Design of adaptive MIMO system using linear
dispersion code
Mabruk Gheryani, Zhiyuan Wu, and Yousef R. Shayan
Concordia University, Department of Electrical Engineering
Montreal, Quebec, Canada
email: (m gherya, zy wu, yshayan)@ece.concordia.ca
Abstract— In this paper, we develop a new design for selection-
mode adaptation using linear dispersion code. A new adaptive
parameter, called space-time symbol rate, can be applied due to
the use of the linear dispersion code. An adaptive algorithm for
the selection-mode adaptation is proposed. Based on the proposed
algorithm, two adaptive techniques using constellation and space-
time symbol rate are studied, respectively. If constellation and
space-time symbol rate are considered jointly, more selection
modes can be available. Theoretical analysis demonstrates that
the average transmission rate of selection-mode adaptation can
be improved in this case. Simulation results are provided to show
the benefits of our new design.
I. I NTRODUCTION
The demand for bandwidth efficiency in wireless communi-
cations has experienced an unprecedented growth. One signif-
icant advancement to improve radio spectrum efficiency is the
use of multiple-input-multiple-output (MIMO) technology [1]
[2]. Space-time (ST) codes are the most promising technique
for MIMO systems [3] [4]. Due to battery life and device
size, the power available for radio communications is limited.
Under this power constraint, adaptive technique can cooperate
with MIMO technology to further exploit radio spectrum [5]
[6].
In an adaptive system, a feedback channel is utilized to
provide channel state information (CSI) from the receiver
to the transmitter. According to the feedback of CSI, the
transmitter will adjust transmission parameters, such as power
allocation, modulation, coding rate, etc. This is conditioned
by the fact that the channel stays relatively constant before
the transmitter receives the CSI and then transmits next data
block accordingly. That is, the channel is “slow”. Many of
adaptive MIMO schemes have been proposed, such as water-
filling-based schemes [1] [7]- [9] and various beamforming
schemes [6] [10]- [13]. The above schemes often need near-
perfect CSI feedback for adaptation calculation and consume
large feedback bandwidth. In practice, the channel estimation
will exhibit some inaccuracy depending on the estimation
method. The receiver will need time to process the channel
estimate and the feedback is subject to some transmission
delay. The transmitter needs some time to choose a proper
code, and there are possible errors in the feedback channel.
All these factors make the CSI at the transmitter inaccurate.
Additionally, the feedback bandwidth is often limited. In these
cases, adaptive schemes with a set of discrete transmission
modes are often more preferable. We can call them “selection-
mode” adaptation. At the receiver, the channel is measured and
then one transmission mode with the highest transmission rate
is chosen, which meanwhile meets the BER requirement. The
optimal mode is fed back to the transmitter.
For selection-mode MIMO adaptation, the most convenient
adaptive parameter is constellation size for uncoded systems.
For example, constellation adaptation, such as M-QAM, is
applied to space-time block code (STBC) [14] and to space-
time trellis code (STTC) [15]. The disadvantage of these
schemes, is that they are not flexible for different rates, which
is the key requirement in the future wireless communications.
Additionally, the gap between the available transmission rates
are often very large due to the use of discrete constellations
[11].
In this study, we propose to apply linear dispersion code
(LDC) for adaptation. This is because it subsumes many ex-
isting block codes as its special cases which allows suboptimal
linear receivers with greatly reduced complexity, and provides
flexible rate-versus-performance tradeoff [16] [17]. The LDC
breaks the data stream into sub-streams that are dispersed over
space and time and then combined linearly at the transmitter
[16]. Particularly, since the LDC is applied, it makes ST
symbol rate available for adaptation. By adjusting this new
parameter together with constellation size, more available
transmission modes can be provided. Hence, the throughput
under a power constraint can be further improved while the
target bit error rate (BER) is satisfied.
II. S YSTEM M ODEL
In this study, during one ST modulation block, the channel
is assumed to be the same as estimated at the receiver.
Furthermore, the channel is assumed to be a Rayleigh flat
fading channel with Nt transmit and Nr receive antennas.
Let’s denote the complex gain from transmit antenna n to
receiver antenna m by hmn and collect them to form an
Nr × Nt channel matrix H = [hmn ], known perfectly to the
receiver. The entries in H are assumed to be independently
identically distributed (i.i.d.) symmetrical complex Gaussian
random variables with zero mean and unit variance.
The selection-mode adaptive system is depicted in Fig. 1. In
this system, the information bits are first mapped into symbols.
After that, the symbol stream is parsed into blocks of length
L. The symbol vector associated with one modulation block is
 Binary

and variance σz2 , and P is the average energy per channel

Info. Binary
source Ant-1 Info.
1
Out

M1
Ant-1 use at each receive antenna. Since the LDC is linear, an
Nt De-Mapper
MMSE detector can be applied as suboptimal receiver due
Constellation ML
Mapper S/P
Or
MMSE
to its simplicity and good performance [21].
1
Ant-Nr

2Q ML
Ant-Nt III. D ESIGN OF S ELECTION -M ODE A DAPTATION
Nt
The general idea of selection-mode adaptation is to maxi-
L /T
mize the average transmission rate by choosing a proper trans-
Feedback
Selection
Mode
mission mode from a set of available modes. Based on some
certain strategy, the transmitter is informed by the receiver to
increase or decrease the transmission rate depending on the
Fig. 1. Selection-mode adaptive system block diagram.
channel condition, i.e., CSI. For selection-mode adaptation,
the signal-to-noise ratio (SNR) will be considered as a proper
denoted by x = [x1 , x2 , . . . , xL ]T with xi ∈ Ω ≡ {Ωm |m = metric. The corresponding adaptive algorithm is proposed as
0, 1, . . . , 2Q − 1, Q ≥ 1}, i.e., a complex constellation of size follows.
2Q , such as 2Q -QAM). The average symbol energy is assumed 1) Find the SNR, saying γo , at the receiver;
2Q
P −1 2) Find the BERs of each mode at the obtained SNR γo
to be 1, i.e., 21Q |Ωm |2 = 1. Each block of symbols will from BER curves by experiment;
m=0
be mapped by the ST modulator to a dispersion matrix of size 3) Select a proper transmission mode with the maximum
Nt × T and then transmitted over the Nt transmit antennas rate while satisfying the target BER;
over T channel uses. The following model will be considered 4) Feed back the selected mode to the transmitter.
in this study, i.e., We can formulate the selection of transmission modes as
XL follows.
X= Mi xi (1) Θopt = arg max RΘn (7)
i=1 {Θn ,∀n=1,2,...,N }

where Mi is defined by its L Nt × T dispersion matrices subject to

Mi = [mi1 , mi2 , . . . , miT ]. The so-obtained results can be BERΘn (γo ) ≤ BERtarget (8)
extended to the model in [16]. With a constellation of size 2Q , where {Θn , ∀n = 1, 2, . . . , N } is the set of transmission
the data rate of the space-time modulator in bits per channel modes, RΘn is the rate of transmission mode Θn , BERΘn (γo )
use is is the BER of transmission mode Θn at SNR γo and
Rm = Q · L/T (2) BERtarget is the target BER. Without loss of generality, we
Hence, one can adjust ST symbol rate L/T and constellation assume RΘ1 < RΘ2 < . . . < RΘN . Θopt is the optimal
size Q according to the feedback from the receiver. transmission mode at SNR γo .
In our design example, the dispersion matrices are given by Below, we consider the average transmission rate using the
proposed adaptive algorithm. Let γΘn denote the minimum
M(k−1)Nt +i = diag[fk ]P−(i−1) (3) SNR satisfying the following condition.
for k = 1, 2, . . . , Nt and i = 1, 2, . . . , Nt , P is the permutation γΘn = arg min[BERΘn (γ) ≤ BERtarget )] (9)
matrix of size Nt and given by γ
µ ¶ That is, for the SNR region γΘn ≤ γ ≤ γΘn+1 , the trans-
01×(Nt −1) 1
P= (4) mission rate RΘn (i.e., the transmission mode Θn ) should be
INt −1 0(Nt −1)×1
selected while the target BER is satisfied.
where fk denotes the k-th column vector of F. F = [fmn ] is Then, the average transmission rate is
a Fast Fourier Transform (FFT) matrix and fmn is calculated N Z γΘ
X n+1
by R̄ = RΘn pΓ (γ)dγ (10)
1
fmn = √ exp(−2πj(m − 1)(n − 1)/Nt ) (5) n=1 γΘn
Nt
where pΓ (γ) is the probability density function (PDF) of
At the receiver, the received signals associated with one the SNR γ and γΘN +1 = ∞. Maximization of the average
modulation block can be written as transmission rate R̄ can be solved using Lagrange multi-
r r L
P P X pliers. However, due to the structure of both the objective
Y= HX + Z = H Mi xi + Z (6) function and the inequality constraint, an analytical solution
Nt Nt i=1
is extremely difficult to find. Therefore, we will find the
where Y is a complex matrix of size N r × T whose (m, n)- SNR region corresponding to each transmission mode by
th entry is the received signal at receive antenna m and time measurement.
instant n, Z is the additive white Gaussian noise matrix with In our simulations, we assume Nt = Nr = 4. First, we
i.i.d. symmetrical complex Gaussian elements of zero mean perform constellation adaptation alone with a fixed ST symbol
 TABLE I
A DAPTIVE CONSTELLATION WITH ST SYMBOL RATE L/T = 1, 2, 3, 4
0
10 0
10
8PSK1layer BPSK2layer
QPSK1layer QPSK2layer
BPSK1layer 8PSK2layer
16QAM1lyaer 16QAM2layer

10
−1
L
T
MODE Constellation L/T Rm γQ
−1
10

10
−2 0 - - - γ < −0.6309
1 BPSK 1 1 −0.6309 ≤ γ11 < −0.1893
BER

BER
−2
10

10
−3 2 QPSK 1 2 −0.1893 ≤ γ21 < 3.384
3 8PSK 1 3 3.384 ≤ γ31 < 11.7479
10
−4
−3
10
4 16QAM 1 4 γ41 ≥ 11.7479
MODE Constellation L/T Rm γQ2

−4 −2 0 2 4 6 8 10 12 14 16
−4
10
0 - - - γ < 0.8385
0.8385 ≤ γ12 < 1.4058
−2 0 2 4 6 8 10 12 14 16 18 20

1 BPSK 2 2
SNR(dB) SNR(dB)

2 QPSK 2 4 1.4058 ≤ γ22 < 5.3886

(a) L/T = 1 (b) L/T = 2 3 8PSK 2 6 5.3886 ≤ γ32 < 15.4452
4 16QAM 2 8 γ42 ≥ 15.4452
0
10
BPSK3Layer 10
0
MODE Constellation L/T Rm γQ3
QPSK3layer BPSK4layer
8PSK3layer QPSK4layer

0 - - - γ < 3.1014
16QAM3layer 8PSK4layer
16QAM4layer

−1
10 1 BPSK 3 3 3.1014 ≤ γ13 < 4.4833
10
−1
2 QPSK 3 6 4.4833 ≤ γ23 < 8.9696
3 8PSK 3 9 8.9696 ≤ γ33 < 26.5898
4 16QAM 3 12 γ43 ≥ 26.5898
BER

−2
10
BER

10
−2
MODE Constellation L/T Rm γQ4

−3
10
0 - - - γ < 8.1509
1 BPSK 4 4 8.1509 ≤ γ14 < 14.2812
10
−3

2 QPSK 4 8 14.2812 ≤ γ24 < 24.2533

3 8PSK 4 12 24.2533 ≤ γ34 < 30.8208
−4
10
−5 0 5 10 15 20 25 30 0 5 10 15 20 25 30 35
SNR(dB) SNR(dB)

4 16QAM 4 16 γ44 ≥ 30.8208

(c) L/T = 3 (d) L/T = 4

Fig. 2. Adaptive Constellation.

In this case, the most convenient adaptive parameter is the
constellation size. For our adaptive scheme, the application
of LDC makes another adaptive parameter available, i.e., ST
rate. Secondly, we perform the ST symbol rate adaptation
symbol rate. In this subsection, we fix the constellation size
alone with a fixed constellation. Finally, we will consider these
but adjust the ST symbol rate for adaptation. Additionally, one
two parameter jointly to maximize the average transmission
advantage of using ST symbol rate is that it is easier to change
rate meanwhile maintaining the target BER, which is equal to
ST symbol rate than constellation size for adaptation as can
10−3 in our design examples.
be seen in Fig. 1. The proposed adaptive algorithm described
A. Adaptation Using Variable Constellations by (7) and (8) can be applied to ST symbol rate adaptation.
Although the system design for continuous-rate scenario Note that, this system with 4 transmit antennas can have
provide intuitive and useful guidelines [11], the associated 16 choices of ST symbol rates, i.e., ( 14 ← · · · → 16 4 ). For
constellation mapper requires high implementation complex- convenience and less complexity, we use 4 choices, i.e., TL =
ity. In practice, discrete constellations are preferable. That is, 1, 2, 3, 4. That is, Θn ∈ { TL = 1, TL = 2, TL = 3, TL = 4} with
Q only takes integer number, such as Q = 1, 2, 3, ..... For a fixed constellation. In the following context, the integer of
L
a given adaptive system, we can adjust the constellation to T is referred as “layer”. The simulation results are shown in
maximize the transmission rate meanwhile keeping the target Fig. 3, where each subfigure has its own constellation. We
BER satisfied. The proposed adaptive algorithm is applied summarize these results in Table II.
to the case. Here, we only consider BPSK (Q = 1), QPSK IV. J OINT A DAPTIVE T ECHNIQUE
(Q = 2), 8PSK (Q = 3) and 16QAM (Q = 4) as examples.
That is, Θn ∈ {BP SK, QP SK, 8P SK, 16QAM } with a As shown in the previous two subsections, either constella-
fixed ST symbol rate. The optimal transmission mode is tion adaptation or ST symbol rate adaptation can increase the
selected by the proposed adaptive algorithm, i.e., by equation average transmission rate while the given BER is satisfied as
(7) and (8). Simulation results are shown in Fig. 2, where compared to non-adaptive schemes. However, we can further
each subfigure has its own ST symbol rate. We summarize improve the average transmission rate by applying a joint
L adaptation. The joint adaptation is performed by choosing
our simulation results in Table I. In the following context, γQT the best pair of constellation size and ST symbol rate. The
denotes the SNR associated with the transmission mode with available transmission modes are increased. That is,
2Q constellation and TL ST symbol rate.
Θn ∈ {(BP SK, TL = 1), ..., (BP SK, TL = 4),
B. Adaptation Using Variable ST Symbol Rate (QP SK, TL = 1), ..., (QP SK, TL = 4),
In other existing schemes, only the orthogonal designs, (8P SK, TL = 1), ..., (8P SK, TL = 4),
such as Alamouti scheme, are applied as the ST modulation. (16QAM, TL = 1), ..., (16QAM, TL = 4)}
 TABLE III
J OINT A DAPTATION OF ST SYMBOL RATE AND CONSTELLATION SIZE
0
10
BER BPSK 4X4 0
10
BER 4PSK 4X4
L
T
MODE Constellation L/T Rm γQ
3Layer 2layer
4layer 3layer
1layer 4layer
2layer 1layer

−1
10
−1
10
0 - - - γ < −0.6309
1 BPSK 1 1 −0.6309 ≤ γ11 < −0.1893
2 QPSK 1 2 −0.1893 ≤ γ12 < 1.4058
−2
10

−2
10

3 QPSK 2 4 1.4058 ≤ γ22 < 4.4833

BER
BER

−3
10

−3
10
4 QPSK 3 6 4.4833 ≤ γ32 < 8.9696
−4
10 5 8PSK 3 9 8.9696 ≤ γ33 < 24.2533
−4
6 8PSK 4 12 24.2533 ≤ γ43 < 30.8208
γ44 ≥ 30.8208
10

7 16QAM 4 16
−5
10

−6
10
−2 0 2 4 6 8 10 −2 0 2 4 6 8 10 12 14 16 18 20
SNR(dB) SNR(dB)

(a) BPSK (Q = 1) (b) QPSK (Q = 2) We can reduce the gap between the selection modes further
by adding more choices of the transmission rates. For the
10
0
BER 8PSK 4x4

1layer
10
0
BER 16QAM 4X4

3layer
target BER, a scheme with the joint adaptation can improve
the average transmission rate significantly as compared to the
2layer 1lyaer
3layer 2layer
4layer 4layer

10
−1
10
−1 two techniques in the previous subsections.
We conclude the result in Table III.
From the simulation results, we have the following obser-
BER

BER

−2 −2
10 10

vations:
10
−3
10
−3 • If the ST symbol rate is reduced, the slope of the
associated BER curve becomes steeper, which suggests
10
−4

0 5 10 15 20 25
10
−4

0 5 10 15 20 25 30 35
a larger diversity;
• If the constellation size is reduced, the BER curve will
SNR(dB) SNR(dB)

(c) 8PSK (Q = 3) (d) 16QAM (Q = 4) shift to left with the similar slope, which suggests the
diversity keeps the same but the coding gain is improved.
Fig. 3. Adaptive ST symbol rate.
There exists a tradeoff between diversity gain and multiplexing
gain [22]. However, this tradeoff can not provide insight for
the adaptive system with discrete constellations. From the
above observations, we find that we can improve data rate
TABLE II by using the two adaptive parameters jointly. Specifically, in
A DAPTIVE ST SYMBOL RATE WHEN CONSTELLATION IS BPSK, QPSK, some cases, we can adjust constellation size to improve rate
8PSK AND 16QAM, RESPECTIVELY. and performance; which in the other cases, we will adjust ST
symbol rate, i.e., multiplexing gain, for adaptation. To proceed,
L
MODE Constellation L/T Rm γQT we have the following proposition.
0 - - - γ < −0.6309 Proposition 1: The average transmission rate in the adap-
1 BPSK 1 1 −0.6309 ≤ γ11 < 0.8385 tive selection-mode system can be improved by adding more
2 BPSK 2 2 0.8385 ≤ γ12 < 3.1014
possible transmission modes providing higher data rate than
3 BPSK 3 3 3.1014 ≤ γ13 < 8.1509
4 BPSK 4 4 γ14 ≥ 8.1509 the corresponding original mode at the same SNR region.
MODE Constellation L/T Rm γ2i Proof: Let us define the SNR regions of our adaptive system
0 - - - γ < −0.1893 using one set of selection modes as follows.
1 QPSK 1 2 −0.1893 ≤ γ21 < 1.4058
2 QPSK 2 4 1.4058 ≤ γ22 < 4.4833 <1 −→ γ1 < γ < γ2 associated with −→ R1
3 QPSK 3 6 4.4833 ≤ γ23 < 14.2812
4 QPSK 4 8 γ24 ≥ 14.2812 ..
MODE Constellation L/T Rm γ3i .
0 - - - γ < 3.384
1 8PSK 1 3 3.384 ≤ γ31 < 5.3886 <i −→ γi < γ < γi+1 associated with −→ Ri
2 8PSK 2 6 5.3886 ≤ γ32 < 8.9696
3 8PSK 3 9 8.9696 ≤ γ33 < 24.2533 If we add more possible selection modes, the SNR regions
4 8PSK 4 12 γ34 ≥ 24.2533 will be changed as follows.
MODE Constellation L/T Rm γ4i 0
0 - - - γ < 11.7479 <1 −→ γ1 < γ < γ1 associated with −→ R1
1 16QAM 1 4 11.7479 ≤ γ41 < 15.4452 0 0 0
2 16QAM 2 8 15.4452 ≤ γ42 < 26.5898 <1 −→ γ1 < γ < γ2 associated with −→ R1
3 16QAM 3 12 26.5898 ≤ γ43 < 30.8208
..
4 16QAM 4 16 γ44 ≥ 30.8208 .
0
<i −→ γi < γ < γi associated with −→ Ri
 20
ASE Joint Adaption (Q,L/T)
ASE changing constellation size(BPSK,QPSK,8PSK,16QAM with L/T=4
ASE changing ST symbol rate(L/T=1,2,3,4) with 16QAM
18
16
Average Spectral Efficiency bps/channel use
14
12
10
8
6
4
2 construction,” IEEE Trans. Inform. Theory, vol. 44, pp. 744-765, Mar.
0
−5
Fig. 4. Average spectral efficiency comparison for the three adaptive schemes.
0 0
<i −→ γi < γ < γi+1
0 Mar. 2003.
We assume Ri > Ri for any i. The total average rate for
original scheme can be written as
X Z γi+1
R̄ = Ri pΓ (γ)dγ
The total average rate when for the scheme with more
transmission modes can be written as
X Z γi0 Z γi+1
0
Ā = (Ri pΓ (γ)dγ + Ri pΓ (γ)dγ)
i γi
It is obvious that
In Fig. 4, we compare the average spectral efficiency (ASE)
for the three adaptive techniques. As can be seen from Fig. 4,
the ASE of the joint adaptive scheme outperforms the other
two schemes significantly from 0dB to 25dB. At high SNR
(larger than 25 dB), three schemes have the same performance.
As predicted by Proposition 1, if there are more available
modes, the ASE can be improved further.
In this paper, we proposed a novel adaptive design with
discrete selection modes, in which the linear dispersion code
is applied. Since the high-rate LDC is applied, it makes space-
time symbol rate available for adaptation. An adaptive algo-
rithm is proposed for selection-mode adaptation. Based on the
proposed algorithm, two adaptation techniques using constella-
tion and space-time symbol rate are studied, respectively. With
joint adaptation of space-time symbol rate and constellation
size, more transmission modes can be provided to reduce rate
gap among transmission modes. Theoretical analysis shows
that the average transmission rate can be improved with
more available transmission modes. Additionally, with space-
time symbol rate of the linear dispersion code, the adaptive
design can be simplified and various levels of diversity and
multiplexing gain can be provided. Simulation results were
provided to demonstrate merits of the joint adaptation of
constellation and space-time symbol rate.
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