHRONIZATION

#ARRIER FREQUENCY SYNCHRONIZATION

&IGURE %dECTS OF A FREQUENCY OdSET a% REDUCTION IN SIGNAL AMPLITUDE p AND

&REQUENCY ESTIMATORS

4O ASSURE THIS AN ACQUISITION ALGORITHM MUST BE APPLIED )N ;= SUCH AN ALGORITHM IS

)T IS INTERESTING TO NOTE THE RELATIONSHIP BETWEEN TIME AND FREQUENCY SYNCHRONIZATION

#HANNEL ESTIMATION

0ILOT INFORMATION

%STIMATOR DESIGN

INSTEAD OF FULL $ çLTERS IS A STANDARD TECHNIQUE USED TO REDUCE COMPUTATIONAL COMPLEXITY

0ERFORMANCE EXAMPLE

#HANNEL CODING

7IRELESS SYSTEMS

$IGITAL !UDIO "ROADCASTING

4RELLIS CODED /&$-

&IGURE /VERVIEW OF THE SYSTEM INVESTIGATED BY (¶HER ;=

FREQUENCY BAND AFTER 3 GNO

BUT SOMEWHAT MORE GENERALIZED HOPPING SCHEME IS PRESENTED IN ;=

/THER SYSTEMS

#ODING ON FADING CHANNELS

7IRED SYSTEMS

"IT LOADING

"IT LOADING ALGORITHMS

WHERE - IS THE NUMBER OF NEAREST NEIGHBORS

#HANNEL CODING

! 4IME FREQUENCY LATTICE

WHERE THE FUNCTIONS S ARE TRANSLATIONS OF A PROTOTYPE FUNCTION O S

3YSTEM MODEL

$&4 BASED ESTIMATORS