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IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. XX, NO.

XX, MONTH 2013 1

Generalised Pre-coding Aided Spatial Modulation


Rong Zhang, Lie-Liang Yang and Lajos Hanzo

Abstract—A new Multiple Input Multiple Output (MIMO) work MIMO [6], massive MIMO [7] and interference-limited
transmission scheme termed as Generalised Pre-coding aided MIMO [8] concepts.
Spatial Modulation (GPSM) is proposed, where the key idea
is that a particular subset of receive antennas is activated and Despite having a plethora of studies on classic MIMO
the activation pattern itself conveys useful information. This systems, their practical constraints, such as their I/Q imbal-
is in contrast to the previously proposed Spatial Modulation ance, their transmitter and receiver complexity as well as
(SM) schemes, which operated by activating a specific subset the cost of their multiple Radio Frequency (RF) Power Am-
of transmit antennas. We provide both analytical and numerical
results characterizing the GPSM scheme proposed for both con- plifiers (PA), Digital-Analogue / Analogue-Digital (DA/AD)
ventional as well as for large-dimensional MIMO configurations converters etc have received limited attention [9], despite
subject to both realistic imperfect Channel State Information the many-fold benefits of MIMO systems. To circumvent
at the Transmitter (CSIT) and to the low-rank approximation these problems, low complexity alternatives to conventional
invoked for large-dimensional MIMO configurations. We also MIMO transmission schemes have also been proposed, such
design a so-called reinforcement matrix for attaining substantial
performance improvements for our proposed GPSM scheme. Our as the Antenna Selection (AS) [10] and the Spatial Modulation
investigations show that the GPSM scheme constitutes a flexible (SM) [11] philosophies, where AS constitutes an attractive use
alternative to the state-of-the-art MIMO transmission schemes, of MIMOs associated with a low front-end complexity, which
especially because it is capable of achieving a high throughput. is achieved by switching a subset of all available antenna
Moreover, the benefits of mapping information to the spatial elements in both/either the transmitter and/or receiver. This
domain rather than relying on conventional modulation has
substantial benefits in the medium to high Signal to Noise Ratio scheme benefits from a high diversity gain and it is also
(SNR) region. Quantitatively, GPSM is capable of supporting robust to channel estimation errors. Hence it has been adopted
the same throughput as the conventional full-multiplexing gain in the Long Term Evolution (LTE) system’s uplink. On the
based MIMO arrangements at an SNR gain of about 1dB at other hand, SM constitutes a novel MIMO technique, which
the same receiver complexity. Furthermore, the reinforcement is motivated by the goal of providing a higher throughput
matrix aided GPSM scheme attains a further 3-4dB performance
improvement as compared to the conventional GPSM scheme. than a single-antenna aided system, while maintaining both
a lower complexity and a lower cost than the conventional
Index Terms— MIMOs. Since only one transmit antenna is activated at a time,
traditional problems associated with MIMOs, such as the Inter-
Channel-Interference (ICI) and Inter-Antenna-Synchronisation
I. I NTRODUCTION
(IAS) are avoided.

M ULTIPLE Input Multiple Output (MIMO) systems


constitute one of the most promising technical ad-
vances in wireless communications [1], since they facilitate
To elaborate a little further, SM conveys extra information
by mapping additional bits to the transmit antenna indices in
addition to the classic modulation schemes as detailed in [12],
high-throughput transmissions in the context of various stan- [13]. The detailed analysis of SM has been conducted under
dards [2]. Hence, they attracted substantial research interests, different channel statistics [14], its selection criterion has been
leading to the Vertical-Bell Laboratories Layered Space-Time designed in [15] and a diverse range of beneficial extensions,
(V-BLAST) [3] and Space Time Block Coding (STBC) [4] such as trellis coded SM [16] and STBC based SM [17] have
etc. The point-to-point single-user MIMO systems are capable also been proposed in the literature. More explicitly, for trellis
of offering diverse transmission functionalities in terms of coded SM, the transmit antennas are partitioned into sub-
multiplexing, diversity and beam-forming gains, while in a sets and the resultant spatial spacing between the antennas
multi-user MIMO context, Space Division Multiple Access within each subset is maximized for the sake of mitigating
(SDMA) employed in the uplink and downlink constitute the undesirable channel correlation. On the other hand, STBC
beneficial building blocks [5]. The basic benefits of MIMOs based SM exploits the space-, time- and antenna-domain for
have also been further exploited in the context of the Net- conveying information. The resultant hybrid system benefits
from the diversity gain of the STBC scheme. The meritorious
Manuscript received DATE; revised DATE; accepted DATE. The associate
editor coordinating the review of this paper and approving it for publication implementation of SM in the context of Space Shift Keying
was NAME. (SSK) [18], [19] and its higher-throughput version termed
The authors are with the Communications, Signal Processing and Control, as generalised SM [20], [21] constitute further important
School of ECS, University of Southampton, SO17 1BJ, UK (e-mail: {rz, lly,
lh}@ecs.soton.ac.uk). relatives. On the other hand, the Pre-coding aided Spatial
The financial support of the EPSRC under the India-UK Advanced Tech- Modulation (PSM) schemes conveying extra information by
nology Centre (IU-ATC), that of the EU under the concerto project as well appropriately selecting the receive antenna indices were in-
as that of the European Research Council’s (ERC) Advanced Fellow Grant is
gratefully acknowledged. vestigated in [22] and also discussed in [23]. More explicitly,
Digital Object Identifier 10.1109/TWC.2013.130848. in PSM the indices of the receive antennas represent additional
1536-1276/12$31.00 
c 2013 IEEE
2 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. XX, NO. XX, MONTH 2013

information in the spatial domain. As a specific counterpart modulated symbols mapped to it. More explicitly, in the PSM
of the original SM, PSM benefits from both a low cost and arrangement, only the kth receive antenna is activated by the
complexity at the receiver side, therefore it may be considered spatial symbol k ∈ Z, where Z = {1, . . . , N r } denotes the
to be most suitable for downlink transmission. indices of activated receive antennas.
Hence, in this paper, we extend and generalise the PSM More explicitly, the spatial modulated super-symbol ss ∈
scheme of [22] to offer a full treatment, where we propose CNr ×1 is constituted by an all-zero vector, except for its
the Generalised Pre-coding Aided Spatial Modulation (GPSM) kth entry occupied by the conventional modulated symbol
concept as a new MIMO transmission scheme. We commence bm ∈ A and E[|bm |2 ] = 1, where A denotes the alphabet of
by its analytical study under the idealised simplifying as- a particular M -ary PSK/QAM scheme. Let s km be an explicit
sumption of having perfect Channel State Information at the representation of the super-symbol ss, indicating the transmis-
Transmitter (CSIT). Then two practical issues are investigated, sion of bm by activating the kth antenna. Mathematically, it
namely the detrimental impact of realistic imperfect CSIT can be written as s km = e k bm , where e k is the kth column
followed by a low-rank approximation invoked for large- of an identity matrix of size N r , representing its activation
dimensional MIMOs. Furthermore, we propose a reinforce- by the spatial symbol k. As a result, the total number of bits
ment matrix aided GPSM scheme, which is capable of boosting transmitted by the PSM scheme is k ef f = kssk + kmod , where
the performance of GPSM. kssk = log2 (Nr ) is the extra information conveyed by the
The rest of our paper is organised as follows. In Section II, spatial symbol.
we introduce the concept as well as the detection methods of After transmitter pre-coding, the resultant transmit signal
the GPSM scheme under the idealised simplifying assumption x ∈ CNt ×1 can be written as
of having perfect CSIT, which is complemented by our discus-
sions on the associated detection complexity. This is followed
by our analytical study in Section III under the perfect CSIT x = P s km . (1)
assumption as well as by our investigations of the impact of
realistic imperfect CSIT, of a low-rank approximation and of In order to avoid power amplification during the pre-
a reinforcement matrix aided enhancement. Our simulation processing, i.e. for the sake of maintaining E[||xx ||2 ] = 1, we
results are provided in Section IV, while we conclude in have to impose the constraint Tr{P P P H } = Nr on the pre-
Section V. coding matrix.
Notations: In this paper, we use lower-case bold variable to 2) Design: The signal observed at the N r receive antennas
represent a vector and capital bold fonts to represent a matrix. may be written as
The operator E represents expectation, Tr denotes the trace
of a square matrix, R represents taking the real part and ·
y = H T P s km + w , (2)
indicates flooring operator. In addition, the superscripts () T
and ()∗ represent matrix transpose and matrix conjugate, re-
spectively, while we use ()H to represent the matrix transpose where w ∈ CNr ×1 is the circularly symmetric complex
and conjugate. Gaussian noise vector with each entry having a zero mean
and a variance per dimension of σ 2 = N0 /2, i.e. wj ∼
II. S YSTEM D ESCRIPTION CN (0, N0 ), ∀j, while H ∈ CNt ×Nr represents the MIMO
channel involved. We assume furthermore that each entry of H H
Consider a MIMO system equipped with N t transmit anten- undergoes frequency-flat Rayleigh fading and it is uncorrelated
nas and Nr receive antennas, where we assume N t ≥ Nr . In between different super-symbol transmissions, while remains
this MIMO set-up, a maximum of N s = min(Nt , Nr ) = Nr static within the duration of a super-symbol’s transmission.
parallel data streams may be supported, conveying a total of The super-symbols transmitted are statistically independent
kef f = Nr kmod bits altogether, where k mod = log2 (M ) from the noise.
denotes the number of bits per symbol of a conventional
Hence, the pre-coding matrix designed would have to max-
M -ary PSK/QAM scheme [13], [24]. Transmitter pre-coding
imize the desired decision D 0 associated with super-symbol
relying on the matrix P ∈ CNt ×Nr may be used for pro-
s km and simultaneously minimize the undesired i.e. erroneous
actively mitigating the ICI at the transmitter by preprocessing
decisions D1 associated with all other super-symbols s jn , ∀j =
the source signal before its transmission by exploiting the
k, ∀n = m. Mathematically, the optimum pre-coding matrix
CSIT [25]. As a benefit, a low-complexity single-stream
P o should satisfy
detection scheme may be used by the downlink receiver,
because the ICI is eliminated at the downlink transmitter.
P o = arg max {D0 − D1 } , (3)
P
A. Pre-coding Aided Spatial Modulation
1) Concept: In contrast to the above-mentioned classic where the desired decision D 0 may be written as
full-multiplexing of N r data streams, the concept of PSM
relies on activating one out of N r receive antennas with D0 = −||yy − s km ||2
the aid of transmitter pre-coding, where the particular choice ∝ 2R{yy H s km } − ||sskm ||2
of the receive antenna activated conveys extra information
in addition to the information carried by the conventional ∝ 2R{(sskm )H P H H ∗s km + w H s km } − ||sskm ||2 , (4)
ZHANG et al.: GENERALISED PRE-CODING AIDED SPATIAL MODULATION 3

while the undesired decisions D 1 may be written as 1) Concept: In our GPSM scheme, a total of N a < Nr
 receive antennas are activated so as to facilitate the simulta-
D1 = −||yy − s jn ||2 neous transmission of N a data streams. Hence, the number of
j=k n=m
 bits in GPSM conveyed by a spatial symbol becomes k ssk =
∝ 2R{yy H s jn } − ||ssjn ||2 log2 (|Ct |), where the set Ct contains all the combinations
j=k n=m associated with choosing N a active receive antennas from N r
 receive antennas. Thus the effective number of bits transmitted
∝ 2R{(ssjn )H P H H ∗s jn + w H s jn } − ||ssjn ||2 . (5)
by our GPSM scheme is k ef f = kssk + Na kmod .
j=k n=m
Unlike in standard PSM, where each spatial symbol cor-
To achieve the above objective, the pre-coding matrix has responds to a particular receive antenna, each spatial symbol
to ensure that no energy leaks into the unintended receive in GPSM corresponds to a particular pattern of N a activated
antennas. In other words, we capture all the energy by the receive antennas.
kth receive antenna. Hence, the so-called Minimum-Power
Distortionless Response (MPDR) of [26] design criterion can Example II.1. For example, activating N a = 2 receive
be employed in form of its typical instantiations, namely antennas from N r = 4 receive antennas results in a total
the Zero Forcing (ZF) pre-coding and the Minimum Mean of |Ct | = 6 legitimate activation patterns, i.e. the pat-
Square Error (MMSE) pre-coding. In this paper, we take terns of Ct = {[1, 2], [1, 3], [1, 4], [2, 3], [2, 4], [3, 4]}. This
ZF pre-coding into consideration. More explicitly, the ZF configuration delivers k ssk = 2 bits of information because
pre-coding [27] constitutes the pseudo-inverse of the MIMO log2 (|6|) = 2, albeit only 2 kssk = 4 out of |Ct | = 6 patterns
channel H T , which is written as are required for the actual transmission of two bits. Let us
define the set of selected activation patterns as C ⊂ C t . Upon
H ∗ (H
P = βH H T H ∗ )−1 , (6) selecting for example C = {C t (1), Ct (2), Ct (3), Ct (4)}, we
 have the mapping between the spatial symbol and the pattern
where β = Nr /Tr[(H H T H ∗ )√
−1 ] is a normalisation factor.
of activated receive antennas as
Note that letting simply β = Nt also satisfies our power
constraint statistically.
3) Detection: When ZF pre-coding is employed, the re- k = 1 → C(1) = [1, 2] k = 2 → C(2) = [1, 3]
ceived signal can be further written as k = 3 → C(3) = [1, 4] k = 4 → C(4) = [2, 3]

y = βsskm + w , (7)
Note that, the above pattern is not a balanced pattern thus
which may be decomposed into the receive antennas are not uniformly activated. In this paper,
we simply opt for C = {C t (1), . . . , Ct (2kssk )}, while the
yk = βbm + wk ; yj = wj , ∀j = k. (8) optimisation of pattern selection will be left for our future
work. Furthermore, we let C(k) and C(k, i) denote the kth
Hence the joint detection of both the conventional modulated activation pattern and the ith activated receive antenna in
symbol bm and of the spatial symbol k obeys the Maximum the kth activation pattern, respectively. We also let sskm be
Likelihood (ML) criterion. More explicitly, we have an explicit representation of the super-symbol ss, indicating
that the receive antenna pattern k is activated and N a con-
[m̂, k̂] = arg min {||yy /β − s jn ||2 }, (9)
s jn ∈B ventional modulated data streams bbm = [bm1 , . . . , bmNa ] are
transmitted. In other words, we can revise the expression
where B = Z × A stands for the super-alphabet of the of the spatially modulated super-symbol as sskm = Ω kb m ,
super-symbol s jn . Alternatively, decoupled detection may also where b m ∈ CNa ×1 contains Na conventional modulated data
be employed, which treats the detection of the conventional streams of our GPSM scheme and Ω Ωk = I [C(k)] ∈ BNr ×Na
modulated symbol b m and the spatial symbol k separately. In is constituted by the selected columns of an identity matrix
this low-complexity variant, we have of size Nr , where the specific selection is denoted by C(k)
and BNr ×Na represents a (Nr × Na )-element matrix having
k̂ = arg max {|yj |2 } (10)
j∈[1,Nr ] binary entries.
m̂ = arg max {|yk̂ /β − bn |2 }. (11) 2) Detection: When ZF pre-coding is employed, the signal
n∈[1,M]
observed at the N r receive antennas may be written as
Thus, correct detection is declared, when we have k̂ = k and y = βsskm + w . As in the standard PSM, we have two optional
m̂ = m. detection algorithms. When joint detection is considered,
similar to (9), we have

B. Generalisation [m̂1 , . . . , m̂Na , k̂] = arg min {||yy /β − s jn ||2 }, (12)


j
s n ∈B
The main limitation of the above-mentioned standard PSM
is that only a single receive antenna is activated at a time,
which naturally limits the flexibility of PSM. Hence, we gen- where B = C × ANa is the joint search space of the super-
eralise it to allow the activation of multiple receive antennas. symbol s jn . On the other hand, when separate detection is
4 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. XX, NO. XX, MONTH 2013

considered, we have since they both require DL pre-processing and CSIT. This

Na constitutes the main difference between our PSM/GPSM and
k̂ = arg max { |yC(j,i) |2 } (13) the classic SM/GSM [12], [20], [21], although they may
j∈[1,|C|] be considered as dual pair of each other. As a result, the
i=1
m̂i = arg max {|yC(k̂,i) /β − bni |2 }, (14) comparisons between PSM/GPSM and SM/GSM cannot be
ni ∈[1,M] readily made under identical circumstances, because
where (14) has to be evaluated for all N a data streams and • the inevitable complexity of pre-processing imposed by
correct detection is declared, when we have k̂ = k and m̂i = PSM/GPSM is not imposed on SM/GSM.
mi , ∀i. • the channel knowledge requirement of PSM/GPSM is
It is thus plausible that the standard PSM scheme constitutes more demanding than that of SM/GSM, since the former
a special case of GPSM for N a = 1 and the detection scheme suffers further from potential feedback impairments in
of (13) is non-coherent, while that of (14) only requires the addition to the channel estimation errors encountered at
knowledge of the scaling factor β. the receiver, that are common for both schemes.
3) Complexity: Let us now discuss the complexity of the
GPSM scheme in comparison to the conventional pre-coding In fact, PSM/GPSM may become beneficial in different ap-
aided MIMO arrangement supporting N r data streams. We plications, for example in relay selection. Furthermore, the
first note that the transmitter pre-coding exhibits the same PSM/GPSM scheme proposed may provide the potential of
complexity in both schemes, hence our focus is on the using efficient power allocation at the transmitter side for
detection complexity at the receiver. the sake of attaining an additional beam-forming gain, which
In conventional MIMO arrangements, when transmitter pre- constitutes an important benefit of our PSM/GPSM scheme, as
coding is capable of perfectly separating the N r parallel data facilitated by the knowledge of the CSIT. More importantly,
streams, such as the ZF pre-coding, low-complexity single- they may be used in a hybrid manner in conjunction with
stream detection is facilitated at the receiver. Hence, the SM/GSM. Hence, in summary, the PSM/GPSM scheme pro-
detection complexity increases linearly with the number of posed in this paper constitutes a complement, rather than a
receive antennas N r , but exponentially with the number of competitor of the classic SM/GSM.
bits per symbol in the M-ary PSK/QAM scheme employed.
Hence, we may characterise the complexity order as O(N r M ). III. S YSTEM A NALYSIS
On the other hand, in the GPSM scheme, the complexity of
the joint detection of (12) is quite high, which is on the order A. Analytical Average Bit Error Probability
determined by the super-alphabet B, i.e. obeys O(|C|M Na ).
Let us now use the union-bound approach for deriving
By contrast, the separate detection of (13) and (14) facili-
the analytical Average Bit Error Probability (ABEP) P e of
tates a substantially reduced complexity. More explicitly, the
our GPSM scheme using the joint detection approach, where
complexity is imposed by detecting N a data streams as in
formally, we have
a conventional MIMO arrangement, plus the complexity (Δ)
imposed by the comparisons invoked for detecting the spatial 1  
symbol, which may be written as O(N a M + Δ). Pe ≤ E{ d(ss km , s jn )Pr (sskm → s jn )},
kef f |B| j
To elaborate a little further, in the separate detection regime, sk
m ∈B s n ∈B=s m
k

the number of multiplications required by (13) is N r , regard- (16)


less of the value of N a , because only N r antenna waveforms
have to be considered in the computations. To evaluate the where Pr (sskm → s jn ) denotes the Pairwise Error Probability
number of multiplications required by (14), we rewrite it as (PEP) and d(ss km , s jn ) denotes the Hamming distance between
the equivalent bit representations of the super-symbol sskm
m̂i = arg max {|yC(k̂,i) /β − bni |2 } and s jn . Furthermore, the expectation is taken over different
ni ∈[1,M]
channel realizations.
= arg min {2R{yC(k̂,i) bni /β} − |bni |2 }. (15)
ni ∈[1,M] 1) ABEP of PSM: The PEP P r (sskm → s jn ) of our
Hence the number of multiplications required by (15) is PSM scheme can be classified according to three different
simply 2M . As a result, the total number of multiplications cases [14], namely the errors occurring in the spatial symbol
required for detecting N a data streams is (M + Na M ) k only, in the conventional modulated symbol b m only and in
rather than 2N a M , because the computation of |b ni |2 is both of them jointly. Explicitly, we have
shared by all N a computations of (15), when all N a data ⎧

⎨PK (ssm → s m ), if m = n, j = k
k j
streams use the same modulation. Hence, the total number of
multiplications required in GPSM using separate detection is Pr (ssm → s n ) = PM (ss m → s kn ), if m = n, j = k (17)
k j k


χGP SM = Nr + M + Na M . By contrast, conventional MIMO PJ (sskm → s jn ), if m = n, j = k.
arrangements may be viewed as a special case of GPSM, when
we have Na = Nr and dispensing with the computation of Let us now formulate the expressions for these three cases
(13). Naturally, the total number of multiplications required with the aid of the Q-function.
in conventional MIMO schemes is χ MIMO = M + Nr M . The PEP PK (sskm → s jm ) of case I is given by:
Remark: We carry out a direct comparison between the 
GPSM and the conventional pre-coding aided MIMO scheme, PK (sskm → s jm ) = Q(β|bm |/ N0 ). (18)
ZHANG et al.: GENERALISED PRE-CODING AIDED SPATIAL MODULATION 5

Proof: Let us now consider the first case, where only the Theorem III.1. The PEP Pr (sskm → sjn ) of GPSM may be
spatial symbol is erroneous and hence we have compactly formulated as

PK (sskm → s jm ) = Pr (||yy /β − s km ||2 > ||yy /β − s jm ||2 ) B−C
Pr (ss m → s n ) = Q β 
k j
, (24)
= Pr [|bm |2 − 2R(yk∗ bm /β) > |bm |2 − 2R(yj∗ bm /β)] (D + E)N0
= Pr [R(yj∗ bm /β) − R(yk∗ bm /β) > 0] where we have
= Pr [R(b∗m wj /β) − R(b∗m wk /β) > |bm |2 ]. (19)  |bn |2 + |bm |2 
B= i i
; C= R(b∗mi bni ); (25)
2
Since wj and wk are independent identical distributed i∈Ψ i∈Ψ1

(i.i.d) variables obeying CN (0, N 0 ), the Left-Hand-Side  |bn |2 + |bm |2  |bn − bm |2


D= i i
; E= i i
. (26)
(LHS) of (19) is a Gaussian random variable obeying 2 2
i∈Ψ0 i∈Ψ1
N (0, |bm |2 N0 /β 2 ). As a result, the PEP PK (sskm → s jm ) may
be written as in (18). Proof: Let Ψ = [k1 , . . . , ki , . . . , kNa ] denote the set of
The PEP PM (sskm → s kn ) of case II is formulated as: activated antenna indices of the activation pattern C(k), where
 we have ki = C(k, i). Furthermore let z = y /β and v = w /β
(|b n | 2
+ |b m | 2
)/2 − R(b ∗
b n ) for simplification. Then the PEP P r (sskm → s jn ) is written as
PM (sskm → s kn ) = Q β  m
.
|bn − bm | N0 /2 s jn ) = Pr (||zz − s km ||2 > ||zz − s jn ||2 )
Pr (ss km →
(20)  
= Pr [ |bmi |2 − 2R(zk∗i bmi ) > |bni |2 − 2R(zj∗i bni )]
Proof: When considering the second case, where only the i∈Ψ i∈Ψ
 
conventional modulated symbol is erroneous, we have = Pr [ R(zj∗i bni ) − R(vk∗i bmi ) > (|bni |2 + |bmi |2 )/2].
i∈Ψ i∈Ψ
PM (sskm → skn ) = Pr (||yy /β − skm ||2 > ||yy /β − skn ||2 ) (27)
= Pr [|bm |2 − 2R(yk∗ bm /β) > |bn |2 − 2R(yk∗ bn /β)] Furthermore, Ψ 1 denotes the set of activated antenna indices
= Pr [R(yk∗ bn /β) − R(yk∗ bm /β) > (|bn |2 − |bm |2 )/2] that are correctly detected, i.e. we have j i = ki , ∀i ∈ Ψ1 .
= Pr [R(wk∗ bn /β) − R(wk∗ bm /β) Similarly, Ψ0 denotes the complementary set of Ψ 1 . Thus (27)
is further expanded as in (28). Then it becomes clear that at
|bn |2 + |bm |2
> − R(b∗m bn )]. (21) the LHS of (28), the two summations result in two Gaussian
2 random variables, respectively, obeying
Now the LHS of (21) is a Gaussian random variable obeying 
N (0, |bn − bm |2 N0 /2β 2 ). Hence, the PEP PM (sskm → s kn ) can N (0, (|bni |2 + |bmi |2 )N0 /2β 2 )
i∈Ψ0
be written as in (20). 
The PEP PJ (sskm → s jn ) of case III is expressed as: N (0, |bni − bmi |2 N0 /2β 2 ).
⎛ ⎞ i∈Ψ1

|b | 2 + |b |2
Hence, the PEP Pr (sskm → s kn ) may be written as in (24). 1
PJ (sskm → sjn ) = Q ⎝β ⎠.
n m
(22)
2N0
B. Robustness Investigations
Proof: Finally, when both the spatial symbol and the conven-
1) Channel Estimation Error: Like in all transmitter pre-
tional modulated symbol are erroneous, we have
coding schemes, an important aspect related to GPSM is its re-
PJ (sskm → s jn ) = Pr (||yy /β − s km ||2 > ||yy /β − s jn ||2 ) silience to CSIT inaccuracies. When considering a Frequency
Division Duplex (FDD) system for example, the cause of this
= Pr [|bm |2 − 2R(yk∗ bm /β) > |bn |2 − 2R(yj∗ bn /β)] inaccuracy may be many-fold, such as for example the channel
= Pr [R(yj∗ bn /β) − R(yk∗ bm /β) > (|bn |2 − |bm |2 )/2] estimation errors at the receiver, quantization errors imposed
= Pr [R(b∗n wj /β) − R(b∗m wk /β) > (|bn |2 + |bm |2 )/2]. on the CSIT feedback and error-infested imperfect feedback
(23) links, which are also outdated. In this paper, we investigate the
impact of inaccurate CSIT on our GPSM scheme by assuming
Now the LHS of (23) is a Gaussian random variable obeying that the transmitter is capable of accurately tracking the long
N (0, (|bn |2 + |bm |2 )N0 /2β 2 ). Hence, the PEP PJ (sskm → s jn ) term average Channel State Information (CSI), but it is subject
may be written as in (22). to instantaneous CSI errors. This consideration is practical for
2) ABEP of GPSM: The above analytic formulae provide example in the LTE system, where usually carefully designed
an insight into the three different error-components of our periodic pilot patterns are embedded into the payload.
PSM scheme. When considering the analytical ABEP of More explicitly, we let H = H a +H H i , where H a represents
GPSM, partitioning the error patterns similar to (17) would the matrix of the average CSI, with each entry obeying the
be obscure. Instead, we derive it with the aid of the three
1 Note that the PEP derivations of Section III.A were carried out under
terms in (19), (21) and (23). The final ABEP of GPSM still
the perfect CSIT assumption, while more involved numerical integrations are
follows (16), while the derivation of PEP obeys the following required for the imperfect CSIT scenario for the sake of averaging the effects
theorem. of CSIT imperfections.
6 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. XX, NO. XX, MONTH 2013

 
Pr [ R(zj∗i bni ) − R(vk∗i bmi ) > (|bni |2 + |bmi |2 )/2
i∈Ψ i∈Ψ
   
= Pr [ R(vj∗i bni ) − R(vk∗i bmi ) + R(vk∗i bni ) − R(vk∗i bmi ) > (|bni |2 + |bmi |2 )/2 − R(b∗mi bni ) (28)
i∈Ψ0 i∈Ψ1 i∈Ψ i∈Ψ1
           
N (0,DN0 /β 2 ) N (0,EN0 /β 2 ) B C

Na
complex Gaussian distribution of h a ∼ CN (0, σa2 ) and H i is 2
i=1 |yC(j,i) | will be higher for the intended antenna pattern
the instantaneous CSI deviation matrix obeying the complex of j = k.
Gaussian distribution of h i ∼ CN (0, σi2 ), where we have σa2 + By contrast, this artificial energy leakage will degrade the
σi2 = 1. As a result, only H a is available at the transmitter, detection regime of (14), since it introduces ICI upon detecting
when forming the ZF pre-coder of P P . There is a plethora a particular conventionally modulated symbol. By exploiting
of CSIT inaccuracy counter-measures conceived for general the fact that a clear decision boundary exists when detecting
transmitter pre-coding schemes in the literature [28], [29], but a PSK modulated symbol, we can thus shape the ICI in
they are beyond the scope of our GPSM discussions in this order to minimize its contamination by beneficially aligning
paper. its phase with that of the desired signal. In this case, the above-
2) Low-rank Approximation: We now discuss another im- mentioned energy leakage will become beneficial to both the
portant aspect associated with GPSM, namely the low-rank regimes of (13) and of (14).
pre-coder scenario, while assuming perfect CSIT for the sake Mathematically, to construct the beneficially co-phased ar-
of avoiding the potentially obfuscating effects of having multi- tificial ICI, we have to rotate the phase of the original ICI
ple combined sources of impairments. Since typical linear pre- relative to the desired signal. Hence, given the super-symbol
coders involve matrix inversion, low-rank pre-coder solutions s and its entry of s v = ω vb m , ∀v ∈ [1, Nr ], where ω v
are preferable, when the matrix dimension is high or when denotes the vth row of Ω k , the relative phase represented by
the matrix is ill-conditioned. Originally, the kth column vector φu,v between sv and su may be shown to become φ u,v =
p k of the transmitter pre-coding matrix P P may be written as sv − (ρu,v su ), where ρu,v is the entry of the Maximal
p k = R −1
D kh ∗
, where we have R D = H ∗ T
H . The low-rank Ratio Transmission (MRT) matrix H T H ∗ . As a result, the
pre-coder design invokes a projection matrix P P k ∈ CNt ×L appropriately shaped energy leakage can be constructed by
for the sake of transforming the original inversion to an L- the reinforcement matrix of R R ∈ CNr ×Nr , having entries of
dimensional subspace of ru,v = φu,v ρu,v . Consequently, our pre-coding matrix of (6)
would have to be modified as
pk = P ∗k (P
P Tk R D P ∗k )−1P Tk h∗k . (29)
P = βr H ∗ (H
H T H ∗ )−1R T , (31)
Typical low-rank pre-coders relying on the first L principal 
where we set βr = Nr /Tr[R R ∗ (H
H T H ∗ )−1R T ] for ensuring
components of the eigen-decomposition of R R D achieve a low
appropriate normalisation, which is typically smaller than the
performance [26]. Hence, let us now invoke low-rank pre-
original β.
coders relying on the Taylor Polynomial (TP) approximation
Let us now see how the reinforcement matrix assists in the
detailed in [26], where RRD is expanded into its TP repre-
detection process of GPSM. Assuming that the vth receive
sentation and the first L terms are then retained to form the
antenna is activated, namely we have v ∈ C(k), then the
projection matrix. According to [26], we have
received signal becomes:

P k = [II N , R ∗D , . . . , R ∗L−1
D ](II L ⊗ h k ), (30) yv = βr ρv,v sv + βr φu,v ρu,v su + wv , (32)
where ⊗ stands for the Kronecker product. u∈C(k)/v
 ρ∗u,v s∗u
= βr ρv,v sv + βr sv ρu,v su + wv , (33)
|ρu,v |
C. Further Improvements u∈C(k)/v
⎛ ⎞
Let us now conceive further improvements for detect- 
= βr ⎝ρv,v + |ρu,v |⎠ sv + wv . (34)
ing the proposed GPSM without incurring the performance
u∈C(k)/v
degradation effects discussed in Section III-B. When separate
detection is considered, we can see that (13) is all about deter- This is in contrast to the conventional GPSM design, where
mining the correct antenna pattern / spatial symbol by simply yv = βsv + wv . Our empirical results provided in the next
sorting the received power accumulated over each receive section will show that the reinforcement matrix arrangement
antenna pattern. The above-mentioned ZF design criterion attains a substantially improved BER performance, thanks to
aims for avoiding any energy leakage to other antenna indices. the artificial appropriately shaped energy leakage.
However, we may be able to improve the above design by
allowing energy leakage to the specific antenna indices of the IV. N UMERICAL R ESULTS
activated antenna pattern. More explicitly, this will naturally Let us now characterize the Bit Error Ratio (BER) per-
improve the detection philosophy of (13), since the quantity formance of our GPSM scheme in comparison to that of the
ZHANG et al.: GENERALISED PRE-CODING AIDED SPATIAL MODULATION 7

TABLE I
E FFECTIVE THROUGHPUT kef f AND DETECTION COMPLEXITY χ OF 0
10
0
10
GPSM AND OF THE CONVENTIONAL MIMO BENCH - MAKER N =1
a
N =1
a
CORRESPONDING TO Na = Nr ( HIGHLIGHTED IN •) FOR DIFFERENT Na = 2 N =2
a
SETTINGS , WHERE kef f = kssk + Na kmod , χ = Nr + M + Na M FOR −1 −1 N =3
GPSM, χ = M + Nr M FOR CONVENTIONAL MIMO. 10
hollow legends: seperate
10 a
Na = 4
filled legends: joint
dotted lines: analytical
Nt Nr Na M kef f χ −2 −2
10 10
4/8 2 1 4 3 = 1+1×2 10 = 2+4+1×4

BER

BER
4/8 2 2 4 4 = 0+2×2 12 = 0+4+2×4
4/8 2 1 8 4 = 1+1×3 18 = 2+8+1×8
−3 −3
8/16 4 1 4 4 = 2+1×2 12 = 4+4+1×4 10 10
8/16 4 2 4 6 = 2+2×2 16 = 4+4+2×4
8/16 4 3 4 8 = 2+3×2 20 = 4+4+3×4 
• 8/16 4 4 4 8 = 0+4×2 20 = 0+4+4×4  −4
10
−4
10
8/16 4 1 64 8 = 2+1×6 132 = 4+64+1×64
8/16 4 2 8 8 = 2+2×3 28 = 4+8+2×8 N =8;N =2 N =8;N =4
t r t r
16 8 1 2 5 = 3+1×2 16 = 8+4+1×4 −5
10
−5
10
16 8 2 2 8 = 4+2×2 20 = 8+4+2×4 0 5 10 15 0 5 10 15
SNR [dB] SNR [dB]
16 8 3 2 11 = 5+3×2 24 = 8+4+3×4 b b
16 8 4 2 14 = 6+4×2 28 = 8+4+4×4
16 8 5 2 15 = 5+5×2 32 = 8+4+5×4 Fig. 1. BER performance of both the GPSM scheme and of the conventional
16 8 6 2 16 = 4+6×2 36 = 8+4+6×4  MIMO scheme for both {Nt , Nr } = {[8, 2]} (left plot) and for {Nt , Nr } =
• 16 8 8 2 16 = 0+8×2 36 = 0+4+8×4  {[8, 4]} (right plot).
16 8 2 64 16 = 4+2×6 200 = 8+64+2×64
16 8 3 16 17 = 5+3×4 72 = 8+16+3×16

acceptable BER, as seen in the right plot. For example, to


achieve a BER of 10−5 , activating Na = 2 requires about
conventional MIMO scheme relying on a full multiplexing ca-
4dB higher power than activating N a = 1.
pability. We will consider both conventional MIMO settings of
For Na = 3, the GPSM scheme exhibits an approximately
{Nt , Nr } = {[8, 2], [8, 4]} and the large-dimensional MIMO
1dB SNR gain at the BER of Pe = 10−5 , when compared to
setting of {Nt , Nr } = {[16, 4], [16, 8]}. For all different
the conventional MIMO scheme corresponding to N a = Nr
MIMO transmission configurations, we use QPSK only for the
and this is achieved at the same throughput and complexity,
data stream’s transmissions, except for Fig 2 and Fig 3, where
as highlighted by the symbol  in Table I. Note that the
different modulation schemes are employed to match the rate.
difference between these two lies in the specific mapping of
In Table I, we will list the throughput k ef f in terms of the
the 2 bits of information, which is allocated to the spatial
total number of bits conveyed and the complexity χ quantified
symbol of the GPSM scheme and to the data stream of the
in terms of the total number of multiplications required at the
conventional MIMO scheme.
detector for all different MIMO transmission configurations.
In all figures, SN Rb denotes the Signal to Noise Ratio (SNR)
per bit. B. Rate Match
Fig 2 shows the BER performance of various GPSM
configurations created by adjusting the conventional M-ary
A. Perfect CSIT PSK/QAM throughput of the data streams so as to match
Fig 1 shows the simulated BER performance of both the the throughput of a full-multiplexing based MIMO scheme
GPSM scheme and of the conventional MIMO scheme corre- using QPSK, where both the associated throughput and the
sponding to N a = Nr , where both the joint and the separate complexity are shown in Table I. Observe in Fig 2 that under
detection as well as the analytical results are portrayed. Both the MIMO setting of {N t , Nr } = {[8, 4]}, 64-QAM has to
plots show that the analytical results plotted in dashed lines be employed in conjunction with N a = 1 for GPSM for
constitute the upper bound of the numerical results. The BER maintaining the desired throughput and hence the resultant
performance of separate detection is represented by the hollow BER performance becomes worse than that of the conventional
legends, while that of joint detection by the filled legends, MIMO scheme using QPSK. This is because 64-QAM is
which appear to have only marginal performance differences. a vulnerable scheme, which requires a high SNR. For all
This is because the ZF pre-coding employed is capable of other rate-matched scenarios, the GPSM schemes exhibit a
successfully cancelling the inter-stream interference for the significantly better BER performance than the conventional
sake of facilitating their separate detection. MIMO scheme using QPSK.
In all GPSM configurations investigated in Fig 1 using Fig 3 shows the rate-match performance of our large-
separate detection, the complexity is no higher than that of the dimensional MIMO. Similar to Fig 2, unless 64-QAM has
corresponding conventional MIMO benchmark corresponding to be employed for maintaining the desired throughput, which
to Na = Nr , as shown in Table I. Observe that the GPSM occurs in the cases of {N t , Nr , Na } = {[16, 4, 1], [16, 8, 2]},
scheme achieves a better BER than that of the conventional the resultant BER performance of GPSM becomes better than
MIMO scheme corresponding to N a = Nr in all cases, that of the conventional MIMO benck-maker using QPSK.
regardless of their throughput. Naturally, upon increasing the Importantly, the specific GPSM schemes allocating some of
throughput of GPSM by increasing the number of activated their information to conventional M-ary PSK/QAM, such
antennas, a higher transmit power is required to attain an as the {Nt , Nr , Na } = {[16, 4, 2], [16, 8, 3]} arrangements
8 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. XX, NO. XX, MONTH 2013

0 0
10 10
dotted lines: N = 8; N = 2 Na = 1, M = 8 dotted lines: no error Na = 1
t r
solid lines: Nt = 8; Nr = 4 N = 2, M = 4 solid lines: erroneous N =2
a a
−1 Na = 1, M = 64 −1 Na = 3
10 10
Na = 2, M = 8 Na = 4
N = 3, M = 4 Na = 5
a
−2 N = 4, M = 4 −2 N =6
10 a 10 a
Na = 8
BER

BER
−3 −3
10 10

−4 −4
10 10

N =16
t
N =8
−5 −5 r
10 10
−4 −2 0 2 4 6 8 10 12 14 −6 −4 −2 0 2 4 6 8 10 12
SNR [dB] SNR [dB]
b b

Fig. 2. BER performance of our GPSM scheme in comparison to the Fig. 4. Impact of CSIT error on the BER performance of both the GPSM
identical-rate full multiplexing MIMO bench-mark scheme using QPSK for scheme and of the conventional MIMO scheme for {Nt , Nr } = {[16, 8]},
{Nt , Nr } = {[8, 2], [8, 4]}. where the CSI error was σi = 0.1.

0
10 for the standard MIMO settings. Explicitly, the GPSM using
dotted lines: N = 16; N = 4 Na = 1, M = 64
t r
solid lines: Nt = 16; Nr = 8 Na = 2, M = 8 Na = 6 achieves in excess of 1dB SNR gain at BER of
−1
10
Na = 3, M = 4 Pe = 10−5 , when compared to the conventional MIMO bench-
N = 4, M = 4
a mark scheme having the same throughput and complexity, as
N = 2, M = 64
a highlighted by the symbol  in Table I.
Na = 3, M = 16
When a low CSIT error of σ i = 0.1 is considered, Fig
−2
10
Na = 6, M = 4
4 shows that the GPSM scheme associated with various
BER

N = 8, M = 4
a
−3 configurations is less adversely affected by the CSIT error in
10
comparison to the conventional MIMO bench-mark scheme.
As expected, the higher the GPSM throughput, the more grave
−4
10 the BER performance erosion becomes.
When a severe CSIT error of σ i = 0.4 is encountered, it can
−5
be seen in Fig 5 that a substantially higher BER performance
10
−5 0 5 10 15 degradation is observed in comparison to that found in Fig 4.
SNRb [dB]
When considering various GPSM throughputs having diverse
configurations, those supporting a lower throughput exhibit
Fig. 3. BER performance of our GPSM scheme in comparison to the
identical-rate full multiplexing MIMO bench-mark scheme using QPSK for
a better resilience against CSIT errors than those supporting
{Nt , Nr } = {[16, 4], [16, 8]}. a higher throughput, which is in line with our expectations.
Although, the BER performance of the GPSM scheme using
Na = 6 becomes worse than that of the conventional MIMO
impose a higher detection complexity than those that prefer scheme for σi = 0.4 because the spatial symbol errors
mapping their information to spatial symbols, namely those associated with the antenna pattern detection inflict error-
corresponding to {N t , Nr , Na } = {[16, 4, 3], [16, 8, 6]}. Since precipitation upon the QPSK modem used. However, the BER
the increased complexity only brings about BER performance performance of both schemes remains simply unacceptable
improvements in the low to medium SNR region, it might be for the σi = 0.4 scenarios. Hence, more sophisticated joint
a better design option to allocate information to the spatial iterative channel estimation and data detection methods have
symbols right across the entire SNR region, rather than using to be conceived in conjunction with channel coding.
an SNR-dependent mapping.
D. Low-rank Approximation
C. Imperfect CSIT Fig 6 shows the effect of using TP based low-rank pre-
Fig 4 and Fig 5 show the BER performance of both the coders on both the GPSM scheme and on the conventional
GPSM scheme using separate detection and of the conven- MIMO bench-mark scheme. As expected, the lower the rank,
tional MIMO benchmark scheme, when either a relatively the worse the performance. Nonetheless, supporting a lower
low CSIT error of σ i = 0.1 or a severe CSIT error of GPSM throughput corresponding to N a = 2, the low-rank
σi = 0.4 is encountered by the large-dimensional MIMO approximation remains more robust than in case of a higher
settings, respectively. Focusing our attention on the perfect GPSM throughput corresponding to N a = 3 and Na = 6.
CSIT based scenarios shown in dotted lines in both figures, When considering our GPSM associated with N a = 6
they demonstrate even more explicitly the observations made and the conventional bench-mark MIMO, both having the
ZHANG et al.: GENERALISED PRE-CODING AIDED SPATIAL MODULATION 9

solid lines: reinforcement dotted lines: conventional


0 0 0
10 10 10
dotted lines: no error N =1 N =3 N =4
a a a
solid lines: erroneous N =2 Na = 5 Na = 6
a
−1 spatial symbol error N =4 −1 −1
10 a 10 10
Na = 6
N =8
a
−2 −2 −2
10 10 10
BER

BER

BER
−3 −3 −3
10 10 10

−4 −4 −4
10 10 10

N =16 N =16;N =8 N =16;N =8


t t r t r
N =8
−5 r −5 −5
10 10 10
−6 −4 −2 0 2 4 6 8 10 12 −5 0 5 10 −5 0 5 10
SNR [dB] SNR [dB] SNR [dB]
b b b

Fig. 5. Impact of CSIT error on the BER performance of both the GPSM Fig. 7. BER performance of conventional GPSM scheme and reinforcement
scheme and of the conventional MIMO scheme for {Nt , Nr } = {[16, 8]}, matrix aided GPSM scheme under {Nt , Nr } = {[16, 8]}.
where the CSI error was σi = 0.4.

0
V. C ONCLUSIONS
10
L=4 f In this paper, we introduced the concept and design of PSM
L=5 h
L=6 and its generalisation as a new MIMO transmission scheme.
−1
10 Na = 2 Both numerical and analytical results were provided. Further-
N =3
a more, the detection complexity of GPSM and its robustness
Na = 6
−2
10 Na = 8
against CSIT error and against a low-rank approximation were
also discussed. Our simulation results demonstrated that the
BER

GPSM scheme constitutes a promising alternative to the state-


−3
10 of-the-art MIMO arrangements owing to its high flexibility and
low complexity in both idealised and realistic environments.
−4 filled legends: full rank Moreover, the benefits of allocating information to the spatial
10 hollow legends: low rank
symbols were evidenced in the medium to high SNR region.
Importantly, the reinforcement matrix proposed for GPSM
−5
10 attains a further performance improvement.
−6 −4 −2 0 2 4 6 8 10 12
SNR [dB]
b
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designed for flexible diversity-, multiplexing- and complexity-tradeoffs,” University, Beijing, China in 1991 and 1997, re-
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response,” IEEE Trans. Wireless Commun., vol. 7, no. 11, pp. 4646– in 1976 and his doctorate in 1983. In 2009 he was
4655, Nov. 2008. awarded the honorary doctorate “Doctor Honoris
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for downlink spatial multiplexing in multiuser MIMO channels,” IEEE During his 37-year career in telecommunications he
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[28] D. Gesbert, “Robust linear MIMO receivers: A minimum error-rate Hungary, Germany and the UK. Since 1986 he has
approach,” IEEE Trans. Signal Process., vol. 51, pp. 2863–2871, Nov. been with the School of Electronics and Computer
2003. Science, University of Southampton, UK, where
[29] X. Zhang, D. Palomar, and B. Ottersten, “Statistically robust design of he holds the chair in telecommunications. He has
linear MIMO transceivers,” IEEE Trans. Signal Process., vol. 56, pp. successfully supervised 80+ PhD students, co-authored 20 John Wiley/IEEE
3678–3689, Aug. 2008. Press books on mobile radio communications totalling in excess of 10 000
pages, published 1300+ research entries at IEEE Xplore, acted both as TPC
and General Chair of IEEE conferences, presented keynote lectures and has
been awarded a number of distinctions. Currently he is directing a 100-strong
academic research team, working on a range of research projects in the field of
wireless multimedia communications sponsored by industry, the Engineering
and Physical Sciences Research Council (EPSRC) UK, the European Research
Council’s Advanced Fellow Grant and the Royal Society’s Wolfson Research
Merit Award. He is an enthusiastic supporter of industrial and academic
liaison and he offers a range of industrial courses. He is also a Governor
of the IEEE VTS. During 2008 - 2012 he was the Editor-in-Chief of the
IEEE Press and a Chaired Professor also at Tsinghua University, Beijing.
His research is funded by the European Research Council’s Senior Research
Fellow Grant. For further information on research in progress and associated
publications please refer to http://www-mobile.ecs.soton.ac.uk. Lajos has 17
000+ citations.

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