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Novel Index Modulation Techniques: a Survey IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 21, NO. 1, FIRST QUARTER 2019 315 Novel Index Modulation Techniques: A Survey Tianqi Mao , Student Member, IEEE,QiWang , Member, IEEE, Zhaocheng Wang , Senior Member, IEEE, and Sheng Chen , Fellow, IEEE Abstract—In fifth generation wireless networks, the escalating BICM-ID Bit-Interleaved Coded Modulation with teletraffic and energy consumption has necessitated the devel- Iterative Decoding opment of green communication techniques in order to further BLAST Bell Labs Layered Space-Time enhance both the system’s spectral efficiency and energy effi- ciency. In the past few years, the novel index modulation (IM) BMST Block Markov superposition has emerged as a promising technology that is widely employed transmission in wireless communications. In this paper, we present a survey BPSK Binary Phase Shift Keying on IM in order to provide the readers with a better understand- CD Channel Domain ing of its principles, advantages, and potential applications. We CD-IM Channel-Domain IM start with a comprehensive literature review, where the concept of IM is introduced, and various existing IM schemes are classi- CIR Channel Impulse Response fied according to their signal domains, including the frequency CP Cyclic Prefix domain, spatial domain, time domain and channel domain. Then CPEP Conditioned PEP the principles of different IM-aided systems are detailed, where CSI Channel State Information the transceiver design is illustrated, followed by descriptions of CSIT CSI at the Transmitter typical systems and corresponding performance evaluation. A range of challenges and open issues on IM are discussed before D/A Digital-to-Analog Converter we conclude this survey. DCO-OFDM DC-Biased Optical OFDM DMBM Differential MBM Index Terms—Index modulation, orthogonal frequency division multiplexing, spatial modulation, media-based DM-OFDM Dual-Mode IM-Aided OFDM modulation, constellation design, maximum-likelihood detection, DM-SCIM Dual-mode SC-IM low-complexity receiver design. ED Euclidean Distance EGSIM-OFDM Enhanced GSIM-OFDM EGSIM-OFDM1 EGSIM-OFDM Version 1 GLOSSARY EGSIM-OFDM2 EGSIM-OFDM Version 2 4G Fourth Generation EGSIM-OFDM-JIQ In EGSIM-OFDM, IM Conducted on 5G Fifth Generation I/Q Components Jointly ABEP Average Bit Error Probability ESIM-OFDM Enhanced SIM-OFDM ACE Active Constellation Expansion ESM Enhanced SM ACO-OFDM Asymmetrically Clipped Optical FD Frequency Domain OFDM FDE FD Equalization A/D Analog-to-Digital Converter FD-IM Frequency-Domain IM APM Amplitude/Phase Modulation FFT Fast Fourier Transform AWGN Additive White Gaussian Noise FSK Frequency Shift Keying BER Bit Error Rate FSO Free-Space Optical FTN-IM Faster-than-Nyquist Rate SC-IM Manuscript received August 17, 2017; revised January 23, 2018 and GDM-OFDM Generalized DM-OFDM May 21, 2018; accepted July 19, 2018. Date of publication July 23, 2018; date of current version February 22, 2019. This work was sup- GPQSM Generalized Precoded QSM ported in part by the National Natural Science Foundation of China under GPSM Generalized PSM Grant 61571267, in part by the Shenzhen Subject Arrangements under GSIM-OFDM Generalized ESIM-OFDM Grant JCYJ20160331184124954, and in part by the Shenzhen Fundamental Research under Project JCYJ20170307153116785. (Corresponding author: GSM Generalized SM Zhaocheng Wang.) GSM-MBM GSM Combined with MBM T. Mao and Z. Wang are with the Beijing National Research Center GSSK Generalized SSK for Information Science and Technology, Department of Electronic Engineering, Tsinghua University, Beijing 100084, China (e-mail: GSTSK Generalized STSK [email protected]; [email protected]). IAS Inter-Antenna Synchronization Q. Wang was with the School of Electronics and Computer Science, IBI Inter-Block Interference University of Southampton, Southampton SO17 1BJ, U.K. He is now with Huawei Technologies Company Ltd., Shenzhen 518129, China (e-mail: ICI Inter-Channel Interference [email protected]). IFFT Inverse Fast Fourier Transform S. Chen is with the School of Electronics and Computer Science, University IM Index Modulation of Southampton, Southampton SO17 1BJ, U.K., and also with King Abdulaziz University, Jeddah 21589, Saudi Arabia (e-mail: [email protected]). IM-OFDM IM-Aided OFDM Digital Object Identifier 10.1109/COMST.2018.2858567 IoT Internet of Things 1553-877X c 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information. 316 IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 21, NO. 1, FIRST QUARTER 2019 I/Q In-phase and Quadrature SM-OFDM SM Combined with OFDM ISI Intersymbol Interference SNR Signal-to-Noise Power Ratio ItM/DD Intensity Modulation with Direct S/P Serial-to-Parallel Converter Detection SSK Space Shift Keying LDPC Low-Density Parity Check Code STBC Space-Time Block Codes LED Light Emitting Diode STCM Space-Time Channel Modulation LLR Log-Likelihood Ratio STFSK Space-Time-Frequency Shift Keying LMG-SSTSK Layered Multi-Group Steered STSK ST-IM Space-Time IM LMIMO-MBM Layered MIMO-MBM STSK Space-Time Shift Keying LTE Long-Term Evolution TCSM Trellis Coded Spatial Modulation MAP Mirror Activation Pattern TD Time Domain MA-SM Multiple Active-SM TDD Time Division Duplexing MBM Media-Based Modulation TD-IM Time-Domain IM MI Mutual Information TX Transmitter MIAD Minimum Intra-Mode Distance U-OFDM Unipolar OFDM MIMO Multiple-Input Multiple-Output UPEP Unconditioned PEP MIMO-OFDM-IM GSIM-OFDM Combined with MIMO VLC Visible Light Communications MIRD Minimum Inter-mode Distance ZF Zero-Forcing ML Maximum Likelihood ZTM-OFDM Zero-Padded Tri-Mode IM-Aided MM-OFDM Multi-Mode IM-Aided OFDM OFDM. MMSE Minimum Mean-Squared Error mmWave Millimeter-wave MSF-STSK Multi-Space-Frequency STSK I. INTRODUCTION MS-STSK Multi-Set STSK UE TO the fast evolution of smart communication termi- O-DM-OFDM Optical DM-OFDM D nals and in order to meet the explosive increase of mobile OFDM Orthogonal Frequency Division traffic, high-rate transmission schemes have attracted increas- Multiplexing ing attention from both the academia and industry, featured by O-GSIM-OFDM Optical GSIM-OFDM orthogonal frequency division multiplexing (OFDM) [1] and OOK On-Off Keying single-carrier frequency-domain equalization (SC-FDE) [2]. PAM Pulse Amplitude Modulation OFDM, which has fast become one of the most dominant PAM-DMT PAM Discrete Multi-Tone techniques in 4G communication, is widely employed in PAPR Peak-to-Average Power Ratio multiple wireless standards including Wi-Fi, IEEE 802.11 a/g, PEP Pairwise Error Probability 802.16 WiMAX and Long-Term Evolution (LTE) [3]–[6], PLC Power Line Communications owing to its distinctive merits of resilience to frequency selec- PPM Pulse-Position Modulation tive fading channels and facilitating low-complexity hardware PSK Phase Shift Keying implementation with one-tap frequency-domain equalization PSM Precoded SM (FDE) [7]–[9]. However, OFDM symbols suffer from the PTS Partial Transmit Sequence drawback of high peak-to-average power ratio (PAPR), leading QAM Quadrature Amplitude Modulation to inevitable nonlinear distortion by the transmitter (TX) power QCM Quadrature Channel Modulation amplifier [10]. To mitigate this issue, the early-invented SC- QoS Quality-of-Service FDE scheme is still employed in some wireless applications QPSK Quadrature Phase Shift Keying for its lower PAPR, particularly in visible light communica- QSM Quadrature SM tion (VLC) systems [11], which are extremely sensitive to RF Radio Frequency the nonlinear characteristics of light emitting diode (LED) RX Receiver emitters. Furthermore, owing to the need for enlarging capac- SBIM Source-Based IM ity of wireless communications and ensuring satisfactory SC-FDE Single-Carrier Frequency-Domain quality-of-service (QoS) of mobile devices, multiple-input Equalization multiple-output (MIMO) technique [12] has attracted extensive SC-IM Single-Carrier-Based IM attention, which is capable of improving the system throughput SD Spatial Domain without the sacrifice of additional bandwidth usage or energy SD-IM Spatial-Domain IM consumption [13]. SIC Successive Interference Cancellation In 5G networks, the explosive growth in mobile data SIMO Single-Input Multiple-Output services and the popularisation of smart devices have necessi- SIMO-MBM MBM Combined with SIMO tated the requirement for high spectral and energy efficiency. SIM-OFDM Subcarrier-index modulated OFDM Following this trend, the novel concept of index modulation SISO Single-Input Single-Output (IM) has been promoted in wireless communications to meet SLM Selective Mapping the demand for high throughput and low energy consump- SM Spatial Modulation tion. More specifically, unlike conventional communication MAO et al.: NOVEL IM TECHNIQUES: SURVEY 317 schemes, only a fraction of certain indexed resource enti- applied to TD-IM [28], [29] to further enhance the system ties, e.g., subcarriers, antennas, time slots or channel states, performance. Furthermore, TD-IM can be combined with are activated for a data transmission, while the others are the space-time block code (STBC) system [30], [31], where kept unused by the associated transmission, where additional only subset of the dispersion matrices are selected for data information bits are conveyed implicitly by the index usage transmission, while their indices carry extra information or activation patterns. IM therefore can significantly enhance bits [32], [33]. the spectral and energy efficiency
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