《无线通信理论》课程教学资源（参考教材）Fundamentals of Wireless Communication（英文版，共八部分）

Tse and Viswanath:Fundamentals of Wireless Communicatior 5 7.5 Exercises. 。。，。 。。， 390 8 MIMO II:Capacity and Multiplexing Architectures 393 8.1 The V-BLAST Architecture................. 。。。 394 8.2 Fast Fading MIMO Channel 396 8.2.1 Capacity with CSI at Receiver 396 822 Perfor ance Gains 399 8.2.3 Full CSI 8.3 Receiver Architectures ǒ.3.1 Linear Decorrelator 。。。。。。。 41 8.3.2 Successive cancellation 417 8.3.3 Linear MMSE Receiver 419 8.3.4 Information Theoretic Optimality* 427 Discussion 8.1 Connections with CDMA Multiuser Detection and ISI Equaliz 424 84 Slow Fading MIMO Channel 431 8.5 D-BLAST:An Outage-Optimal Architecture............... 433 8.5.1 Sub-optimality of V-BLAST.. 433 852 Coding Across Transmit Antennas:D-BLAST.. 435 8.5.3 Discussion 438 8.6 Bibliographical Notes 440 8.7 Exercises 440 9 MIMO III:Diversity-Multiplexing Tradeoff and Universal Space-Tim 451 9.1 Diversity-Multiplexing Tradeoff 。。 。。。 45 9.1.1 Formulation 452 9.1.2 Scalar Rayleigh Channel 454 013 Parallel ravleigh channel 458 .14 MISO Ravleigh Channel 459 9.15 2×2MIMO eigh 9.1.6 nt x n,MIMO i. .d.Rayleigh Channel 9.2 Universal Code Design for Optimal Diversity-Multiplexing Tradeoff..467 9.2.1 QAM is Approximately Universal for Scalar Channels. 。。 468 9.2.2 Universal Code Design for Parallel Channels... 470 9.2.3 Universal Code Design for MISO Channels 477 9.2.4 rCode Design for MIMO Channels Discuss 9.1 Universal Codes in the Downlink 485 9.3 Bibliographical Notes. 487 9.4 Exercises,.··,·········· 488

Tse and Viswanath: Fundamentals of Wireless Communication 5 7.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390 8 MIMO II: Capacity and Multiplexing Architectures 393 8.1 The V-BLAST Architecture . . . . . . . . . . . . . . . . . . . . . . . . 394 8.2 Fast Fading MIMO Channel . . . . . . . . . . . . . . . . . . . . . . . . 396 8.2.1 Capacity with CSI at Receiver . . . . . . . . . . . . . . . . . . . 396 8.2.2 Performance Gains . . . . . . . . . . . . . . . . . . . . . . . . . 399 8.2.3 Full CSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408 8.3 Receiver Architectures . . . . . . . . . . . . . . . . . . . . . . . . . . . 411 8.3.1 Linear Decorrelator . . . . . . . . . . . . . . . . . . . . . . . . . 411 8.3.2 Successive Cancellation . . . . . . . . . . . . . . . . . . . . . . . 417 8.3.3 Linear MMSE Receiver . . . . . . . . . . . . . . . . . . . . . . . 419 8.3.4 Information Theoretic Optimality* . . . . . . . . . . . . . . . . 427 Discussion 8.1 Connections with CDMA Multiuser Detection and ISI Equalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429 8.4 Slow Fading MIMO Channel . . . . . . . . . . . . . . . . . . . . . . . . 431 8.5 D-BLAST: An Outage-Optimal Architecture . . . . . . . . . . . . . . . 433 8.5.1 Sub-optimality of V-BLAST . . . . . . . . . . . . . . . . . . . . 433 8.5.2 Coding Across Transmit Antennas: D-BLAST . . . . . . . . . . 435 8.5.3 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438 8.6 Bibliographical Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440 8.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440 9 MIMO III: Diversity-Multiplexing Tradeoff and Universal Space-Time Codes 451 9.1 Diversity-Multiplexing Tradeoff . . . . . . . . . . . . . . . . . . . . . . 452 9.1.1 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452 9.1.2 Scalar Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . . 454 9.1.3 Parallel Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . 458 9.1.4 MISO Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . . 459 9.1.5 2 × 2 MIMO Rayleigh Channel . . . . . . . . . . . . . . . . . . 460 9.1.6 nt × nr MIMO i.i.d. Rayleigh Channel . . . . . . . . . . . . . . 463 9.2 Universal Code Design for Optimal Diversity-Multiplexing Tradeoff . . 467 9.2.1 QAM is Approximately Universal for Scalar Channels . . . . . . 468 9.2.2 Universal Code Design for Parallel Channels . . . . . . . . . . . 470 9.2.3 Universal Code Design for MISO Channels . . . . . . . . . . . . 477 9.2.4 Universal Code Design for MIMO Channels . . . . . . . . . . . 481 Discussion 9.1 Universal Codes in the Downlink . . . . . . . . 485 9.3 Bibliographical Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487 9.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 488

Tse and Viswanath:Fundamentals of Wireless Communication 6 10 MIMO IV:Multiuser Communication 497 10.1 Uplink with Multiple Receive Antennas 498 1011g vision Multiple Acces 10.1.2 SDMA Capacity Region 10.1.3 System Implications 10.1.4 Slow Fading.... 505 10.1.5 Fast Fading 509 10.1.6 Multiuser Diversity Revisited 512 10.2 MIMO Uplink 516 10.2.1 SDMA with Multiple Transmit Antennas 517 10.2.2 System Implications 52 10.2.3 Fast Fading. 21 10.3 Downlink with Multiple Transmit Antennas 523 10.3.1 Degrees of Freedom in the Downlink 523 10.3.2 Uplink-Downlink Duality and Transmit Beamforming 529 10.3.3 Precoding for Interference Known at Transmitter 530 g for the downlink 542 10.3.5 Fast Fac 546 10.4 MIMO Downlink· 549 10.5 Multiple Antennas in Cellular Networks:A System View 552 10.5.1 Inter-cell Interference Management 554 10.5.2 Uplink with Multiple Receive Antennas 555 1053 MIMO Uplink 557 10.5.4 Downlink with Multiple Receive Antennas 10.5.5 Downlink with Multiple Transmit Antennas ... Example 10.1 SDMA in ArrayComm Systems.. 559 10.6 Bibliographical Notes.... 562 10.7 Exercises. 563 A Detection and Estimation in Additive Gaussian Noise 579 A.1 Gaussian Random Variables 579 A 11 Scalar real gaussian random variable 579 A.1.2 Real Gaussian Random Vect A.1.3 Compl ex Gaussian Random Vectors A.2 Detection in Gaussian Noise.. 586 A.2.1 Scalar Detection 。。，。，。。 586 A.2.2 Detection in a Vector Space 587 A.2.3 Detection in a Complex Vector Space 591 A.3 Estimation in Gaussian Noise 593 A.3.1 Scalar Estimatio 502 A.3.2 Estimation in a Vector Space 594

Tse and Viswanath: Fundamentals of Wireless Communication 6 10 MIMO IV: Multiuser Communication 497 10.1 Uplink with Multiple Receive Antennas . . . . . . . . . . . . . . . . . . 498 10.1.1 Space-Division Multiple Access . . . . . . . . . . . . . . . . . . 498 10.1.2 SDMA Capacity Region . . . . . . . . . . . . . . . . . . . . . . 500 10.1.3 System Implications . . . . . . . . . . . . . . . . . . . . . . . . 503 10.1.4 Slow Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505 10.1.5 Fast Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 509 10.1.6 Multiuser Diversity Revisited . . . . . . . . . . . . . . . . . . . 512 10.2 MIMO Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516 10.2.1 SDMA with Multiple Transmit Antennas . . . . . . . . . . . . . 517 10.2.2 System Implications . . . . . . . . . . . . . . . . . . . . . . . . 521 10.2.3 Fast Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521 10.3 Downlink with Multiple Transmit Antennas . . . . . . . . . . . . . . . 523 10.3.1 Degrees of Freedom in the Downlink . . . . . . . . . . . . . . . 523 10.3.2 Uplink-Downlink Duality and Transmit Beamforming . . . . . . 525 10.3.3 Precoding for Interference Known at Transmitter . . . . . . . . 530 10.3.4 Precoding for the downlink . . . . . . . . . . . . . . . . . . . . . 543 10.3.5 Fast Fading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546 10.4 MIMO Downlink . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549 10.5 Multiple Antennas in Cellular Networks: A System View . . . . . . . . 552 10.5.1 Inter-cell Interference Management . . . . . . . . . . . . . . . . 554 10.5.2 Uplink with Multiple Receive Antennas . . . . . . . . . . . . . . 555 10.5.3 MIMO Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557 10.5.4 Downlink with Multiple Receive Antennas . . . . . . . . . . . . 558 10.5.5 Downlink with Multiple Transmit Antennas . . . . . . . . . . . 559 Example 10.1 SDMA in ArrayComm Systems . . . . . . . . . 559 10.6 Bibliographical Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562 10.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563 A Detection and Estimation in Additive Gaussian Noise 579 A.1 Gaussian Random Variables . . . . . . . . . . . . . . . . . . . . . . . . 579 A.1.1 Scalar Real Gaussian Random Variable . . . . . . . . . . . . . . 579 A.1.2 Real Gaussian Random Vectors . . . . . . . . . . . . . . . . . . 580 A.1.3 Complex Gaussian Random Vectors . . . . . . . . . . . . . . . . 583 A.2 Detection in Gaussian Noise . . . . . . . . . . . . . . . . . . . . . . . . 586 A.2.1 Scalar Detection . . . . . . . . . . . . . . . . . . . . . . . . . . 586 A.2.2 Detection in a Vector Space . . . . . . . . . . . . . . . . . . . . 587 A.2.3 Detection in a Complex Vector Space . . . . . . . . . . . . . . . 591 A.3 Estimation in Gaussian Noise . . . . . . . . . . . . . . . . . . . . . . . 593 A.3.1 Scalar Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . 593 A.3.2 Estimation in a Vector Space . . . . . . . . . . . . . . . . . . . 594

Tse and Viswanath:Fundamentals of Wireless Communicatior A.3.3 Estimation in a Complex Vector Space....... ·····595 A.4 Exercises. 597 B Information Theory Background 599 B.1 Discrete Memoryless Channels. 599 Example B.1 Binary Symmetric Channel. 601 Erasure channel 60 B.2 Entropy al Entropy d Mutual Information Example B.3 Binary Entropy B.3 Noisy Channel Coding Theorem.. 。。。 60月 B.3.1 Reliable Communication and Conditional Entropy 606 B.3.2 A Simple Upper Bound.. 606 B.3.3 Achieving the Upper Bound 607 Example B.4 Bi mmetric Channel B.3.4 Operational Interpretation 610 B.4 Formal Derivation of AWGN Capacity..................610 B.4.1 Analog Memoryless Channels 611 B.4.2 Derivation of AWGN Capacity 612 B.5 Sphere Packing Interpretation 613 B.5.1 Upper Bound 613 B.5.2 Achievability B.6 Time-Invariant Parallel Channel 61 B.7 Capacity of the Fast Fading Channel 。，。 618 B.7.1 Scalar Fast Fading Channnel 618 B.7.2 Fast Fading MIMO Channel 61g B.8 Outage Formulation 620 B.Multiple Acces ss Channel Capacity Region B.9.2 Corner Points of the Capacity Region,,·.,·· B.9.3 Fast Fading Uplink......................... 625 B.10 Exercises. ....626

Tse and Viswanath: Fundamentals of Wireless Communication 7 A.3.3 Estimation in a Complex Vector Space . . . . . . . . . . . . . . 595 A.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597 B Information Theory Background 599 B.1 Discrete Memoryless Channels . . . . . . . . . . . . . . . . . . . . . . . 599 Example B.1 Binary Symmetric Channel . . . . . . . . . . . . 601 Example B.2 Binary Erasure Channel . . . . . . . . . . . . . . 601 B.2 Entropy, Conditional Entropy and Mutual Information . . . . . . . . . 602 Example B.3 Binary Entropy . . . . . . . . . . . . . . . . . . 603 B.3 Noisy Channel Coding Theorem . . . . . . . . . . . . . . . . . . . . . . 605 B.3.1 Reliable Communication and Conditional Entropy . . . . . . . . 606 B.3.2 A Simple Upper Bound . . . . . . . . . . . . . . . . . . . . . . . 606 B.3.3 Achieving the Upper Bound . . . . . . . . . . . . . . . . . . . . 607 Example B.4 Binary Symmetric Channel . . . . . . . . . . . . 609 Example B.5 Binary Erasure Channel . . . . . . . . . . . . . . 609 B.3.4 Operational Interpretation . . . . . . . . . . . . . . . . . . . . . 610 B.4 Formal Derivation of AWGN Capacity . . . . . . . . . . . . . . . . . . 610 B.4.1 Analog Memoryless Channels . . . . . . . . . . . . . . . . . . . 611 B.4.2 Derivation of AWGN Capacity . . . . . . . . . . . . . . . . . . . 612 B.5 Sphere Packing Interpretation . . . . . . . . . . . . . . . . . . . . . . . 613 B.5.1 Upper Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . 613 B.5.2 Achievability . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614 B.6 Time-Invariant Parallel Channel . . . . . . . . . . . . . . . . . . . . . 617 B.7 Capacity of the Fast Fading Channel . . . . . . . . . . . . . . . . . . . 618 B.7.1 Scalar Fast Fading Channnel . . . . . . . . . . . . . . . . . . . . 618 B.7.2 Fast Fading MIMO Channel . . . . . . . . . . . . . . . . . . . . 619 B.8 Outage Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 620 B.9 Multiple Access Channel . . . . . . . . . . . . . . . . . . . . . . . . . . 622 B.9.1 Capacity Region . . . . . . . . . . . . . . . . . . . . . . . . . . 622 B.9.2 Corner Points of the Capacity Region . . . . . . . . . . . . . . . 624 B.9.3 Fast Fading Uplink . . . . . . . . . . . . . . . . . . . . . . . . . 625 B.10 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 626

Tse and Viswanath:Fundamentals of Wireless Communication 8 Preface Why We Wrote this Book The writing of this book was prompted by two main developments in wireless communications in the past decade.First is the huge surge of research activities in physical-layer wireless communication theory.While this has been a subject of study since the 60's,recent developments in the field,such as opportunistic and multi-input multi-ou atput (MIMO)cor nication technique have b ought completely nev spectives on how to cor ate o wireless d is the rapic of wireless systems,particularly cellular networks,which embody communication con- cepts of increasing sophistication.This evolution started with second-generation digital standards,particularly the IS-95 Code Division Multiple Access standard,and contin- uing onto more recent third-generation systems focusing on data applications.This book aims to present the modern wireless communication concepts in a coherent and unified mann nd to illustrate the epts in the broader context oft wirel systems on which they have been applie Structure of the Book This book is a web of interlocking concepts.The concepts can be structured into roughly three levels: 1.channel characteristics and modeling: 2.communication concepts and techniques; 3.application of these concepts in a system context A wireless communication engineer should have an understanding of the concepts at all three levels as well as the tight interplay between the levels.We emphasize this interplay in the book by interlacing the chapters across these levels rather than presenting the topics sequentially from one level to the next. Chapter 2:basic properties of multipath wireless channels and their modeling (level 1); Chapter 3:point-to-point communication techniques that increase reliability by exploiting time,frequency and spatial diversity (2). Chapter 4:cellular system design via a case study of three systems,focusing on multiple access and interference management issues(3). .Chapter 5:point-to-point communication revisited from a more fundamental ca- pacity point of view,culminating in the modern concept of opportunistic commu- nication (2)

Tse and Viswanath: Fundamentals of Wireless Communication 8 Preface Why We Wrote this Book The writing of this book was prompted by two main developments in wireless communications in the past decade. First is the huge surge of research activities in physical-layer wireless communication theory. While this has been a subject of study since the 60’s, recent developments in the field, such as opportunistic and multi-input multi-output (MIMO) communication techniques, have brought completely new per￾spectives on how to communicate over wireless channels. Second is the rapid evolution of wireless systems, particularly cellular networks, which embody communication con￾cepts of increasing sophistication. This evolution started with second-generation digital standards, particularly the IS-95 Code Division Multiple Access standard, and contin￾uing onto more recent third-generation systems focusing on data applications. This book aims to present the modern wireless communication concepts in a coherent and unified manner and to illustrate the concepts in the broader context of the wireless systems on which they have been applied. Structure of the Book This book is a web of interlocking concepts. The concepts can be structured into roughly three levels: 1. channel characteristics and modeling; 2. communication concepts and techniques; 3. application of these concepts in a system context. A wireless communication engineer should have an understanding of the concepts at all three levels as well as the tight interplay between the levels. We emphasize this interplay in the book by interlacing the chapters across these levels rather than presenting the topics sequentially from one level to the next. • Chapter 2: basic properties of multipath wireless channels and their modeling (level 1); • Chapter 3: point-to-point communication techniques that increase reliability by exploiting time, frequency and spatial diversity (2). • Chapter 4: cellular system design via a case study of three systems, focusing on multiple access and interference management issues (3). • Chapter 5: point-to-point communication revisited from a more fundamental ca￾pacity point of view, culminating in the modern concept of opportunistic commu￾nication (2)

Tse and Viswanath:Fundamentals of Wireless Communication 9 Chapter 6:multiuser capacity and opportunistic communication,and its applica- tion in a third-generation wireless data system(3). Chapter 7:MIMO channel modeling (1). .Chapter 8:MIMO capacity and architectures(2) Chapter 9:diversity-multiplexing tradeoff and space-time code design(2). .Chapter 10:MIMO in multiuser channels and cellular systems(3). How to Use this Book This book is written as a textbook for a first year munications. The expected background is sol lid rgraduate/beginning gradu courses in signals and systems,probability and digital communications.This back. ground is supplemented by the two appendices in the book.Appendix A summarizes some basic facts in vector detection and estimation in Gaussian noise which are used repeatedly throughout the book.Appendix B covers the underlying information the- ory behind the channel capacity sults used in this book.Even though information theory has signi role in many of the erecent developme tsi过 wirel communications,in the main text we will only introduce capacity results in a heuris manner and use them mainly to motivate communication concepts and techniques.No background in information theory is assumed.The appendix is intended for the reader who wants to have a more in-depth and unified understanding of the capacity results. At Berkeley and Urbana-Champaign,we have used earlier versions of this book to teach one-semester(15 weeks)wireless ommunications co s We have been able to f the ials in Ch apte rs 1 through 8a of9 and 10.Dependi on the background of the students and the time available,one can envision severa other ways to structure a course around this book.Examples: a senior level advanced undergraduate course in wireless communication:Chapters 2,3.4. an advanced graduate course for students with background in wireless channels and systems:Chapters 3,5,6,7,8,9,10. .a short (quarter)course focusing on MIMO and space-time coding:Chapters 3.5.7.8.9. The more than 230 exercises form an integral part of the book.Working on at least some of them is essential in understanding the material.Most of them elaborate on concepts discussed in the main text.The exercises range from relatively straightforward tions of results in the :te .to "back-of- cal s for actual nds-dirtyMATLAB types,and to readi ng exercis which point to current research literature.The small bibliographical notes at the end

Tse and Viswanath: Fundamentals of Wireless Communication 9 • Chapter 6: multiuser capacity and opportunistic communication, and its applica￾tion in a third-generation wireless data system (3). • Chapter 7: MIMO channel modeling (1). • Chapter 8: MIMO capacity and architectures (2). • Chapter 9: diversity-multiplexing tradeoff and space-time code design (2). • Chapter 10: MIMO in multiuser channels and cellular systems (3). How to Use this Book This book is written as a textbook for a first year graduate course in wireless com￾munications. The expected background is solid undergraduate/beginning graduate courses in signals and systems, probability and digital communications. This back￾ground is supplemented by the two appendices in the book. Appendix A summarizes some basic facts in vector detection and estimation in Gaussian noise which are used repeatedly throughout the book. Appendix B covers the underlying information the￾ory behind the channel capacity results used in this book. Even though information theory has played a significant role in many of the recent developments in wireless communications, in the main text we will only introduce capacity results in a heuristic manner and use them mainly to motivate communication concepts and techniques. No background in information theory is assumed. The appendix is intended for the reader who wants to have a more in-depth and unified understanding of the capacity results. At Berkeley and Urbana-Champaign, we have used earlier versions of this book to teach one-semester (15 weeks) wireless communications courses. We have been able to cover most of the materials in Chapters 1 through 8 and parts of 9 and 10. Depending on the background of the students and the time available, one can envision several other ways to structure a course around this book. Examples: • a senior level advanced undergraduate course in wireless communication: Chapters 2,3,4. • an advanced graduate course for students with background in wireless channels and systems: Chapters 3,5,6,7,8,9,10. • a short (quarter) course focusing on MIMO and space-time coding: Chapters 3,5,7,8,9. The more than 230 exercises form an integral part of the book. Working on at least some of them is essential in understanding the material. Most of them elaborate on concepts discussed in the main text. The exercises range from relatively straightforward derivations of results in the main text, to “back-of-envelope” calculations for actual wireless systems, to “get-your-hands-dirty” MATLAB types, and to reading exercises which point to current research literature. The small bibliographical notes at the end