ISIT 2008, Toronto, Canada, July 6 - 11, 2008 Finite Signal-set Capacity of Two-user Gaussian Multiple Access Channel Harshan J. B. Sundar Rajan Dept of ECE, Indian Institute of science Bangalore 560012, India Email:[email protected] Dept of ECE, Indian Institute of science Bangalore 560012, India Email:[email protected] Abstract— The capacity region of a two-user Gaussian Multiple Access Channel (GMAC) with complex finite input alphabets and continuous output alphabet is studied. When both the users are equipped with the same code alphabet, it is shown that, rotation of one of the user’s alphabets by an appropriate angle can make the new pair of alphabets not only uniquely decodable, but will result in enlargement of the capacity region. For this set-up, we identify the primary problem to be finding appropriate angle(s) of rotation between the alphabets such that the capacity region is maximally enlarged. It is shown that the angle of rotation which provides maximum enlargement of the capacity region also minimizes the union bound on the probability of error of the sumalphabet and vice-verse. The optimum angle(s) of rotation varies with the SNR. Through simulations, optimal angle(s) of rotation that gives maximum enlargement of the capacity region of GMAC with some well known alphabets such as M -QAM and M -PSK for some M are presented for several values of SNR. It is shown that for large number of points in the alphabets, capacity gains due to rotations progressively reduce. As the number of points N tends to infinity, our results match the results in the literature wherein the capacity region of the Gaussian code alphabet doesn’t change with rotation for any SNR. and the number of points in the code alphabets, we address the problems related to designing alphabet pairs, (S1 , S2 ) for a two - user GMAC which maximally enlarges the capacity region. Throughout the paper, the terms alphabet and signal set are used interchangeably. The contributions of the paper may be summarized as below : • • I. I NTRODUCTION AND P RELIMINARIES Capacity region of the two-user Gaussian Multiple Access Channels (GMAC) with continuous input alphabet and continuous output alphabet is well known [1] - [6]. Such a model assumes the users to have Gaussian code alphabets and the additive noise to be Gaussian distributed. Though, the capacity region of such a channel provides insights in to the achievable rate pairs (R1 , R2 ) in an information theoretic sense, it fails to provide information on the achievable rate pairs when we consider finitary restrictions on the input alphabets and analyze some real world practical signal constellations like QAM and PSK etc. In this paper, we obtain the capacity region of a two-user GMAC with finite complex input alphabets and continuous output alphabet. Throughout the paper, the mutual information of the GMAC when the symbols from the input alphabets are chosen with uniform distribution is referred to as the Constellation Constrained (CC) capacity of the GMAC [7]. Henceforth, unless specified, (i) input alphabet refers to a finite complex alphabet and a GMAC refers to a Gaussian MAC with finite complex input alphabets and continuous output alphabet and (ii) capacity (capacity region) refers to the CC capacity (capacity region). For the given transmit power of each user 978-1-4244-2571-6/08/$25.00 ©2008 IEEE • We identify the primary problem for a GMAC when both users use the same alphabet is to find angle(s) of rotation between the two alphabets such that the capacity region enlargement is maximum. It is shown that the optimal angle(s) of rotation between the alphabets which gives maximum enlargement of the capacity region (i) depends on the operating SNR and (ii) also minimizes the union bound on the probability of error of the sum-alphabet and vice-verse. (Section III). Through simulations, we provide optimal angles of rotation that provides maximum enlargement of the capacity region for some well known alphabets such as M-PSK, M-QAM etc. for some M at some fixed SNR values. (Table I, Section IV). Furthermore, it is shown that (i) capacity gains due to rotations are significant when the number of points in the alphabet is small. In particular, for a given SNR, as the number of points in the alphabet, N increases, the difference in the capacity region between the alphabet pair with optimal rotation and without rotation becomes progressively smaller; (ii) Also, for a fixed number of points, as SNR increases the significance of rotation increases. However, for very large values of N , capacity gains due to rotations progressively reduce at all SNR, and (iii) As N tends to infinity, these observations match the results in the literature wherein the capacity region of the Gaussian codebook doesn’t change with rotation at any SNR. (Section IV) Notations: For a variable x which takes values from the set S, we always assume some ordering of its elements and use xi to represent the ith element of S. Cardinality of the set S is denoted by |S|. Absolute value of a complex number x is denoted by |x| and E [x] denotes the expectation of the random variable x. A circularly symmetric complex Gaussian random vector, x with mean μ and covariance matrix Γ is denoted by x ∼ CG (μ, Γ). For a random variable x, H(x) represents the 1203 ISIT 2008, Toronto, Canada, July 6 - 11, 2008 i User 1 w3 y x1 + x2 −1 x2 Adder AWGN 1 Destination w4 w2 −i User 2 Signal set − 1 Fig. 1. entropy of x. Also, the set of all real and complex numbers are denoted by R and C respectively. The remaining content of the paper is organized as follows: In Section II, the signal model of the two user GMAC is presented along with its capacity region. In particular, the capacity region of Uniquely Decodable (UD) (see Definition 1) alphabet pairs are discussed in the high SNR regime. In Section III, for a GMAC, where both users uses the same alphabet, we consider the problem of finding angles of rotation between the alphabets so as to enlarge the capacity region. Conditions on the angle of rotations in terms of the distance distribution of the sum-alphabet is provided which gives maximum enlargement of the capacity region of GMAC. In Section IV, using computer search, optimal angle(s) of rotation are presented for some well known alphabets at fixed SNR values. Concluding remarks and possible directions for further work constitute Section V. II. S IGNAL MODEL , M UTUAL INFORMATION AND UD SIGNAL SET PAIRS The model of a two-user Gaussian MAC is as shown in Figure 1 consisting of two users which need to convey information to a single destination. It is assumed that User-1 and User-2 communicate to the destination at the same time and in the same frequency band. Symbol level synchronization is assumed between the two users. The two users are equipped with alphabets S1 and S2 each of size N1 and N2 respectively. When User-1 and User-2 transmit symbols x1 and x2 from S1 and S2 respectively, the destination receives a symbol y given by, y = x1 + x2 + z where x1 ∈ S1 , x2 ∈ S2 , z ∼ CG 0, σ 2 . (1) We compute the mutual information I(x2 : y) for User-2 and I(x1 : y | x2 ) for User-1 when symbols x1 and x2 are assumed to be uniformly distributed. By symmetry, I(x1 : y) and I(x2 : y | x1 ) can also be found. Considering x1 + z as the additive noise, I(x2 : y) is given below [1], I(x2 : y) = H(y) − H(y|x2 ). (2) Since x1 is assumed to be uniformly distributed and z is Gaussian distributed, p(y | x2 = xi2 ) and H(y | x2 ) are given by xi2 ) Signal set − 2 Two-user Gaussian MAC model Fig. 2. p(y | x2 = w1 z x1 N1 −1 1 = p(y | x1 = xk1 , x2 = xi2 ). N1 k=0 (3) H(y | x2 ) = Two 4 - point signal sets N2 −1 1 H y | x2 = xi2 . N2 i=0 (4) Since x2 is also uniformly distributed, |y − xk1 − xi2 |2 1 exp(− p(y | x1 = xk1 , x2 = xi2 ) = √ ) and 2σ 2 2πσ (5) N 1 −1 N 2 −1 1 k i p(y) = p(y | x1 = x1 , x2 = x2 ). (6) N1 N2 i=0 k=0 Using (2) - (6), the mutual information, I(x2 : y) is given in (7) at the top of the next page, where the expectation is with respect the distribution of z. The mutual information I(x1 : y | x2 ) is defined by I(x1 : y | x2 ) = H(y | x2 ) − H(y | x2 , x1 ). (8) Using (3), (4), (5) and (8), I(x1 : y | x2 ) is given in (9) at the top of the next page, where the expectation is with respect to the distribution of z. Therefore, using (7) and (9), the sum mutual information of both the users at the destination is I(x2 : y) + I(x1 : y | x2 ). The upper-bounds on the rate-pair (R1 , R2 ) is given by [1], R1 < I(x1 : y | x2 ), R1 + R2 R2 < I(x2 : y | x1 ) and < I(x1 : y | x2 ) + I(x2 : y), (10) where the terms I(x2 : y) and I(x1 : y | x2 ) are given in (7) and (9) respectively. A. Uniquely decodable alphabet pairs for GMAC We formally define a UD alphabet pair and discuss the advantages of UD alphabet pair over a non-UD pair in terms of their capacity region for GMAC at high SNRs. Given two alphabets S1 and S2 , we denote the sum-alphabet of S1 and S2 by Ssum where Ssum = {x1 + x2 | ∀ x1 ∈ S1 , x2 ∈ S2 } and the adder channel in a two-user Gaussian MAC in Figure 1 can be viewed as a mapping φ given by φ : S1 × S2 −→ Ssum where φ((x1 , x2 )) = x1 + x2 . (11) Definition 1: An alphabet pair (S1 , S2 ) is said to be Uniquely Decodable (UD) if the mapping φ in (11) is oneone. 1204 ISIT 2008, Toronto, Canada, July 6 - 11, 2008 ⎤⎤ ⎡ ⎡ N −1 N −1 k1 k2 i1 i2 1 2 2 2 N 1 −1 N 2 −1 i1 =0 i2 =0 exp −|x1 + x2 − x1 − x2 + z| /2σ 1 ⎦⎦ . I(x2 : y) = log2 (N2 ) − E ⎣log2 ⎣ N1 −1 N1 N2 exp −|xk1 − xi1 + z|2 /2σ 2 k1 =0 k2 =0 1 i1 =0 (7) 1 ⎤⎤ ⎡ N −1 ⎡ k2 i2 2 2 N2 −1 i2 =0 exp −|x1 − x1 + z| /2 1 ⎦⎦ . I(x1 : y | x2 ) = log2 (N1 ) − E ⎣log2 ⎣ N1 exp (−|z|2 /2σ 2 ) (9) k2 =0 Example for a UD alphabet pair is shown in Figure 2. Example for a non - UD alphabet pair is given in (12). S1 = S2 = {(x, x), (−x, x), (−x, −x), (x, −x) | x = 0.707} . (12) It can be easily seen that if two signal sets S1 and S2 have more than one signal point common then the pair (S1 , S2 ) is necessarily non-UD. However, not having more than one common signal point is not sufficient for a pair to be UD, as exemplified by the pair S1 = {1, ω, ω 2} and S2 = {−1, 1 + ω, 1 + ω 2 } where ω is a complex cube root of unity. In (11), for some x ∈ Ssum , let φ−1 (x) = {(x1 , x2 ) ∈ S1 × S2 | φ(x1 , x2 ) = x} , ∗ and let Mx = |φ−1 (x)|. Also, let Ssum ⊆ Ssum be given by ∗ Ssum = {x ∈ Ssum |Mx = 1} (13) ∗ |. As SNR tends to infinity, the maximum and let M = |Ssum achievable sum-rate of a alphabet pair (S1 , S2 ) is log2 (M ) bits per channel use. It is straightforward to verify that, if the mapping φ is one-one, then M = N1 N2 . If the alphabet pair is non-UD, then M < N1 N2 and therefore, at large SNRs, maximum achievable sum rate of a UD pair is more than that of a non-UD pair provided the alphabet pairs have same number of points and same average power. It can be verified that the maximum achievable sum rate for the signal set pairs in (12) and Figure 2 are 3 and 4 bits respectively. From the above arguments, it is clear that, at high SNR, a UD alphabet pair provides larger capacity-region than a nonUD pair when both the alphabet pairs have same number of points and equal average power. At low SNR, the capacity region of a non-UD alphabet pair can be larger than a UD alphabet pair, one such example is discussed in Section IV (see Table I, 8-QAM at 6 dB). Characterizing the differences in the capacity region between UD and non-UD alphabets at low SNR seems difficult due to its dependence on the chosen alphabets. So, hence forth, in the rest of the paper, we restrict ourselves to designing UD alphabet pairs that enlarges the capacity region of the two-user GMAC for different values of SNR. other, then UD property is attainable. Moving one step further, we consider the problem of finding the optimal angle(s) of rotation between the alphabet pair such that the capacity region is maximally enlarged at different values of SNR. Let S1 be a finite alphabet and S2 be a set of symbols obtained by rotating all symbols of S1 by an angle Θ. From (10), the upper-bounds on the rate region depends on the mutual information values I(x1 : y | x2 ), I(x2 : y | x1 ) and I(x2 : y). The terms I(x1 : y | x2 ) and I(x2 : y | x1 ) are some functions of the Distance Distribution (DD) of S1 and S2 respectively. Since, we start with a known S1 and S2 is a rotated version of S1 , for any Θ, the DD of S1 and S2 are the same. Hence, the values I(x1 : y | x2 ) and I(x2 : y | x1 ) do not change for different values of Θ. However, from (7), the term I(x2 : y) is a function of the DD of the sum-alphabet, Ssum of S1 and S2 . The DD of Ssum changes for different values of Θ and hence the term I(x2 : y) changes for different values of Θ. In the following theorem, we provide conditions on the angle(s) of rotation, Θ such that I(x2 : y) is maximized which in-turn maximally enlarges the capacity region in (10). Theorem 1: Let (S1 , S2 ) be an alphabet pair such that S2 is a rotated version of S1 by an angle Θ. Let N be the cardinality of S1 . The mutual information I(x2 : y) in (7) can be maximized by choosing the angle of rotation, Θ such that the following expression in (14) is minimized N −1 N −1 −1 N −1 N exp −|xk11 + xk22 − xi11 − xi22 |2 /4σ 2 . k1 =0 k2 =0 i1 =0 i2 =0 (14) Proof: Since N1 = N2 = N and it is fixed, I(x2 : y) in (7) can be maximized by minimizing the term in (15) shown at the top of the next page. Since the denominator term inside the logarithm of (15) doesn’t change for different values of Θ, minimizing the term in (15) and minimizing the term given by (16) (also shown at the top of the next page) are equivalent. Since (16) is a sum of several expectations, the rotation Θ needs to be chosen to minimize each of the expectations. Therefore, for every k1 and k2 , the term in (17) needs to be minimized. " III. C APACITY MAXIMIZING ALPHABET PAIRS FROM E log2 ROTATIONS For a GMAC with S1 = S2 , it is clear that if one of the users uses an appropriate rotated version of the alphabet used by the 1205 "N −1 N −1 1 2 X X i1 =0 i2 =0 “ ” exp −|xk1 1 + xk2 2 − xi11 − xi22 + z|2 /2 ## . (17) ISIT 2008, Toronto, Canada, July 6 - 11, 2008 ⎤⎤ exp −|xk11 + xk22 − xi11 − xi22 + z|2 /2 ⎦⎦ . E ⎣log2 ⎣ N1 −1 k1 i1 2 /2 exp −|x − x + z| k1 =0 k2 =0 1 1 i1 =0 N N 1 −1 N 2 −1 1 −1 N 2 −1 k1 k2 i1 i2 2 E log2 exp −|x1 + x2 − x1 − x2 + z| /2 . N 1 −1 N 2 −1 ⎡ k1 =0 k2 =0 ⎡ N 1 −1 i1 =0 N2 −1 i2 =0 "N −1 N −1 1 2 X X # “ ” exp −|xk1 1 + xk2 2 − xi11 − xi22 + z|2 /2 . (18) i1 =0 i2 =0 Evaluating the expectations in (18) with respect to z, for every k1 and k2 , (18) reduces to N1 −1 N2 −1 X X (16) i1 =0 i2 =0 As log2 (.) is an monotonic increasing function of its argument, the rotation, Θ that minimizes the term (17) also minimizes the term in (18) shown below, for every k1 and k2 and vice-verse. E (15) “ ” exp −|xk1 1 + xk2 2 − xi11 − xi22 |2 /4 . alphabets, will cause perturbations in the sum-alphabet and hence the points in Br gets rearranged. For large values of N , even though the points in Br rearrange themselves as a result of rotation, the density of Br is so large that the distance distribution of the points inside the ball changes negligibly and as a result of Theorem 1, there is no gain in the capacity due to rotation. When the number of points tends to infinity, these observations match the results in the literature, where the Gaussian code book (which is of infinite cardinality) is invariant to rotations as far as capacity gains are concerned. (19) i1 =0 i2 =0 IV. O PTIMAL ROTATIONS FOR SOME KNOWN ALPHABETS In this section, for a given alphabet, S1 and for a given value of P1 = P2 , through computer search (using the metric in (14)), we find optimal angle(s) of rotation, Θ (in degrees) that results in a DD of the sum-alphabet which maximizes I(x2 : y). For the simulation results, additive noise, z is assumed to have unit variance per dimension. i.e. σ 2 = 2. The optimal values of Θ are calculated by varying the angle of rotation from 0 to 180 in steps of 0.25 degrees. In Table I, for various values N−1 N−1 N−1 N−1 ” “ of P1 /σ 2 = SNR, optimal values of Θ are presented for some X X X X 1 P ≤ 2 exp −|xk1 1 + xk2 2 − xi11 − xi22 |2 /4σ 2 . well known alphabets such as M -QAM, M -PSK for M = N k =0 k =0 i =0 i =0 1 2 1 2 (20) 2, 4, 8 and 16. Against every signal set, a 3-tuple (a, b, c) is presented where a denotes the optimal value of Θ, b represents From (20) and (14), it can be observed that the alphabet pair the multiplicity of optimal angle and c denotes the difference (S1 , S2 ) that minimizes the union bound on the probability of between the metric values in (14), Δm when the alphabets are error for the sum-alphabet, Ssum also maximizes I(x2 : y) and used with zero rotation and with optimal angles of rotation. vice-verse. Therefore, the rotation Θ has to be chosen such that In Table I, observe that there are multiple angles of rotation the distance distribution of Ssum minimizes the union bound that enlarges the capacity region for certain alphabets at some SNRs (Example : QPSK at SNR = 8 db, 8-PSK at SNR = on the probability of error of Ssum . From the above theorem, since the value of I(x2 : y) 10 db). In general, if the optimal values of Θ are calculated depends on the DD of Ssum , optimal value of Θ depends by varying the angle of rotations with different intervals, then on the average transmit powers P1 and P2 of the alphabets S1 the optimal Θ and the multiplicity of the optimal Θ will also change. When there are multiple optimal angles of rotation for and S2 respectively. a signal set, only one of them is provided in the Table. Among A. Relationship with Gaussian codebook the several optimal angles, the one presented in the Table For a particular SNR, as the number of points in the reduces the complexity at the transmitters compared to the input alphabet increases, capacity advantage due to rotation rest of the angles (Example : for BPSK, 90 degrees is chosen progressively reduces. This result follows from the following over other angles of rotation at SNR = 10 db). However, when sphere packing argument : A fixed SNR can correspond to a there is not much difference between the complexity among fixed radius, r of a two dimensional ball, Br and the signal several optimal angles, we present the one with the least value points in the sum-alphabet can correspond to points inside Br . (Example : for QPSK at SNR = 8 db, 10 db). As the number of points in the input alphabets increases, the number of points, N in Br increases and hence the density of A. Capacity region of GMAC with S1 = S2 =QPSK points in Br increases. From Theorem 1, it is known that the In Figure 3, capacity regions using QPSK alphabet pair is capacity of the GMAC depends on the distance distribution shown with optimal rotation and without rotation at different of the points in Br . It is clear that rotation of one of the SNR values. It can be observed that rotation provides enlarged Therefore, in order to maximize I(x2 : y), the angle of rotation Θ must be such that the metric in (14) is minimized. The well known union bound on the probability of error for the sum-alphabet, Ssum generated by the pair (S1 , S2 ) is given in (20) which is a sum of several terms for indices k1 , k2 , i1 and i2 such that the vectors (k1 , k2 ) = (i1 , i2 ). 1206 ISIT 2008, Toronto, Canada, July 6 - 11, 2008 TABLE I 3- TUPLES , (a, b, c) FOR M -PSK AND M -QAM ALPHABETS FOR SOME M : a - OPTIMAL Θ. b - MULTIPLICITY OF OPTIMAL Θ. c - DIFFERENCE BETWEEN THE METRIC VALUES IN (14), WHEN THE ALPHABETS ARE USED WITH ZERO ROTATION AND WITH OPTIMAL ANGLES OF ROTATION ( FROM SNR = -2 DB TO SNR = 16 DB ) SNR in db -2 0 2 4 6 8 10 12 14 16 BPSK (90, 1, 1.69) (90, 1, 1.92) (90, 1, 1.99) (90, 1, 1.99) (90, 1, 1.99) (90, 1, 2.00) (90, 21, 2.00) (90, 107, 2.0) (90, 160, 2.0) (90, 203, 2.0) QPSK (45.0, 1, 0.065) (45.0, 1, 0.280) (45.0, 1, 1.450) (45.0, 1, 4.610) (47.5, 1, 9.340) (34.0, 2, 14.18) (31.5, 2, 17.83) (31.0, 2, 19.54) (31.5, 2, 19.96) (30.5, 2, 19.99) 8-QAM (90, 1, 166.9) (90, 1 183.4) (90, 1, 175.7) (90, 1, 147.8) (90, 1, 114.8) (72, 1, 92.00) (116.5, 1, 104) (62, 1, 139) (62, 1, 172) (118, 1, 191) with rotation 2.2 without rotation rate region of Guassian codebook at 6 db 1.8 R2 1.6 1.4 snr = 6 db This work was partly supported by the DRDO-IISc Program on Advanced Research in Mathematical Engineering, partly by the Council of Scientific & Industrial Research (CSIR), India, through Research Grant (22(0365)/04/EMR-II) to B.S. Rajan. 1 2 db 0.8 0.6 0.4 0.4 snr = 0 db 0.6 0.8 16- QAM (45, 1, 5.70) (45, 1, 9.20) (45, 1, 13.5) (45, 1, 18.9) (45, 1, 24.1) (45, 1, 37.6) (45, 1, 126) (45, 1, 391) (45, 1, 785) (45, 1, 103 ) ACKNOWLEDGMENT 4 db 1.2 16-PSK (15.75, 1, 10−9 ) (0. 1, 0) (12.5, 1, 10−9 ) (11.25, 1, 10−9 ) (11.25, 1, 10−6 ) (11.25, 1, 10−4 ) (11.25, 1, 0.03) (9.50, 1, 0.99) (14.75, 1, 11.89) (7.250, 1, 59.58) be studied. For such a set up, optimal angles of rotations correspond to the optimal choice of unitary matrices. Since every symbol of the alphabet undergoes rotation by unitary matrices, the trade-off between the encoding complexity of signal sets and maximum achievable capacity region can be studied. 2.4 2 8-PSK (22.5, 1, 10−6 ) (22.5, 1, 10−4 ) (22.5, 1, 10−3 ) (22.5, 1, 0.04) (22.5, 1, 0.57) (22.5, 1, 3.69) (16.5, 2, 13.8) (29.75, 1, 34.4) (15.0, 2, 59.2) (15.0, 1, 79.4) 1 1.2 1.4 R1 1.6 1.8 2 2.2 R EFERENCES Fig. 3. Capacity region of QPSK alphabet pair with optimal rotation and without rotation at SNR = 0, 2, 4 and 6 db capacity region from SNR value of 2 db onwards. However, at SNR = 0 db, the capacity regions with optimal rotation and without rotation coincides. The increase in the capacity region is due to the increase in the value of I(x2 : y) with rotation. The percentage increase in I(x2 : y) ranges from 3.8 percent at 2 db to 100 percent asymptotically. At SNR = 6 db, capacity region of a GMAC with Gaussian alphabets is shown to explicitly point out the difference between the rate regions of a GMAC and a GMAC with Gaussian alphabets. V. D ISCUSSION We have obtained the capacity region of a two-user Gaussian Multiple Access Channel (GMAC) with input alphabets being finite subsets of C and continuous output alphabets. We considered a GMAC where User-1 and User-2 use the same alphabet and for such a set-up, we identified the problem of finding optimal angles of rotation between the alphabets such that the capacity region is enlarged. One of the possible directions for future work is as follows: As mentioned in Section I, capacity regions of GMAC with input alphabets from subsets of Rn for some n > 2 can [1] Thomas M Cover and J. A. Thomas, ”Elements of information theory”, second edition - Wiley Series in Telecommunications and Signal Processing, 1999. [2] Massey, James L, ”Coding for multiple access communication” proceedings of ITG, pp. 11-20, Germany, Oct. 1994. [3] Gallager R, ”A perspective on multiaccess channels” IEEE Trans. Inform. Theory, vol. IT-31, No 2, March 1985. [4] Ezio Bgleiri and Laszlo Gyorfi, Multiple Access Channels : Theory and Practice, IOS press, published in cooperation with NATO public Diplomacy Division, 2007. [5] R. 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