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Channel Estimation for MIMO-OFDM Systems

Employing Spatial Multiplexing


Jaekyun Moon and Hui Jin Taehyun Jeon and Sok-Kyu Lee
Department of Electrical and Computer Engineering Electronics and Telecommunications Research Institute
University of Minnesota

Abstract— Multiple-input multiple-output (MIMO) communi- [5]–[8]. In this work we develop a channel estimation al-
cation methods based on orthogonal frequency division mul- gorithm for MIMO-OFDM systems with the constraint that
tiplexing (OFDM) and spatial multiplexing (SM) can lead to the preamble structure complies with the IEEE 802.11a high
a substantial improvement in the throughput performance of
many existing wireless channels. The main strength of MIMO speed WLAN standard [15]. The motivation for this lies in the
systems based on SM is their ability to support very high data development of a modem architecture well suited for the next
rates. Accurate channel estimation is essential in realizing the generation MIMO-OFDM based WLAN PHY standard that
full performance potential of MIMO-OFDM. Channel estimation would be backward-compatible to the legacy IEEE 802.11a
also becomes a major challenge as the number of parallel wireless and 802.11g standards [15], [16]. In addition to the use of
links increases substantially with the number of antennas at the
transmitter and receiver. In this paper we develop a channel the preamble and signal field symbol defined in the 802.11a
estimation algorithm well suited for MIMO-OFDM based on the PHY standard, soft symbol decisions generated during the
same preamble and signal field structure of the IEEE 802.11a data portion of the packet are used in improving the channel
standard, the current single-input single-output wireless local estimates in a sequential and decision-directed mode. It is
area network (WLAN) standard. This constraint is motivated shown that this approach is capable of estimating the channel
by the backward compatibility requirement of the upcoming
IEEE 802.11n standard, the next generation WLAN standard responses of all sixteen parallel wireless links associated with
that is currently being developed. In addition to the training a 4×4 SM configuration with a sufficient accuracy.
symbol and the signal field symbol, we make use of the soft
symbol information available in the data portion of the packet II. OFDM WITH S PATIAL M ULTIPLEXING OVER
in updating the channel estimate in a sequential and decision W IRELESS C HANNELS
directed fashion. It is shown that when this approach is tested
against a 4×4 (4 transmit antennas and 4 receive antennas) A spatial multiplexing system with Nt transmit antennas
SM configuration, the channel responses of all sixteen parallel and Nr receive antennas utilizing OFDM is shown in Fig. 1.
wireless links can be estimated with sufficient accuracy, starting Both spatial diversity and frequency diversity are exploited
with only one OFDM training symbol.
Index Terms—MIMO-OFDM, spatial multiplexing, channel using the convolutional error correction code combined with
estimation, soft symbol information bit-level interleaving. The size of the interleaver is dictated
by tradeoff between performance, which is reflected in the
I. I NTRODUCTION interleaver gain in the iterative demapping and decoding
strategy employed here, and latency/complexity.
Combining MIMO systems with orthogonal frequency divi-
sion multiplexing (OFDM) can provide high spectral efficiency t1[n, k ]
in rich scattering environments such as indoor wireless local s1[n, k ]
IFFT
area networks. MIMO-OFDM systems can effectively exploit
frequency diversity of frequency selective channels as well bl al
cl
as spatial diversity of uncorrelated parallel wireless links. Bit ECC Interleaver Modulator S/P converter
t Nt [n,k]
interleaved coded modulation (BICM) [1] used in conjunction
IFFT
with MIMO-OFDM and spatial multiplexing (SM) is particu- s N t [ n, k ]

larly effective in exploring both spatial diversity and frequency


selectivity without significant design efforts, and is well-suited Fig. 1: Block diagram of a baseband SM-OFDM system
for achieving very high data rates [2]–[4].
Accurate channel estimation is critical in realizing the full We use the iterative demapping and decoding (IDD) method
performance potential of MIMO-OFDM systems. In addition, described in [9], a turbo-equalization-like strategy that iterates
channel estimation becomes a major challenge as the number soft information between the soft-input soft-output (SISO)
of channel responses that need be characterized increases demapper and the SISO outer decoder. As shown in Fig. 2, the
substantially as the number of transmit and receive antennas difference between the a priori and the a posteriori informa-
increases. Previous works exist that identify desirable training tion of the coded bits, which is called extrinsic information, is
patterns for estimating channel responses for MIMO systems passed between the SISO demapper and the SISO decoder. The
details of the channel estimator, the focus of this paper, will be layered MIMO architecture, and in [12] for turbo equalization
discussed in the next section. The carrier phase and frequency of intersymbol interference channels. To boost performance
recovery scheme is discussed elsewhere in detail [14]. The beyond what can be achieved by the full SDF method, how-
ever, we combine SDF with the reduced trellis search method
rk Phase/CFO
FFT
of [12], so that the resulting complexity/performance varies
Compensator Initial Channel
Estimator from that of the optimal maximum a posteriori probability
(MAP) detector to that of the SDF detector, depending on the
Channel Ĥ depth of the state variable used to control the size of the trellis.
Estimator
To reduce the latency caused by iteration, we limit the
interleaving and coding to over just one (parallel) OFDM
Decision
symbol period. Our simulation experience indicates that this
Π −1
Soft
Soft Decoder

Demapper causes only a small performance loss compared to the ideal
case where interleaving and coding are over the whole packet.

Π
III. C HANNEL E STIMATION
Fig. 2: Block diagram of a receiver based on IDD and
soft-decision-directed channel estimation For the channel estimation purposes, we assume that the
carrier frequency/phase offset has already been compensated.
suboptimal soft-demapping scheme is briefly described in this We first discuss initial channel estimation based on the pream-
section. ble and the signal field symbol. We then show how the channel
For the time being, assume that the channel response is estimate can be improved in a sequential and decision-directed
estimated correctly and the carrier frequency and phase offsets fashion using soft symbol decisions.
have been compensated. For a given OFDM symbol and a
particular frequency bin, the received signal at the FFT output A. Initial Channel Estimation Based on Training Symbol
T
can be written as z = Hs + n where z = (z1 , z2 , · · · , zNr ) , In practical wireless systems, there typically are some
H is the channel response matrix associated with all transmit preamble symbols in each transmitted packet to allow initial
and receive antenna pairs with its (i, j)th element correspond- channel estimation (as well as estimation of other parameters
ing to the channel response between the j th transmit antenna such as carrier frequency offset). Here we assume an OFDM
T
and the ith receive antenna, s = (s1 , s2 , · · · , sNt ) are the training symbol based on pseudo-random binary phase-shift-
T
transmitted symbols, and n = (n1 , n2 , · · · , nNr ) are additive keying (BPSK) symbols as the preamble. The preamble format
white Gaussian noise (AWGN) samples with zero mean and assumed here is the same as that of the “long” preamble
variance N0 . Assuming Nr ≥ Nt , the Nr × Nt matrix H can pattern used in the current IEEE 802.11a standard [15].
be decomposed using QR factorization as H = QR where Q While there are two long preamble symbols specified in the
is an Nr × Nt unitary matrix such that QQH = I (with the 802.11a standard (for easy channel estimation as well as fine
superscript H denoting the Hermitian transpose), and R is an carrier frequency offset estimation), here we use just one
Nt × Nt upper triangular matrix. After multiplying z by QH such symbol in validating our approach. Using one training
from left, we get symbol versus two apparently leads to a reduced overhead
and thus an improved throughput. However, to allow for
z0 = QH z = Rs + QH n (1)
backward compatibility of the MIMO architecture with the
where QH n still represents AWGN with the same mean and current 11a standard in the most straightforward way, the
variance as n. Since R is an upper triangular matrix, detection upcoming 802.11n standard might very well incorporate the
at each antenna can be carried out based on the decision same two long OFDM training symbols specified in the 11a
feedback principle. This is a well-established procedure first standard. Our view here is that once the proposed channel
discussed in the context of multiuser detection [10], and is estimation approach has been demonstrated to work well with
often referred to as successive interference cancellation or just one training symbol, it would be clear that the use of
spatial decision feedback equalization (DFE). two training symbols can only improve the performance. The
In our demapping strategy, we take advantage of reliable second training symbol can then be used to either reduce the
soft symbol information that is available from the outer SISO noise effect in the initial channel estimates obtained with just
decoder. Specifically, both the mean and variance of the one symbol or to increase the number of initially estimated
overall interference are calculated using the a priori symbol temporal channel taps for each sub-channel beyond that might
information fed back from the SISO decoder and the estimated be possible with one training symbol (see below for discussion
channel state information (CSI) from the previously processed on the number of channel taps that can be estimated initially).
antennas. The mean and variance so obtained are then used Our simulation results presented in this paper assumes just one
to compute the likelihood function necessary for the symbol BPSK-based preamble symbol. Fine carrier frequency offset
detection. This particular approach to soft decision feedback compensation technique based on only one OFDM training
(SDF) has been employed in [13] for detecting symbols in symbol has been discussed in [14].
With only a small set of training symbols, it is not possible estimated channel vector HˆP :
to obtain the initial channel estimate as described in [7],
where Nt different training symbols are needed to avoid Ĥ = W(QH Q)−1 QH ĤP . (7)
ambiguity among sub-channels. We adopt a straightforward In practical implementation, this interpolation is often ap-
transmission approach of using one antenna at a time (per proximated with only a small number of taps.
modulation symbol) during the training symbol period, and use Note that W(QH Q)−1 QH can be calculated offline and its
all Nt transmit antennas in a cyclic fashion, i.e., transmitter computation will not contribute to the overall complexity.
1, transmitter 2, · · · , transmitter Nt , transmitter 1, and so Note that with the cyclic transmission format of Fig. 3,
forth [17]. Fig. 3 illustrates cyclic transmission of the training 52 × Nr channel coefficients can be estimated at the receiver
symbol for Nt = 4 transmit antennas and 52 subcarriers (12 side, once the whole OFDM training symbol that contains 52
of 64 subcarriers are null carriers at DC as well as at side modulation symbols is transmitted. On the other hand, the
frequencies, following the 802.11a format). total number of temporal channel tap coefficients that need be
estimated is L × Nt × Nr , where L is the number of temporal
channel taps per sub-channel. This would mean that with one
OFDM training symbol, only L = (52 × Nr )/(Nt × Nr ) =
52/Nt taps can be estimated per sub-channel. Thus, for Nt =
4, this reduces to only 13 taps, less than 16 taps typically
assumed as the channel length (same as the cyclic prefix length
Fig. 3: Cyclic transmission of the OFDM training symbol specified for the IEEE 802.11a standard). However, we observe
that an initial channel estimate based only on 13 temporal taps
With this particular transmission format on the training per sub-channel provides a reliable enough starting point in our
symbol, the received signal at the ith antenna corresponding approach, wherein channel estimation continues in a decision-
to the j th transmit antenna at the nth frequency bin and k th directed mode well into the data portion of the packet.
OFDM symbol is
B. Improving Initial Channel Estimation Using the Signal-
zi [n, k] = Hji [n, k]sj [n, k] + ni [n, k] . (2) Field Symbol
In the 802.11a standard, training symbols are followed by
Applying the orthogonality principle, we get the well-known
another BPSK-based OFDM symbol that contains essential
form of the linear minimum mean-squared-error (LMMSE)
header information such as the data rate and packet length that
estimator:
need be decoded before the data portion of the packet can be
s∗j [n, k] processed. Since the signal field is also based on BPSK and
Ĥji [n, k] = zi [n, k] (3)
2
|sj [n, k]| + N0 /|Hji [n, k]|
2 protected by a stronger base code (whose rate is 1/2 whereas
the code rate for the data can be as high as 3/4), it can be
2
where the averaging of |Hji [n, k]| can be over n, k or both. decoded with a relatively high reliability and thus can also
Assume that the signal zi [n, k] is observed only at P particular be used in much the same way as the training symbol. Like
frequency bins with position indices {n1 , n2 , · · · , nP }. Let the extra training symbol available, the signal field symbol
L denote the length of the channel impulse response. Then can be used to either reduce the noise effect in the initial
L0 ≤ L temporal channel taps can be estimated, assuming channel estimates and/or to increase the number of initially
L0 ≤ P , as estimated temporal channel taps for each sub-channel. The
ĥ = (QH Q)−1 QH ĤP , (4) same transmission format of Fig. 3 is assumed for the signal
 T field symbol as well.
where ĤP = Ĥn1 , Ĥn2 , · · · , ĤnP and To utilize additional training symbols and/or the signal
field symbol, a sequential form of the linear minimum mean-
e−j2πn1 /K
e−j2πn1 (L0 −1)/K
 
1 ··· squared-error (LMMSE) algorithm is formed. The sequential
1  1 e−j2πn2 /K
e−j2πn2 (L0 −1)/K 
··· form of the estimator is particularly useful if there is any
Q= √   .
K  ··· ··· ··· ···
 time-varying component in the channel response. To avoid
1 e−j2πnP /K
e−j2πnP (L0 −1)/K
··· the cluttered notation, we drop most subscripts and indices,
(5) with an understanding that we are focused on a specific pair
An interpolation equation can then be formed by re- of transmit and receive antennas and a specific frequency bin.
lating the complete frequency channel vector Ĥ = The channel estimate for the k th OFDM symbol in the packet
  T
Ĥ1 , Ĥ2 , · · · , ĤK to ĥ: can then be written recursively as
Ĥ[k] = Ĥ[k − 1] + K[k](q[k] − Ĥ[k − 1])
Ĥ = Wĥ , (6)
M [k]
K[k] =
where W is the K-point FFT matrix, and thereby forming a M [k] + N0 /|s[k]|2
relationship between the complete Ĥ vector and the original M [k] = (1 − K[k])M [k − 1] , (8)
where Ĥ[0] = 0 and M [0] is an initial estimate for E(|H|2 ). Taking an average over s[k], this equation can be modified as
C. Sequential and Soft-Decision-Directed Channel Update Ĥ[k] = K[k]Ĥo + (1 − K[k])Ĥ[k − 1] , (13)
At the decoding stage, soft symbol information improves the where
the packet error rate (PER) performance. Simulation results X
indicate, as will be shown in the next section, that PER Ĥo = z̃[k]/s[k] · P (s[k]) . (14)
performance improves significantly through IDD iterations. s[k]
Initially, only the BPSK training and signal field symbols It is interesting to recognize that
and the pilot tones are available for channel estimation. After
one iteration soft symbol information fed back from the outer Ĥo = E(H[k]/z̃[k])
X
SISO decoder can be used to further improve upon the initial = E(H[k]/z̃[k], s[k])P (s[k]) , (15)
channel estimates. One difficulty in decision-directed channel s[k]
estimation during the data portion of the received packet is
that the received signal at a given antenna is composed of i.e., Ĥo is an optimal estimator of H given z̃[k] = H[k]s[k] +
symbols transmitted from different antennas and is affected by u[k]. Note that the estimator of (14) is basically a weighted
a multitude of parallel sub-channels. One way of resolving this sum of zero-forcing estimators.
is to cancel interference based on the soft symbol information The second equation of (8), the gain update equation of
and the most recent estimated channel response. For a given the sequential LMMSE estimator, can also be modified to
receive antenna, a specific frequency bin, and a particular incorporate the soft symbol decision:
OFDM symbol within the packet, the observed signal is K[k] = M [k]/ M [k] + σw 2

[k] . (16)
Nt
2
where σw [k] is the variance of the scaled noise u[k]/s[k], and
X
z= Hi si + n . (9)
i=1
can be written as (dropping the index k to reduce the notational
burden),
where si is the transmitted symbol at antenna i and Hi is the X
2
sub-channel coefficient for the link between the ith transmit σw = |u|2 P (s)/|s|2 . (17)
antenna and the assumed receive antenna. To estimate Hi , first s
define When the quality of soft decision is high, we can make an
Nt
approximation:
X
z̃m = z − Ĥi s̄i = Hm sm + um , (10)
X
2
σw = |u|2 P (s)/|s|2
i=1 s
i6=m
!
X
2
where Ĥi is the available up-to-date channel estimate (ei- ≈ |u|2 / P (s)|s|
ther from the initial channel estimation or estimation in the s
previous OFDM symbol period) and s̄i is obtained from = |u|2 /|s|2 . (18)
the “average” decision constructed P from the available soft
symbol information, i.e., s̄i = With this approximation, the gain update equation is modified
si si P (si ), with P (si )’s
approximated by the a posteriori probability set available at the to
 
soft decoder output, and um consists of both the additive noise K[k] = M [k]|s[k]|2 / |s[k]|2 M [k] + |u[k]|2 . (19)
nm and any potential error in the interference cancellation
process. The overall noise variance can be written as A variation of the estimate update equation is possible if
Nt
Ĥo in (13) is replaced by
X
|um |2 = N0 + |Ĥi |2 |si − s̄i |2 ,
 
(11) 2
X
Ĥ = s∗ [k]z̃[k]/ |s[k]|2 + |u[k]|2 /|H[k]| · P (s[k]) ,
i=1
i6=m s[k]
(20)
where the statistical average (·) is based on the a posteriori a LMMSE estimator derived for a fixed s and then averaged
probabilities P (si ). over s according to P (s). Another variation results if a
By using (10), we hope to eliminate the interfering symbols LMMSE estimator is derived assuming s is a random variable:
and sub-channel effects and apply soft channel estimation on  
2
each sub-channel separately. There are different possible ways Ĥ = s̄[k]∗ z̃[k]/ |s[k]|2 + |u[k]|2 /|H[k]| . (21)
to utilize the soft symbol decision for channel estimation
purposes. One possible approach is based on first replacing Our simulation experience indicates that different combina-
q[k] in the estimate update equation of (8) with q̃[k] = tions of the above variations on the current estimator equation
z̃[k]/s[k] to get and the gain update equation do not result in significant
performance differences. For the results reported in this paper,
Ĥ[k] = K[k]q̃[k] + (1 − K[k])Ĥ[k − 1] . (12) we simply choose the channel estimate update equation (13)
0
10
along with the current channel estimator (14) and the gain iter=3, perfect CSI
iter=0, perfect CSI
update equation of (19). When the soft decision quality is iter=3, pilots only
iter=3, pilots+BPSK training
reasonably good, |u|2 in (19) can simply be replaced by N0 , iter=3, using soft symbol info

as is done here (as will be discussed below, in this report we


incorporated soft decisions in the channel estimation process
only after the second IDD iteration at which time soft decisions

PER
−1
are quite reliable). 10

Throughout the development of the soft-decision-directed


channel estimation strategies and performance simulation, we
assumed that the channel matrix H is estimated and updated
for every new OFDM symbol in the packet and thus the
matrix UH is also updated for each OFDM symbol with QR
−2
decomposition redone for every new OFDM symbol. However, 10
12 14 16 18 20 22 24 26

in practical implementation, unless the channel varies by a SNR (dB)

large scale within a given packet, it would not be necessary


Fig. 4: PER performance with different channel estimators in
to perform signal decomposition and update UH anew for
a 2 × 2 16QAM SM-OFDM system using MAP detection
every OFDM symbol. A practical and more reasonable strategy
would be to perform the decomposition once and fix UH (i.e.,
the multiplication operation UH × z is based on the fixed
matrix UH that remains the same throughout the received as the total transmitter power (over all transmit antennas) to
packet), when the initial channel estimation is done at the end noise ratio. Optimal MAP detection is used in this case since
of the training and signal field symbols. The channel response the required complexity for 2 × 2 is manageable. Up to 3 IDD
update then can be performed on the R channel response iterations are performed in each case. With channel estimation
matrix directly. based on pilots only, the PER performance is about 3dB away,
at 1 percent PER, from the case of perfect CSI.
IV. S IMULATION R ESULTS For simulation of channel estimation based on pilots only,
Simulation is based on a fixed packet size of 512 bytes. The the following pilot transmission format is used. Assume that
OFDM signal format complies with the IEEE 802.11a PHY P can be divided by Nt so that P = Np Nt for some natural
standard [15] with K = 64 subcarriers, Ku = 48 modulated number Np . Then the ith transmit antenna only transmits pilot
subcarriers, and P = 4 pilot tones. The channel is modelled tones at frequency bins (i−1)K/P, (i−1+Nt )K/P, · · · , (i−
PL−1 −jΦ 1+(Np −1)Nt )K/P . This guarantees that in a given frequency
as hi,j [k] = n=0 αn e δ[k − n] where Φ is uniformly
distributed in [0, 2π) and αn is Rayleigh distributed with an bin, only one pilot tone can be transmitted. In this way, each
exponential power profile αn2 = (1 − e−Ts /Trms )e−nTs /Trms . sub-channel can be estimated separately using (8) and (7) (it is
Here Trms = 50ns, Ts = 50ns, and L = 16. The channel also proved in [8] that assigning pilots in this way is optimal
is assumed uncorrelated across the links established over in the capacity sense).
different pairs of transmit and receive antennas. As discussed, By using one BPSK OFDM training symbol for channel
we assume one OFDM BPSK-based training symbol and one estimation, the performance is improved somewhat, but not by
BPSK-based OFDM symbol for the signal field before the much. Once the soft information is incorporated in the channel
data portion of the packet starts in each packet. Initial channel estimation, the PER performance is improved significantly. In
estimation is based on both the training symbol and the signal our simulation, soft symbol information is incorporated into
field symbol. channel estimation only after the second iteration, when the
The convolutional code with code rate 3/4 is obtained by reliability of soft information is high.
puncturing the industry-standard rate 1/2 code with generator Also, we see that coding and interleaving over just one
polynomials g0 = 1338 and g1 = 1718 [15]. The code rate is OFDM symbol period do not result in much performance
1/2 over the signal field, complying with the 802.11a standard. degradation compared with coding and interleaving over the
As for the interleaver, either a pseudo-random interleaver whole packet, which is shown as the curve labeled by “perfect
or a spatial extension of the structured interleaver specified in CSI & long interleaver”.
[15] performs well. Here we use a pseudo-random interleaver In Fig. 5, we apply a suboptimal reduced-trellis SDF
of [18]. Coding and bit-level interleaving are applied to the demapper of depth 1 to a 4 × 4 SM-OFDM with 64QAM
bits contained in a total of Nt × 64 modulations symbols, constellation. This configuration delivers a data rate of 216
including the null subcarriers, at a time. This is equivalent to Mbps. Again we see that with channel estimation based on
all bits transmitted in one full OFDM period. pilots only, the PER performance is far from the ideal case. By
In Fig. 4, we consider a 2×2 SM system (referred to as 2×2 using one BPSK training symbol and the BPSK signal field,
SM-OFDM) with 16QAM constellation. This system provides the improvement is significant. When soft symbol information
a data rate of 72 Mbps. PER performances with different is used in addition, the performance approaches the ideal CSI
channel estimation strategies are shown. The SNR is defined case within a fraction of a dB. Again, coding and interleaving
0
10
iter=3, perfect CSI
iter=0, perfect CSI
of uncorrelated channel coefficients and using a suboptimal
iter=3, pilots only
iter=3, pilots+BPSK training+signal field soft demapping scheme based on a reduced trellis and SDF as
iter=3, using soft symbol info
well as IDD. It is shown that all 16 sub-channels are estimated
with such high accuracy that PER degradation is only a small
fraction of a dB away from the case of perfect CSI.
PER

−1
10

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information improves the quality of the channel estimate IEEE Std 802.11a-1999 (Supplement to IEEE Std 802.11-1999).
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(PHY) specifications-amendment 4: further higher-speed physical layer
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A channel estimation scheme for MIMO-OFDM with spa- [17] I. Barhumi, G. Leus, and M. Moonen, “Optimal training sequences for
tial multiplexing has been proposed that relies on the use of channel estimation in MIMO OFDM systems in mobile wireless chan-
just one OFDM training symbol and the signal field symbol nels,” Proc. Intl. Zurich Seminar on Acess, Transmission, Networking of
Broadband Communications, pp. 44-1–44-6, ETH Zurich, Switzerland,
to get an initial channel estimate. The training and signal Feb., 2002.
field symbols used are specified in the same way as in [18] C. Berrou, A. Glavieux, and P. Thitimajshima, “Near Shannon limit
the existing IEEE 802.11a standard. Soft symbol information error-correcting coding and decoding: turbo codes,” Proc. IEEE Conf.
Communications, pp. 1064-1070, Geneva, Switzerland, May, 1993.
made available by the soft-in soft-out decoder is then used in a
sequential, decision-directed mode to improve upon the initial
estimate. Possible ways of utilizing soft symbol information in
the sequential channel estimation have been discussed. In one
instance, a 4 × 4 SM OFDM system that yields an aggregated
data rate of 216 Mbps has been tested under the assumption

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