Adaptive-Modulation-And-Coding-Based Transmission of Control Messages For Resource Allocation in Mobile Communication Systems

IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 58, NO.
6, JULY 2009 2769

Adaptive-Modulation-and-Coding-Based
Transmission of Control Messages for
Resource Allocation in Mobile
Communication Systems
Taesoo Kwon, Member, IEEE, and Dong-Ho Cho, Senior Member, IEEE
AbstractIn general, link-adaptive schemes, such as adaptive
modulation and coding (AMC) and hybrid automatic repeat re-
quest (HARQ), enhance system capacity in time-varying wireless
channels. For these link-adaptive schemes to be applied, resources
have to be adaptively and dynamically allocated every frame.
Thus, the system needs control messages to send information to
users about dynamic resource allocation. Such information in-
cludes user ID, resource position, level of modulation, and coding
and automatic repeat request (ARQ) information. However, the
transmission of these resource-allocation messages causes control
overhead. In this paper, we introduce a scheme that applies AMC
to the transmission of resource-allocation messages and analyze
its performance in systems that support truncated ARQ, such
as link-layer ARQ and HARQ. In addition, we show that using
AMC to transmit control messages is a good way to reduce control
overhead; in particular, it is very effective when the number of
users per frame is large, as in voice over Internet Protocol (VoIP)
services.
Index TermsAdaptive modulation and coding (AMC), control
messages, control overhead, resource allocation.
I. INTRODUCTION
R
ECENT packet-oriented systems, such as Mobile
WiMAX [1], [2] and high-speed data packet access
(HSDPA) [3], enhance data throughput by utilizing link adap-
tation technologies, such as adaptive modulation and coding
(AMC), hybrid automatic repeat request (HARQ), and fast
channel-aware scheduling. The AMC scheme can enhance
system capacity by selecting signal constellation and channel
coding that is adaptive to its time-varying channel [4][6].
Automatic repeat request (ARQ) effectively mitigates packet
errors due to the fading channel. In addition, truncated ARQ
improves system throughput by limiting the maximum number
of retransmissions when applying AMC, as well as when using
Manuscript received August 10, 2007; revised April 25, 2008. First published
October 31, 2008; current version published May 29, 2009. The review of this
paper was coordinated by Dr. P. Lin.
T. Kwon was with the Department of Electrical Engineering, Korea Ad-
vanced Institute of Science and Technology, Daejeon 305-701, Korea. He is
now with Samsung Electronics, Yongin 446-712, Korea (e-mail: taesoo.kwon@
samsung.com).
D.-H. Cho is with the Department of Electrical Engineering, Korea Ad-
vanced Institute of Science and Technology, Daejeon 305-701, Korea (e-mail:
dhcho@ee.kaist.ac.kr).
Color versions of one or more of the gures in this paper are available online
at http://ieeexplore.ieee.org.
Digital Object Identier 10.1109/TVT.2008.2008651
Fig. 1. Transmission of resource-allocation messages and data packets.
only xed modulation and coding in the physical layer [7], [8].
Retransmission mechanisms that are based on HARQ, in par-
ticular, offer a good way of improving the robustness of link
adaptation inaccuracy due to errors in channel measurement
and feedback delays [9], [10]. To apply these link-adaptive
schemes, the system has to adaptively and dynamically allo-
cate resources every frame. Moreover, most services that have
recently been developed are packet oriented; thus, the efcient
use of resources demands that wireless resources be efciently
shared among mobile stations (MSs). Ultimately, adaptive and
dynamic resource allocations are required for frame-by-frame
link adaptation and the efcient use of resources; hence, the de-
sign of control messages for dynamic resource allocation is very
important. Control messages for this link-adaptive allocation of
resources should be transmitted together with data to inform the
MSs of information that is required for data transmission, such
as user ID, resource position, level of modulation and coding
scheme (MCS), and information related to HARQ, as shown
in Fig. 1. The control messages are generally transmitted using
a very robust and xed MCS level. Thus, although messages
for allocating resources are short, a large amount of wireless
timefrequency resources may be required for their transmis-
sion. That is, their transmission may cause severe signaling
overhead when there are many users requiring small-sized
packet services, such as voice over Internet Protocol (VoIP).
In HSDPA systems [3], a single scheme is dened for
transmitting resource-allocation messages, namely, the high-
speed shared control channel (HS-SCCH). The base station
(BS) uses the HS-SCCH to inform the MS of information
about resource allocation for the transmission of data packets,
such as information about levels of the MCS and HARQ. The
HS-SCCH uses xed modulation and coding, and it is assumed
that the number of users per frame is not large. By contrast,
in Mobile WiMAX systems, various control messages for re-
source allocation have been dened for supporting multimedia
services, such as VoIP and video on demand, as well as Internet
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2770 IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 58, NO. 6, JULY 2009
data services. In Mobile WiMAX systems, these resource-
allocation messages are called MAP messages. A normal MAP
includes resource partitioning information (e.g., resource po-
sition and size) and the MCS levels that those resources use;
it also includes general MAP information, such as orthogonal
frequency-division multiplex subcarrier permutation methods.
Thus, if only normal MAPs are used, each MS has to receive
and try to decode all resources and then determine whether
it is supposed to receive the packet after checking the ID in
the MAC header. This normal MAP scheme causes processing
overhead, because an MS needs to nd its own packets among
many packets concatenated into a burst. It is also inadequate for
systems in which it is necessary to transmit HARQ information
per user, such as a HARQ sequence number. A MAP message
that supports HARQ indicates resource position, MCS level,
and HARQ information and is transmitted on a per-user basis.
Thus, when transmitting many small-sized packets per frame,
such as VoIP packets, many MAP messages are required, which
causes considerable overhead [11]. With this problem in mind,
the IEEE 802.16e system dened MAP messages with reduced
sizes, such as compressed MAP and compact MAP [1], [2].
However, despite this attempt to reduce the size of signaling
messages, the problem remains because the signaling messages
are transmitted using the robust (i.e., the lowest) MCS level,
and this needs a large amount of wireless resources, although
the messages are short. Results in [12] show that control mes-
sages for resource allocation result in a signaling overhead of
30%50%, despite the fact that compressed MAP is used when
services that use small packets, such as VoIP, are provided.
It is critical to address this signaling overhead problem
when designing practical systems. Yet, in spite of this, research
results on the issue are few. The authors of [13] found that
the dynamic allocation of subcarriers in orthogonal frequency-
division multiple-access (OFDMA) systems caused throughput
degradation due to the signaling overhead and investigated how
system parameters, such as the frame length and the number of
subcarriers, affected OFDMA system performance. In addition,
they introduced multiuser subcarrier allocation schemes that
exploit the channel correlation in time to reduce the signaling
overhead. However, because these schemes operate on the basis
of channel correlation in time, they may not be suitable for
fast-fading environments and services with small-sized packets
that can be transmitted within just one or a few frames. In
[14], a new VoIP signaling mechanism for Third Generation
Partnership Project (3GPP2) systems was introduced to reduce
the signaling overhead due to the potentially large number of
VoIP users. The VoIP users, who are under the similar channel
conditions, are allocated to scheduling groups that share a set
of timefrequency resources, and then, they are allocated re-
sources using bitmap signaling. This scheme is very suitable for
static VoIP users, but there is some user-regrouping overhead in
dynamic environments that supports fast variation in channels
and user mobility. Thus, more general and powerful schemes
for reducing the signaling overhead are required. One way of
reducing the signaling overhead to a remarkable extent, which
can be used in various environments, is applying appropriate
AMC, which has generally been applied to the transmission of
data packets, to the signaling messages themselves. AMCis one
of the most useful and veried techniques in recent wireless
communication systems. The Sub-DL-UL MAP using AMC
is dened in the IEEE 802.16e standard. Sub-DL-UL MAP
messages indicate the same information as MAP messages that
support HARQ and are transmitted using AMC. These Sub-
DL-UL MAP messages using AMC reduce the MAP overhead
to less than 20%, even with a large number of users (e.g.,
20 downlink users and 20 uplink users) in a frame [15]. How-
ever, this MAP AMC has to be very carefully applied in order
not to exceed the specied threshold for the probability that
there will be errors when transmitting data packets. Thus, it is
necessary to conduct research on the effect of using AMC for
resource allocation messages on systemperformance. However,
to our knowledge, there have, to date, been no such studies.
In this paper, we introduce a scheme that applies AMC to the
transmission of 41 resource-allocation messages and analyze its
performance in mobile communication systems. The remainder
of this paper is organized as follows: In Section II, we present
the AMC design for resource-allocation messages in a system
that supports AMC and truncated link-layer ARQ (LARQ) and
analyze its performance. In Section III, we analyze the effect
of the AMC transmission of control messages for resource
allocation on system performance in systems that support data
services with truncated HARQ, which is a representative link
adaptation technique, together with AMC. In Section IV, nu-
merical results are discussed. Section V concludes this paper.
II. AMC TRANSMISSION OF RESOURCE-ALLOCATION
MESSAGES FOR DATA SERVICES WITH
TRUNCATED LARQ
In this section, we examine the use of AMC to control
messages for resource allocation in systems that support data
services with truncated LARQ. In addition, we analyze its
packet error rate (PER) and spectral efciency to show that the
transmission of resource-allocation messages based on AMC
increases system throughput and meets the threshold probabil-
ity for packet loss.
A. System Model
We consider a system model (shown in Fig. 2) to apply
AMC to resource-allocation messages for data services with
truncated LARQover independent identically distributed (i.i.d.)
block-fading channels. To apply AMC, resource-allocation in-
formation, such as the MCS level and location of resources,
is required. Thus, to apply AMC to control messages, we
need resource-allocation information for control messages and
data packets. Generally, resource-allocation information for
data packets increases as the number of data bursts or users
increases. However, the information for control messages can
be transmitted using a fewer number of resources than that for
data packets, because it is solely affected by the number of MCS
levels used for transmitting control messages.
For an analytically tractable model, we make some
assumptions.
1) We use a block-fading channel model in which the
channel is constant during one frame and allowed to
KWON AND CHO: AMC-BASED TRANSMISSION OF CONTROL MESSAGES FOR RESOURCE ALLOCATION 2771
Fig. 2. Modeling of a system supporting data services with truncated LARQ or HARQ.
TABLE I
MCSs [7]
independently vary frame by frame. This is reasonable for
fading channels that slowly vary [16]. We use a general
Nakagami-m model for the received signal-to-noise-ratio
(SNR, ) distribution [17]. In other words, the received
SNR is i.i.d. with a Gamma probability density function
(pdf), which is given as
f
() =
( /m)
m
(m)

m1
exp
_

/m
_
(1)
where is the average received SNR, (m) =
_
0
t
m1
e
t
dt, and m(m 1/2) is the Nakagami fading
parameter [18]. m = 1, m = (K + 1)
2
/(2K + 1), and
m = model Rayleigh fading, Rician fading with pa-
rameter K, and no fading, respectively.
2) We use eight levels of MCS, as shown in Table I. The
approximate model of PER () performance for each
MCS level is given as follows, which is introduced
in [7]:
1
n
() min {1, a
n
exp(g
n
)}
=
_
1, if 0 < <
th,n
a
n
exp(g
n
), if
th,n
.
(2)
In general, the PER performance considering both
channel coding and modulation is not mathematically
tractable. However, this approximate model makes the
1
In IEEE 802.16e systems, MAP messages can be modulated with a QPSK
rate of 1/2 and broadcast after repetitions for supporting cell-boundary users
successful reception of broadcast control messages, such as MAP messages. For
the parameters in Table I, we referred to the approximated PER performance in
[7] and modied some of the results reported therein for considering QPSK 1/2
with two, four, and six repetitions (i.e., QPSK 1/4, QPSK 1/8, and QPSK 1/12).
PER performance of each MCS level mathematically
tractable [7], [9].
3) MSs feed downlink channel information back to the BS,
and a BS can apply AMC to control messages and data
trafc on the basis of this information. This channel
feedback may cause some uplink overhead, but applying
AMC to control messages does not cause any additional
channel feedback overhead, as compared with applying
AMC to just data trafc. Here, we assume that channel
estimation is perfect.
B. AMC Design of Resource-Allocation Messages for Data
Services With Truncated LARQ
In systems that support AMC and truncated LARQ, the
decision as to what the target PER should be, taking retrans-
mission into account, enables a more aggressive selection of
MCS levels, which improves spectral efciency [7]. When
the maximum permitted number of retransmissions is N
r,max
and the target error probability of each transmission is P
t
(because the residual PER, which is the packet error probability
after N
r,max
retransmissions, should not exceed the permit-
ted probability of packet loss), the relation among them is
given as
P
N
r,max
+1
t
P
loss
(3)
where P
loss
is the threshold probability for packet loss of data
packets, i.e., the required maximum residual PER. When the
actual PER values of control messages and data packets are
c
and
d
, respectively, the resultant PER of data packets is
given as
=
c
+ (1
c
)
d
P
t,c
+ (1 P
t,c
)P
t,d
=P
t
P
1
N
r,max
+1
loss
(4)
where P
t,c
(
c
) and P
t,d
(
d
) are the target error probabil-
ities of control messages and data packets, respectively. Thus,
we can obtain the relation between P
t,c
and P
t,d
as follows:
P
t,c
=
P
t
P
t,d
1 P
t,d
or P
t,d
=
P
t
P
t,c
1 P
t,c
. (5)
From these P
t,c
and P
t,d
, as shown in Fig. 3, we can determine
the boundary SNR values of each MCS level for control mes-
sages and data packets as follows:
_
0,c
= 0
n,c
=
1
g
n,c
ln
a
n,c
P
t,c
M+1,c
=
_
0,d
= 0
n,d
=
1
g
n,d
ln
a
n,d
P
t,d
M+1,d
=
(6)
where n = 1, 2, . . . , M, and subscripts c and d mean control
messages and data packets, respectively. In other words, given
the instantaneous SNR , we select an MCS level n that meets
n
<
n+1
. If < max{
1,c
,
1,d
}, it denotes outage,
and the transmission of packets is deferred.
Fig. 3. Selection of MCS levels for control messages and data packets.
C. Performance Analysis
We now derive the average PER and average spectral ef-
ciency. To begin, we obtain the probability that MCS levels n
c
and n
d
are chosen for the transmission of control messages and
data packets, respectively, as follows:
Pr(n
c
.n
d
) =
U
(n
c
,n
d
)
_
L
(n
c
,n
d
)
f
()d
=
L
_
m

U
, m
_
L
_
m

L
, m
_
(7)
where
L
(n
c
, n
d
) and
U
(n
c
, n
d
) denote the lower and up-
per bounds of SNR values for MCS levels (n
c
, n
d
) to be
selected, respectively. Thus,
L
(n
c
, n
d
) = max{
n
c
,c
,
n
d
,d
}
and
U
(n
c
, n
d
) = min{
n
c
+1,c
,
n
d
+1,d
}. Here,
L
(x, m) de-
notes the lower incomplete gamma function and is given as
L
(x, m) =
1
(m)
x
_
0
t
m1
e
t
dt. (8)
By denition of (6),
n
>
th,n
; thus, when the MCS level
(n
c
, n
d
) is used, the average PER is given as

n
c
,n
d
=
1
Pr(n
c
, n
d
)
U
(n
c
,n
d
)
_
L
(n
c
,n
d
)
_
a
n
c
e
g
n
c
+
_
1 a
n
c
e
g
n
c
_
a
n
d
e
g
n
d
()d. (9)
We can evaluate (9) using the following equation:
U
_
L
ae
g
f
()d = a
_
m
b
_
m
[
L
(b
U
, m)
L
(b
L
, m)]
(10)
where b = g + (m/ ). Equation (10) can easily be derived
using the denition of the gamma pdf (1) and the lower incom-
plete gamma function (8).
We dene spectral efciency as the number of bits trans-
mitted per modulation symbol. This is an important metric
that decides system throughput. We dene resource efciency
n
c
,n
d
when the MCS level (n
c
, n
d
) is used to investigate
spectral efciency considering the control overhead, such as
resource-allocation information, as follows:
n
c
,n
d
=
L
d
/R
n
d
L
c
/R
n
c
+ L
d
/R
n
d
(11)
where L
c
and L
d
denote the length of a control message
and a data packet, respectively. Here, denotes the overhead
factor due to the resource-allocation information for AMC of
control messages, which use xed modulation and coding. R
n
denotes the number of bits transmitted per modulation symbol
when using the MCS level n (i.e., given by the product of the
modulation order and the coding rate).
Then, we obtain the average PER at each transmission as
=
number of erroneous packets
total number of transmitted packets
=
M
n
d
=1
M
n
c
=1
Pr(n
c
, n
d
)
n
c
,n
d
R
n
d

n
c
,n
d
M
n
d
=1
M
n
c
=1
Pr(n
c
, n
d
)
n
c
,n
d
R
n
d
. (12)
The average number of transmissions

N is given as
N =
N
r,max
i=0
i Pr{N = i} =
N
r,max
i=0
Pr{N > i}
=
N
r,max
i=0

i
=
1
N
r,max
+1
1
. (13)
The average residual PER
res
is given as

res
=
N
r,max
+1
. (14)
Finally, the average spectral efciency is obtained as
S
r
=
M
n
d
=1
M
n
c
=1
Pr(n
c
, n
d
)
n
c
,n
d
R
n
d
N
. (15)
III. AMC-BASED TRANSMISSION OF RESOURCE
ALLOCATION MESSAGES FOR DATA SERVICES
WITH TRUNCATED HARQ
HARQ is a representative link adaptation technique, together
with AMC, and is robust against link adaptation inaccuracy. In
type-I HARQ schemes [20], [21], a coded packet is initially
transmitted, and an identical copy of the original transmission
is retransmitted if the initial transmission fails. The receiver
can combine initial and retransmitted signals according to the
maximal ratio combining (MRC) principle. This soft com-
bining is called chase combining (CC). In type-II HARQ
schemes [22], [23], if the initial transmission fails, the sender
transmits the new additional coded parities, and the receiver
can effectively decode the original packet by combining the
bits that were initially received and additional parities. This
HARQ strategy is called the incremental redundancy (IR)
scheme. IR performs better than CC because it allows better
adaptation to channel variation due to its ner granularity of
coding rate. However, IR requires more signaling, with respect
to, for example, information about retransmitted parity blocks,
and is more complex than CC. In [24], the two schemes are
compared in HSDPA systems [3], and the capacity of HARQ
mechanisms is analyzed in [25] and [26].
In these HARQ strategies, the receiver has to successfully
receive control messages, which include information about
coded packets, to detect that a transmitted packet contains
error: hence, it is necessary that the transmission of these
control messages be robust. In this section, when applying
AMC to control messages for resource allocation in a system
that supports data services using truncated HARQ, we analyze
its effect on system performance with respect to such factors
as PER and spectral efciency. Here, we consider the CC
scheme as a HARQ strategy, because the gain of CC can simply
be modeled by adding the SNR values corresponding to the
original transmission and the retransmission [26], [27].
A. System Model
The system model presented in Fig. 2 is considered to apply
AMC to resource-allocation messages for data services with
truncated HARQ over i.i.d. block-fading channels. We use the
same assumptions as in Section II-A. The PER performance
with respect to the SNR is modeled as in (2). The effect
of CC is modeled by adding the SNR values corresponding
to the original transmission and the retransmission. In other
words, when
0
,
1
, and
2
denote the SNR values of the
original transmission, the rst retransmission, and the second
retransmission, respectively, the PER at the initial transmission
is decided by
0
, whereas the PER values at the rst and second
retransmissions are decided by (
0
+
1
) and (
0
+
1
+
2
),
respectively, because of the CC effect. Thus, assuming that the
MCS level at the initial transmission is n, the residual PER after
two retransmissions is given as the product of the PER at each
transmission, i.e.,
n
(
0
)
n
(
0
+
1
)
n
(
0
+
1
+
2
).
To meet the PER requirement of a session, this residual PER
has to be smaller than the permitted packet loss rate P
loss
; thus,
the target PER that will be used when choosing the MCS level
has to be set to meet this requirement. For the selection of MCS
levels for control messages and data packets, we use the same
method as that in the AMC design in Section II-B. In this case,
we may expect the residual PER to lie within the permitted
packet loss rate because the PER is always smaller when using
HARQ than it is when using only LARQ, due to the CC effect.
However, in LARQ, the selection of an MCS level for
retransmission is independent of the initial transmission and
depends on only the current SNR, whereas in HARQ, the MCS
level of data packets that are to be retransmitted has to be set to
the same level as the MCS level of data packets that are selected
for the initial transmission for MRC.
B. Performance Analysis
We now derive the average PER and average spectral ef-
ciency using a reducible discrete-time Markov chain (DTMC)
Fig. 4. Reducible DTMC model for a system supporting truncated HARQ.
model. We assume that the MCS level for data packets at the
initial transmission is n
d
. A DTMC is dened for each n
d
.
2
Hence, there are M independent DTMC models. In our DTMC
model shown in Fig. 4, we dene (X
H
, Y
H
) states, where X
H
denotes the number of retransmissions, and Y
H
denotes the
number of buffered packets that contain errors. Y
H
is divided
into two groups, according to whether an error is detected
in the original packet, i.e., whether the control message for
the original packet contains errors. When there are y buffered
data packets that contain errors, if the control message for the
original packet is sent in error, the number of buffered packets
that contain errors is denoted by y; otherwise, the number of
buffered erroneous packets is denoted by y. Moreover, Success
and Fail states are dened to represent successful or failed
transmission.
In our DTMC model, the state transition from (x, y) to
(x + 1, y + 1) (or from (x, y) to (x + 1, y + 1)) means that
the control messages are successfully transmitted but the data
packet contains errors. By contrast, the state transition from
(x, y) to (x + 1, y) [or from (x, y) to (x + 1, y)] means that
the transmission of the control message has failed (in this
case, the receiver cannot detect any error in any data packet).
Hence, when
(x)
c
and
(xy)
d
(or
(x)
c
and
(x y)
d
) denote the error
probabilities of control messages and data packets at state (x, y)
[or state (x, y)], respectively, the state transition probability
can be expressed as in (16), shown at the bottom of the next
page. Note that E{} denotes the expectation of the random
variable.
2
For notational convenience, we omit all n
d
tags in a DTMC model for the
MCS level n
d
as long as it is not specied.
Before calculating the state transition probability in (16), we
dene Pr(n
c
), Pr(n
d
), and Pr(n
c
|n
d
) as follows:
Pr(n
c
) =
M
n
d
=1
Pr(n
c
, n
d
), Pr(n
d
)
=
M
n
c
=1
Pr(n
c
, n
d
) (17)
Pr(n
c
|n
d
) =
1
M
n
c
=1
Pr(n
c
, n
d
)
U
(n
c
,n
d
)
_
L
(n
c
,n
d
)
f
()d (18)
where Pr(n
c
, n
d
) and f
() are dened in (7) and (1),

respectively.
L
(n
c
, n
d
) and
U
(n
c
, n
d
) are dened as
max{
n
c
,c
,
n
d
,d
} and min{
n
c+1
,c
,
n
d+1
,d
}, respectively,
where
n
c
,c
and
n
d
,d
are given in (6). When x = 0, i.e., at the
original transmission for a given n
d
, the SNR is distributed
between
L
(1, n
d
) and
U
(M, n
d
). By contrast, when x >
0, i.e., at the retransmissions for a given n
d
, the SNR is
distributed between
L
(1, 1) and . Given n
c
and n
d
, when
x = 0, the pdf of the SNR can be obtained as
f
(0)
|n
c
,n
d
=
_
f
()
Pr(n
c
,n
d
)
, if
L
(n
c
.n
d
) <
U
(n
c
, n
d
)
0, otherwise.
(19)
When x 1
f
(x)
|n
c
,n
d
=
_
f
()
Pr(n
c
)
, if
L
(n
c
, 1) <
n
c
+1,c
0, otherwise.
(20)
When x = 0, we dene the PERof control messages and data
packets for given n
c
and n
d
as follows:
_
(0)
c|n
c
,n
d
= a
n
c
exp(g
n
c
)
(00)
d|n
c
,n
d
= a
n
d
exp(g
n
d
)
(21)
where the pdf of is given in (19). When x 1
_
(x)
c|n
c
,n
d
= a
n
c
exp(g
n
c
)
(xy)
d|n
c
,n
d
= a
n
d
exp(g
n
d
(
y
+ )
(x y)
d|n
c
,n
d
= min {1, a
n
d
exp (g
n
d
(
y
+ ))}
(22)
where the pdf of is given in (20). Here,
y
and
y
represent
the CC gains and are dened as

y
=
_
0
, if y = 1
0
+
y1
i=1

i
, if y 2
,
y
=
y
i=1
i
(23)
where
0
denotes the SNR at the time of the original trans-
mission and is distributed with the pdf of f
(0)
|n
c
,n
d
, and
i
is
a random variable distributed with the pdf as follows:
f
i
)=
_
_
1
M
n
c
=1
M
n
d
=1
Pr(n
c
,n
d
)
f
i
), if
i
max {
1,c
,
1,d
}
0, otherwise.
(24)
It is possible that
y
lies below the value of
th,n
d
and that
a
n
d
exp(g
n
d
(
y
+ )) is larger than 1. Hence, it is necessary
to determine whether
(x y)
d|n
c
,n
d
is larger than 1 in (22). Here,
because
1
, . . . ,
y
and are independent and their pdfs are
known, we can obtain the pdfs of
y
+ through the convolu-
tion of pdfs. Thus, it is mathematically tractable to determine
whether
(x y)
d|n
c
,n
d
is larger than 1 when calculating the mean of
(x y)
d|n
c
,n
d
.
Thus, we can obtain the values of the state transition proba-
bility for given n
c
and n
d
using (19)(24), and we represent the
values of the state transition probability for given n
c
and n
d
as
(s)(t)
(n
c
, n
d
). Eventually, we can obtain the values of (16) for
a given n
d
as follows:
(s)(t)
(n
d
)
=
_
M
n
c
=1
Pr(n
c
|n
d
)
n
c
,n
d
R
n
d
(s)(t)
(n
c
,n
d
)
M
n
c
=1
Pr(n
c
|n
d
)
n
c
,n
d
R
n
d
, if x = 0
M
n
c
=1
Pr(n
c
)
n
c
,n
d
R
n
d
(s)(t)
(n
c
,n
d
)
M
n
c
=1
Pr(n
c
)
n
c
,n
d
R
n
d
, if x 1
(25)
where
(s)(t)
(n
d
) denotes the state transition probability from
any state s to any state t in (16) for a given n
d
.
We dene a one-by-(N
2
r,max
+ N
r,max
+ 3) state probability
vector as
= [
00

1
0

11

2
0

N
r,max
N
r,max

S

F
].
(26)
Our DTMC model is reducible because it includes ab-
sorbing states, such as Success and Fail states [28]. States
other than absorbing states are called transient states.
Thus, the steady-state probability of transient states is al-
ways 0 (
00
=
1
0
=
11
=
2
0
= =
N
r,max
(N
r,max
1)
=
N
r,max
N
r,max
= 0). Many characteristics of the reducible
DTMC model are already known, and we utilize these re-
sults [28].
To begin, we dene the following state transition
submatrices:
Q (N
2
r,max
+N
r,max
+1)-by-(N
2
r,max
+ N
r,max
+ 1) state
transition matrix from transient states to transient states;
_
_
Pr {(0, 0) (1,
0)} = E
_
(0)
c
_
Pr {(0, 0) (1, 1)} = E
_
(1
(0)
c
)
(00)
d
_
Pr {(0, 0) Success} = E
_
(1
(0)
c
)(1
(00)
d
)
_
Pr {(x, y) (x + 1, y)} = E
_
(x)
c
_
, for 1 x N
r,max
1; 0 y x 1
Pr
_
(x, y) (x + 1, y + 1)
_
= E
_
(1
(x)
c
)
(x y)
d
_
, for 1 x N
r,max
1; 0 y x 1
Pr {(x, y) Success} = E
_
(1
(x)
c
)(1
(x y)
d
)
_
, for 1 x N
r,max
; 0 y x 1
Pr {(x, y) Fail} = E
_
(x)
c
+ (1
(x)
c
)
(x y)
d
_
, for x = N
r,max
; 0 y N
r,max
1
Pr {(x, y) (x + 1, y)} = E
_
(x)
c
_
, for 1 x N
r,max
1; 1 y x
Pr {(x, y) (x + 1, y + 1)} = E
_
(1
(x)
c
)
(xy)
d
_
, for 1 x N
r,max
1; 1 y x
Pr {(x.y) Success} = E
_
(1
(x)
c
)(1
(xy)
d
)
_
, for 1 x N
r,max
; 1 y x
Pr {(x, y) Fail} = E
_
(x)
c
+ (1
(x)
c
)
(xy)
d
_
, for x = N
r,max
; 1 y N
r,max
(16)
R (N
2
r,max
+ N
r,max
+ 1)-by-two state transition matrix
from transient states to absorbing states;
I
2
two-by-two identity matrix (state transition matrix from
absorbing states to absorbing states).
Thus, using Q, R, and I
2
, we can dene the state transition
matrix P as
P =
_
Q R
0 I
2
_
(27)
where 0 is an (N
2
r,max
+ N
r,max
+ 1)-by-two zero matrix.
The fundamental matrix E in our reducible DTMC model is
given as
E = (I
r
Q)
1
(28)
where r = N
2
r,max
+ N
r,max
+ 1, and I
r
denotes an r-by-r
identity matrix. Generally, each element of the fundamental
matrix denotes the average number of visits to transient states
before transiting to any absorbing state. In other words, the
(i, j) element of Edenotes the average number of visiting states
j until transiting to any absorbing state when starting at state i.
In particular, the sum of the ith row elements of fundamental
matrix E (i.e.,

r1
j=0
E
ij
) denotes the average number of total
transitions until being absorbed into either a Success or a Fail
state when starting at transient state i. Thus, we can say that
the value of
r1
j=0
E
ij
is the average number of transmissions.
Thus, when the MCS level n
d
of a data packet at the initial
transmission is used, we can obtain the average number of
transmissions

N
n
d
as
r1
j=0
E
i,j|n
d
, where E
1,j|n
d
denotes the
(i, j) element of matrix E when the MCS level of a data packet
at the original transmission is n
d
. Therefore
N =
M
n
d
=1
N
n
d
Pr(n
d
)
M
n
d
=1
Pr(n
d
)
. (29)
Finally, we can derive the average spectral efciency

S
r
as
S
r
=
M
n
d
=1
1
N
n
d
Pr(n
d
) R
n
d

n
d
. (30)
Here,
n
d
is the average resource efciency when the MCS
level n
d
is used for the original transmission of data packets and
is obtained as follows:

n
d
=
1
N
n
d
M
n
c
=1
Pr(n
c
, n
d
)
M
n
c
=1
Pr(n
c
, n
d
)

n
c
,n
d
+

N
n
d
1
N
n
d
M
n
c
=1
M
n
d
=1
Pr(n
c
, n
d
)
M
n
c
=1
M
n
d
=1
Pr(n
c
, n
d
)

n
c
,n
d
(31)
where Pr(n
c
, n
d
) and
n
c
,n
d
are dened in (7) and (11),
respectively.
In addition, the residual PER can be obtained from an (N
2
+
N + 1)-by-two matrix A, which is dened as
A = (I
r
Q)
1
R. (32)
Here, the (i, j) element of A denotes the probability transit-
ing into absorbing state j when starting at transient state i. Be-
cause the state probability for the Fail state is equivalent to the
residual PER, when the MCS level at the original transmission
of data packets is n
d
, the residual PER is given as
F,n
d
= A
1,2|n
d
(33)
where A
1,2|n
d
denotes the (i, j) element of matrix A when
the MCS level of a data packet at the time of the original
transmission is n
d
. Hence, the average residual PER
res
is
derived as follows:

res
=
number of erroneous packets
total number of transmitted packets
=
M
n
d
=1
(1/

N
n
d
) Pr(n
d
) R
n
d

n
d

F,nd
M
n
d
=1
(1/

N
n
d
) Pr(n
d
) R
n
d

n
d
. (34)
IV. NUMERICAL RESULTS AND DISCUSSION
We now present numerical results for analyzing the perfor-
mance of the scheme that applies AMC to resource-allocation
messages for data services with truncated ARQ. We set at 0.03
the overhead factor that arises due to sending information
about resource allocation for AMC of control messages. Mobile
WiMAX systems [2] dene HARQ and SUB-MAP pointer_IE
as messages for the resource-allocation information for AMC
of control messages. Assuming that these messages are trans-
mitted using QPSK 1/12, can be set to a value between 0.03
and 0.04.
Figs. 5 and 6 show the effect of the target PER of control
messages on the performance of data transmission for short-
sized data packets (L
d
= 256, P
loss
= 0.01) and long-sized
data packets (L
d
= 1024, P
loss
= 0.001), in the system that
supports data services with truncated LARQ. These gures
show that for short-sized data packets, the spectral efciency
of data packets slowly increases as the target PER of control
messages increases, and the average residual PER is always
smaller than their permitted probability of packet loss. Para-
meters of L
d
= 256 bits and P
loss
= 0.01 for short-sized data
packets were selected for voice services with full rate. For
long-sized data packets, the spectral efciency of data packets
is not affected by the target PER of control messages, and it
is guaranteed that the average residual PER is always smaller
than their permitted probability of packet loss. Here, we set the
rightmost target PER values of control messages on curves to a
half of P
1/N
r,max
loss
, where P
1/N
r,max
loss
for short-sized data packets
has the value of 0.01, 0.1, or 0.2154 for N
r,max
= 0, 1, or 2,
respectively, whereas P
1/N
r,max
loss
for long-sized data packets has
the value of 0.001, 0.0316, or 0.1 for N
r,max
= 0, 1, or 2,
respectively. Thus, we can see that the rough setting of the target
PER of control messages to a half of P
1/N
r,max
loss
meets the PER
requirement of a session well. There may be an optimal value
of the target PER of control messages, which maximizes the
average spectral efciency and does not exceed the permitted
probability of packet loss. The optimal value is affected by the
ratio of the size of control messages to that of data packets, i.e.,
Fig. 5. Average spectral efciency versus target PER of control messages in a system supporting truncated LARQ.
Fig. 6. Average residual PER versus target PER of control messages in a system supporting truncated LARQ.
L
c
/L
d
. From these results, we may conclude that the rough
setting of the target PER of control messages to about 1/10 of
P
1/N
r,max
loss
provides good performance. Figs. 7 and 8 show the
average spectral efciency according to the average SNR for
short- and long-sized data packets, respectively, in a system that
supports truncated LARQ, when using this target PER value
for control messages (P
t,c
= 0.1 P
1/N
r,max
loss
) and setting the
target PER value for data packets (P
t,d
) to P
1/N
r,max
loss
. When
a data packet is short, the number of users per frame may be
large. In this case, the control overhead linearly increases as
the number of scheduled users increases. As shown in Fig. 7,
the transmission of control messages using xed modulation
and coding is very inefcient. When the SNR is 10 dB, the
scheme that applies just a xed MCS level, i.e., QPSK 1/12,
to the transmission control messages (NO-CONTROL-AMC
SCHEME) has about 25% of the spectral efciency of the ideal
scheme, which does not consider the signaling overhead. By
contrast, the scheme that applies AMC to control messages
Fig. 7. Average spectral efciency versus average SNR for short-sized data packets in a system supporting truncated LARQ.
Fig. 8. Average spectral efciency versus average SNR for long-sized data packets in a system supporting truncated LARQ.
(CONTROL-AMC SCHEME) has about 75% of the spectral
efciency of the ideal scheme. In addition, we can observe that
applying a xed MCS level and reducing the message size itself
by half (L
c
= 30) does not improve system performance much.
When a data packet is large, the number of users per frame may
be small, and the control overhead may be moderate compared
with when it is short, but the CONTROL-AMC SCHEME
still improves system performance by about 50% when the
SNR is 10 dB, as compared with the NO-CONTROL AMC
SCHEME, as shown in Fig. 8. Thus, we may conclude that for
reducing the signaling overhead, applying link adaptation, such
as AMC, to the transmission of control messages is much more
effective than just reducing its size. Figs. 9 and 10 compare the
average cell spectral efciency of each scheme for short- and
long-sized data services, respectively, when applying a single-
inputsingle-output (SISO) scenario in [29]. These results show
that the CONTROL-AMC SCHEME can increase the average
cell throughput by two to three times compared with the
Fig. 9. Comparison of average cell spectral efciency for short-sized data
packets in a system supporting truncated LARQ (L
d
= 256; required PER =
0.01).
Fig. 10. Comparison of average cell spectral efciency for long-sized data
packets in a systemsupporting truncated LARQ(L
d
= 1024; required PER =
0.001).
NO-CONTROL AMC SCHEME for short-sized data services,
such as VoIP. They were obtained under simulation environ-
ments considering path loss, multipath fading, shadowing, 1024
fast Fourier transform partially used subchannelization mode,
and 19 hexagonal three-sector cells [29].
The performance of the system that supports data services
with truncated HARQ according to the target PER for control
messages is shown in Figs. 11 and 12. The rightmost target
PER values of control messages on curves in these gures
are set to a half of P
1/N
r,max
loss
, which is similar to the case of
truncated LARQ. For short-sized data services with L
d
= 256
and P
loss
= 0.01, a relatively large target PER for control mes-
sages (about 1/2 of P
1/N
r,max
loss
) provides good performance with
respect to spectral efciency. By contrast, the residual PER of
data packets continuously increases as the target PER of control
messages increases, but it still meets the permitted probability
of packet loss. A large target PER for control messages may
decrease the gain of CC, because the frequent transmission
of control messages that contain errors reduces the probability
that errors in data packets will be detected. For long-sized data
services with L
d
= 1024 bits and P
loss
= 0.001, the target PER
for control messages does not affect the spectral efciency of
the system when the target PER value of control messages
does not exceed about 1/2 of P
1/N
r,max
loss
. This is because the
size of control messages is relatively small compared with that
of data packets. However, the residual PER of data packets
increases as the target PER for control messages increases (but
it remains below the permitted probability of packet loss). The
reason is the same as the case for short-sized data. From these
results, to obtain better performance with HARQ, we need
to set the target PER for control messages to a value below
about 1/100 of P
1/N
r,max
loss
, as shown in Figs. 11 and 12. In
the case of truncated LARQ, an approximate setting of the
target PER for control messages to about 1/10 of P
1/N
r,max
loss
provided good performance. Figs. 13 and 14 show the average
spectral efciency of data packets according to the average
SNR for L
d
= 256 bits and L
d
= 1024 bits, respectively, when
using this target PER value for control messages (P
t,c
= 0.01
P
1/N
r,max
loss
) and setting the target PER value of data packets
(P
t,d
) to P
1/N
r,max
loss
. Similar to the case of truncated LARQ,
because the short-sized data services, such as VoIP, may result
in there being many users per frame, the control overhead
when using xed modulation and coding is very severe. In
this case, using AMC for control messages works well, as
shown in Fig. 13. By contrast, for long-sized data services, the
control overhead when using xed modulation and coding is
relatively moderate, but using AMC for control messages still
provides much better performance, as shown in Fig. 14. We can
also see that using AMC for control messages in systems that
support truncated HARQ increases the average cell throughput
by about 250% and 60% for short- and long-sized data services,
respectively, when applying a SISO scenario in [29]. When
applying this AMC to the transmission of control messages
and data packets, the channel estimation error has a very
important effect on system performance. However, because
the target PER of control messages is set to a value much
less than that of data packets (e.g., 1/10 of the target PER
of data packets when considering truncated LARQ and 1/100
of the target PER of data packets when considering truncated
HARQ), we can say that the transmission of control messages
is much more robust to the channel estimation error or feedback
error than the transmission of data packets. In addition, as
aforementioned, this channel feedback may cause some uplink
overhead. However, applying AMC to control messages does
not cause any additional channel feedback overhead over and
above applying it to data packets alone. Furthermore, the AMC
information for control messages can be transmitted using far
fewer resources than that for data packets, whose effect could
be modeled as (11). Thus, applying AMC to the transmission of
control messages is a very useful way of reducing the signaling
Fig. 11. Average spectral efciency versus target PER of control messages in a system supporting truncated HARQ.
Fig. 12. Average residual PER versus target PER of control messages in a system supporting truncated HARQ.
overhead without introducing much complexity or requiring
additional feedback information.
So far, we have analyzed the performance of the AMC
transmission of the control messages in the case of truncated
LARQ and type-I HARQ (CC). This AMC transmission of
the control messages can also apply to systems that support
truncated type-II HARQ (IR). In general, the size of retrans-
mitted packets in the case of IR may be smaller than that in
the case of CC because CC retransmits the original packets,
whereas IR retransmits only the parity packets. In addition,
IR performs better than CC but needs more signaling than CC
because it has to include more information about retransmission
parity blocks. Thus, IR control messages are bigger than CC
control messages, and IR may eventually cause more signaling
Fig. 13. Average spectral efciency versus average SNR for short-sized data packets in a system supporting truncated HARQ.
Fig. 14. Average spectral efciency versus average SNR for long-sized data packets in a system supporting truncated HARQ.
overhead than CC. Thus, we can expect that applying AMC
to the control messages in the case of IR will still show very
good performance, and it has the potential to be more usefully
utilized in the case of IR than CC. In conclusion, AMC of
control messages performs very well for all of truncated LARQ,
CC, and IR, and in particular, when the number of users per
frame may be large, this can be very usefully applied to short-
sized packet services, such as VoIP.
V. CONCLUSION
Conventionally, the lowest and xed MCS levels are used
for control messages to ensure the robust transmission of
resource-allocation information. However, this causes severe
control overhead when the number of users per frame is large
(e.g., VoIP services) in systems that support dynamic resource
sharing. In this paper, we have examined an AMC scheme
for control messages for resource allocation. For systems that
support data services with truncated LARQ, we veried that
AMC increases system throughput and meets the target loss
probability of data packets well, and we showed that the target
PER of resource-allocation messages can be set to about 0.1
that of a data packet. For systems that support truncated HARQ,
we analyzed the spectral efciency and residual PER of data
packets by using reducible DTMCs. In systems that support
truncated HARQ, a large target PER for control messages may
reduce the gain of CC, because errors in control messages make
it impossible to detect errors in data packets. Thus, if we try
to obtain better performance through HARQ, it is necessary to
set the target PER for control messages to a value under about
0.01 that of a data packet. This increases spectral efciency and
meets the permitted probability of packet loss. Thus, we can
conclude that applying AMC to the transmission of resource-
allocation messages is very useful for reducing the control
overhead. In particular, it performs very well for short-sized
data services, such as VoIP.
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Taesoo Kwon (S01M07) received the B.S., M.S.,
and Ph.D. degrees in electrical engineering and com-
puter science from the Korea Advanced Institute of
Science and Technology (KAIST), Daejeon, Korea,
in 2001, 2003, and 2007, respectively.
Since 2007, he has been with Samsung Elec-
tronics, Yongin, Korea, where he has been engaged
in research on beyond 4G wireless communication.
His research interests include radio resource man-
agement, cross-layer protocol design, performance
analysis, and system simulation in wireless commu-
nication systems.
Dong-Ho Cho (M85SM00) received the B.S. de-
gree in electrical engineering from Seoul National
University, Seoul, Korea, in 1979 and the M.S. and
Ph.D. degrees in electrical engineering from the
Korea Advanced Institute of Science and Technol-
ogy (KAIST), Daejeon, Korea, in 1981 and 1985,
respectively.
From 1987 to 1997, he was a Professor with the
Department of Computer Engineering, Kyung Hee
University, Seoul. Since 1998, he has been with
KAIST, where he is a Professor with the School
of Electrical Engineering and Computer Science. In addition, he has been
a Director of the KAIST Institute for Information Technology Convergence
since 2007. His research interests include wireless communication networks,
protocols, and services.

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