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Design and Performance of Polar Codes for 5G

Communication under High Mobility Scenarios


Peiyao Chen∗ , Minzi Xu∗ , Baoming Bai∗ , and Jiaqing Wang†
∗ State
Key Laboratory of Integrated Services Networks, Xidian University, Xi’an 710071, China
† State
Key Laboratory of Wireless Mobile Communications, Beijing 100083, China
Email: {pychen, mzxu}@stu.xidian.edu.cn, bmbai@mail.xidian.edu.cn, and wangjiaqing@catt.cn

Abstract—With the development of high-speed trains (HST), time-varying channels. In [7], performances of polar codes
efficient and reliable communication services in high mobility over the Rayleigh fading channel with known channel state
scenarios have become an urgent demand. As one of the strong information (CSI) and known channel distribution information
candidates in 5G wireless system, polar codes along with its
optimized design should also be investigated under high mobility (CDI) at the receiver were exhibited, respectively. Trifonov [9]
scenarios. In this paper, a scheme of hash-concatenated polar presented a hierarchical polar coding scheme under the as-
codes is proposed to reduce the false alarm rate, which is a key sumption that the transmitter had no knowledge of CSI over
performance in 5G enhanced mobile broadband control channel. the fading additive exponential noise channel. Dynamic frozen
Then, for data channels, hash-based cyclic redundancy check symbols were designed in [9] to construct polar codes over
(CRC)-aided polar codes with a joint successive cancellation list
decoding method is introduced to improve the error-correcting independent Rayleigh fading channels. Error-correcting per-
performance. Simulation results show that the hash-concatenated formance of the polar coded OFDM in multipath fading was
polar codes can achieve both the lower false alarm rate and investigated in [10]. Note that polar codes with the use of high-
better error-correcting performance than conventional CRC- order modulations were not studied in the above researches.
aided polar codes in both the AWGN and high mobility channels. With the growing demands of mobile broadband services,
Furthermore, with the joint decoding approach, hash-based
CRC-aided polar codes perform better than LTE turbo codes high spectral efficiency is required. Polar coded modulation
for high-order modulations in terms of the frame error rate was investigated in [11]-[15], where both multilevel coding
over the HST channel. (MLC) scheme and bit-interleaved coded modulation (BICM)
system were considered. However, they mainly focused on the
I. I NTRODUCTION design and the construction for the AWGN channel. In this
With the increase of train speeds, high mobility wire- paper, we focus on a polar coded OFDM system under the
less communication, which encounters challenges due to the high mobility scenarios.
Doppler effect with rapid time variations, arouses much at- Besides the application for high-spectral efficiency, polar
tention and exploration. The forthcoming 5G communication codes also exhibit competitiveness for short-packet commu-
requires peak data rates up to 10 ∼ 20 Gb/s for enhanced nications. Most recently, polar codes was determined by
mobile broadband (eMBB) scenario. Thus, how to fulfill 3GPP as the channel coding scheme for the eMBB control
the 5G requirements with coding scheme in high mobility channel. However, existing CA-polar codes cannot meet the
scenarios is a challenging problem. requirement of low false alarm rate [18], which is a key
As the first provably capacity-approaching channel codes, performance in 5G control channel, and PC-polar codes ex-
polar codes [1], discovered by Arıkan in 2009, exhibit a huge hibit inferior error-correcting performances with parameters in
potential to be employed in various applications. By using control channel. In this paper, we propose a scheme of hash-
recursive structures, polar codes are constructed based on the concatenated polar codes (hash-polar codes) to reduce the false
channel polarization, where equivalent bit-channels polarize alarm rate with satisfying error-correcting performances. Polar
to be nearly noiseless or useless with code length tending codes are also a strong candidates for 5G ultra-reliable low-
to infinity. Since the error-correcting performance under the latency communications (uRLLC) data channel. Then, a hash-
simple successive cancellation (SC) decoder for polar codes based CRC-aided polar codes (hash-based CA-polar codes)
with finite code length is inferior to other modern codes, such with a joint SCL method is proposed for the data channel.
as LDPC codes and Turbo codes, SC list (SCL) decoding was Performance comparison between hash-based CA-polar codes
proposed in 2011 [2], where 𝐿 paths were kept for selecting and LTE turbo codes for high-order modulations is also given
the most likely estimation. For further improvement, a high- over the HST channel.
rate outer code is always concatenated with a polar code, such
as CRC-aided polar codes (CA-polar codes) [2][3] and parity II. S YSTEM M ODEL
check polar codes (PC-polar codes) [4]. Orthogonal frequency division multiplexing (OFDM) is an
The success of polar codes in the binary erasure channel attractive technology against multipath fading by dividing the
(BEC) and AWGN channels suggests that similar results total available bandwidth into some narrowband orthogonal
should also be considered in other channels, especially for subcarriers. According to the success of OFDM in LTE, 5G

978-1-5090-5932-4/17/$31.00 ©2017 IEEE


waveforms will also be based on the modified OFDM. In Suppose that a linear minimum mean square error
this paper, we focus on a polar coded OFDM system with (LMMSE) equalizer is used to mitigate the inter carrier in-
𝑀 subcarriers over the HST channel, where both multipath terference (ICI) caused by the Doppler effect, and the receiver
effect and Doppler effect exist. Assume that only one antenna has perfect CSI, and no CSI is available at the transmitter.
is available at the transmitter and the receiver, respectively. Then, the received symbol on the 𝑖-th subcarrier is obtained
The polar coded OFDM system model is depicted in Fig.1. as
𝑍 𝑖 = 𝑈 𝑖 𝐻 𝑖 𝑋 𝑖 + 𝑈 𝑖 𝑊𝑖 , (2)
d
Encoder
c Bit- Signal X IDFT
CP
where 𝑈𝑖 = 𝐻 𝐻 𝐻1𝑖 +𝜎2 𝐻𝑖𝐻 denotes the equalizer coefficient,
interleaver Mapper Insertion 𝑖 𝑛
HST Channel and 𝐻𝑖 represents the 𝑖-th row of frequency-domain H. Note
h that, after using the equalization, the equivalent noise of the
𝜎2
w received 𝑖-th symbol is equal to ∥𝐻 ∥2𝑛+𝜎2 , which
ᒦ is used to
𝑖
d̂ Decoder Deinterleaver Demapper Z Equalizer Y DFT
CP
decode.
𝑛 Ѣ

Removal

III. C ODING S CHEME
Fig. 1. System Model
Polar codes, as a class of linear block codes, are constructed
A 𝐾-bit source sequence d is encoded into a binary based on the channel polarization. The conventional polariza-
sequence c of length 𝑁 by a channel encoder, and the code tion matrix (called Arıkan’s kernel) is given as F2 = [ 11 01 ].
rate 𝑅 = 𝐾/𝑁 . By regarding the modulation channel as Then, the generator matrix G𝑁 can be obtained recursively as
a set of equivalent subchannels with different capacities, a G𝑁 = B𝑁 (F⊗𝑛
2 ), (3)
bit-interleaver designed in [16] is applied to intensify the
polarization. Let a two-dimensional signal constellation be where B𝑁 is a bit-reversal permutation matrix [1], and ⊗
denoted by 𝒳 with size ∣𝒳 ∣ = 2𝑚 . Then, interleaved bits are represents the Kronecker power operation. Apparently, the
mapped to a sequence of 𝑁𝑠 = 𝑀 = 𝑁/𝑚 frequency-domain code length 𝑁 = 2𝑛 . Let 𝒜 ⊆ {1, 2, ..., 𝑁 } denote the index
symbols X = {𝑋𝑖 ∈ 𝒳 , 1 ≤ 𝑖 ≤ 𝑁𝑠 }. Note that 𝑁 is a set of information bits, and 𝒜𝑐 represent the complementary
multiple of 𝑚, and the compatible code [length]can be obtained set of 𝒜 known as the index set of frozen bits.
by puncturing. Assume that 𝐸𝑠 = E ∣𝑋𝑖 ∣2 represents the Assume that the binary-sequence u is fed into the polar
average transmitted energy per symbol, then, the average encoder, and the codeword c is given by c = uG𝑁 . At
received SNR = 𝐸𝑠 /𝑁0 = 𝜌 ⋅ 𝐸𝑏 /𝑁0 , where the spectral the receiver, the conditional probability of 𝑢𝑖 is computed
efficiency 𝜌 = 𝑚𝑅, and 𝐸𝑏 denotes the average energy per recursively by the algorithm in [1] with the received channel
information bit. Using the inverse discrete Fourier transform probabilities. In SC decoder, the frozen bit 𝑢𝑖 (𝑖 ∈ 𝒜𝑐 ) will be
(IDFT), time-domain transmitted symbols are obtained. A set to zero or a known bit, and the information bit 𝑢𝑖 (𝑖 ∈ 𝒜)
cyclic prefix (CP) of length 𝐿𝑐𝑝 is inserted into the output of will be determined with the maximum conditional probability.
the IDFT, where the effect of intersymbol interference (ISI) Based on the SC decoder, SCL decoder is proposed, where
caused by the multipath propagation can be eliminated. Note 𝐿 paths are kept for the bit which belongs to 𝒜. A high-rate
that 𝐿𝑐𝑝 > 𝐿𝑡𝑎𝑝 under the assumption that 𝐿𝑡𝑎𝑝 taps are used outer code is always concatenated with a polar code, such as
in the doubly selective channels. CA-polar codes and PC-polar codes to further improve the
decoding performance.
In this paper, a high mobility channel model proposed by
In the control channel, a 𝑣-bit CRC code is required
Wang [17] is employed, where the nonstationarity of the HST
to determine whether the decoded frame is correct or not.
channel is considered via focusing on time-varying small-
Assume that FA represents the false alarm rate, which is
scale fading parameters. After removing the CP, the received
defined as follows [18],
symbols are processed by the discrete Fourier transform (DFT)
yielding frequency-domain symbols Y = {𝑌𝑖 , 1 ≤ 𝑖 ≤ 𝑁𝑠 }, 𝐸𝑐𝑟𝑐
FA = , (4)
i.e., 𝐸𝑡𝑜𝑡𝑎𝑙
Y𝑇 = FhF𝐻 X𝑇 + F𝒘 where 𝐸𝑐𝑟𝑐 represents the number of the incorrectly decoded
(1) frames which pass the CRC, and 𝐸𝑡𝑜𝑡𝑎𝑙 denotes the total
= HX𝑇 + W𝑇 ,
number of the incorrectly decoded frames. Obviously, the low
where F and F𝐻 represent the unitary DFT matrix and false alarm rate is needed. However, CA-polar codes cannot
IDFT matrix of size 𝑀 , respectively, h and H denote the meet the requirement, the estimation of which is based on
channel matrix of size 𝑁𝑠 ×𝑁𝑠 in time-domain and frequency- the CRC, resulting in an increase of FA. Although PC-polar
domain, respectively, 𝒘 is a noise vector in time-domain, codes perform better than CA-polar codes in terms of the FA,
containing independent and identically distributed complex inferior error-correcting performance is exhibited with short
Gaussian random variables with zero mean and variance 𝑁0 /2 code length and low code rate, both of which are required in
per dimension, and W = {𝑊𝑖 } is frequency-domain noise, the control channel.
which has the same statistical characteristics as the time- Based on the above discussions, we propose a scheme of
domain noise 𝒘, i.e., 𝑊𝑖 ∼ 𝒞𝒩 (0, 𝜎𝑛2 ). hash-polar codes for the control channel to decrease the false
alarm rate along with satisfying error-correcting performance. Algorithm 1: Hash − aided SCL Decoder
For the data channel, we also introduce a hash function- Input: received channel probabilities
based scheme to improve the error-correcting performance by Output: estimated source sequence
reducing the chance that more than one paths pass the CRC 1 Flag ← 0.
check in the CRC-aided SCL method. 2 for 𝑖 = 0 to 𝑛 − 1 do
3 ∙ Calculate the conditional probabilities.
4 if 𝑢𝑖 is a frozen symbol then
A. Hash-Polar Coding for the Control Channel 5 Set 𝑢𝑖 = 0 and remain all paths.
else
1) Encoding: Assume that h represents a nonlinear hash
6
7 Sort the conditional probabilities, and select the 𝐿
function with two inputs and one output. Avalanche effect most probable paths
exists in the hash function, where one bit of the input varies
leading to a huge change of the output. Suppose that the 8 for 𝑙 = 0 to 𝐿 − 1 do
9 ∙ Deliver the CRC coded sequence from the 𝑙-th path to
“improved one-at-a-time” hash function h [19] is applied the hash encoder resulting in an integer 𝑆.
resulting in an unsigned integer 𝑆(0 ≤ 𝑆 ≤ 232 − 1), called 10 ∙ Convert the hash state sequence from the 𝑙-th path into
hash state. The hash-concatenated polar encoder is shown in ˜
an unsigned integer 𝑆.
Fig. 2. A 𝐾-bit source sequence d is encoded by a 𝑣-bit CRC 11 if (𝑆 mod 2𝑟 )==𝑆˜ then
encoder first, then the resulting sequence v of length 𝐾 + 𝑣 12 Output the source data sequence.
Flag ← 1.
is divided into non-overlapped 𝐼 segments, each of which is 13
14 Break.
a bit-sequence of length 𝑟 = (𝐾 + 𝑣)/𝐼 and is represented as
an integer 𝑘𝑖 (1 ≤ 𝑖 ≤ 𝐼). Note that 𝐼 should be a factor of 15 if Flag== 0 then
𝐾 + 𝑣, and 1 ≤ 𝑟 ≤ 32. Let the two inputs of the h be the 16 Output the source data sequence from the first path.
prior state 𝑆𝑖−1 and the integer 𝑘𝑖 of the 𝑖-th segment, then,
the output 𝑆𝑖 = h(𝑆𝑖−1 , 𝑘𝑖 ). The initial state 𝑆0 is known
to both the transmitter and the receiver, and here we assume
where 𝐸ℎ𝑎𝑠ℎ&𝑐𝑟𝑐 represents the number of the incorrectly
that 𝑆0 = 0. For the last segment, the output 𝑆𝐼 is converted
decoded frames which satisfy the check sum of hash function
into a binary sequence, and 𝑟 ≤ 32 bits are chosen from the
and CRC, simultaneously.
sequence. The 𝑟-bit sequence, called hash state sequence, is
attached to the sequence v producing a sequence u of length
𝐾 + 𝑣 + 𝑟, and then, the attached sequence u is fed into B. Hash-based CA-Polar Coding for the Data Channel
the polar encoder. Obviously, the hash function can also be 1) Encoding: For the data channel, we will focus more
regard as a nonlinear encoder, where the 𝑟-bit sequence is the on the error-correcting performance. The case that more than
codeword, and ∣𝒜∣ = 𝐾 + 𝑣 + 𝑟. one paths pass the CRC exists in the conventional CRC-aided
SCL decoder, especially at low SNR, which affects the error-
d CRC v v correcting performance. Due to its nonlinear characteristic,
k1 k2 ... kI
Encoder Split
u Polar c hash function can alsoᒦ Ѣ
be applied to enhance the capability
S1 S2 ... SI P/S
S0 h h h h Encoder of CRC. ਈ

Hash Encoder The encoding scheme is exhibited in Fig. 3, called
hash-based CA-polar encoder. Unlike the hash-concatenated
Fig. 2. Hash-concatenated polar encoder.
scheme, the source data is encoded by the hash encoder first
resulting in an integer 𝑆 (0 ≤ 𝑆 ≤ 232 − 1). The integer 𝑆 is
2) Decoding: In order to approach the low false alarm rate, converted into a binary sequence of length 32, and the 32-bit
the CRC-aided SCL decoding method cannot be used. With sequence is attached to the source data sequence producing
the utilization of the hash encoder, hash-aided SCL decoding the sequence v. Then, CRC-aided polar encoder works. Here,
method is proposed. Instead of selecting the path which can the hash encoder can be viewed as a pre-coding process, and
pass CRC as the output in SCL with CRC-aided decoder, hash- ∣𝒜∣ = 𝐾 + 𝑣.
aided SCL decoder outputs the most likely decoding path with
the maximum conditional probability among the paths whose d
states equal to the output of the hash encoder. The main hash- v CRC u Polar c
P/S
aided SCL algorithm presented by pseudo-code is shown in Hash S Encoder Encoder
Algorithm 1. Encoder

Note that the selection of the output among 𝐿 paths is not Fig. 3. Hash-based CRC-aided polar encoder.
based on the CRC. On account of the fact that the output of
the hash function can also be viewed as a check codeword, 2) Decoding: According to the encoding structure, the main
thus, the false alarm of hash-polar codes can be redefined as part of the joint SCL decoding algorithm presented by pseudo-
𝐸ℎ𝑎𝑠ℎ&𝑐𝑟𝑐 code is shown in Algorithm 2, where the selection of the output
FA = , (5) among 𝐿 paths is based on the CRC.
𝐸𝑡𝑜𝑡𝑎𝑙
Algorithm 2: Joint SCL Decoder considered, the code rate 𝑅 = 1/3, list size 𝐿 = 8, and all
Input: 𝐿 most probable paths schemes are constructed by Gauss Approximation method [21]
Output: estimated source sequence at 𝐸𝑏 /𝑁0 = −1.59 dB. CRC-16 is employed in both CA-polar
1 Flag ← 0. codes and PC-polar codes, and CRC-12, the check capability
2 for 𝑙 = 0 to 𝐿 − 1 do of which is inferior to that of CRC-16, is applied in hash-polar
3 ∙ Encode the source data sequence from the 𝑙-th path by
the hash encoder resulting in an unsigned integer 𝑆. codes. According to the requirement for the control channel,
4 ∙ Convert the unsigned integer 𝑆 into a binary sequence of the FA should be lower than 2−16 [18]. It is shown that CA-
length 32. polar codes cannot meet the requirement of FA though they
5 ∙ Insert the 32-bit sequence between the source data have excellent error-correcting performances. It can also be
sequence and the CRC check sequence, both of which are seen that hash-polar codes have lower false alarm rate and
from the 𝑙-th path.
6 ∙ Check the inserted sequence by the CRC decoder better error-correcting performance than PC-polar codes.
yielding a check sum 𝑡.
7 if 𝑡 == 0 then
8 Output the source data sequence.
9 Flag ← 1. 0
10
Hash−Polar with 120km/h
10 Break.
Hash−Polar with 360km/h

11 if Flag== 0 then −1
CA−Polar with 120km/h
10 CA−Polar with 360km/h
12 Output the source data sequence from the first path.

−2
10

FER
IV. N UMERICAL R ESULTS
−3
Numerical results are presented in this section to evaluate 10

the performance of the proposed polar codes over both the


AWGN and HST channels. The high mobility systems employ −4
10
a symbol rate of 100 ksymbols/s and operate at the carrier fre-
quency of 2 GHz. Assume that the terminal speed is between
120 km/h and 500 km/h, then the corresponding Doppler −5
10
spread is between 222 Hz and 926 Hz. Gray labeling is used
5 6 7 8 9 10 11 12 13
E /N (dB)
b 0
for all BICM systems with the bit-interleaver proposed in [16].
The quasi-uniform puncturing (QUP) scheme presented in [20] Fig. 5. Performance comparison between hash-polar codes and CA-polar
is used for length matching. codes with QPSK over the HST channel.

0
10
Hash−Polar,K=32,FER
Let the false alarm rate be 2−16 at most, then, the FER
Hash−Polar,K=32,FA performance of hash-polar codes and CA-polar codes with
−1
10
CA−Polar,K=32,FER 120 km/h and 360 km/h is shown in Fig. 5, where 𝐾 = 80,
CA−Polar,K=32,FA
PC−Polar,K=32,FER 𝑅 = 1/3, and CRC-12 is applied. All schemes with both 120
−2
10
PC−Polar,K=32,FA km/h and 360 km/h are constructed by Monte-Carlo method
Hash−Polar,K=80,FER
Hash−Polar,K=80,FA
at 𝐸𝑏 /𝑁0 = 5.0 dB. Fig. 5 shows that hash-polar codes also
FER/FA

−3
10
CA−Polar,K=80,FER perform well in the HST channel.
CA−Polar,K=80,FA
PC−Polar,K=80,FER Considering the data channel in high mobility scenarios,
PC−Polar,K=80,FA
−4
10 Fig. 6 and Fig. 7 exhibit the FER performance of hash-based
CA-polar codes and LTE turbo codes with 16-QAM and 64-
−5
10 QAM, respectively, where the joint SCL method (𝐿=32) with
CRC-16 is used in the proposed polar codes and the Max-
−6
10
Log-Map decoding algorithm with 8 iterations is used in turbo
0 1 2 3 4 5
Eb/N0(dB)
6 7 8 9 codes. All codes are of rate 1/2, and the proposed polar codes
are constructed by Monte-Carlo method at 𝐸𝑏 /𝑁0 = 5.0 dB
Fig. 4. Performance comparison among hash-polar codes, CA-polar codes,
for 16-QAM with code length 1024 and 𝐸𝑏 /𝑁0 = 8.0 dB for
PC-polar codes with QPSK over the AWGN channel. 64-QAM with code length 1020, respectively. In both Fig. 6
and Fig. 7, the code length of turbo codes is 1152. From Fig.
Fig. 4 shows the false alarm rate FA and the frame error 6 and Fig. 7, it can be seen that the proposed polar codes
rate (FER) performance of hash-polar codes along with the with the joint decoding method under high-order modulations
comparable CA-polar codes and PC-polar codes with QPSK perform better FER performance than LTE turbo codes in high
over the AWGN channel. Both 𝐾 = 32 and 𝐾 = 80 are mobility scenarios.
0
was supported in part by the National Basic Research Program
10
Proposed Polar with 120km/h of China under Grant 2012CB316100, and by the National
Proposed Polar with 240km/h Natural Science Foundation of China under Grants 61372074
Proposed Polar with 360km/h
Proposed Polar with 500km/h and 91438101.
−1
10 LTE Turbo with 120km/h
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with 16-QAM and 64-QAM outperform LTE turbo codes in 2012.
terms of FER over the HST channel.

ACKNOWLEDGMENT
We wish to thank Mr. Shuangyang Li and Mr. Zhongyang
Yu for insightful remarks and helpful comments. This work

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