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This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts

for publication in the IEEE Globecom 2011 proceedings.

Amplify-and-Forward Multihop Relaying With


Adaptive M -QAM in Nakagami-m Fading
Norman C. Beaulieu, Fellow, IEEE∗ , Golnaz Farhadi, and Yunfei Chen, Senior Member, IEEE‡

Department of Electrical and Computer Engineering, University of Alberta, Canada. E-mail: beaulieu@ece.ualberta.ca

Department of Electrical Engineering, Stanford University, USA. Email: gfarhadi@stanford.edu

School of Engineering, University of Warwick, UK. E-mail: Yunfei.Chen@warwick.ac.uk

Abstract—An amplify-and-forward (AF) multihop relaying techniques have been obtained. In an adaptive multihop relay-
system employing constant-power rate-adaptive M -QAM trans- ing system, the source adapts its rate and/or power according
mission is investigated. Accurate expressions for performance to the channel variation using a feedback of the effective SNR
evaluation in Nakagami-m fading of adaptive continuous rate
(ACR) and adaptive discrete rate (ADR) M -QAM are obtained. from the destination to the source. Although the simultaneous
The analysis is based on a new approximation for the instanta- rate and power adaption achieves the highest capacity, it
neous end-to-end received SNR in the form of a scaled version has high implementation complexity. The constant-power rate
of the harmonic mean of the individual per-hop SNRs. The adaptive technique achieves a slightly inferior capacity that
scaling factor is determined based on the average link SNRs. approaches the capacity of the optimal rate and power adaptive
Performance results evaluated using the proposed approximation
are more accurate than the performance bounds obtained using technique with increasing SNR [5]. On the other hand, it
the conventional harmonic-mean-based upper bound on the has less complexity than the optimal rate and power adaptive
instantaneous received SNR, even though they are obtained with technique since the source only adapts its rate. Rate adaption
the same computational complexity. Numerical results show that at the source is usually done by changing the constellation
the approximate performance results are very close to the exact size or modulation type based on the received SNR [6], or
results especially in small SNR regimes and for larger values
of the Nakagami parameter. It is shown that the ACR QAM by changing the coding rate of the channel code in the IEEE
achieves an average spectral efficiency within a certain distance 802.11 Wireless LAN [7].
of the Shannon limit. The ADR QAM achieves smaller bit error In this paper, we investigate the performance of AF mul-
rates than the target bit error rate but at the expense of an tihop relaying systems employing constant power M -QAM
additional penalty on the average spectral efficiency, especially rate adaptive transmission when the average bit error rate
for smaller numbers of region boundaries.
is constrained below a target threshold. We consider here
I. I NTRODUCTION M-QAM rate adaptive schemes that achieve rate adaptation
by changing the constellation size. It is shown that the
Multihop relaying is a promising technique for application performance of this system (in terms of spectral efficiency,
in current and future wireless networks for saving transmitter probability of outage, and error rate) can be evaluated using
power and providing broader coverage. Amplify-and-forward the characteristic function of the inverse of the instantaneous
(AF) is a simple relaying scheme in which each relay simply received SNR. In most papers evaluating the performance of
amplifies the signal it receives and then forwards to its next AF multihop systems [1]-[5], the instantaneous received SNR
terminal. 1
is upper bounded by K of the harmonic mean of the individual
The performance of AF multihop systems has been ex- per-hop instantaneous received SNRs where K denotes the
tensively studied in the literature. The outage and bit error number of hops, as a required intermediate result. It is shown
probabilities of an AF dual-hop system over Rayleigh fading that this upper bound on the instantaneous received SNR
channels were evaluated in [1]. A numerical method was pro- results in bounds on the performance which are not tight for
posed in [2] to evaluate the outage probability in Nakagami- small to moderate values of SNR, and for Nakagami-m fading
m fading of an AF multihop system. In [3], performance with increasing m. In addition, depending on the channel
bounds on the outages and error probabilities of AF multihop parameters and average link SNRs, increasing the number of
transmission systems over Nakagami-m fading channels were hops may decrease the tightness of these bounds. In this paper,
obtained. Recently, closed-form finite integral expressions for a new approximation for the instantaneous received SNR is
evaluation of the error probability, outage probability and introduced. The proposed approximate instantaneous received
ergodic capacity were derived in [4], [5] using the moment SNR expression is a scaled version of the harmonic mean of
generating function (MGF) and characteristic function (CHF) the individual per-hop instantaneous SNRs. Thus, performance
of the inverse of the instantaneous received SNR. of the AF multihop relaying systems with adaptive M -QAM
While most of the papers on multihop relaying consider can be evaluated based on the proposed approximation with the
fixed rate and fixed power transmission [1]-[4], adaptive same computational complexity as the existing performance
transmission has been shown to yield better channel utilization bounds reported in the literature [1]-[5]. Numerical results
[5]. In [5], the Shannon capacities of different source-adaptive show that the approximate performance results are more accu-

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This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE Globecom 2011 proceedings.

rate than the performance bounds obtained using the harmonic- size. For the case where the instantaneous received SNR falls
mean-based upper bound and are very close to the exact results into the nth region, the constellation size 2n is used. The
for small values of SNR and larger values of the Nakagami region boundaries depend on the target bit error rate Pb0 .
link fading parameters. For example, the region boundaries, ηn , can be set to the
instantaneous SNR that achieves the target bit error rate using
II. S YSTEM MODEL
Mn -QAM, which are given by [10, eq. (30)]
Consider a K-hop AF system where the source, T0 ,  2
communicates with the destination, TK , via K − 1 relays, η1 = erfc−1 (2Pb0 )
T1 , . . . , TK−1 . It is assumed that all transmissions are over 2
ηn = μ(Mn − 1), n = 0, 2, 3, . . . , N
orthogonal time slots to ensure half-duplex operation at the 3
relays. The source transmits its signal to the first relay in the ηN +1 = +∞ (4)
first time slot. Each relay amplifies its received signal and
then forwards it to the next terminal in the next time slot. The where erfc−1 (·) denotes the inverse complementary error
amplification gain at the k th relay is chosen as [8] function [13].
Pk III. P ERFORMANCE A NALYSIS
A2k = 2 (1)
Pk−1 |αk | + N0k Performance in fading of a wireless communication system
where Pk , k = 0, 1, . . . , K − 1, is the transmitter power from is generally evaluated using the probability density function
the k th terminal, αk , k = 1, . . . , K is the fading gain of (PDF), MGF or CHF of the instantaneous received SNR [14,
the channel between terminals Tk−1 and Tk , and N0k is the Ch. 9]. However, such statistics for the instantaneous received
noise power at the k th terminal, k = 1, . . . , K. The relay SNR in an AF multihop system given in (2) are unknown.
amplification factor in (1) satisfies the power constraints at On the other hand, performance of an AF multihop system
the relays and maximizes the instantaneous received SNR in has been commonly evaluated using the MGF or CHF of the
AF multi-hop relaying systems [9]. reciprocal of the instantaneous received SNR [4], [5]. It is also
The instantaneous received SNR at the destination is given shown in Sections III. B and III. C that the performance of
by [2, eq. (2)] adaptive continuous and discrete rate adaptive M -QAM can be
K   −1 evaluated using the CHF of X = γ1t . However, a closed-form
 1 expression for the MGF or CHF of X is not known because
γt = 1+ −1 (2)
γk the mathematical expression for γt given in (2) does not lend
k=1
itself to solution. Therefore, exact performance evaluation is
where γk denotes the instantaneous received SNR over the k th neither mathematically nor numerically tractable.
hop defined as PNk−1
0
|αk |2 . In Nakagami-m fading, γk has a The performance of AF multihop systems has been mainly
k
Γk studied using the upper bound on the instantaneous received
Gamma distribution with parameters mk and m k
where mk
Pk−1 SNR given in [2, eq. (4)], namely
and Γk = N0 Ωk are the Nakagami parameter and the aver-
k   K −1
age SNR over the k th hop, respectively, and Ωk = E |αk |2 1
UB
denotes the fading power over the k th hop. γt < γt = . (5)
γk
The destination only needs to calculate its total instanta- k=1
neous received SNR, select the appropriate transmission rate, The MGF of X LB
= 1
is given by
and feed it back to the source. This makes implementation of γtU B

the adaptive M -QAM feasible. In adaptive continuous rate K


   m2k


 2 mk s mk s
(ACR) M -QAM, the number of bits per symbol is varied MX LB (s) = Km k 2
depending on the instantaneous received SNR, γt , to achieve Γ(mk ) Γk Γk
k=1
the spectral efficiency R given by [10, eq. (29)] (6)
  using [2, eq. (10)] in Nakagami-m fading where Γ(·) denotes
R 1 3γt the gamma function [16, eq. (8.310.1)] and Kmk (·) is the the
= log2 (M ) ≈ log2 1 + (3)
B K 2μ modified Bessel function of the second type of order mk [16,
1 eq. (8.432.1)]. The CHF of X is also given by
where the factor K reflects the fact that the information is
transmitted over K orthogonal time slots, B is the channel ΨX LB (w) = MX LB (s) |s=−jw . (7)
bandwidth, and μ = − ln (5Pb0 ) where Pb0 is the target bit
error rate. While an ACR scheme can be implemented [11], This leads to an upper bound on the achievable average
[12], adaptive discrete rate (ADR) M -QAM with discrete con- spectral efficiency and a lower bound on the probability of
stellation sizes Mn = 2n for n a positive integer, is preferred outage. However, as shown in Section IV, these performance
in practice due to its practical complexity. In the ADR system, bounds are not tight in small SNR regions and for larger
the constellation size varies based on the instantaneous re- values of the Nakagami parameter. In the following, we
ceived SNR. The range of the effective SNR is divided into N introduce a new approximation for the instantaneous received
regions, and each region is assigned to a specific constellation SNR that provides excellent accuracy for all SNR regions.
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE Globecom 2011 proceedings.

The achievable spectral efficiencies of AF multihop relaying SNRs for (any) K − 1 hops are large, e.g. Γi → ∞ for
systems with the ACR and ADR QAM schemes are then i = 1, 2, . . . , j − 1, j + 1, . . . , K − 1, k, both the numerator
obtained in Sections III. B and III. C, respectively. and the denominator of ĉ in (10) tend to Γ1j , j = i, and hence
ĉ tends to 1. For the case where all individual K per-hop SNRs
A. Novel Approximation for the Instantaneous Received SNR
are large, the denominator of ĉ tends to k=1 Γ1k and thus
We use an idea first explained in [18]. A lower bound on the ĉ → 1. Therefore, when the average SNRs over at least K − 1
exact instantaneous received SNR given in (2) can be obtained hops are large, the value of ĉ tends to 1 and hence the new
by replacing γk in γtU B given in (5) with cγk . The scaling approximation approaches the bound γtU B .
factor, c, is a parameter which is determined such that
K −1 B. Adaptive Continuous Rate M -QAM
1 The average spectral efficiency of the ACR M -QAM is
c ≤ γt . (8)
γk obtained as2
k=1   
B ∞ 3γ
The inequality in (8) becomes an equality if the parameter c Rcr = log2 1 + fγt (γ) dγ
K 0 2μ
is chosen as
K  ∞  
1 B 3
c = γt . (9) = log2 1 + fX (γ) dx (13a)
γk K 0 2μx
k=1
where fγt (γ) and fX (x) denote the PDF of γt and X, respec-
However, this choice for the scaling factor c results in the
tively. The average spectral efficiency can then be evaluated
same expression for the instantaneous received SNR as given
as
in (2), and consequently exact performance evaluation remains  π2 
intractable. This is due to the fact that the scaling factor c is B ΨX (tan(θ))
Rcr = sec2 (θ) ln(1.5j tan(θ))
a random variable, depending on the instantaneous per-hop πK ln 2 0 j tan(θ)
SNRs. To overcome this difficulty, we propose substituting 
Γk for γk in (9), i.e. + exp(1.5j tan(θ))E1 (1.5j tan(θ)) + ν dθ
K 1 (13b)
ĉ = k=1 Γk  . (10)
K
1 + 1
− 1 using [5, eq. (12)] where (·) denotes the real part of its
k=1 Γk
argument, ΨX (·) is the CHF of X, ν is the Euler’s constant
Thus, the instantaneous received SNR, γt , can be approxi- [16, p. xxxii] and E1 (·) denotes the exponential integral
mated as K −1 function [17, eq. (5.1.1)].
app
1 Since an exact expression in closed-form is not known
γt ≈ γt = ĉ . (11) for ΨX (w), an approximation for the evaluation of Rcr and
γk
k=1 an upper bound on Rcr can be obtained using (13b) with
Therefore, the performance (probability of outage, average ΨX (·) replaced by (12) and (7), respectively. The integral in
spectral efficiency, and error rate) of an AF multihop relaying (13b) can be then readily evaluated in Matlab with the same
system can be evaluated, in general, using the MGF or CHF of computational complexity for both the upper bound and the
X LB and using the proposed approximation for the received proposed approximation obtained, respectively, using (5) and
SNR given in (11). Note that this solution has the same com- (11)3 .
putational complexity as the performance bounds commonly
1 C. Adaptive Discrete Rate M -QAM
used in the literature. Now, the CHF of X app = γ app is given
t
by The achievable average spectral efficiency for the ADR M -
ΨX app (w) = MX LB (s) |s=−jĉw . (12) QAM is given by4 [10, eq. (33)]
N
Note that the approximate expression for the instantaneous B
Rdr = nφn (14a)
received SNR given in (11) is not necessarily a lower bound K n=1
or an upper bound on γt . However, since ĉ is less than 1
for all values of the average per-hop SNRs1 , γtapp is a lower where
 ηn+1
bound on γtU B . Thus, the outage and error probabilities of an
φn = fγt (γ)dγ (14b)
AF multihop system evaluated using γtU B is upper bounded ηn
by the outage and error probabilities obtained using γtapp .
2 Since the transmitter has the instantaneous channel information, the
The average spectral efficiency obtained using the proposed
compatibility constraint [15] required for the capacity evaluation under only
approximation will give a lower bound on the ergodic capacity receiver side information dos not need to be fulfilled.
obtained based on γtU B . In addition, note that when the average 3 For the special case of the dual-hop system, the integral in (13b) with
ΨX (·) replaced by either (7) or (12) can be obtained in closed-form using
1 Recall that the inequality given in (5) is valid for all nonzero values of [19, eq. (10c)].
γk , k = 1, . . . , K. Thus, the numerator is less than the denominator in the 4 Note that the factor 1 is due to the fact that the information is transmitted
K
quotient given in (10), and hence ĉ < 1. over K orthogonal time slots.
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE Globecom 2011 proceedings.

that can be evaluated as


 ∞  1  1.8

1 ηn
φn = ΨX (w) exp (−jwx) dx dw (14c)
2π −∞ 1.6 Shannon limit [5, eq. (12)]
1 ACR (exact)
ηn+1
  ACR (upper bound)

 ∞ exp −jw 1
− exp −jw 1
1.4 ACR (approximation)

1 ηn+1 ηn

Average spectral effiency (Bit/Sec/Hz)


ADR (exact)

= ΨX (w) dw 1.2
ADR (upper bound)

2π −∞ jw ADR (approximation)

(14d) 1
 π2 
1 ΨX (tan(θ))
sec2 (θ)
5 regions
= 0.8
π 0 j tan(θ)
      3 regions

tan(θ) tan(θ) 0.6

exp −j − exp −j dθ
ηn+1 ηn 0.4
(14e) 1 region

0.2
where we have used the change of variable x = γ1 and
1
∞
fX (x) = 2π −∞ X
Ψ (w) exp (−jwx) dw in (14c), and the 0
0 5 10 15 20
P/N (dB)
change of variable w = tan(θ) in (14e). Similar to (13b), 0

an approximation for Rdr and an upper bound on Rdr can be (a)


obtained using (14e) with ΨX (·) replaced by (12) and (7),
respectively. The integral in (14e) can be readily evaluated in
Matlab. 1.8
Note that since the transmission is halted when the received
SNR, γt , is below the threshold η1 , there is a probability of 1.6 Shannon limit [5, eq. (12)]
ACR (exact)
outage given by ACR (upper bound)

 η1 1.4 ACR (approximation)


ADR (exact)
Average spectral efficiency (Bit/Sec/Hz)

Pout = P r (γt < η1 ) = fγt (γ)dγ 1.2


ADR (upper bound)
ADR (approximation)
0 5 regions

(15a) 1
3 regions

that can be evaluated as [5, eq. (10c)] 0.8

 π2   
1 j tan(θ) 0.6
Pout = 1 −  1 − exp −
π 0 η0
 0.4 1 region
ΨX (tan(θ))
sec2 (θ)dθ. (15b)
j tan(θ) 0.2

In addition, while the ACR always meets the desired BER 0


0 5 10 15 20
target, the ADR M -QAM results in a smaller error probability P/N (dB)
0

than the target BER due to the discrete partitions of the (b)
received SNR. The average bit error rate of the ADR scheme
is obtained as [10, eq. (35)] Fig. 1. Achievable average spectral efficiency (per unit bandwidth) of
N different adaptive AF 3-hop systems for target bit error rate 10−3 and different
nPbn Nakagami link fading parameters. (a) m1 = m2 = m3 = 1 (Rayleigh
Pbdr = n=1
N
(16a) fading), (b) m1 = 2, m2 = 4, m3 = 8.
n=1 nφn
where Pbn is approximated as [10, eqs. (28) and (36)]
 ηn+1  
3γ bounds obtained based on γtU B . In the numerical examples,
Pbn ≈ Pbnapp = 0.2 exp − fγt (γ)dγ we consider multihop systems with terminals located in a
ηn 2(2n − 1)
(16b) straight line with equal distances from preceding and following
which can be evaluated using the Monte Carlo method. Note terminals. In all systems we assume that equal portions of
that Pbnapp gives an upper bound on the exact bit error rate for the total available power, P , are allocated to the source
n ≥ 2 and for target bit error rate less than 10−2 [10]. and relays (i.e. uniform power allocation policy). It is also
assumed that the noise powers at all terminals are equal to N0 .
IV. N UMERICAL R ESULTS Thus, according to the Friis propagation model [20], we have
In this section, the performance in Nakagami-m fading of Γk = K δ−1 NP0 , k = 1, . . . , K, where δ denotes the path loss
different AF multihop relaying systems with adaptive M - exponent. In the numerical examples, we assume that δ = 2
QAM schemes is evaluated using the new approximation and in all systems considered.
compared to the exact performance as well as the performance Figs. 1 and 2 show the achievable average spectral efficiency
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE Globecom 2011 proceedings.

0 −2
10 10

m =m =m =1 −3
1 2 3 10
−1
10
m =m =m =2.5 5 regions
1 2 3
Probability of outage

−4
10 3 regions

Bit error rate


−2
10

Exact (simulation) ACR


Lower bound (theory) −5 ADR (exact)
m =2 10
Approximation (theory) 1 ADR (upper bound)
m2=4
ADR (approximation)
−3 m =8
3
10
m =3
1
m2=3.5 −6
10
m =4
3
1 region
−4
10
−7
10
0 5 10 15 20 10 15 20
P/N (dB) P/N (dB)
0 0

Fig. 2. Probability of outage of different adaptive AF 3-hop systems for Fig. 3. Bit error rate of AF 3-hop systems with ACR and ADR for target
target bit error rate 10−3 and different Nakagami link fading parameters. bit error rate 10−3 and Nakagami link fading parameters m1 = 2, m2 = 4,
m3 = 8.

(per unit bandwidth) and the probability of outage of different number of regions increases, the ADR offers an error rate
adaptive AF 3-hop systems for target bit error rate 10−3 and closer to the target bit error rate, and hence, achieves higher
different Nakagami link fading parameters. The approximate spectral efficiency, as seen from Fig. 1. In addition, note that
results and the bounds were obtained using (13) and (14) the results obtained both based on the proposed approximation
for the achievable spectral efficiencies of ACR and ADR (11) and the upper bound (5) are in close agreement with each
schemes, and using (15b) for the outage probability, with other as well as with the exact simulated results in the case
ΨX (·) replaced by (12) and (7), respectively. It is seen in Figs. of adaptive schemes with 3 regions and 5 regions. This is
1 and 2 that the proposed approximation predicts the exact because the source in the ADR system starts transmitting when
performance closely in all SNR regions. On the other hand, the SNR is above the threshold η1 . Recall from Section III.
the lower bound on the probability of outage obtained and the A, that for sufficiently large values of SNR, the approximate
upper bound on the average spectral efficiency are noticeably instantaneous SNR expression, γtapp , approaches the upper
looser in small SNR regimes (e.g. less than 5 dB) and for bound γtU B in (5).
larger values of the Nakagami parameter. It is also seen from Fig. 4 shows the achievable average spectral efficiency
Figs. 1 and 2 that the proposed approximation approaches the versus the number of hops for different adaptive AF multihop
performance bounds for increasing SNR. relaying systems for target bit error rate 10−3 and assuming
For comparison purposes, we have also included the Shan- the Nakagami fading parameters are 2.5 for all links. The ADR
non capacity of the constant power rate adaptive system [5, systems in Fig. 4(b) are assumed to partition the effective
eq. (12)]. For example, the ACR QAM system considered SNR range into 5 regions. It is again seen that the proposed
in Fig. 1(b) achieves the average spectral efficiency per unit approximation is more accurate than the performance bounds
bandwidth 1 Bit/Sec/Hz within almost 5 dB of the Shannon for any number of hops and especially for smaller values
capacity. The ADR QAM with 5 regions loses an additional 2 of SNR. For larger values of SNR, the accuracies of the
dB at this rate. This is because the switching thresholds in the performance bounds and the approximation get slightly better
ADR system are chosen such that the instantaneous bit error as the number of hops increases as seen from Fig. 4(b). Note
probability is below the target bit error rate. In a bandwidth that, due to the orthogonal transmission considered in this
constrained system, the ACR will be preferable to the ADR, paper, increasing the number of hops decreases the achievable
while in a power limited system, the ADR has advantage with spectral efficiencies, as seen in Figs. 4(a) and 4(b). However,
smaller bit error rate performance, and in turn fewer packet it is seen from Figs. 4(a) and 4(b) that the gap between the
retransmissions, etc. Fig. 3 shows the bit error rate of AF 3- spectral efficiencies achieved by the adaptive QAM and the
hop systems with ACR scheme and ADR scheme obtained Shannon limit gets smaller as the number of hops increases.
using (16) for the target bit error rate 10−3 and Nakagami
link parameters m1 = 2, m2 = 4, m3 = 8. It is clearly seen V. CONCLUSION
that the ADR achieves much smaller bit errors rates than the The performance of an AF multihop relaying system with
target bit error rate. This, in turn, results in smaller spectral adaptive M -QAM schemes was evaluated. As an intermediate
efficiency, as seen from Fig. 1. It is also seen that as the step for the performance analysis, a new approximation for
This full text paper was peer reviewed at the direction of IEEE Communications Society subject matter experts for publication in the IEEE Globecom 2011 proceedings.

0.02
numbers of hops. The ADR scheme suffers an additional
0.018 penalty especially for smaller numbers of region boundaries,
Shannon limit [5, eq. (12)] but achieves smaller bit error rate. Comparing ACR to ADR,
0.016 ACR (exact)
ACR (upper bound) the results show that the ACR has average spectral efficiency,
Average spectral efficiency (Bit/Sec/Hz)

ACR (approximation)
0.014 while the ADR has better BER performance but loss in spectral
efficiency.
0.012

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