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Steffen Bittner, Ernesto Zimmermann, Wolfgang Rave and Gerhard Fettweis

Vodafone Chair Mobile Communications Systems

Technische Universität Dresden, D-01062 Dresden, Germany

Email: bittner@ifn.et.tu-dresden.de

Abstract— Near-capacity performance can be achieved in privileged in the extension process. The search tree thus grows

multiple-antenna systems by using a list sequential (LISS) de- very fast in width, resulting in high detection complexity.

tector for iterative equalization. Path augmentation is known to The problem of shortened paths can be resolved by using

increase the performance of this detector, while a so-called bias

term has been used to reduce its computational complexity, in soft bits to extend all incomplete stack entries to full length

applications other than MIMO detection. [1]. Very good performance can then be achieved even when

In this work, we extend the LISS MIMO detector [1] to the stack contains only a low number of full length paths

incorporate different implementations of the bias term. We show after the tree search. However, the complexity of this path

that following the traditional approach of using an auxiliary stack augmentation can still be significant. In this paper we therefore

for this purpose leads to a strong narrowing of the search tree, but

also to a significant performance degradation, due to a reduced

propose to extend only a small fraction of the shortened paths

quality of the detector soft output. We therefore propose to use a – the ones with the best path metrics – and show that similar

so-called noise bias term instead, which can be implemented with performance gains can be achieved. The issue of different

negligible effort, significantly reduces the size of the search tree, path lengths during the tree search has not been considered in

but allows for almost retaining detector performance. Finally, we previous work on LISS MIMO detection. A so-called bias term

demonstrate that the extension of only a small fraction of the

incomplete stack entries is sufficient to leverage the full gains of

can be used to tackle this problem. By penalizing short paths, it

path augmentation, thus enabling further substantial savings in prevents the tree from growing too fast in width, thus speeding

computational complexity. up the search. One possible solution is to use an additional

auxiliary stack for this purpose [3]. Although this variant leads

I. I NTRODUCTION to an almost perfect estimation of the bias term, the required

effort in terms of computational complexity and additional

Radio frequency spectrum is a scarce resource and thus has memory is prohibitively high. In this paper, we propose to

to be used as efficiently as possible to satisfy the demands of approximate the bias term by the average accumulated noise

modern data services. To achieve this high spectral efficiency, energy over the receive antennas. This easily implementable

multiple antennas can be used at transmitter and receiver noise term requires practically no implementation effort and

to spatially multiplex several parallel data streams into the provides an even better performance-complexity trade-off than

same time-frequency bin. A big challenge in this context the original bias term.

is the correct separation of the transmitted signals at the The remainder of this paper is organised as follows. In

receiver. Recently, the field of iterative MIMO equalization Section II we describe the system model and the principles of

based on the serial concatenation of an inner MIMO detector iterative equalization. Section III introduces the basics of list

and an outer channel decoder has received a lot of attention. sequential (LISS) detection investigated in detail in this paper.

Two representatives of this approach are list sphere [4] and We also present different possibilities for bias term calculation

list sequential (LISS) [1] detection. Both schemes are able and path augmentation. In Section IV we show results on the

to approach the capacity limit of the MIMO channel while performance and complexity of the different LISS detector

avoiding the prohibitive complexity of a full APP detector. implementations investigated in this paper. We conclude the

The LISS detector is a derivation of the basic stack algo- paper with a summary of our findings in Section V.

rithm. A sorted list is filled with paths of different lengths

II. S YSTEM M ODEL

resulting from a tree search over possibly transmitted vector

signals. The detection procedure is stopped as soon as a A. MIMO-Model

predefined number of full length paths (candidates) is found. We consider a MIMO (multiple-input, multiple-output) sys-

Adjusting the stack size allows to trade-off detector perfor- tem with T x transmit and Rx receive antennas as depicted

mance against implementation simplicity. There are two main in Figure 1. Let u be a vector of information bits which are

drawbacks of (conventional) LISS detection: firstly, the stack encoded by the outer encoder and interleaved. The resulting

usually contains a large number of incomplete paths which code bit stream is separated into blocks x containing T x·N in-

are not considered in the calculation of soft outputs and thus dependent binary digits. Here, N represents the number of bits

constitute a waste of resources. Secondly, shorter paths are per symbol and therefore allows to separate between M = 2N

different constellation points. Each block x = (x1 , · · · , xT x )T of appropriate size and structure), the joint probabilities can

consists of T x binary vectors xt = (xt1 , · · · , xtN ) of N be split into products. The L-value computation can now be

bits. As part of the transmission process, every single block rewritten as:

is mapped onto a T x × 1 complex vector of symbols P

x∈Xtn,+1 p(y|x) · P [x]/p(y)

s = (s1 , · · · , sT x )T whose components are taken from some L(xtn |y) = ln P (3)

complex constellation C (e.g. 16-quadrature amplitude mod- x∈Xtn,−1 p(y|x) · P [x]/p(y)

ulation (QAM)). These components are obtained using the where Xtn,±1 is the set of 2T x·N −1 bit blocks x with

mapping function st = map(xt ), t = 1, · · · , T x (e.g., Gray xtn = ±1. The MIMO channel introduces interference among

mapping). the transmitted signals at the receiver. The conditioned proba-

Binary Outer Constellation

bility density in (3) is therefore given by the complex Gaussian

u c x

Source Encoder Mapper

distribution

s

Rate R Interleaver ...

H 1 1 2

... p(y|x) = exp − ky − Hsk . (4)

Hard Decision

AWGN n (πN0 )Rx N0

y

Binary

Sink

SISO

Decoder

LA,Dec

-1

LE,Det

MIMO

Detector

For the L-value computation only the exponential term is

relevant – the constant scaling factor 1/(πN0 )Rx cancels out

LE,Dec LA,Det and can be omitted. The second term in (3) represents the a-

priori knowledge fed into the detector from the outer decoder,

Fig. 1. Transmission model with outer PCC encoder, MIMO channel and whereas the third (bias) term p(y) takes the influence of the

iterative receiver (soft SIC MIMO detector and SISO decoder). different path lengths during the tree search into account. Note

that this bias term effectively cancels itself out in the L-value

The average transmission energy is equal to E[ksk2 ] = Es , computation, as only full length paths are considered there. Its

with each component obeying the energy constraint of Es /T x. only purpose is to speed up the tree search as will be explained

Let y be a vector of received symbols according to later in Section III.

y = Hs + n (1) To evaluate the numerator and denominator in (3) it is often

convenient to apply the so called ”max-Log” approximation

where H is a dimension Rx × T x MIMO channel matrix in order to speed up computation at the expense of some

perfectly known at the receiver. Each entry of the channel performance degradation [6]. The computation of the detector

matrix is an independent realisation of a complex Gaussian L-value can hence be approximated as a difference of two

random process with zero mean and variance 1/2 per real di- max-operations:

mension. The noise vector n consists of mutually independent

zero-mean circularly symmetric complex Gaussian random

1

y−Hs
2 +ln Y Y P [x ]−ln p(y)

Tx N

variables, each with variance N0 /2 per real dimension. L(xtn |y) ≈ max −
tn

x∈Xtn ,+1 N0 t=1 n=1

B. Iterative MIMO Equalization

1

y −Hs
2 +ln Y Y P [x ]−ln p(y) .

Tx N

As receiver architecture we consider the serial concatenation − max −
tn

x∈Xtn ,−1 N0

of an inner MIMO detector and an outer channel decoder. t=1 n=1

(5)

Both detector and decoder are able to accept and generate soft

information, which can be exchanged in an iterative fashion. As outlined in the introduction, equation (5) can be imple-

The detector uses the received signal, the channel state infor- mented by a number of different MIMO detection strategies.

mation and the a-priori information provided by the decoder to In our work, we concentrated on the list sequential approach,

generate new (extrinsic) information. The decoder exploits the whose specifics are discussed in the following section.

correlation among different bits of the codeword (code bits),

which are introduced by the channel code, to generate extrinsic III. S EQUENTIAL D ETECTION

information about the information bits as well as about the A. Tree Search

code bits. The latter information is interleaved and fed back

to the detector. The MIMO detector can hence employ the Evaluating the two max-operations in equation (5) by a

provided a-priori information to further improve its soft output. brute-force approach is an intractable task which grows ex-

For the soft information representation we use the conven- ponentially with the number of transmit antennas and the

tion of the so called log-likelihood values (L-values), see [2] modulation size. However, only a few hypotheses x ∈ Xtn , ±1

for details. The L-value of a certain bit xtn conditioned on the actually maximise each of the respective terms. We call these

received signal y is defined as: hypotheses candidates and restrict our search to a subset list

L ⊂ X. This list should on the one hand include only a

P [xtn = +1|y] fraction of elements from X but on the other hand be large

L(xtn |y) := ln . (2)

P [xtn = −1|y] enough to allow approaching the true detector L-value as

Using Bayes’ theorem under the assumption of mutually inde- closely as possible, such that any performance degradation of

pendent bits xtn (which is justified by the use of an interleaver the receiver can be avoided. One effective scheme enabling

the construction of such a subset list is the stack algorithm, B. Bias Term Calculation

of which the List-Sequential (LISS) Detector introduced in During the tree search, the stack of the LISS detector

[1] is a derivative. The LISS detector performs a tree search, contains paths of different lengths. Longer paths usually

maintaining a list of paths of different lengths which are sorted have worse metrics, due to the higher accumulated Euclidean

according to their metrics. distances, and hence tend to be sorted to the bottom of the

For systems with an equal number of transmit and receive stack. As a result, the width of the search tree grows very

antennas, the computation of the squared Euclidian distance fast, resulting in high detection complexity. The so-called bias

in (5) can be written as: term ln p(y) in (7) enables to efficiently tackle this problem

by appropriate adjustment of the path metrics. For a path of

ky − Hsk2 = kH(s − ŝZF )k2 (6)

length t (i.e., spanning antennas 1 through t), it is defined as:

where ŝZF = (HH H)−1 HH y is the unconstrained ML X

ln p(y1t ) = ln p(y|xi ) · P [xi ]

estimate of s (also known as the Zero-Forcing solution), which

xi ∈It

acts as the starting point of our search. During the tree search X

we always extend the path with the best metric which has not = ln eln p(y|xi )+ln P [xi ] . (9)

yet reached full length, by its M successors. The search ends xi ∈It

after we obtained a predefined number of fully extended paths. where It indicates the set of all possible signal combinations

(cf. Figure 2 for an illustration of such a BPSK search tree, for the considered path depth t. The calculation of the correct

where ”×” indicates the received symbol per antenna and ”•” bias term is thus as complex as the whole soft output detection

represents the BPSK constellation points as well as the soft problem itself. In [3] it is therefore suggested to calculate an

modulated constellation points in case of augmented paths.) approximate bias term by using an additional auxiliary stack

which contains only an appropriate subset of I. However, the

LA (x11 ) = −5 LA (x21 ) = +2.2 LA (x31 ) = −1.1 increase in complexity and the additional memory require-

x11 = +1 x̄21 = +0.8 x̄31 = −0.5 ments eat up a substantial part of the savings obtained by

introducing this version of the bias term.

PSfrag replacements We therefore take a different approach that directly ad-

dresses the main problem: the larger accumulated Euclidean

x31 = +1

distance in the metric of long paths. We propose to approxi-

x21 = +1 mate the bias term by the average accumulated noise energy

x31 = −1 over the receive antennas. Assuming perfect detection of the

x11 = −1

transmitted signal, ŝ = s, the squared Euclidian distance d2M L

is equal to the squared norm of the noise vector n:

x21 = −1 x̄31 = −0.5

d2M L = ky − Hŝk2 = kH(s − ŝ) + nk2 = knk2

N0

Fig. 2. Search tree for a 3 × 3 MIMO system using BPSK transmission. ∼ · χ22Rx . (10)

Dashed lines indicate augmented paths. 2

which is proportional to a weighted N20 chi-square ran-

As a prerequisite for evaluating (5) by a tree search algo- dom variable with 2Rx degrees of freedom. Thus,

rithm, we have to decompose the channel matrix H to obtain E{d2M L } = Rx · N0 and in view of the definition of the path

a matrix of upper triangular structure. Since it is obviously metric increment (7) it becomes evident that, even in the case

also advantageous to detect reliably received signals first, we of perfect detection, the path metric is decremented by 1

use the sorted QR decomposition (ZF-SQRD) introduced in per detected antenna, on average. We therefore propose to

[7] for this purpose. compensate this effect by incrementing the path metric by

The upper triangular structure of R allows for defining a 1 per detected antenna. The introduction of this noise term

set of per-antenna metric increments, where each increment can be expected to yield a narrower search tree and hence a

depends only on the current and previously detected symbols: complexity reduction at practically zero implementation effort.

Tx
2 N C. Path Augmentation

1
X
X

Λt = −
rt,j (sj − ŝZFj )
+ ln P [xtn ] − ln p(yt ) The information lying in the incomplete entries of the stack

N0 j=t

n=1

(7) can be used to further improve the L-values. By extending

where the term ln p(yt ) represents the bias increment at the shortened paths to full length, each list vector (horizontal

antenna t. Using these metric increments, the overall path stack entry) can be written as:

metric can now be calculated as: x̃l = (x̃1 , x̃2 , · · · , x̃N ·Hl , x̃N ·Hl +1 , · · · , x̃N ·T x )T

X 1 X 1 := (x1 , x2 , · · · , xN ·Hl , x̄N ·Hl +1 , · · · , x̄N ·T x )T .(11)

L(xtn |y) ≈ max Λt − max Λt .

x∈Xtn ,+1

t=T x

x∈Xtn ,−1

t=T x

where Hl indicates the number of perfectly known (in terms

(8) of distance computations) and hard decided bit values of the

lth list vector. Early proposals for such a path augmentation IV. S IMULATION R ESULTS

[5] suggested the use of a random tail. However, better The performance of the LISS detector using different ap-

performance can be achieved by extending the shortened paths proaches for noise term calculation and path augmentation was

using soft bits generated from available a-priori knowledge [1], tested by simulating a 4 × 4 MIMO system, with parameters

that is: selected equivalent to the setup in [4]. We assumed the

LA (xtn )

x̄tn = tanh . (12) receiver to know the channel perfectly and the channel gains

2

to remain constant over the transmission of one vector but

An example for such a path augmentation is given in change statistically independent from one vector to another.

Figure 2. The expected metric increment Λ̄t for t = H + As channel code we used a rate R = 1/2 parallel concate-

1, · · · , T x can be derived as the average

PM over all possible nated G = [7R , 5] turbo code, where 7 indicates the memory

metric increments Λ̄t = E[Λt ] = ln m=1 exp(Λtm ). Again, two feedback polynomial G(D) = 1 + D + D2 and 5 the

the max-log approximation is employed to simplify the calcu- memory two feedforward polynomial G(D) = 1 + D2 . The

lation: decoder performed 8 internal turbo decoding iterations. The

interleaver size was set to 9216 bits. Moreover, we performed

1
r (s − ŝ ) + X r (s̃ − ŝ

2

Tx

Λ̄t ≈ max −
t,t tm ZFt t,j j ZFj )

4 detector-decoder iterations.

∀ m N0 j=t+1

X

N 0

10

··· + ln P [xnm ] − ln p(yt )

n=1 8 candidates

(13) −1

10

mapping of x̃l . The bit probabilities are equal to No path augm.

−2

10 No bias

1 + xtn · x̃tn BER →

P [xtn = ±1] = . (14)

2 Path augm. No path augm.

Aux. stack bias Noise bias

For the first iteration, however, no a-priori information is −3

10

Path augm. 1/3 path augm.

solution ŝZF [1]. The corresponding metric increment can be −4

No bias Noise bias

10

written as:

Tx 2

1 X

Λt = − r (s

t,j j − ŝZFj − ln p(yt )

) (15)

N0 2 2.5 3 3.5

Eb/N0 [dB] →

4 4.5 5

j=H

After the augmentation we have a complete working stack

and compute the L-value by soft weighting of the stack entries Fig. 3. Performance results of a QPSK LISS receiver after 4 Detector-

Λ(l) as proposed in [3]: Decoder-Iterations with and without path augmentation and different types of

bias approximations.

1 + x̃tn 1 − x̃tn

L(xtn |y) ≈ max Λ(l)+ln −max Λ(l)+ln . Figure 3 shows the result for QPSK transmission. As refer-

∀l 2 ∀l 2

ence and upper performance bound, we plotted results for full

This approach makes it possible to evaluate each max- APP detection (running the LISS with 28 = 256 candidates).

operation over all entries in the working stack, since the ln(·) The waterfall region for this brute-force approach is around

part suppresses all contributions from negative bits in the first 2.5dB. For all further investigations with QPSK transmission,

and all contribution from positive bits in the second term, by we stopped the LISS algorithm after finding 8 full length

adding −∞. candidates, to assess the performance of a detector having

From the outline of the path augmentation procedure it acceptable complexity. If we base our L-value computation

becomes evident that the expected increase in performance solely on these 8 full length candidates, we cannot guarantee

may come at a substantial cost in terms of implementation the stack to contain a hypothesis (bit is +1) and counter-

effort, since a very high number of additional metric in- hypothesis (bit is −1) for each possible bit position. To

crements have to be calculated and far more stack entries avoid infinite L-values, it is therefore necessary to clip the

have to be considered in the L-value computation (remember corresponding soft outputs (we chose a clipping level of ±4).

that the stack size is usually far larger than the number of A performance degradation of roughly 2dB is incurred in this

full length candidates). One key question is hence whether setup of the LISS detector. Applying path augmentation of

it is really necessary to augment all incomplete paths in the the incomplete stack entries improves performance by almost

stack. Motivated by the typical max-Log approximation, an 1.5dB – the waterfall region is now around 3.2dB. As stated

alternative way is to sort the shortened paths according to their before, the main problem of this strategy is that we have a

metric and use only a small fraction for path augmentation. rather high number of paths that need to be extended and

The remaining incomplete paths are deleted from the stack. therefore a high computational complexity.

0

10

To reduce the stack size we therefore have to include the 1/3 augmented

1/10 augmented

bias term during the tree search. For the bias term based 1/20 augmented

1 Path augmented

on the auxiliary stack, we used a stack size of 256 and −1

10

results in Figure 3 show that this very accurate estimation of −2

10

ln p(y) leads to a significant performance degradation. The

BER →

explanation for this result is that the search tree is narrowed

−3

“too much” (cf. the results in Figure 4). Even extending 10

calculate accurate soft outputs for certain bit values. The −4

10

second option for bias term calculation is the proposed noise

term. Combined with a partial path augmentation of only 1/3

of all incomplete paths, this approach leads only to a slight 6 6.2 6.4 6.6 6.8 7 7.2 7.4 7.6 7.8

E /N [dB] →

b 0

performance degradation of around 0.2 dB. It is obviously a

far more attractive approach. Without path augmentation, using Fig. 5. Bit error rate for a 16-QAM system with 96 full length candidates

the bias term even results in a small performance improvement and different numbers of path augmentations.

which appears to be a beneficial side-effect of the more

directed search.

setup is presented in Figure 6. The single path augmentation

13

8 Cand./path−augm. curve is also plotted for reference. This curve approaches

8 Cand./Aux+path−augm.

12 8 Cand./Noise+path−augm. T x − 1 = 3 augmentations with increasing SNR. However,

11

using the 1/20 partial path augmentation we could reduce the

augmentation complexity from 300 augmented nodes to 15

10

– a dramatic reduction in complexity without any significant

No. of Nodes →

8

the noise term and partial path augmentation as the most

promising approach in LISS MIMO detection, in terms of the

7

performance-complexity trade-off.

6

140

1/3 augmented

5 1/10 augmented

1/20 augmented

120

1 Path augmented

4

2 2.5 3 3.5 4 4.5 5

No. of Path augmentations →

Eb/N0 [dB] →

100

Figure 3.

60

The influence of the different bias terms on the tree search,

in terms of the number of extended nodes, is depicted in 40

20

figure is almost independent of the SNR, which would be

advantageous for a real-time implementation of the LISS 0

4 5 6 7 8 9 10

algorithm. However, the observed performance degradation Eb/N0 [dB] →

is not justifiable. Using the noise term, we could achieve a

complexity reduction of more than 12%. Fig. 6. Number of augmented paths, corresponding to Figure 5

To assess the potential complexity reduction by using only

partial path augmentation, we chose a scenario of 16-QAM A parameter not considered yet is the number of full length

transmission using 96 full length candidates. Figure 5 shows candidates. A performance comparison for a 16-QAM system

the performance of the LISS detector using path augmentation is shown in Figure 7. Here one can see the slight performance

of different fractions of the incomplete stack entries. It is loss between a full complexity setup, where we did not use

easily seen that it is sufficient to extend only 1/20 of all any bias approximation and augmented all incomplete paths,

incomplete paths to retain the original performance. Extending and a reduced complexity setup including the noise term and

only a single path results in a performance loss of roughly 0.5 a partial augmentation of 1/3. With the help of the noise term

dB. Again, we cannot completely forbear from doing the path we succeeded in speeding up the tree search by more than

augmentation, since we need the soft entries in the stack to 20% (compared to 12% for the QPSK case). But we still have

always ensure a reliable counter hypothesis. a quite large number of path augmentations, which can be

The total number of path augmentations for the 16-QAM reduced as show in Figure 5.

0

10

ACKNOWLEDGMENT

This work was supported by the German ministry of

−1

10

research and education within the project Wireless Giga-

bit with advanced multimedia support (WIGWAM) under

−2

10 grant 01 BU 370.

BER →

R EFERENCES

−3

10 [1] S. Bäro, J. Hagenauer and M. Witzke, Iterative Detection of MIMO

Transmission Using a List-Sequential (LISS) Detector, Proceedings of

the IEEE International Conference on Communications (ICC’03), vol. 4,

−4

10 pp. 2653-2657, May 2003.

96 Cand. full Complexity

96 Cand. reduced Complexity [2] J. Hagenauer, E. Offer and L. Papke, Iterative Decoding of Binary Block

160 Cand. full Complexity and Convolutional Codes, IEEE Transactions on Information Theory, vol.

160 Cand. reduced Complexity

42, pp. 429-445, Mar. 1996.

5 5.5 6 6.5 7 7.5 8

Eb/N0 [dB] → [3] J. Hagenauer and C. Kuhn, Turbo Equalization for Channels with High

Memory using a List-Sequential (LISS) Equalizer, Proceedings of the

International Symposium on Turbo Codes, ENST de Bretagne, 2003.

Fig. 7. Simulation results of a 16-QAM LISS receiver depending on the [4] B. M. Hochwald and S. ten Brink, Achieving Near-Capacity on a

number of full length candidates and different complexity stages. Multiple-Antenna Channel, IEEE Transactions on Communications, vol.

51, No. 3, pp. 389-399, Mar. 2003.

[5] J. L. Massey, Variable-Length Codes and the Fano Metric, IEEE Trans-

actions on Information Theory, vol. 18, pp. 196-198, Jan. 1972.

V. C ONCLUSIONS [6] P. Robertson, E. Villebrun and P. Hoeher, A comparison of optimal

In this paper, we presented an iterative equalization system and suboptimal MAP decoding algorithms operating in the log domain,

Proceedings of the IEEE International Conference on Communications

for multiple antenna systems. For the detection we used a List- (ICC’95), pp. 1009-1013, Jun. 1995.

Sequential-Detector (LISS) employing path augmentation to [7] D. Wübben, J. Rinas and R. Böhnke and V. Kühn and K. D. Kammeyer,

improve the accuracy of its soft output. In order to reduce Efficient Algorithm for Detecting Layered Space-Time Codes, 4th Inter-

national ITG Conference on Source and Channel Coding, Jan. 2002.

the computational complexity, we extended the LISS by a

bias term based either on an auxiliary stack or on the con-

sideration of the receiver noise. Our performance evaluations

showed that the second option, the noise term, is a far more

attractive option, speeding up the tree search by more than

20% (for 16-QAM transmission in a 4 × 4 MIMO system) at

a negligible performance loss and implementation complexity.

Furthermore, we showed that extending only a few incomplete

paths with the best metric to full length and removing all

other shortened paths from the stack reduces the complexity

of path augmentation drastically without any significant loss in

performance. A combination of the proposed noise term and

partial path augmentation hence offers a very attractive trade-

off between performance and implementation complexity for

list sequential iterative MIMO detection.

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