Regulation 3.2 AUSTRALIA PATENTS ACT 1990 COMPLETE SPECIFICATION FOR A STANDARD PATENT ORIGINAL Name of Applicant: Qualcomm Incorporated Actual Inventors: Tamer Kadous and Anand Subramaniam Address for Service: C/- MADDERNS, 1st Floor, 64 Hindmarsh Square, Adelaide, South Australia, Australia Invention title: SUCCESSIVE INTERFERENCE CANCELLATION RECEIVER PROCESSING WITH SELECTION DIVERSITY The following statement is a full description of this invention, including the best method of performing it known to us. { PatAU132} la SUCCESSIVE INTERFERENCE CANCELLATION RECEIVER PROCESSING WITH SELECTION DiVERSTY 5 BACKGROUND Field 110011 The present invention relates generally to conununication, and more specifically to techniques for supporting successive interference cancellation (SIC) receiver processing with selection diversity in a multiple-input multiple-output (MIMO) 10 communication system. Background 110021 A MIMO system employs multiple (NT) transmit antennas and multiple (NR) receive antennas for data transmission. A MIMO channel formed by the NT transmit 15 and NR receive antennas may be decomposed into Ns independent channels, with Ns min {NT, NR). Each of the Ns independent channels corresponds to a dimension. The MIMO system can provide improved performance (e.g., increased transmission capacity and/or greater reliability) if the additional dimensionalities created by the multiple transmit and receive antennas are utilized. 20 110031 For a full-rank MIMO channel, with Ns = N, NR, a transmitter may process (e.g., encode, interleave, and modulate) NT data streams to obtain NT symbol streams, which are then transmitted from the NT transmit antennas. The transmitted symbol streams may experience different channel conditions (e.g., different fading and multipath effects) and may achieve different received signal-to-noise ratios (SNRs). 25 Moreover, due to scattering in the communication link, the transmitted symbol streams interfere with each other at a receiver. 11004] The receiver receives the NT transmitted symbol streams via NAR receive antennas. The receiver may employ a successive interference cancellation (SIC) 30 processing technique to process the NR received symbol streams from the NR receive antennas to recover the NT transmitted symbol streams. A SIC receiver processes the received symbol streams in Nr successive stages to recover one transmitted symbol stream in each stage. For each stage, the SIC receiver initially performs spatial or 2 space-time processing on the received symbol streams to obtain "detected" symbol streams, which are estimates of the transmitted symbol streams. One of the detected symbol streams is selected for recovery. The receiver then processes (e.g., demodulates. deinterleaves, and decodes) this detected symbol stream to obtain a 5 decoded data stream, which is an estimate of the data stream for the symbol stream being recovered. 110051 Each "recovered" symbol stream (i.e., each detected symbol stream that is processed to recover the transmitted data stream) is associated with a particular "post detection" SNR, which is the SNR achieved after the spatial or space-time processing at 10 the receiver. With SIC processing, the post-detection SNR of each recovered symbol stream is dependent on that stream's received SNR and the particular stage in which the symbol stream is recovered. In general, the post-detection SNR progressively improves for later stages because the interference from symbol streams recovered in prior stages is canceled (assuming that the interference cancellation is effectively performed). 15 11006 The NT transmit antennas are associated with N 7 post-detection SNRs achieved by the NT symbol streams sent from these antennas. These Nr post-detection SNRs are obtained for a specific ordering of recovering the NT symbol streams at the receiver. It can be shown that there are NT! possible orderings of recovering the NT symbol streams and thus NT! possible sets of post-detection SNRs, where "!" denotes a 20 factorial. The receiver may evaluate all NT! possible orderings and select the ordering that provides the best set of post-detection SNRs. 110071 The post-detection SNR of a transmit antenna determines its transmission capacity. Depending on the channel conditions, the post-detection SNR of a given 25 transmit antenna may be so low that it cannot support the lowest data rate for the MIMO system. In this case, it may be beneficial to turn off that transmit antenna and only use the remaining transmit antennas for data transmission. Turning off a transmit antenna that cannot support the lowest data rate eliminates a symbol stream that would otherwise have interfered with the other symbol streams. This may then improve the 30 post-detection SNRs of the other symbol streams. 110081 Selection diversity refers to using only transmit antennas that can support at least the lowest data rate and turning off transmit antennas that cannot support the lowest data rate. If each transmit antenna can be turned on or off independently, then it 3 can be shown that there are N, (A, (N!). I+ ++... possible orderings 1! 2! (NT -])! to evaluate. For example, if N, 4, then there are N,!= 24 possible orderings without selection diversity whereby all NT transmit antennas are used, and N,, =64 possible orderings with selection diversity whereby each transmit antenna may be turned on or 5 off independently. Th-is represents a large increase in the number of orderings that the receiver may need to evaluate for selection diversity.
3a SUMMARY According to a first aspect of the present invention, there is provided a method of determining a data transmission in a multiple-input multiple-output (MIMO) communication system with improved performance of increased transmission capacity and/or greater reliability by utilizing additional dimensionalities created by multiple transmit and receive antennas, including: determining a data rate for each of a plurality of transmit antennas, for each order of a plurality of orders of decoding a plurality of symbol streams based on a post-detection SNR, wherein a transmit antenna may have a data rate of zero; computing an overall data rate for each order for the plurality of transmit antennas based on each data rate of a plurality of data rates for each order; and selecting one order of the plurality of orders based on each of the overall data rates. According to a second aspect of the present invention, there is provided an apparatus in a multiple-input multiple-output (MIMO) communication system for providing improved performance of increased transmission capacity and/or greater reliability by utilizing additional dimensionalities created by multiple transmit and receive antennas, including: a memory; and a processor coupled with the memory, the processor operative to select one order decoding a plurality of symbol streams according an overall data rate of each of the plurality of orders, wherein the overall data rate for each order corresponds to a plurality of data rates for each of a plurality of transmit antennas, wherein a transmit antenna may have a data rate of zero. According to a third aspect of the present invention, there is provided an apparatus in a multiple-input multiple-output (MIMO) communication system for providing improved performance of increased transmission capacity and/or greater reliability by utilizing additional dimensionalities created by multiple transmit and receive antennas, including: means for determining a data rate for each of a plurality of transmit antennas, for each order of a plurality of orders of decoding a plurality of symbol streams, wherein a transmit antenna may have a data rate of zero; means for computing an overall data rate for each order for the plurality of transmit antennas based on each data rate of a plurality of data rates for each order; and means for selecting one order of the plurality of orders based on each of the overall data rates.
4 BRIEF DESCRIPTION OF THE DRAWINGS 110121 The features, nature, and advantages of the present invention will become more apparent from the detailed description set forth below when taken in conjunction with the drawings in which like reference characters identify correspondingly 5 throughout and wherein: [10131 FIG. I shows a transmitter system and a receiver system in a MIMO system; 110141 FIG. 2 shows a process for performing SIC receiver processing on NR received symbol streams to recover NT transmitted symbol streams; [10151 FIG. 3 shows a process for determining the data rates for the transmit 10 antennas and the best ordering for a SIC receiver with selection diversity; 110161 FIG. 4 shows a specific implementation of the process in FIG. 3; [10171 FIG. 5 shows a block diagram of a transmitter subsystem; and 11018] FIG. 6 shows a block diagram of a receiver subsystem. 15 DETAILED DESCRIPTION 11019] The word "exemplary" is used herein to mean "serving as an example, instance, or illustration." Any embodiment or design described herein as "exemplary" is not necessarily to be construed as preferred or advantageous over other embodiments or designs. 20 [10201 The techniques described herein for supporting SIC receiver processing with selection diversity may be used in various communication systems, such as a MIMO system, a MIMO system that employs orthogonal frequency division multiplexing (i.e., a MIMO-OFDM system), and so on. For clarity, these techniques are described specifically for a MIMO system. For simplicity, the following description assumes that 25 (1) one data stream is transmitted from each transmit antenna and (2) each data stream is independently processed at a transmitter and may be individually recovered at a receiver. [10211 FIG. I shows a block diagram of a transmitter system 110 and a receiver system 150 in a MIMO system 100. Transmitter system 110 and receiver system 150 30 may each be implemented in an access point (i.e., a base station) or a user terminal in the MIMO system. 110221 At transmitter system 110, a transmit (TX) data processor 120 receives traffic data from a data source 112 for up to NT data streams. Each data stream is 5 designated for transmission from a respective transmit antenna. TX data processor 120 formats, codes, interleaves, and modulates the traffic data for each data stream to obtain a corresponding stream of modulation symbols (or "data symbols"). TX data processor 120 may further multiplex pilot symbols with the data symbols. TX data processor 120 5 provides NT symbol streams to NT transmitter units (TMTR) 122a through 122t. Each symbol stream may include any combination of data and pilot symbols. Each transmitter unit 122 processes its symbol stream and provides a modulated signal suitable for transmission over the wireless communication link. Nr modulated signals from transmitler units 122a through 122t are transmitted from Nr antennas 124a through 10 124t, respectively. [10231 At receiver system 150, the transmitted modulated signals are received by NR antennas 152a through 152r, and the received signal from each antenna 152 is provided to a respective receiver unit (RCVR) 154. Each receiver unit 154 conditions and digitizes its received signal and provides a stream of received symbols. A receive (RX) 15 spatial/data processor 160 receives the NR received symbol streams from NR receiver units 154a through 154r, processes these received symbol streams using SIC receiver processing, and provides NT decoded data streams. The processing by RX spatial/data processor 160 is described in detail below. RX spatial/data processor 160 further estimates the channel response between the NT transmit antennas and the NR receive 20 antennas, the received SNRs and/or the post-detection SNRs of the symbol streams, and so on (e.g., based on the received pilot symbols). RX spatial/data processor 160 may use the channel response estimate to perform spatial or space-time processing, as described below. 110241 Controllers 130 and 170 direct the operation at transmitter system 110 and 25 receiver system 150, respectively. Memory units 132 and 172 provide storage for program codes and data used by controllers 130 and 170, respectively. 110251 In an embodiment, controller 170 receives the channel response estimates and the SNR estimates from RX spatial/data processor 160, determines the data rate to use for each transmit antenna and the specific ordering for recovering the symbol 30 streams, and provides feedback information for transmitter system 110. The feedback information may include, for example, the data rates for the NT transmit antennas. The feedback information is processed by a TX data processor 184, conditioned by transmitter units 154a through 154r, and transmitted back to transmitter system 110. At 6 transmitter system 110, the modulated signals from receiver system 150 are received by antennas 124, conditioned by receiver units 122, and processed by an RX data processor 140 to recover the feedback information sent by receiver system 150. Controller 130 receives and uses the recovered feedback information to (1) control the data rate for the 5 symbol stream sent from each transmit antenna, (2) determine the coding and modulation scheme to use for each data stream, and (3) generate various controls for TX data processor 120. 110261 In another embodiment, controller 130 obtains the channel response estimates for the MIMO channel and the noise variance (i.e., noise floor) at receiver 10 system 150. Controller 130 then determines the data rate to use for each transmit antenna and provides various controls for TX data processor 120. Transmitter system 110 may obtain the channel response estimates based on pilot symbols sent by receiver system 150. The receiver noise floor may be estimated by receiver system 150 and sent to transmitter system 110 as feedback information. 15 110271 In general, the data rates for the transmit antennas and the ordering for recovering the symbol streams may be determined by the transmitter system, the receiver system, or both. For clarity, the following description is for the embodiment whereby the data rates and the ordering are determined by the receiver system and communicated to the transmitter system. 20 110281 The model for the MIMO system may be expressed as: y =lx +n , Eq (1) where y is a vector of NR received symbols, i.e., y = [y, y 2 ... YN ]T, where y, is the 25 symbol received on receive antenna i and i E {1, ..., N,} ; x is a vector of NT transmitted symbols, i.e., x = [x, x 2 ... XN ]T, where xi is the symbol sent from transmit antennaj and j E {1, ..., NT) H is an NR x Nr channel response matrix for the MIMO channel, with entries 30 of h, for i e {l, ..., N} and j e {l, ..., N,} , where ht. is the complex channel gain between transmit antennas and receive antenna i; n is additive white Gaussian noise (AWGN); and S"T, denotes the transpose.
7 The noise n has a mean vector of 0 and a covariance matrix of A =o2, where 0 is a vector of zeros, I is the identity matrix, and arT is the variance of the noise (which is also referred to as the receiver noise floor). For simplicity, the MIMO channel is assumed to be a flat-fading narrowband channel. In this case, the elements of the 5 channel response matrix H are scalars, and the coupling h,, between each transmit receive antenna pair can be represented by a single scalar value. The techniques described herein may also be used for a frequency selective channel having different channel gains at different frequencies. 110291 Due to scattering in the communication link, the Nr symbol streams 10 transmitted from the NT transmit antennas interfere with each other at the receiver. In particular, each transmitted symbol stream is received by all NR receive antennas at different amplitudes and phases, as determined by the complex channel gains between the transmit antenna for that symbol stream and the NR receive antennas. Each received symbol stream includes a component of each of the NT transmitted symbol streams. The 15 NR received symbol streams would collectively include all NT transmitted symbols streams, and instances of each of the NT transmitted symbol streams can be found in each of the NR received symbol streams. 110301 The SIC receiver processing technique, which is also referred to as successive nulling/equalization and interference cancellation processing technique, can 20 process the NR received symbol streams to obtain the NT transmitted symbol streams. The SIC receiver processing technique successively recovers the transmitted symbol streams in multiple stages, one stage for each symbol stream. Each stage recovers one transmitted symbol stream. As each symbol stream is recovered, the interference it causes to the remaining not yet recovered symbol streams is estimated and canceled 25 from the received symbol streams to obtain "modified" symbol streams. The modified symbol streams are then processed by the next stage to recover the next transmitted symbol stream. If the symbol streams can be recovered without error (or with minimal errors) and if the channel response estimates are reasonably accurate, then the interference due to the recovered symbol streams can be effectively canceled. Each 30 subsequently recovered symbol stream thus experiences less interference and may achieve a higher post-detection SNR than without interference cancellation. 110311 The following terminology is used for the description below: 8 o "transmitted" symbol streams - the symbol streams transmitted from the transmit antennas; o "received" symbol streams - the inputs to a spatial or space-time processor in the first stage of a SIC receiver (see FIG. 6); 5 o "modified" symbol streams - the inputs to a spatial or space-time processor in a subsequent stage of the SIC receiver; o "detected" symbol streams - the outputs from the spatial or space-time processor (up to NT - X 1 symbol streams may be detected in stage X); and o "recovered" symbol stream - a symbol stream that is recovered by the receiver to 10 obtain a decoded data stream (only one detected symbol stream is recovered in each stage). 110321 FIG. 2 shows a flow diagram of a process 200 for performing SIC receiver processing on NR received symbol streams to recover Nr transmitted symbol streams. 15 Initially, the index X for the stages of a SIC receiver is set to I (i.e., X = I) (step 212). For the first stage, the SIC receiver performs spatial or space-time processing on the NR received symbol streams (as described below) to separate out the NT transmitted symbol streams (step 214). For each stage, the spatial or space-time processing provides (Nr - X+ 1) detected symbol streams, which are estimates of the transmitted symbol 20 streams not yet recovered. One of the detected symbol streams is selected for recovery (step 216). This detected symbol stream is then processed (e.g., demodulated, deinterleaved, and decoded) to obtain a decoded data stream, which is an estimate of the data stream for the symbol stream being recovered in this stage (step 218). 110331 A determination is then made whether or not all transmitted symbol streams 25 have been recovered (step 220). If the answer is 'yes' (i.e., if X= N,), then process 200 terminates. Otherwise, the interference due to the just recovered symbol stream is estimated (step 222). To obtain the interference estimate, the decoded data stream is re encoded, interleaved, and re-modulated with the same coding, interleaving, and modulation schemes used at the transmitter for this data stream to obtain a 30 "remodulated" symbol stream, which is an estimate of the transmitted symbol stream just recovered. The remodulated symbol stream is then processed with the channel response estimates to obtain NR interference components, which are estimates of the interference due to the just recovered symbol stream on the remaining not yet recovered 9 symbol streams. The NR interference components are then subtracted from the NR received symbol streams to obtain NR modified symbol streams (step 224). These modified symbol streams represent the streams that would have been received if the just recovered symbol stream had not been transmitted (i.e., assuming that the interference 5 cancellation was effectively performed). The index X is then updated (i.e., X= + 1) for the next stage (step 226). 110341 Steps 214 through 218 are then repeated on the NR modified symbol streams to recover another transmitted symbol stream. Steps 214 through 218 are repeated for each transmitted symbol stream to be recovered. Steps 222 through 226 are performed 10 if there is another transmitted symbol stream to recover. For the first stage, the input symbol streams are the NR received symbol streams. For each subsequent stage, the input symbol streams are the NR modified symbol streams from the preceding stage. The processing for each stage proceeds in similar manner. 11035] For a SIC receiver, there are N,! possible orderings of recovering Nr 15 transmitted symbol streams. This is because any one of NT detected symbol streams may be recovered in the first stage, any one of (NT - 1) detected symbol streams may be recovered in the second stage, and so on, and only one detected symbol stream is available and recovered in the last stage. The SIC receiver can evaluate each of the Nr! 20 possible orderings and select the best ordering for use. In the following description, the index k is used for the NT! orderings, where k e (1, 2, ... N!} . For each ordering k, the order in which the NT transmit antennas are recovered is represented as {k,, k 2 , ... kNr), where k. for XE {l, 2, ... N,} denotes the transmit antenna to be recovered in stage 2 of ordering k. 25 [1036] For a SIC receiver, the input symbol streams for stage X of ordering k may be expressed as: YX = HX +n , Eq (2) 30 where y is a vector of NR modified symbols for stage X of ordering k, i.e., =[k Yk, --- y, where y7 is the modified symbol for receive ak i s e f r k, antenna i in stage X of ordering k; 10 x7 is a vector of (N, -k+ 1) transmitted symbols for stage ? of ordering k, i.e., x = [xk xk ... xA ]", where x, is the symbol sent from transmit antenna k,; and _His an NR x (NT -2+1) reduced channel response matrix for stage k of 5 ordering k. 110371 Equation (2) assumes that the symbol streams recovered in the prior (-1) stages are cancelled. The dimensionality of the channel response matrix H is thus successively reduced by one column for each stage as a transmitted symbol stream is recovered and canceled. For stage 2., the reduced channel response matrix H is 10 obtained by removing (X-1) columns in the original matrix H corresponding to the ()L-I) previously recovered symbol streams, i.e., HA =[hk, h, ... 4,N , where h is an NR x 1 vector for the channel response between transmit antenna k, and the NR receive antennas. For stage X, the (.-1) previously recovered symbol streams are given indices of {k,, k 2 , ... k} and the (Nr - + 1) not yet recovered symbol streams 15 are given indices of {k,, kx, ... kNr }. Equation (2) may be rewritten as: Ny kyX = h X +n. Eq (3) 11038] For stage X, each of the (NT -)X+ 1) transmitted symbol streams that have 20 not yet been recovered may be "isolated" or "detected" by filtering the NR modified symbol streams y with a matched filter for that symbol stream. The matched filter for the symbol stream sent from transmit antenna km, for n E {k k+ 1, ... NT}, has a unit norm vector wA of NR filter coefficients. To minimize interference from the other (Nr -2) not yet recovered symbol streams on the symbol stream sent from transmit 25 antenna km, the vector wk, is defined to be orthogonal to the channel response vectors {k } for these not yet recovered symbol streams, i.e., Wk,hk =0, for m e ( X+ 1, ... NT and m # n. For stage ?., the transmitted symbol streams from the other (X- 1) transmit antennas, kn for n E (l, 2, ... 2.- l}, have already been recovered 11 in prior stages and canceled from the modified symbol streams y'. Thus, the vector w does not need to be orthogonal to {hk }, for m e (1, 2, ... X-l}. 110391 The matched filter vector wk may be derived based on various spatial and space-time processing techniques. The spatial processing techniques include a zero 5 forcing technique (which is also referred to as a channel correlation matrix inversion (CCMI) technique) and a minimum mean square error (MIMSE) technique. The space time processing techniques include a decision feedback equalizer (DFE), an MMSE linear equalizer (MMSE-LE), and a maximum-likelihood sequence estimator (MLSE). 110401 In an embodiment, the matched filter response w 4 is derived with a linear zero-forcing equalizer, which performs spatial processing by projecting the received symbol streams over an interference-free sub-space to obtain the detected symbol streams. The linear ZF equalizer for stage X has an NR x (NT - + 1) response matrix Wk, which may be derived based on the reduced channel response matrix H , as 15 follows: ((H )H Eq (4) Since HL is different for each stage, W is also different for each stage. The matched 20 filter response wk for the symbol stream sent from transmit antenna k, is then the column of Wk corresponding to transmit antenna k. 110411 Stage X of the SIC receiver can derive (Nr - X+ 1) detected symbol streams, as follows: 2X (jAI/ X xX+(X)/it 25 i = ) X + ) aEq (5) where iL =[ik, 54 ... j, and i 5: represents the detected symbol stream from transmit antenna k,. As shown in the right-hand side of equation (5), the detected symbol streams i compose the transmitted symbol streams x' plus filtered noise, 30no (W ),)"n, which is in general correlated with a covariance matrix yX gl(WyX)H W IL 12 110421 In stage A. of ordering k, the symbol stream sent from transmit antenna k. is selected for recovery. The detected symbol stream ik from transmit antenna k. may be expressed as: 5 ^, =wy = X, + w n .
Eq (6) As shown in the right-hand side of equation (6), the detected symbol stream Xk comprises the transmitted symbol stream x, plus post-detection or filtered noise w nt 10 110431 The post-detection SNR, SNR, , of the detected symbol stream A, recovered in stage X of ordering k may be expressed as: SNR_ = 2I 2 Eq (7) 15 where the expected variance of the transmitted data symbol x, is equal to 1.0, and (T2| |w, 112 is the variance of the post-detection noise, which is w" n . The post detection SNR is indicative of the SNR achieved for a detected symbol stream after the receiver processing to remove interference from the other symbol streams. The 20 improvement in the post-detection SNR comes from the fact that the norm of w in equation (7) decreases with each stage. [10441 The analysis described above may also be performed based on other space or space-time processing techniques. The zero-forcing (CCMI), MMSE, DFE, and MMSE-LE techniques are described in detail in commonly assigned U.S. Patent 25 Application Serial No. 09/993,087, entitled "Multiple-Access Multiple-Input Multiple Output (MIMO) Communication System," filed November 6, 2001. 110451 The SIC receiver can evaluate each of the NT! possible orderings of recovering the transmitted symbol streams. For each ordering k, the SIC receiver can compute a set of NT post-detection SNRs for the NT transmit antennas. The SIC receiver 30 can then select one of the N,! possible orderings for use based on one or more criteria. For example, the selection may be based on overall spectral efficiency. In this case, the post-detection SNR for each transmit antenna may be converted to spectral efficiency, as follows: 13 C = log,(1+SNR )=log 2 + - Eq (8) where C is the spectral efficiency of transmit antenna k,, which is recovered in stage X of ordering k. Spectral efficiency is equal to data rate normalized by the system 5 bandwidth, and is given in units of bits per second per Hertz (bps/Hz). The overall spectral efficiency Croak for all NT transmit antennas for ordering k may be computed as follows: C,-,,a = C, = log 2 (1+SNRA) Eq (9) 10 11046] The receiver can compute the overall spectral efficiency for each of the N,! possible orderings. The receiver can then select the ordering with the highest overall spectral efficiency for use (i.e., max {C, 0 ,,,}). 15 110471 The MIMO system may be designed to support a set of discrete data rates, which includes non-zero data rates as well as the null or zero data rate. Each non-zero data rate may be associated with a particular coding scheme, a particular modulation scheme, and so on. Each non-zero data rate is further associated with a particular minimum SNR required to achieve the desired level of performance (e.g., 1% packet 20 error rate) for a non-fading, AWGN channel. The required SNR for each non-zero data rate may be determined based on computer simulation, empirical measurements, and so on, as is known in the art. A look-up table may be used to store the supported data rates and their required SNRs. 110481 The selected ordering (e.g., the one with the highest overall spectral 25 efficiency) is associated with a set of Nr post-detection SNRs for the NT transmit antennas. The highest data rate that may be reliably transmitted from each transmit antenna is determined by its post-detection SNR. In particular, the post-detection SNR for each transmit antenna should be equal to or higher than the required SNR for the data rate selected for that transmit antenna. 30 110491 With selection diversity, each transmit antenna may be turned off (i.e., shut off) if its post-detection SNR is lower than the required SNR for the lowest non-zero data rate rm, supported by the MIMO system. By turning off transmit antennas that 14 cannot support the lowest non-zero data rate, the symbol streams sent from other transmit antennas may experience less interference and may be able to achieve higher post-detection SNRs. Improved performance in terms of higher data rates and/or greater reliability may be achieved. 110501 For a SIC receiver with selection diversity, there are N,, possible orderings 5 for evaluation, where N,,, > NT! and may be computed as follows. For N- transmit antennas, there are NT different antenna configurations, where each configuration corresponds to a specific number of transmit antennas that is turned on. The Nr antenna configurations are given in column I of Table 1, and the number of active transmit antennas for each configuration is given in column 2. Each antenna configuration is 10 associated with one or more antenna patterns, where each antenna pattern indicates which transmit antennas are turned on and which transmit antennas are turned off. It can be shown that there are: (1) only one antenna pattern for the configuration with all NT transmit antennas turned on, (2) NT possible antenna patterns for the configuration with (NT -1) transmit antennas turned on, (3) NT -(NT - 1)/ 2 possible antenna patterns 15 for the configuration with (Nr - 2) transmit antennas turned on, and so on, and (4) NT possible antenna patterns for the configuration with only one transmit antenna turned on. The number of antenna patterns for each configuration is given in column 3 of Table 1. 20 110511 For each antenna pattern, the number of possible orderings for that antenna pattern is dependent on the active transmit antennas that are turned on and is not dependent on the inactive transmit antennas that are turned off. Thus, for configuration I with all NT transmit antennas turned on, there are NT! possible orderings for recovering the NT active transmit antennas, as described above. For configuration 2 25 with (Nr -1) transmit antennas turned on, there are (NT -])! possible orderings for recovering the (NT -1) active transmit antennas for each antenna pattern of configuration 2. For configuration 3 with (NT - 2) transmit antennas turned on, there are (NT -2)! possible orderings for recovering the (NT -2) active transmit antennas 30 for each antenna pattern of configuration 3. The computation proceeds in similar manner for other configurations. For configuration NT with one transmit antenna turned on, there is only one possible ordering for recovering the single active transmit antenna 15 for each antenna pattern of configuration NT. The number of orderings for each antenna pattern of each configuration is given in column 4 of Table 1. [10521 The number of orderings for each antenna configuration is obtained by multiplying the number of antenna patterns for that configuration with the number of 5 orderings for each antenna pattern of that configuration. This is given in column 5 of Table 1. The total number of possible orderings, N,,,, with selection diversity is then obtained by summing the quantities in column 5 of Table 1, as follows: Nf,, = NT! + Nr!+ NT!/ 2 +...+ Nr - l(Nr 1)+ N T 10 which can be rewritten as follows: Nia = (Nr!)- 1+-- +- +...- ---- + . Eq (10) P! 2! (Nr -2)! (Nr - 1)! 15 Table I Number of Number of Number of Number of Antenna Transmit Antenna Patterns Orderings/ Orderings for Turned On for Configuration Antenna Pattern Configuration 20 1 Nr I Nr! NT! 2 (Nr -1) NT (NT -)!! 3 (NT -2) NT *(NT -1)/2 (NT - 2)! N,! 2 N N N N N 25 (NT -1) 2 NT -(NT -1)/2 2! NT .(NT -I) Nr I NT I! NT 11053] Viewed differently, if each transmit antenna can be turned on or off independently, then there are 2 Nr possible antenna patterns. For example, if NT = 4, 30 then there are 2 Nr =16 possible antenna patterns, which are represented as '0000', '0001', '0010', '0011', .. , and 'I1 11', where 'I' indicates an active antenna that is turned on and '0' indicates an inactive antenna that is turned off. The pattern with all 16 zeros is not evaluated if at least one transmit antenna is used for data transmission. Thus, there are a total of ( 2
N
7 - 1) active antenna patterns to evaluate. 110541 For each active antenna pattern m with N,,,, transmit antennas that are 5 turned on, the SIC receiver can evaluate the N,,,,! possible orderings of recovering the symbol streams sent from the N,,,, active transmit antennas. For each of the possible orderings for a given active antenna pattern, the SIC receiver can (1) obtain a set of post-detection SNRs for the active transmit antennas in that pattern m (the post detection SNR for a transmit antenna that is turned off may be set to zero) and (2) 10 compute the overall spectral efficiency for that ordering/pattern. The SIC receiver can then select the ordering/pattern with the highest overall spectral efficiency among the N,,, possible orderings. 110551 The SIC receiver with selection diversity may evaluate the N,,,,, possible 15 orderings based on the following pseudo-code: 10 For m=1 to 2 Nr-l active antenna patterns 20 For k=1 to Nact.! orderings 30 For X=1 to Noctm stages { 40 Obtain detected symbol stream for transmit antenna k)'; 20 50 Compute post-detection SNR for transmit antenna k.; 60 Compute spectral efficiency of transmit antenna k.; 70 1 80 Compute overall spectral efficiency for ordering k of pattern m; 90 100 Select the ordering/pattern with highest overall spectral efficiency 110 Determine the data rates for the N, transmit antennas for the 25 selected ordering/pattern 110561 In the above pseudo-code, each active antenna pattern in defines a specific set of N,, active transmit antennas and (NT - N.,,) inactive transmit antennas, where N,,, is dependent on the antenna pattern in. Each ordering k defines a specific 30 order in which the N, active transmit antennas are recovered. The ordering may be represented as {k 1 , k 2 , ... kx, ... kN ) where the (N, - Nac.) inactive transmit antennas are not included in the set and k. is the transmit antenna to recover in stage X 17 of ordering k. Different orderings have different mappings of transmit antennas to the set {k, k 2 ,, ... kN }. Whether or not a given transmit antenna is active is determined by the active antenna pattern in. The brute-force method described above evaluates N,,, possible orderings for the SIC receiver with selection diversity. 110571 A simplified method is provided herein that evaluates at most N,! possible 5 orderings to determine the data rates for the transmit antennas and the best ordering for the SIC receiver with selection diversity. This represents a substantial reduction over the N, 0 10 , possible orderings evaluated by the brute-force method. The simplification is based on a lemma which states that, for any speci fic ordering with a zero data rate for at lu least one transmit antenna, there exists another ordering with non-zero data rates for all transmit antennas with the same or greater throughput. This lemma indicates that the active antenna pattern of all ones ('Il ... I') provides the highest throughput of all
(
2 Nr - 1) active antenna patterns and is the only one that needs to be evaluated. 110581 For simplicity, the proof of the lemma is described below for the case in 15 which only one transmit antenna is turned off. For the proof, the transmit antennas are given indices of 1, 2, ... NT and are recovered based on the ordering (1, 2, ... Nrl, where transmit antenna 1 is recovered first and transmit antenna NT is recovered last. Transmit antenna i is switched off, where 1 5 i : N,. The data rates supported by the NT 20 transmit antennas are denoted as {i, r, ..., ro, 0, re, ..., r, } These data rates are obtained based on the post-detection SNRs for the transmit antennas. 110591 For a SIC receiver, the data rate supported by each transmit antenna n is dependent only on the data rates of subsequently recovered transmit antennas n + 1, n + 2, ... Nr} and is not dependent on the data rates of prior recovered transmit 25 antennas {1, 2, ... n - 1}. This property assumes that the interference due to the prior recovered transmit antennas is effectively canceled and has no impact on transmit antenna n. Based on this property, the Nr transmit antennas in the original ordering can be rearranged so that transmit antenna i is now the first antenna and the original ordering is otherwise preserved. This rearrangement does not impact the data rates for 30 any of the (NT -1) active transmit antennas. 110601 The new antenna ordering is then {i, 1, 2, ..., i-I, i+1, ..., Nr} and the associated data rates are {0, r, ry, ... , r,, ,, ... , r }. For this new ordering, since 18 transmit antenna i is recovered first, the data rate used for transmit antenna i does not affect the data rates for the other (Nr -1) transmit antennas, so long as transmit antenna i can be recovered error-free or with low error and its interference can be canceled. A non-zero data rate may then be used for transmit antenna i and this data rate is 5 dependent on the data rates for the other (NT -1) transmit antennas. Thus, the data rates achievable by the original ordering with transmit antenna i turned off can also be achieved by the new ordering with a non-zero rate for transmit antenna i. The proof of the lemma may be extended in similar manner to cases where multiple transmit antennas are turned off. 10 [10611 FIG. 3 shows a flow diagram of a process 300 for determining the data rates for the NT transmit antennas and the ordering for a SIC receiver with selection diversity. Initially, the index k used for the possible orderings is set to I (step 310). Ordering k is evaluated using SIC receiver processing to obtain NT post-detection SNRs for NT transmit antennas (312). The data rate for each transmit antenna is then determined 15 based on its post-detection SNR (step 314). The data rate for each transmit antenna may be one of the discrete data rates supported by the system. A zero data rate is used for each transmit antenna with a post-detection SNR worse than the minimum required SNR, which may be the required SNR for the lowest non-zero data rate supported by the system. NT data rates are obtained for NT transmit antennas for ordering k, where any 20 of the NT data rates may be the zero data rate. An overall data rate is computed for ordering k based on the NT data rates (step 316). [10621 A determination is then made whether or not all orderings have been evaluated (step 320). If the answer is 'no', then the ordering index k is updated (step 322) and the process returns to step 312 to evaluate the next ordering. A maximum of 25 NT! orderings are evaluated. If all of the orderings have been evaluated, then one of the evaluated orderings is selected based on their overall data rates (step 330). For example, the selected ordering may be the one with the highest overall data rate among all of the orderings evaluated. 30 110631 Process 300 may be performed by receiver system 150 and the data rates for the selected ordering may be sent to transmitter system 110 as feedback information. Alternatively or additionally, process 300 may be performed by transmitter system 110. In any case, transmitter system 110 processes up to NT symbol streams at the data rates for the selected ordering and transmits these symbol streams from the NT transmit 19 antennas. Receiver system 150 recovers the transmitted symbol streams in accordance with the selected ordering. [10641 FIG. 4 shows a flow diagram of a process 400 for determining the data rates for the transmit antennas and the ordering for a SIC receiver with selection diversity. 5 Process 400 is a specific implementation of process 300 in FIG. 3. Initially, the ordering index k is set to I and the variable rhes, for the best overall data rate is set to 0 (step 410). 110651 To evaluate ordering k, the order of recovering the transmit antennas {k,, ... k,, ) is first determined (step 420). The stage index X is set to I and the 10 variable roraI for the overall data rate for ordering k is set to 0 (step 422). For each stage )L, spatial or space-time processing is first performed on the NR input symbol streams y to obtain the detected symbol stream i, for transmit antenna k. to be recovered in that stage (step 430). This can be achieved by (1) obtaining the ZF equalizer response 15 matrix W A for stage X based on the reduced channel response matrix HI, as shown in equation (4), and (2) multiplying the input symbol streams y with the matched filter vector wk for transmit antenna kx, as shown in equation (6). The post-detection SNR for transmit antenna k. is then computed as shown in equation (7) (step 432). The data 20 rate r, for transmit antenna k. is determined based on its post-detection SNR (e.g., as shown in equation (8) or using a look-up table) (step 434). The overall data rate for ordering k is then updated as r,,, =.r,. + r, (step 436). 110661 A determination is then made whether or not all transmit antennas have been recovered for ordering k (step 440). If the answer is 'no', then the interference due to 25 the just recovered symbol stream from transmit antenna k. is estimated and canceled from the input symbol streams y to obtain the input symbol streams y for the next stage (step 442). The stage index is then updated as =X+ I (step 444), and the process returns to step 430 to recover another symbol stream for another transmit 30 antenna. [1067] If all transmit antennas have been recovered (i.e., the answer is 'yes' for step 440), then a determination is made whether or not the overall data rate for ordering k is higher than the best overall data rate thus far (step 450). If the answer is 'yes', then the 20 ordering k and the data rates {r,) for the transmit antennas are saved, and the best overall data rate is set to the overall data rate for ordering k (i.e., rb,, = r,) (step 452). If the answer is 'no' in step 450, then the results for ordering k are not saved. In any case, a determination is next made whether or not all orderings have been evaluated 5 (step 460). If the answer is 'no', then the ordering index k is updated as k = k +1 (step 462), and the process returns to step 420 to evaluate this new ordering. Otherwise, the best ordering and the data rates for the transmit antennas are provided (step 464). The process then terminates. 11068] For clarity, the techniques for performing SIC receiver processing with 10 selection diversity have been described for a MIMO system. These techniques may also be used for other systems such as, for example, a MIMO-OFDM system. For the MIMO-OFDM system, one symbol stream may be transmitted from all subbands of each transmit antenna using OFDM processing. At the receiver, the post-detection SNR may be determined for each subband of each transmit antenna. The post-detection 15 SNRs of all subbands of each transmit antenna may be combined to obtain the post detection SNR for that transmit antenna. The ordering and data rates may then be selected based on the post-detection SNRs for the transmit antennas as described above. Transmitter System 20 110691 FIG. 5 shows a block diagram of a transmitter subsystem 500, which is an embodiment of the transmitter portion of transmitter system 110 in FIG. 1. For this embodiment, TX data processor 120 includes a demultiplexer (Demux) 510, Nr encoders 512a through 512t, NT channel interleavers 514a through 514t, Nr symbol mapping units 516a through 516t, and NT multiplexers (Muxes) 518a through 518t (i.e., 25 one set of encoder, channel interleaver, symbol mapping unit, and multiplexer for each of the NT transmit antennas). Demultiplexer 510 demultiplexes the traffic data (i.e., the information bits) into up to NT data streams. One data stream is provided for each transmit antenna with a non-zero data rate. Each data stream is provided at the data rate selected for the transmit antenna, as indicated by the data rate control. 30 [10701 Each encoder 512 receives and encodes a respective data stream based on the selected coding scheme (as indicated by the coding control) and provides code bits. The coding increases the reliability of the data transmission. The selected coding scheme may include any combination of CRC coding, convolutional coding, turbo coding, block 21 coding, and so on. Each encoder 512 provides code bits to a respective channel interleaver 514, which interleaves the code bits based on a particular interleaving scheme. If the interleaving is dependent on data te, then controller 130 provides an interleaving control (as indicated by the dashed line) to channel interleaver 514. The 5 interleaving provides time, frequency, and/or spatial diversity for the code bits. [10711 Each channel interleaver 514 provides interleaved bits to a respective symbol mapping unit 516, which maps (i.e., modulates) the interleaved bits based on the selected modulation scheme (as indicated by the modulation control) and provides modulation symbols. Unit 516 groups each set of B interleaved bits to form a B-bit 10 binary value, where B > I , and further maps each B-bit value to a specific modulation symbol based on the selected modulation scheme (e.g., QPSK, M-PSK, or M-QAM, where M = 2 "). Each modulation symbol is a complex value in a signal constellation defined by the selected modulation scheme. Each symbol mapping unit 516 provides modulation symbols (or "data symbols") to a respective multiplexer 518, which 15 multiplexes the data symbols with pilot symbols using, for example, time division multiplex (TDM) or code division multiplex (CDM). Multiplexers 518a through 518t provide up to Nr symbol streams to transmitter units 122a through 122t, which process these symbol streams to obtain modulated signals. Other designs for transmitter subsystem 500 may also be used and are within the scope of the invention. 20 110721 Controller 130 may perform various functions for data transmission from the NT transmit antennas. For example, controller 130 may receive the NT data rates for the NT transmit antennas (where one or more of these data rates may be zero) as feedback information from receiver system 150. Controller 130 may then generate the data rate, coding, interleaving, and modulation controls for the processing units within TX data 25 processor 120. Alternatively, controller 130 may receive the channel response estimates, evaluate the possible orderings, select the ordering and data rates for the transmit antennas, and generate the controls for the processing units within TX data processor 120. 30 Receiver System [10731 FIG. 6 shows a block diagram of a receiver subsystem 600, which is an embodiment of the receiver portion of receiver system 150 in FIG. 1. For this embodiment, RX MIMO/data processor 160 includes NT successive (i.e., cascaded) 22 receiver processing stages 610a through 610t, one stage for each of the NT transmit antennas. Each receiver processing stage 610 (except for the last stage 6 1Ot) includes a spatial processor 620, an RX data processor 630, and an interference canceller 640. The last stage 61 Ot includes only spatial processor 620t and RX data processor 630t. 5 110741 For the first stage 610a, spatial processor 620a receives the NR received symbol streams y, performs spatial or space-time processing (e.g., zero-forcing) on the received symbol streams, and provides the detected symbol stream _i, for the first transmit antenna in the selected ordering k. RX data processor 630a further processes 10 (e.g., demodulates, deinterleaves, and decodes) the detected symbol stream i, to obtain a decoded data stream d , which is an estimate of the data stream dA. for the symbol stream x,, being recovered. 110751 For the first stage 610a, interference canceller 640a receives the NR received 15 symbol streams y and the decoded data stream d, . Interference canceller 640a performs the processing (e.g., encoding, interleaving, and symbol mapping) to obtain a remodulated symbol stream, k which is an estimate of the symbol stream X, just recovered. The remodulated symbol stream k, is further processed to obtain estimates 20 of the interference components iI due to the just recovered symbol stream. The interference components il are then subtracted from the first stage's input symbol streams y to obtain NR modified symbol streams y , which include all but the cancelled interference components. The modified symbol streams y2 are then provided 25 to the second stage. 110761 For each of the second through last stages 610b through 610t, the spatial processor for that stage receives and processes the NR modified symbol streams y from the interference canceller in the preceding stage to obtain the detected symbol stream 30 for that stage. The detected symbol stream 5 , is then processed by the RN data processor to obtain the decoded data stream d ,. For each of the second through second-to-last stages, the interference canceller in that stage receives the NR modified symbol streams y" from the interference canceller in the preceding stage and the 23 decoded data stream d from the RX data processor within the same stage, derives the NAR interference components i, due to the symbol stream xA recovered by that stage, and provides NR modified symbol streams y"' for the next stage. 110771 The SIC receiver processing is also described in commonly assigned U.S. 5 Patent Application Serial No. IPA020280], entitled "Ordered Successive Interference Cancellation Receiver Processing for Multipath Channels," filed April 9, 2002. 110781 A channel estimator 650 also receives the NR received symbol streams y, estimates the channel response matrix H and the noise variance a' based on the 10 received pilot symbols, and provides the channel response and noise estimates (e.g., H and 52). The estimated channel response matrix _N is used for space or space-time processing by all stages, as described above. Controller 170 receives the channel response and noise estimates, evaluates up to N,! possible orderings, computes the set of post-detection SNRs for each ordering, and determines the best ordering and the data rates for the selected ordering. Memory unit 172 stores a look-up table (LUT) 660 of supported data rates and their required SNRs. Look-up table 660 is used by controller 170 to determine the data rate for each transmit antenna based on its post-detection SNR. Controller 170 provides the selected ordering to RX data processor 160 and may provide the data rates for the selected ordering as feedback information to transmitter 20 system 110. 110791 The techniques described herein for supporting SIC receiver processing with selection diversity may be implemented by various means. For example, these techniques may be implemented in hardware, software, or a combination thereof. For a hardware implementation, the processing units for SIC receiver processing with 25 selection diversity (e.g., TX data processor 120 and controller 130 at transmitter system 110, and RX spatial/data processor 160 and controller 170 at receiver system 150) may be implemented within one or more application specific integrated circuits (ASICs), digital signal processors (DSPs), digital signal processing devices (DSPDs), 30 programmable logic devices (PLDs), field programmable gate arrays (FPGAs), processors, controllers, micro-controllers, microprocessors, other electroruc units designed to perform the functions described herein, or a combination thereof.
24 [10801 For a software implementation, the SIC receiver processing with selection diversity may be implemented at the transmitter and receiver systems with modules (e.g., procedures, functions, and so on) that perform the functions described herein. The software codes may be stored in a memory unit (e.g., memory units 132 and 172 in FIG. 1) and executed by a processor (e.g., controllers 130 and 170). The memory unit may be implemented within the processor or external to the processor, in which case it can be communicatively coupled to the processor via various means as is known in the art. [1081] The previous description of the disclosed embodiments is provided to enable any person skilled in the art to make or use the present invention. Various modifications to ) these embodiments will be readily apparent to those skilled in the art, and the generic principles defined herein may be applied to other embodiments without departing from the spirit or scope of the invention. Thus, the present invention is not intended to be limited to the embodiments shown herein but is to be accorded the widest scope consistent with the principles and novel features disclosed herein. 5 [10821 It will be understood that the term "comprise" and any of its derivatives (eg. comprises, comprising) as used in this specification is to be taken to be inclusive of features to which it refers, and is not meant to exclude the presence of any additional features unless otherwise stated or implied. [10831 The reference to any prior art in this specification is not, and should not be taken ) as, an acknowledgement of any form of suggestion that such prior art forms part of the common general knowledge.