998
6, JUNE 2005
SR ARQ for Adaptive Modulation Systems Combined
With Selection Transmit Diversity
Guillem Femenias, Member, IEEE
Abstract—Adaptive automatic repeat request (ARQ) schemes
are quite effective for throughput enhancement in time-varying
mobile channel environments. In this paper, both throughput and
packet error rate are analyzed for a selective-repeat ARQ scheme
based on a constant-power variable-rate adaptive M-QAM system
combined with selection transmit diversity over multiple-input
multiple-output Markovian–Nakagami channels. In this analysis,
the impact of using outdated and/or imperfect channel state
information on the performance of the system is considered.
Index Terms—Adaptive modulation, automatic repeat request
(ARQ), Markovian–Nakagami channel, multiple-input multiple-
output (MIMO), selection transmit diversity (STD), space diver-
sity.
I. INTRODUCTION
A UTOMATIC repeat request (ARQ) error control strate-
gies achieve high reliability by using an error detection
scheme coupled with a block retransmission scheme [1], [2].
There are three basic ARQ protocols: stop-and-wait (SW),
go-back-N (GBN), and selective-repeat (SR). Among all ARQ
schemes, SR is reported to show the best throughput perfor-
mance and thus it is interesting to analyze its behavior in order
to have an upper limit on the throughput performance that any
ARQ protocol can achieve in practice.
If the ARQ scheme has to be used over a mobile radio
channel, the time-varying multipath fading characteristics
introduce a certain amount of correlation between different
ARQ packet (re)transmissions; that is, channel errors can not
be assumed to be independent from packet to packet [3]. A
channel model that has been widely used in the literature in
order to cope with the time-varying multipath fading behavior
is the Markovian channel error [4]–[9]. Generally speaking,
this model can be represented by a finite-order transition ma-
trix; because of this it is also called finite-order Markovian
model. As stated by Zorzi and Rao in [3], even though this is
a simple approximation, it couples analytical tractability with
the ability to capture burstiness of the channel error process.
More accurate models can always be found, but in many cases
the increased complexity incurred does not justify the modest
additional insight obtained.
Paper approved by L. Rasmussen, Editor for Iterative Detection, Decoding,
and ARQ of the IEEE Communications Society. Manuscript received November
19, 2003; revised July 13, 2004 and November 16, 2004. This work was sup-
ported in part by the Ministerio de Ciencia y Tecnología and FEDER (Fondo
Europeo de Desarrollo Regional) under Grant TIC2001-0287, Spain.
The author is with the Department of Mathematics and Informatics, Univer-
sity of the Balearic Islands, Palma de Mallorca 07122, Spain (e-mail: guillem.
femenias@uib.es).
Digital Object Identifier 10.1109/TCOMM.2005.849796
0090-6778/$20.00 © 2005 IEEE
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IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 53, NO.
The time-varying multipath fading characteristics can be
taken into consideration in order to incorporate adaptive trans-
mission schemes in the system design. Adaptive schemes
provide many parameters that can be adjusted relative to the
channel fading, including the transmitted power level, symbol
transmission rate, constellation size, bit error rate (BER),
coding rate/scheme, or any combination of these parameters
[10]–[14]. Nevertheless, in [13] the authors show that using
just one or two degrees of freedom in adaptive strategies yields
close to the maximum possible spectral efficiency obtained by
utilizing all degrees of freedom. The multipath fading can also
be mitigated by space-time diversity provided by transmitter
and receiver antenna arrays along with properly designed
signal processing techniques. In recent years the application
of antenna arrays for mobile radio communication systems
has received much attention, as they improve signal quality,
thereby increasing system coverage, capacity, and link quality
[15]–[17]. These antenna arrays may be used at both the trans-
mitters and receivers in order to configure a multiple-input
multiple-output (MIMO) mobile radio system [18], [19].
In this paper, both throughput and packet error rate (PER)
analysis for a SR ARQ scheme based on a constant-power vari-
able-rate adaptive M-QAM system combined with selection
transmit diversity (STD) over MIMO Markovian–Nakagami
channels is proposed. A previous work on this topic can be
found in [20], where the authors assume a Rayleigh fading
channel model (a particular case of the Markovian–Nakagami
fading channel) and a perfect channel state information (CSI) at
the transmitter. Nevertheless, in the processes of link adaption
(selection of transmission mode) and STD (selection of transmit
antenna), the CSI used to perform link adaption and diversity
combining decisions may be outdated and/or imperfect due to
the transmission delay and the processing imperfections both
at the transmitter and at the receiver. Thus, in contrast to results
presented by Kim et al. in [20], in this paper, the impact of
using outdated and/or imperfect CSI on the performance of the
system will be considered.1
The rest of this paper is organized as follows. The system
model is described in Section II. In Section III, general
closed-form expressions are obtained for the cumulative dis-
tribution function (cdf) and probability distribution function
(pdf) of the system output signal-to-noise ratio (SNR). These
results are then used to obtain analytical expressions of the
average throughput and average PER of the SR ARQ system
combined with STD. Section IV presents some numerical
results. Concluding remarks are given in Section V.
1In a companion work we proposed a similar system using adaptive SR-ARQ
combined with STBC [21].
FEMENIAS: SR ARQ FOR ADAPTIVE MODULATION SYSTEMS 999

Fig. 1. System model.

II. SYSTEM MODEL where is the Nakagami fading parameter which ranges from
1/2 to and
Fig. 1 is an equivalent baseband model for the system under
investigation. The message sequence is broken up into packets
of length . Each of these packets is then encoded using a
high-rate binary error detecting code with length . In this
In this case, assuming that, based on the feedback CSI, the adap-
work it is assumed that the code is an linear block
tive modulator chooses the th modulation scheme with map-
code, capable of detecting any error pattern that is not in itself
ping alphabet , , and that, based on the feed-
a code word. In the SR-ARQ protocol the transmitter sends a
back antenna information, antenna has been
continuous stream of code vectors. When the receiver detects
selected for transmission, the received signal at the th receive
an error in a received code vector, it sends a retransmission re-
antenna of the STD-MIMO system, corresponding to
quest for that code vector using the feedback ARQ channel. In
this case the transmitter, after a round-trip delay , defined as the transmitted symbol , can be expressed as
the time interval between the transmission of a code vector and
(2)
the receipt of an acknowledgment for that code vector, responds
to retransmission requests by sending the requested code vector. where is a zero-mean complex Gaussian noise with vari-
It then returns to the point at which it stopped and resumes trans- ance per dimension. Assuming an ideal CSI at the re-
mission of new code vectors. ceiver, the maximal ratio combining (MRC) of the received
Let us also assume a wireless communication system con- signals is then obtained as
sisting of transmit antennas and receive antennas. The
receiver, using specific pilot signals transmitted periodically
from each transmit antenna, measures the CSI of all transmit
antennas and, in order to implement STD, it selects the best
one in terms of instantaneous SNR. CSI and feedback antenna
information are sent back to the transmitter by using the feed- (3)
back CSI channel, with a CSI sensing delay (the
sensing delay can be artificially reduced by using prediction
filters [22]). At the transmitter side, encoded bits are mapped Defining , the instantaneous SNR
according to the selected modulation scheme, which is de- per symbol at the output of the maximal ratio combiner
termined by the feedback CSI. Modulated symbols are then can be calculated as
only transmitted on the one transmit antenna selected by the
feedback antenna information.
Independent identically distributed (i.i.d.) nonfrequency se- (4)
lective channels with the same propagation delay between all
pairs of transmit and receive antennas are assumed. The channel where is the average transmitted energy per source symbol.
between the th transmit and th receive antenna, sampled at
time , is denoted by , where the phase III. PERFORMANCE ANALYSIS
is uniformly distributed over the range and There are two basic parameters by which the performance of
is a Nakagami distributed signal envelope [23] with pdf given an ARQ protocol can be evaluated: the throughput and the ac-
by cepted packed error rate [1], [2]. The throughput for an ARQ
error control system can be defined as the ratio of the average
number of information digits successfully accepted by the re-
(1)
ceiver per unit of time to the total number of digits that could be

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1000 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 53, NO. 6, JUNE 2005

transmitted per unit of time. The accepted PER can be defined where
as the ratio of the probability that a received code vector con-
tains an undetectable error pattern to the probability that a re- (9)
ceived code vector will be accepted by the receiver. Obviously,
a received code vector will be accepted by the receiver only if is the conditional probability that a received vector contains no
it either contains no error or contains an undetectable error pat- error, and [1, eq. (3.42)]
tern.
Let us assume the use of an adaptive discrete rate -QAM
modulation scheme, where the constellation size is restricted
to , . The choice of the constellation size used (10)
to transmit (or retransmit) a code vector is based on a channel
estimate at time , whereas the code vector itself is sent over is an upper bound on the conditional probability that a received
the channel at time . In this case the scheme responds to the vector contains an undetectable error pattern for the ensemble
instantaneous SNR fluctuation by varying its constella- of all linear systematic block codes.
tion size as follows. Assuming a target BER2 equal to , the Assuming a Markovian ARQ forward transmission channel
SNR range is divided into fading regions, with the region and an error-free ARQ feedback channel, it can be shown that
boundaries set to the SNR required the conditional throughput –normalized to bits per symbol– of
to achieve the target using -QAM over an AWGN the SR ARQ scheme can be expressed as [7, eqn. (24)]
channel. Specifically, [12]

(11)
(5) where

In this case, the instantaneous BER at time , conditioned on the

channel estimate at time , can be written as
(12)
,
(6)
for , where [11] and is the rate of the code used in the system.
Using the binomial theorem [24, eq. 3.1.1] to expand (9) and
(10), and substituting the result in (11) yields
(7)

Thus, the instantaneous probability, conditioned on the channel

estimate at time , that a transmitted code vector at time
will be accepted by the receiver is
(13)

(8)
The average throughput can then be expressed as
2Notice that using the relation between instantaneous BER at the output of
the maximal ratio combiner and instantaneous accepted PER at the output of the
decoder, a target BER BER can be easily converted to a target PER PER , or
vice versa. In fact, using expressions (8)–(10), the instantaneous accepted PER
at the output of the decoder can be expressed as
(14)
PER j
P j where , is the
=
P j cdf of , and is given by (15), shown at the bottom of
the next page.
2 1 0 10P j
 The second performance measure of the ARQ system, the av-
2 + (1 02 ) 1 0P j erage accepted PER, can be calculated as follows. For a sta-
tionary and ergodic fading channel, an accurate measure of the
which must be less or equal to average PER is given by [13]
[1 0 (1 0 BER ) ]
PER 2 2
+ (1 02 ) (1 0 BER )
: number of erroneous packets accepted
(16)
total number of packets accepted

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FEMENIAS: SR ARQ FOR ADAPTIVE MODULATION SYSTEMS 1001

that can be calculated as [1] and the cdf of is

given by

(22)
(17)
Following the mode of operation of STD, the joint cdf of
and can be written as

A. Derivation of Statistical Properties of the Received SNR

A slowly varying flat-fading channel is considered, so it can
be assumed that the average power remains constant over the
time delay . Under these conditions, for i.i.d. Nakagami-
fading channels, the received instantaneous SNR from trans-
or
mitter antenna at time can be written as

(18) ..
.
or
where
(23)

(19)
where . The groups
of events in (23) are mutually exclusive since only one channel
The random variable is gamma distributed according to is selected at any time, thus (24), shown at the bottom of the
the pdf given by [23] page, where , , are dummy variables. Assuming
that the diversity channels are independent, the joint pdf of
the random variables can be expressed
(20) as

where and . The cdf of

can then be expressed as
(25)
(21)

(15)

(24)

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1002 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 53, NO. 6, JUNE 2005

Substituting (25) in (24) yields (26), shown at the bottom of B. Calculation of

the page. From (26) the joint pdf of
obtained as
and can be Using the binomial theorem [24, eq. 3.1.1] and substituting
(7) and (28) in (15), can be written as (29), shown at the
bottom of the page, where is the th-order modified Bessel
function of the first kind. Now, with the help of [25, eq. 6.643.2]
and [24, eqs. 13.1.32 and 13.6.12] it can easily be shown that

(30)

with the assumption that . Thus, using this result in

(27) (29), can be expressed as (31), shown at the bottom of the
page.
Now, assuming i.i.d. Nakagami- fading channels and using For integer values of , the complementary incomplete
[23, eq. (126)], (27) can be rewritten as Gamma function can be simplified to a special
form [24], i.e.,

(32)

Now, using (32) and [24, Section 24.1.2] in (31) gives (33),
shown at the bottom of the next page, where

(28)

where is the correlation coefficient between and ,

for all . As an example, using the well-known Clarke’s model,
the correlation coefficient can be calculated as ,
where is the zero-order Bessel function of the first kind
and is the maximum Doppler frequency shift.

(26)

(29)

(31)

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FEMENIAS: SR ARQ FOR ADAPTIVE MODULATION SYSTEMS 1003

and is defined as the set of all possible (nonnegative integers)

combinations of such that
. Using the result [26, eq. (27)]

(34)

for and , to evaluate the integrals in (33),

the function , for integer , can finally be written as
(35), shown at the bottom of the page.

IV. NUMERICAL RESULTS AND DISCUSSION

Using (22) and (35) in (14) and (17) the average throughput
and the average PER have been obtained for an SR ARQ scheme
based on the (127 120) Hamming code3 and a constant-power
variable-rate adaptive M-QAM scheme with five transmission
for an SR ARQ scheme
modes, namely, no transmission, 4QAM, 16QAM, 64QAM and
256QAM, combined with STD. Figs. 2 and 3 illustrate, respec-
tively, the average throughput and average PER for a system
with and , assuming a target BER
and a normalized time delay , with as pa-
rameter. As it can be observed, as the Nakagami parameter
increases, the throughput becomes more and more discrete and
the average PER curves increase its oscillatory behavior. This
behavior can be explained by the following arguments.
• As increases, the temporal selectivity of the fading
decreases and thus the variance of the instantaneous SNR
at the output of the maximal ratio combiner decreases. In
3Hamming codes have been proven to have a probability of an undetected
error satisfying the upper bound (10).
Fig. 2. Average throughput, as a function of m and
based on the (127 120) Hamming code and an adaptive M-QAM combined with
STD (N = 2, N = 2, BER = 10 , and f  = 0:001).
this case, given a fixed average SNR lying between the
threshold values and , the link adaption algorithm
will select the transmission mode with very high prob-
ability and thus the normalized throughput (bits/symbol)
will be approximately constant and equal to . The
average PER will decrease as the BER in the channel
decreases. For average SNR values around the threshold
value , the link adaption algorithm will select the
transmission modes and with probabilities that will
depend on the actual value of the average SNR and thus
the normalized throughput will vary from , for average
SNR values less than , to , for average SNR

(33)

(35)

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1004 IEEE TRANSACTIONS ON COMMUNICATIONS, VOL. 53, NO. 6, JUNE 2005

Fig. 3. Average PER, as a function of m and , for an SR ARQ scheme based

on the (127 120) Hamming code and an adaptive M-QAM combined with STD
(N = 2, N = 2, BER = 10 , and f  = 0:001).

Fig. 4. Probability of selecting the different transmission modes, as a function

values greater than . The higher the modulation index, of m and , for an SR ARQ scheme based on the (127 120) Hamming code and
the higher the BER in the channel, and thus the average an adaptive M-QAM combined with STD (N = 2, N = 2, and BER =
10 ).
PER will increase as the average SNR goes from values
less than the threshold to values greater than the threshold.
• For low values, the temporal selectivity of the fading is
very high and thus the variance of the instantaneous SNR at
the output of the maximal ratio combiner is also very high.
This means that given a fixed average SNR value, the high
variability of the instantaneous SNR will allow the link
adaption algorithm to select different transmission modes
and thus both the normalized throughput and the average
PER will depend on the throughput and PER provided by
the different transmission modes.
These arguments can be better understood by observing the be-
havior of the probability of selecting the th transmission mode,
, that can be calculated as

(36)
Fig. 5. Average throughput, as a function of N , N and , for an SR
with . These probabilities are represented in Fig. 4, as a ARQ scheme based on the (127 120) Hamming code and an adaptive M-QAM
combined with STD (m = 2, BER = 10 , and f  = 0:001).
function of , for a system with and , assuming
a target BER of 10 and two Nakagami fading parameters,
namely, and . On one hand, it can be observed, creasing the number of receive antennas provides a greater di-
for example, that for a Nakagami fading parameter and versity gain than increasing the number of transmit antennas.
a fixed average SNR per branch dB, corresponding to This is due to the fact that at the receiver side the system per-
an average SNR at the output of the maximal ratio combiner forms MRC with ideal CSI and at the transmitter side it per-
lying between and , the link adaption algorithm will select forms selection diversity with outdated and/or imperfect CSI.
the transmission modes 0, 1, 2 or 3 with probabilities The second effect of increasing and/or is very similar
, , and , to the effect that has been observed when increasing the Nak-
respectively. On the other hand, for a Nakagami fading with agami fading parameter . As the product increases the
, the link adaption algorithm will select the transmission throughput becomes more and more discrete and the average
mode 2 with probability . PER curves increase its oscillatory behavior. This behavior can
Figs. 5 and 6 show, respectively, the effect of changing the also be explained by the fact that, for a fixed Nakagami fading
number of transmit antennas and/or receive antennas on the av- parameter, increasing the product decreases the tem-
erage throughput and average PER of the system, assuming a poral selectivity of the channel at the output of the maximal ratio
Nakagami fading parameter , a target BER of 10 and combiner.
a normalized time delay . As it can be observed, in- Figs. 7 and 8 illustrate, respectively, the sensitivity of the av-
creasing the number of transmit and/or receive antennas has two erage throughput and average PER to the variation of normal-
main effects. The first effect is that the average SNR required to ized CSI sensing delay . Results have been obtained for dif-
achieve a given average throughput decreases. Notice that in- ferent values of the Nakagami fading parameter and target

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FEMENIAS: SR ARQ FOR ADAPTIVE MODULATION SYSTEMS
Fig. 6. Average PER, as a function of N , N and
, for an SR ARQ scheme
based on the (127 120) Hamming code and an adaptive M-QAM combined with
STD (m = 2, BER = 10 , and f  = 0:001).
= 20 dB.
Fig. 7. Average throughput, as a function of BER , m and CSI sensing delay
f  , for an SR ARQ scheme based on the (127 120) Hamming code and an
, for an SR
adaptive M-QAM combined with STD (N = 2, N = 2, and
= 20 dB. ARQ scheme based on the (127 120) Hamming code and an adaptive M-QAM
BER . The number of transmit and receive antennas has
been fixed to and , respectively, and the average
SNR per path has been fixed to dB. It can be observed
that, irrespective of the values of and , a normalized
CSI sensing delay up to about 10 can be tolerated without
a noticeable degradation in the system performance. Further-
more, results clearly show that for normalized CSI sensing de-
lays greater than 10 , systems with lower requirements
suffer a greater average PER degradation. The little fluctuations
that can be observed for normalized CSI sensing delays beyond
0.3 are due to the fluctuations of the power correlation coeffi-
cient . ancy can be explained by the fact that the conditional BER in
In order to verify the validity of our analysis both numerical
and simulation results are jointly presented in Fig. 9. A system
with transmission antennas, a variable number of
receiving antennas, a Nakagami fading parameter ,a
target BER of 10 and a normalized time delay
have been assumed. Analytical results are represented by
using solid and dashed lines and simulation results are marked
by using squares and circles. Simulation results have been
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1005
Fig. 8. Average PER, as a function of BER , m and CSI sensing delay f  ,
for an SR ARQ scheme based on the (127 120) Hamming code and an adaptive
M-QAM combined with STD (N = 2, N = 2, and
Fig. 9. Average throughput and PER, as a function of N and
combined with STD (N = 2, m = 2, BER = 10 , and f  = 0:001).
Lines have been obtained through theoretical analysis and points correspond to
results obtained by simulation (transmission of 10 packets per point).
obtained through the transmission of 10 packets/point over
a first-order Markovian channel [7] (as stated by
Lu et al. in [7] the same results are obtained by using ei-
ther independent channel errors or nonindependent th order
Markovian channel errors). A very nice agreement between
analytical and simulation results can be observed, which sup-
ports the validity of our analysis. The only difference between
analysis and simulation is a displacement of simulation results
to lower average SNR values per branch. This little discrep-
the analysis has been approximated by using (7) giving rise
to five fading regions, with “approximated” region bound-
aries ,
whereas in the simulations the “exact” region boundaries
, obtained
for a target BER of 10 when using five transmission modes,
namely, no transmission, 4QAM, 16QAM, 64QAM, and
256QAM, have been used.
1006
V. CONCLUSION
In this paper, the average throughput and average PER have
been analyzed for a SR ARQ scheme based on a constant-power
variable-rate adaptive M-QAM system STD over MIMO Mar-
kovian–Nakagami- fading channels. In this analysis, the im-
pact of CSI sensing delay on the performance of the system
has been considered. Numerical results for some particular cases
of interest show that as the product increases, the
average throughput becomes more and more discrete and the
average PER curves increase its oscillatory behavior. Further-
more, results clearly show that the effect of , and
on system performance, is strongly dependent on the value of
the average SNR per path . In addition, these numerical re-
sults also show that increasing the number of receive antennas
provides a greater diversity gain than increasing the number of
transmit antennas. This is due to the fact that at the receiver side
the system performs MRC with ideal CSI and at the transmitter
side it performs selection diversity using an outdated and/or im-
perfect CSI. Finally, it has been observed that, irrespective of
the values of and , a normalized CSI sensing delay
up to about 10 can be tolerated without a noticeable degra-
dation in the system performance. For normalized CSI sensing
delays greater than 10 , systems with lower require-
ments suffer a greater average PER degradation.
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Guillem Femenias (M’91) received the Engineer
of Telecommunication and Ph.D. degrees from
the Polytechnic University of Catalonia (UPC),
Barcelona, Spain, in 1987 and 1991, respectively.
From 1987 to 1994, he was a Researcher at UPC,
where he became an Associate Professor in 1990.
Since 1995, he has been an Associate Professor at
the Department of Mathematics and Informatics of
the University of the Balearic Islands (UIB), Palma
de Mallorca, Spain. His current research interests
and activities span the fields of digital communica-
tions theory with applications and wireless personal communication systems,
with particular emphasis on fourth generation systems, cross-layer protocol
engineering and end-to-end reconfigurable systems. He is the author of articles
in international journals on these topics as well as of communications to
international conferences. He is responsible for several projects concerned with
the design of IP-based broadband wireless local area networks (WLAN) and
funded by the Spanish and Balearic Islands governments.