Signal Processing 82 (2002) 417 431

www.elsevier.com/locate/sigpro

Advanced ICA-based receivers for block fading DS-CDMA

channels
Tapani Ristaniemi , Jyrki Joutsensalo
Department of Mathematical Information Technology, University of Jyvaskyla, P.O. Box 35 (Agora),
FIN-40351 Jyvaskyla, Finland
Received 4 September 2000; received in revised form 19 April 2001

Abstract
In this paper we propose two types of receivers, which perform blind interference suppression. The receivers are suitable
for the third generation mobile communications systems, which are based on direct-sequence code division multiple access
(DS-CDMA). We especially consider the statistical technique called independent component analysis (ICA) as a tuning
element attached to an existing single-user or blind multiuser detector. By doing this, the statistical independence of the
users signals can be exploited. In addition, it makes it possible to alleviate the performance drop due to the erroneous
parameters estimation in the receiver. From the ICA point of view, the receiver observes a mixture of users original signals,
determined by the user-speci7c spreading codes, the data symbols, and the state of the propagation channel. Since all of them
might be complex valued by nature, complex ICA is needed. In the paper, a proof of global convergence is given for the
kurtosis-based FastICA algorithm in the case of complex valued source signals with circular distribution, and considered as
the ICA component of the advanced receivers. Two types of receivers, RAKE-ICA and MMSE-ICA, are proposed and studied
in a Rayleigh block fading channel. Extensive numerical simulations indicate that the performance of RAKE and subspace
MMSE detector, respectively, can be greatly improved. Quite signi7cantly, their performance is close to the theoretical bound
of an equal length MMSE detector. ? 2002 Elsevier Science B.V. All rights reserved.
Keywords: Code division multiple access; Independent component analysis; Blind multiuser detection; Block fading channel

1. Introduction
Code division multiple access (CDMA) technology
is a strong candidate for the evolving wireless communications systems. Wideband CDMA (WCDMA) has
already been selected for an air interface solution e.g.
in UMTS, which will provide a multitude of services,
especially multimedia, and high bit rate packet data.

Corresponding author. Tel.: +358-14-260-2727; fax:

+358-14-260-4981.
E-mail addresses: riesta@mit.jyu.7 (T. Ristaniemi),
jyrkij@mit.jyu.7 (J. Joutsensalo).

The existing commercial spread spectrum systems are

based on long spreading codes, where the period of
the code sequence is much longer than the duration of
a symbol. However, along with the demand for higher
data rates, also short code modes, e.g. time-division
duplex (TDD) mode in WCDMA [7], are becoming a
reality.
In CDMA systems the users share the same frequency band, and thus a good care must be taken
to limit mutual interference. In principle, orthogonal codes would be the simplest solution. However,
orthogonality between the users is destroyed e.g. by
multipath propagation. This is why the traditional

0165-1684/02/$ - see front matter ? 2002 Elsevier Science B.V. All rights reserved.
PII: S 0 1 6 5 - 1 6 8 4 ( 0 1 ) 0 0 1 9 4 - 3

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T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

RAKE receiver [20] might be inadequate, even in

the absence of background noise. Multiuser detection (MUD) is a technique which tries to exploit
the structure of interference to be able to suppress
it. Optimal MUD [25], however, is computationally
exhausting, and requires several system parameters
to be known. As a consequence, many suboptimal
multiuser receivers and adaptive multiple access interference (MAI) suppression techniques have been
studied extensively during the past 10 years [8,15,26
29]. These techniques only utilize second order
statistics. However, the assumption of independence
is also realistic, which can be utilized e.g. in constant
modulus (CM) algorithms [4,17].
A more general approach than CM is a statistical technique called independent component analysis
(ICA) [5,10,13]. Recently, ICA and the closely related
blind source separation (BSS) problem have attracted
a lot interest both in statistical signal processing and
neural network communities. Several good algorithms
utilizing higher-order statistics either directly or indirectly via suitable nonlinearities are now available for
solving the basic linear ICA=BSS problem [1,19]. ICA
is mainly considered for real valued signals, whereas
complex ICA is addressed less frequently [2,3,18]. In
practice, however, the signal to be processed is often complex valued. This problem arises by nature in
the reception of a CDMA system. This is because the
spreading code might be complex valued, as well as
the symbols depending on the data modulation. In
addition, the received signal strengths, which characterize channel variations in time, are modelled as
complex valued fading processes.
There exists many motivating reasons to use the
means of ICA in the reception of a CDMA system.
First of all, ICA provides a near-far resistant receiver,
being able to resist strong interferences. Resistance
is achieved by ICA quite naturally, since ICA only
requires the source signals to be statistically independent, but their strengths are allowed to diIer. In
CDMA the sources are, roughly speaking, users symbol streams, and it is hence reasonable to assume that
they are independent. Near-far resistance is one of the
key requirements of a receiver, and it becomes even
more important as there is a demand for higher data
rates. This is because many solutions for higher data
rates, e.g. smaller spreading factors, and higher symbol constellations, tend to worsen the near-far situation

either directly or indirectly via e.g. power control imperfections. Secondly, the propagation delay and the
state of the channel should be estimated prior to actual
symbol estimation. For subspace-type receivers also
the estimation for the model order should be available.
The estimation of these parameters will always include
some measurement errors, which degrade the accuracy of symbol estimation. ICA, on the other hand,
does not need that precise knowledge of the systems
parameters, since the estimation is based purely on
the (higher order) statistical properties of the signal.
Therefore, with ICA we should expect some robustness against erroneous parameter estimation. Thirdly,
an ICA block can be used as an add-on feature, to
be attached to any existing receiver structure. This
makes it possible to consider hybrid receiver structures, in which the ICA block could be intelligently
activated only when it is expected to improve performance.
In this paper, we consider ICA to assist the symbol
estimation and interference suppression in DS-CDMA
systems by attaching an ICA block to RAKE [20]
and a subspace-type MMSE receiver [28]. The goal
is hence to exploit the independence of the source
signals, which is not possible by RAKE nor MMSE
detector alone. In addition, it gives the possibility to
compensate for any performance loss caused by erroneous propagation delay or channel estimation, which
are prerequisite tasks for conventional receivers. FastICA [3,9], which is one of the most promising ICA
methods, is especially considered as the ICA block
of the receivers. The contribution of the paper is
two-fold. Firstly, a proof of global convergence is
given for the complex FastICA algorithm [3], when a
cubic nonlinearity is used. Then two types of receiver
structures, namely RAKE-ICA, and MMSE-ICA, are
proposed. They consist of a RAKE receiver [20] and
a subspace MMSE detector [28], respectively, followed by receiver adjustment by FastICA. Numerical
experiments are included, when the CDMA downlink
channel is Rayleigh block fading. Compared to RAKE
and the subspace MMSE detector, respectively, signi7cant improvements in bit- and block-error-rates
are achieved. Quite signi7cantly, their performance
is close to the theoretical bound of an equal length
MMSE detector.
The rest of the paper is organized as follows. In
the next section we discuss ICA and its application to

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

CDMA. The data model is presented in Section 3. The

ICA-based receiver structures are proposed in Section 4, followed by numerical experiments in Section
5. Section 6 summarizes the paper.

2. Independent component analysis and CDMA

Independent component analysis (ICA) is a statistical technique where the goal is to represent a set
of random variables as a linear transformation of statistically independent component variables. The main
application of ICA is blind source separation (BSS)
problem, which has become an attractive 7eld of research in the statistical signal processing and neural
network communities. The growing interest in ICA
is mainly due to emerging new practical application
areas, where the assumption of independence is both
realistic and powerful.
In the conventional ICA approach, the data are assumed to have a linear form
rm = Gbm + nm ;

(1)

where rm is the mth observed data vector, G is an

unknown full rank mixing matrix (even its parametric form is unknown), bm is a realization of an unknown non-Gaussian source, and nm is a realization
of a noise process. A goal is to estimate the original
source process bm given only the observation rm , and
the assumption of the independence of the sources.
This means that a set of 7lters w1 ; w2 : : : should be estimated such that the 7ltered (i.e. separated) source
processes w1H rm ; w2H rm : : : are independent, or in practice as independent as possible.
The basic feature of any ICA method is that it is
able to estimate a set of independent source signals,
but the order of those is somewhat unpredictable. If the
ICA method is hierarchic, the sources tend to become
estimated in the order of decreasing non-Gaussianity
(cf. [3]), but this is not in general enough to identify
each source. With a CDMA communication application in mind, it is thus not meaningful to apply ICA
on its own, since the source signals are well identi7ed
by the spreading codes. Rather, it would be meaningful to consider ICA as an additional element, attached
to some existing receiver structure. The existing receiver would perform the task of user identi7cation,

419

after which
ICA would oIer additional interference suppression
capability, since also the independence of the source
signals is utilized.
ICA would mitigate the performance drop due to
erroneous timing and channel estimation.
ICA block could be activated only when it is expected to improve performance.
One of the most promising solution for the linear
ICA=BSS problem is FastICA [9] due to its simplicity and fast convergence. The algorithm is actually a
neural network learning rule transformed into a very
eMcient 7xed point iteration, which does not depend
on any user-de7ned parameters. FastICA has been applied to the blind interference suppression in CDMA
for the 7rst time in [11], and later on in [12,2124].
Prior information can be utilized directly by adding
additional constraints for the ICA iterations, or indirectly by a proper initialization of the ICA iteration.
The method in [24] is an example of the former case,
where the ICA-solution of FastICA was forced to belong to the same space as subspace MMSE 7lter. In
[22,23], proper initializations by dedicated pilot symbols or matched 7lter output, respectively, were considered. In those papers ICA was performed for real
valued signals, i.e. only for either I- or Q-branch,
which naturally leads only to a suboptimal solution.
In this paper, some of the former ideas are further
re7ned towards more practical ICA-based receivers,
which can handle complex valued signals and activate
the ICA block intelligently.
3. Data model
The channel model studied in this paper is a
DS-CDMA downlink (e.g. base to mobile) multipath channel model, which is depicted in Fig. 1. In
direct sequence (DS) CDMA each user spreads its
narrowband information signal in frequency by direct
sequence modulation before transmission via common channel. The spreading code is user-speci7c,
and thus identi7es each user in the system. The data
in the observation interval have thus the form


M

L
K




T
+ n(t);
r(t)=
bkm
aml sk t mT dl
C
m=1 k=1

l=1

(2)

420

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

1

x(t)

a (t)
1

a (t)
2

X
+

a (t)
3

X
+

r(t)

AWGN

Fig. 1. Channel model (L = 3 paths). x(t) is the data to be sent,

z d stands for delaying by d chips, ai (t) denotes path i attenuation
in time.

in which M symbols are sent to K users, and received

via L paths. The mth data symbol of the kth user is
denoted by bkm . sk () is the kth users binary chip
sequence, supported by [0; T ), where T is the symbol duration. For notational simplicity, the path delays
are assumed to be discretized, and hence dl {0; : : : ;
(C 1)=2}. The delays are assumed to remain constant during the block of M data symbols. n(t) denotes
additive white gaussian noise (AWGN). The complex
coeMcient of the path l during the symbol m is denoted by aml .
Throughout the paper we assume Rayleigh block
fading channel. This is to say, the envelope of a fading
process of each path is Rayleigh distributed and varies
slowly compared to the data rate. The latter means
that the coherence time of the channel is much longer
than duration of a symbol, so that the channel is essentially constant during a block of symbols. This scenario arises when high data rates are used and=or users
have low mobility (e.g. indoor environment). As an
example of a slowly fading channel, assume a mobile
speed v = 3 km=h, a carrier frequency fc = 2:0 GHz
and a symbol rate 1=T =16 kbits=s. Then the maximum
Doppler spread equals fd = v=clight fc = 5:56 Hz, and
consequently, the channel coherence time is Tcoh
1=fd = 0:18 s, which is much longer than duration of
a symbol T = 62:5 s. Fig. 2 shows the autocorrelation function of the channel in this case, from which
it is seen that the states of the channel are highly correlated within a period of, say, 200T .

Normalized correlation

0.5

_ 0.5
0

500

1000 1500 2000 2500 3000 3500 4000 4500 5000

Delay [symbol intervals]

Fig. 2. An example of autocorrelation function of a slowly fading

channel.

As the continuous-time data is received, it is 7rst

sampled by chip-matched 7ltering. Here we use chip
rate sampling, so C equispaced samples are taken from
consecutive time intervals of T seconds, where C is the
processing gain. Sampled data can then be processed
using suitable size of a window. For synchronous data,
propagated through a single-path channel, a window
size of T is suMcient for near-far resistant demodulation. This is because symbols of desired and interfering transmissions fall entirely to the window. In case
of multipaths the window can be enlarged to collect all
the symbols energy of the desired transmission from
diIerent paths.
In this paper, the delay spread (T=2) is small enough
compared to the bit interval, and thus a window size
of two symbols is used [16]. Therefore, the samples
are collected into 2C-vectors rm ,
rm = [r[mC] r[mC + 1] r[(m + 2)C 1]]T :
(3)
Since sampling is usually symbol-asynchronous, the
vector sample rm usually contains information about
three successive symbols, and the data thus have the
well known form [16]

K
L
L






bk; m1
al gkl + bkm
al gkl
rm =
k=1

+ bk; m+1

l=1

L


l=1

al gNkl + nm :

l=1

(4)

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

Here nm denotes noise vector, and the code vectors of

length 2C are de7ned as

421

gNkl = gNk (dl ) = [0TC+dl sk [1] : : : sk [C dl ]]T :

It helps to reduce the number of unknowns in the mixing matrix, so that the remaining mixture can be modelled by a simpler orthonormal matrix. More precisely,
whitening is a linear transform which de-correlates
the observed mixtures, and normalizes the component
variances to unity. This can be always performed e.g.
by principal component analysis (PCA) as follows:

The vector data Eq. (4) can be represented more compactly as

ym = s1=2 UsH rm :

def

gkl = gk (dl ) = [sk [C dl + 1] : : : sk [C] 0T2Cdl ]T ;

def

gkl = gk (dl ) = [0Tdl sk [1] : : : sk [C] 0TCdl ]T ;

(5)

def

rm = Gbm + nm ;

(6)

where the 2C 3K dimensional code matrix G is

assumed to be full rank, and contains the code vectors
and path strengths,
 L
L
L






al g1l ;
al g1l ;
al gN1l ; : : : ;
G=
l=1

L


l=1

al gKl ;

l=1

l=1

L

L

al gKl ;

l=1


al gNKl

(7)

l=1

def

(9)

Here Us corresponds to the principal eigenvectors ofthe data correlation matrix estimate R =
(1=M ) m rm rmH ; R = E{rm rmH }, and the diagonal
matrix s contains the related eigenvalues on its diagonal. If kurtosis is chosen as a contrast function, the
FastICA [3] algorithm for complex signals performs
as follows:
1. Take a random unit-norm initial vector w(0), and
let t = 1.
2. Update
w(t) = E{ym (w(t 1)H ym ) |w(t 1)H ym |2 }

and 3K-vector bm contains the symbols,

bm = [b1; m1 ; b1m ; b1; m+1 ; : : : ; bK; m1 ; bKm ; bK; m+1 ]T :
(8)
The similarity of the model Eq. (6) to ICA model
Eq. (1) is now immediately seen. In Eq. (6) we also
have an unknown mixing matrix (G) and an independent source process (bm ).
Notice that the ICA model arises regardless of the
selection of the window size. However, the size of
the underlying mixing matrix G in Eq. (6) changes.
Namely, the dimension of G is nC (n + 1)K, where
n is the size of the window in symbols. From ICA
point of view, the enlargement of the window gives
possibilities to support more users. This is because a
common requirement for ICA is to have more sensors
that sources, which is ful7lled if K 6 n=(n + 1)C.
A disadvantage of the enlargement, however, is the
increase in computational load.
4. ICA-based receivers
4.1. Complex FastICA
The observed data are 7rst whitened, which is a
common preprocessing task in blind source separation.

w(t 1):

(10)

3. Divide w(t) by its norm.

4. If |w(t)H w(t 1)| is not close enough to 1, let
t = t + 1, and go back to step 2. Otherwise, output
the vector w(t).
Notice that the existence of a simple factor  in the
update rule 2 is due to the choice of kurtic contrast.
In fact, from [3] it is easy to see that  = 2 if both
the mixing matrix and sources are complex valued. In
real case, when both the mixing matrix and sources
are real,  = 3 [9]. In step 2, the expectation can
be estimated using a large set of sample vectors,
y1 ; y2 ; : : : ; yM . This algorithm estimates one ICA basis vector w, and hence an independent component
wH ym . In a CDMA application, each whitened sample
vector ym corresponds to the mth symbol. Hence, all
the M soft symbols of the desired user are estimated
according to wH [y1 ; y2 ; : : : ; yM ].
The convergence of FastICA is shown to be cubic
[9] in the real case, where both the mixing matrix and
the sources are real valued. In [3], the complex case
was treated, but no proof of convergence was given.
The global cubic convergence does also hold in the
complex case with circular source distribution, and the
proof is given in Appendix A. However, FastICA is

422

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

not considered at all in the case where the sources are

real valued but the mixing matrix is complex valued.
In CDMA application this scenario easily arises. For
example, BPSK modulation yields real valued source
signals (see Eq. (8)). In addition, if the channel varies
slowly, as is the case in block fading channel, diIerent paths are strongly correlated, since they are just
delayed and scaled versions of each other. As a consequence, the mixing matrix (see Eq. (7)) is complex
valued due to the complex valued path gains. In this
scenario, the update rule Eq. (10) with  = 2 does not
result in a desired separation. Interestingly, choosing
the same parameter value as in the pure real case, i.e.
 = 3, turns out to be crucial. The global convergence
in this speci7c case, however, is an open issue, see the
comments in Appendix A. Therefore, only numerical
simulations are given to endorse the choice of  in this
speci7c case.
4.2. Proposed ICA-based receivers
As one ICA basis vector w is estimated, it may
correspond to any user since there is no control on
the component to be separated. This is because the
statistical properties of each transmission are the same:
the symbols obey the same distribution, and so does
the path gains up to variance, which reRects the power
used in the transmission. A CDMA application in mind
it is thus not meaningful to use ICA on its own, since
the desired signal is well identi7ed by the user-speci7c
spreading code. What is proposed in the following is
that the FastICA iteration is properly initialized by the
means of some existing receivers, which thus would
perform the task of user identi7cation.
In the following, we consider in more detail two
ways of initializing FastICA. The starting point is to
look at the noiseless whitened data
ym = Wbm :

(11)

def

Here W =
s1=2 UsH G, where
s and Us correspond to

the 3K principal eigenvalues,1 and -vectors of the data
autocorrelation matrix E{rm rmH }, respectively. First we
notice that the matrix W is orthonormal. This is due to
the uncorrelatedness of the symbols, i.e. E{bm bmH }=I,
1 From Eq. (8) it is seen that the sample vector r contains 3K
m
independent source signals, which is therefore also the dimension
of the signal subspace.

because then we have 2 E{ym ymH }=E{Wbm bmH WH }=

WWH = I. The goal hence is to estimate one column
of W, say the second column w2 . This is because then
by w2 we can estimate the symbols of the desired user
(user k = 1): w2H ym = w2H Wbm = [0100 0]bm = b1m .
Interestingly, from the de7nition of W and G we see
that
L


a1l g1l ;
(12)
w2 = $s1=2 UsH
l=1

which is exactly the subspace MMSE detector [28] for

dispersive channels. Using the terms of source separation, Eq. (12) can be used to separate the desired
source. It should be noticed, however, that only uncorrelatedness of the data symbols is assumed in the
derivation of Eq. (12). In addition, the subspace parameters, as well as the path gains and delays will
always be subject to estimation errors, which degrade
the separation performance of Eq. (12). What is suggested now is that ICA would take a role of tuning
element, and thus to re7ne Eq. (12) to have better
separation performance. This is possible, since independence is a stronger property than uncorrelatedness.
In addition, it is meaningful to apply ICA having Eq.
(12) as a starting point, since it already identi7es the
desired user. This identi7cation is not possible by ICA
on its own.
Alternatively, known or estimated symbols could
be used for the initialization of FastICA. This is due
to the uncorrelatedness of the symbols, since then we
have E{ym b1m } = E{Wbm b1m } = w2 , i.e. the subspace
MMSE detector again. Since training symbols are not
necessarily implemented in all the systems, we prefer
the use of RAKE receiver, or MMSE detector symbol
outputs to be used for the initialization of ICA.
The proposed receiver structures, MMSE-ICA,
RAKE-ICA and MMSEbit-ICA, are highlighted
in Table 1. Steps 15 constitute the backbone of
the receivers, including conventional detection and
ICA post-processing. In Step 6, a branch switching
between the conventional and ICA-assisted detector is considered in order to take advantage of ICA
post-processing only when it is expected to improve
performance. While there exists many ways to do the
switching (see e.g. [14]) we adopted the most suitable
2

H } = I, since whitening normalizes comNotice that E{ym ym

ponent variances.

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

423

Table 1
ICA-based blind interference suppression schemes

Let k be the desired user,  = 2; 3 for complex and real valued symbols, respectively, and rm ; m = 1; : : : ; M the received block
of data according to Eq. (6). x denotes the estimate of x.
1. Let either RAKE receiver or subspace MMSE detector to operate 7rst.
RAKE
If RAKE [20] is chosen, denote bkm
the symbol estimate of kth users mth symbol. Recall that this choice naturally
includes channel and delay estimation.
MMSE
If subspace MMSE detector [28] is chosen, denote mk the detector for user k, and bkm
the related mth symbol. Recall
that in addition to channel and delay estimation, also signal subspace parameters, denoted $ s and U s are to be estimated
from the data.
2. Start ICA post-processing as follows:
Estimate signal subspace parameters ($ s and U s ) from the data block, if not yet done. Perform whitening of the data according to Eq. (9) to yield whitened data ym . By choosing one of the following options (ac), initialize w(0) = wk = ||wk ||, where
(a) MMSE-ICA: wk = mk .
RAKE
(b) RAKE-ICA: wk = E {ym bkm }.
MMSE
(c) MMSEbit-ICA: wk = E {ym bkm }.
Expected values are estimated from the data block. Let t = 1.
3. Update
w(t)=E {ym (w(t 1)H ym ) |w(t 1)H ym |2 }w(t 1):

(14)

4. Divide w(t) by its norm.

5. If |w(t)H w(t 1)| is not close enough to 1, let t =t + 1, and goback to step 3.
w(0)H
w(t)
6. Branch switching: Calculate the correlation  = Re ||w(0)||
. If || th, where th is a predetermined threshold value,
||w(t)||
output ICA post-processed detector w = sign()w(t). Otherwise, choose the symbols estimate from step 1.

scheme to our problem. In this scheme a correlation between two detectors, for example RAKE and
RAKE-ICA, is 7rst measured, and the latter detector
is chosen if the correlation is high enough. By doing
so, we can trust the detector corresponds to the desired user. At the same time a possible phase reversal
after ICA 3 can be noticed and taken into account.
4.3. Computational considerations
In this section we discuss the computational complexity of the proposed methods, expressed as the
number of multiply and add-operations needed. We
suppose here that the length of the data vector is C,
the number of users is K.
All the proposed methods are subspace methods
in nature. The classical approach is either eigenvalue
decomposition of the data autocorrelation matrix, or
singular value decomposition of the data matrix. For
computing the eigenvectors of a C C dimensional
matrix, several well-established O(C 3 ) algorithms exists in the literature [6]. If only K eigenvectors are
3

The source si is as independent from the others as si .

computed, their complexity reduces to O(C 2 K). As

a desire to lower the computational load, several recursive algorithms have also emerged (see [30], and
references therein), which can reach a complexity of
O(CK) per iteration.
In ICA, whitening of the data (see Eq. (11)) have
computational complexity O(CK) + O(K 2 ) = O(CK),
since K C. This is also the complexity of subspace
MMSE detector, when adaptive subspace tracking is
used [27]. An additional complexity of the proposed
schemes are also due to the FastICA iterations, see
Eq. (10). The expected value can be estimated by several vector samples. Suppose M samples are used, and
def
form a data matrix Y = [y1 : : : yM ]. Then the update
rule is
1
w(t) = Y!(t 1)H w(t 1);
(13)
M
def

where !(t) = |w(t)H Y|2

(w(t)H Y). Here | |2 is
taken elementwise, and
stands for elementwise multiplication. Now, wH Y needs KM multiplications and
summations, and is thus of order O(KM ). Consequently, !(t) is of order O(KM ) + O(M ), where the
last term is due to the elementwise multiplications.

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

Thus, the 7nal complexity of one FastICA iteration is

of order O(KM ). Putting all together, the computational complexity of any proposed scheme is of order
O(CK) + O(KM ) per iteration if adaptive subspace
tracking is used, and O(C 2 K)+O(KM ) if batch methods are used for subspace estimation.
5. Numerical experiments
Since there does not exist an useful analytical performance measure for the iterative detectors, numerical simulations are given instead. We compare the
methods in the downlink environment with Rayleigh
block fading multipath channel. The methods for
symbol estimation are: RAKE, RAKE-ICA, subspace
MMSE detector, MMSE-ICA, and MMSEbit-ICA.
In some experiments an exact MMSE detector of
the same length as other detectors is also used as a
reference. Exact MMSE assumes also the codes of
interfering user to be known.
In one simulation, a block of M = 200 symbols
(of randomly chosen user) is estimated with randomly
generated complex path gains, time delays, and noise
realization. QPSK modulation is assumed if not otherwise stated. The channel includes two paths (L = 2)
of equal average strength. Path delays are randomly
chosen from {0; 1; : : : ; (C 1)=2}, and complex path
strengths obey a zero mean normal distribution. Walsh
codes of length C = 8 are used together with a random
complex scrambling code. All the measured quantities
are averaged over 10 000 simulations. No coding is
considered, and thus the results are expressed in raw
bit- and block-error-rates (BER and BLER, respectively).
5.1. Setup A: varying SNR level
The system includes K = 3 users, and all the
system parameters are assumed to be known. All
the interfering users are assigned with equal power.
Signal-to-noise ratio (SNR) is varied from 0 to 20 dB.
In Table 1,  = 2 was used due to QPSK modulation.
Fig. 3 shows the achieved bit-error-rates for the
methods as a function of average SNR. In general, it
is seen that ICA can, indeed, improve the performance
even if perfect knowledge of the system parameters,
e.g. the channel and the delays, would be known. This

10

10
Bit_Error_Rate

424

10

10

10

RAKE
RAKE ICA
subspace MMSE
MMSE ICA
Exact MMSE

_1

_2

_3

_4

8
10
12
14
Signal_to_Noise Ratio

16

18

20

Fig. 3. Bit-error-rate as a function of signal-to-noise ratio

(0; : : : ; 20) in an equal energy two-path Rayleigh block fading
channel. The system includes K = 3 users with equal strength.

performance enhancement is possible since ICA

methods are able to utilize independence of the
sources unlike RAKE and subspace MMSE detectors.
The improvement becomes visible after SRN of 7
8 dB. The improvement is much bigger with RAKE,
because RAKE alone suIers from the multiple-access
interference. For example, ICA gives a 8 dB gain for
RAKE when considering raw BER of 102 as a target. In addition, ICA enabled RAKE to achieve also
the raw BER of 103 . Attaching ICA to the MMSE
detector gave improvement, too, being at most 2 dB.
Fig. 4 shows the corresponding block-error-rates
for the methods. Recall, that the block is correctly estimated, if all the symbols in a block are estimated
correctly. It is seen that RAKE-ICA improves the
performance of RAKE quite remarkably in BLER. In
fact, both the raw BLER of 101 and 102 are reached
with RAKE-ICA unlike RAKE alone in this setup.
The improvement with MMSE detector is also much
more visible, being nearly 3 dB at raw BLER level of
101 and at least 4 dB at raw BLER level of 102 .
It is also noticed how close to the MMSE bound the
ICA-assisted methods can go.
Fig. 5 shows the average and the variance of the
normalized correlation coeMcient  (see Table 1) of
the conventional and ICA-assisted receiver as a function of signal-to-noise ratio. Recall that the 7nal decision of whether ICA branch is taken into account or
not is based on this coeMcient. Namely, a high enough

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

10

425

80

RAKE_ICA
MMSE_ICA

Number of iterations

70

_1

Block_Error_Rate

10

_2

60
50
40
30

10

20

RAKE
RAKE ICA
subspace MMSE
MMSE ICA
Exact MMSE

10

10

_3

0
2

8
10
12
14
Signal_to_Noise Ratio

16

18

20

Mean of correlation

Fig. 4. Block-error-rate as a function of signal-to-noise ratio

(0; : : : ; 20) in an equal energy two-path Rayleigh block fading
channel. The system includes K = 3 users with equal strength.

10

12

14

Signal_to_Noise Ratio

16

18

20

Fig. 6. The number of iterations (in average) as a function of

average signal-to-noise ratio needed by the FastICA algorithm in
Setup A.

iterations are needed. This is because of the noise-free

model behind FastICA [9].

10 0
RAKE_ ICA
MMSE_ ICA

5.2. Setup B: e:ect of erroneous delay estimation

10

Variance of correlation

10
10
10
10
10

_1

10

12

14

Signal_to_Noise Ratio

16

18

20

_1
RAKE _ICA
MMSE _ICA

_2
_3
_4
_5

10

12

Signal_to_Noise Ratio

14

16

18

20

Fig. 5. The average (top) and variance (down) of the correlation coeMcient  (see Table 1) of conventional and ICA-assisted
receiver as a function on average signal-to-noise ratio.

correlation is required which ensure the identi7cation

of a desired user. It is seen that user identi7cation is
possible by this type of simple correlation approach
given a moderate SNR level. A threshold value of 0:8
for the correlation was used in all the simulations.
Fig. 6 shows the convergence speed of FastICA in
the average number of iterations needed with diIerent
SNR levels. With moderate SNR only less than 10
iterations in average are needed. With low SNRs more

The setup is otherwise the same as the previous

one, but now SNR is set to 20 dB. In addition, the
delay estimation was assumed to be inaccurate by
letting the error of the estimated delay to obey a zero
mean normal distribution, whose variance is varied
from 0 to 0:02 chips. Figs. 7 and 8 show the achieved
BERs and BLERs for the methods as a function of
the delay error variance. As expected, RAKE is more
robust against delay mismatch than subspace MMSE
detector. It is also seen that ICA can enhance quite
signi7cantly the performance of both RAKE and
MMSE detector in the whole dynamic range of the
setup. For example, RAKE-ICA drops the raw BER
from 102 to nearly 104 , and raw BLER well below 102 . On the other hand, when ICA is attached
to a subspace MMSE detector it allows much bigger
delay mismatch than subspace MMSE detector alone
to keep the same performance level. The achieved
gain at the BER level of 103 , for example, is that
MMSE-ICA allows four or two times bigger delay
variance depending whether 7nite alphabet property
is utilized (MMSEbit-ICA) or not (MMSE-ICA), respectively. Also, it is quite important to notice that

426

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

Bit_Error_Rate

10

10

10

10

_1

_2

_1

10
RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
MMSEbit_ICA

_2

_3

_3

10

_4

_4

10

_5

_5

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
MMSEbit_ICA

10

Bit_Error_Rate

10

10

0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

Path gain error variance

Delay error variance

Fig. 7. Bit-error-rate as a function of the variance of the delay

estimation error (0; : : : ; 0:02) in an equal energy two-path Rayleigh
block fading channel. The system includes K = 3 users with equal
strength, and the average SNR is 20 dB.

Fig. 9. Bit-error-rate as a function of the variance of the path

gain estimation error (0; : : : ; 0:02) in an equal energy two-path
Rayleigh block fading channel. The system includes K = 3 users
with equal strength, and the average SNR is 20 dB.

10

10

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
MMSEbit_ICA

_1

Block_Error_ Rate

Block_Error_Rate

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
MMSEbit_ICA

10

10

_2

_3

10

_1

10

_2

10

_3

0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

Delay error variance

10

0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

Path gain error variance

Fig. 8. Block-error-rate as a function of the variance of the delay

estimation error (0; : : : ; 0:02) in an equal energy two-path Rayleigh
block fading channel. The system includes K = 3 users with equal
strength, and the average SNR is 20 dB.

Fig. 10. Block-error-rate as a function of the variance of the path

gain estimation error (0; : : : ; 0:02) in an equal energy two-path
Rayleigh block fading channel. The system includes K = 3 users
with equal strength, and the average SNR is 20 dB.

only the ICA-assisted detectors achieved the raw

BLER of 102 .

estimation is assumed to be inaccurate by letting the

relative error of the absolute value of the estimated
path gain to obey a zero mean normal distribution,
whose variance is varied from 0 to 0:02.
The characteristics of the results are very similar
to the Setup B, as can be seen from Figs. 9 and
10. Namely, ICA gives an universal BER and BLER

5.3. Setup C: e:ect of channel estimation errors

The setup is otherwise the same as Setup A but
now SNR is set to 20 dB. In addition, the channel

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

0

10

10
RAKE
RAKE_ICA

Bit_Error_Rate

10

subspace MMSE
MMSE_ICA
exact MMSE

Block_Error_Rate

_1

427

_2

10

_3

10

_4

10

10

_1

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
exact MMSE

_2

10

10

_3

_5

10

_4

_6

10 _
10

_5

10

15

20

Multiple access interference per user

10 _
10

_5

10

15

20

Multiple access interference per user

Fig. 11. Bit-error-rate as a function of the multiple access interference per interfering user (10; : : : ; 20) in an equal energy two-path
Rayleigh block fading channel. The system includes K = 3 users,
and the average SNR is 20 dB.

Fig. 12. Block-error-rate as a function of the multiple access

interference per interfering user (10; : : : ; 20) in an equal energy
two-path Rayleigh block fading channel. The system includes K =3
users, and the average SNR is 20 dB.

improvement for the conventional detectors. In more

details, at least twice an error variance is tolerated by
ICA-assisted MMSE receiver when using raw BER
103 as a target, and raw BLER of 102 can, once
again, be supported only by the ICA-assisted receivers.

duce a nearly constant improvement with respect to

MAI. This improvement is noticeable especially in
BLER behaviour since a fall well below 102 takes
place. Quite remarkably, the BLER performance of
MMSE-ICA is really close to the optimal MMSE detector of equal length.

5.4. Setup E: the e:ect of multiple access

interference

5.5. Setup F: the e:ect of model order mismatch

This setup is to demonstrate the near-far resistance

of the methods. The setup is otherwise the same as
Setup A, but the SNR is 7xed to 20 dB. In addition,
the strengths of interfering users are varied from 10
to 20 dB relative to the monitored user. The results
are seen in Figs. 11 and 12.
RAKE is not near-far resistant, which is seen as
increasing BER with increasing MAI. This naturally
also limits the performance of RAKE-ICA in the high
MAI region. However, if the raw BER of 102 is taken
as a target, RAKE-ICA gives, in this setup, an improvement of approximately 5 dB compared to RAKE.
More remarkably, the raw BLER of 101 and 102
are achieved with 12 and 14 dB higher MAI per interfering user.
The case of MMSE-ICA is more clear. Subspace
MMSE itself is near-far resistant which is seen as a
stable BER=BLER behaviour when incresing the level
of MAI. It is thus expected that ICA would intro-

In this setup the eIect of model order mismatch is

evaluated. Again, the system includes K = 3 users of
equal strength in a channel with L = 2 paths. Since
paths are essentially just delayed and scaled replicas
of each other in the received block of data due to the
block fading channel, the true model order is 3K = 9
when a two-symbol processing window is used. In the
simulations model order is varied from 3; : : : ; 16 to see
the eIect of the mismatch in the receiver performance.
The results are seen in Figs. 13 and 14.
RAKE does not need the model order, and hence
its performance remains at the same level. On the
other hand, subspace MMSE is sensitive to the selection of the model order. The ICA-parts of both
RAKE-ICA and MMSE-ICA needs the estimate for
the model order. What is seen is that both RAKE-ICA
and MMSE-ICA are able to improve the performance
of RAKE, and the subspace MMSE detector, respectively, even with quite a mismatched model order

428

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

0

_1

10

10

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
exact MMSE

_2

10

10

Bit_Error_Rate

Bit_Error_Rate

10

_3

10

_4

10

_1

_2

_3

_4

10

_5

10

10

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA

10

12

14

16

Fig. 13. Bit-error-rate as a function of the model order estimate

(3; : : : ; 16) in an equal energy two-path Rayleigh block fading
channel. The system includes K = 3 users with equal strength, and
the true model order is 9. The average SNR is 20 dB.

10

Block_Error_Rate

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA
exact MMSE

10

_1

10

12

14

16

18

20

Signal_to_Noise Ratio

Estimated model order

Fig. 15. Bit-error-rate as a function of signal-to-noise ratio

(0; : : : ; 20) in an equal energy two-path Rayleigh block fading
channel. The system includes K = 3 users with equal strength.
BPSK modulation is used.

more clearly justi7ed by the BLER performance,

which shows nearly unaltered performance for the
ICA-assisted receivers when the model order is overestimated. Finally, only RAKE-ICA and MMSE-ICA
are able to respect the raw BLER of 102 .
5.6. Setup G: real sources but complex mixing

10

_2

_3

10

10

12

14

16

Estimated model order

Fig. 14. Block-error-rate as a function of the model order estimate

(3; : : : ; 16) in an equal energy two-path Rayleigh block fading
channel. The system includes K = 3 users with equal strength, and
the true model order is 9. The average SNR is 20 dB.

estimate. Only a considerable underestimation makes

RAKE-ICA to perform worse that RAKE alone. On
the other hand ICA is able to give a clear positive
impact for the receivers even with highly overestimated model order. This observation suggests to
choose a pessimistic rather than optimistic value
for the model order estimate. This conclusion is even

This 7nal setup is to endorse the choice of =3 (see

Table 1) in a speci7c case when the sources are real but
the mixing is complex valued. The setup is otherwise
the same as Setup A but BPSK modulation is used for
the data. The results are seen in Figs. 15 and 16, from
which the conclusions about the enhancement eIects
on receiver performance can be drawn analogously to
the preceding discussion.
6. Conclusions
In this paper we considered blind multiple access
interference suppression in the DS-CDMA communication system by means of independent component
analysis. Modi7cations of FastICA [3,9] with complex valued data were proposed, and the proof of
global convergence was given in the case of complex
valued signals with circular distribution. Two types of
receiver structures, RAKE-ICA and MMSE-ICA were

T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

identi7cation and to guarantee almost universal performance enhancement.

10

Block_Error_Rate

RAKE
RAKE_ICA
subspace MMSE
MMSE_ICA

10

10

429

Acknowledgements

_1

This work was supported by the Research Programme for Telecommunication Electronics (Telectronics) of the Academy of Finland.

_2

Appendix A. Proof of the global convergence

_3

10

10

12

14

Signal_to_Noise Ratio

16

18

20

Fig. 16. Block-error-rate as a function of signal-to-noise ratio

(0; : : : ; 20) in an equal energy two-path Rayleigh block fading
channel. The system includes K = 3 users with equal strength.
BPSK modulation is used.

proposed. The reasons for taking ICA as an additional

tuning element, were the following:
a conventional receiver would perform the task of
user identi7cation which is not possible by ICA on
its own,
RAKE is not near-far resistant, but its outputs can
be good enough for ICA initialization,
even if all the users have equal strength, additional
multiple access interference can be mitigated by
ICA, thus improving the performance of RAKE,
in the presence of timing, channel, or model order
estimation errors, the performance of the subspace
MMSE detector gets worse. This drop in performance can be mitigated by ICA.
the independence of the source signals of diIerent
users can be exploited.
These items were assessed by extensive numerical
studies, when the CDMA downlink channel was
Rayleigh block fading. They indicated quite clear
performance gains over conventional and standard
subspace-based MMSE receivers. A price to pay is
an increase in computational load, which is negligible
in MMSE-ICA. In RAKE-ICA, on the other hand,
estimation of eigenvector and- values became along
with ICA as an additional burden, although the bene7t in performance enhancement was evident. Also,
a simple correlation procedure for adaptive branch
switching was noticed to be a suMcient tool for user

The proof is analogous to that of [9].

First, the linear mixture to be analyzed has the form
y = Ws. Assume that the data are whitened already so
that W is an orthonormal mixing matrix with complex
entries and the complex sources have unit variances.
Sources are assumed to have zero mean. In addition,
the sources are assumed to obey a circular distribution, so the real and imaginary parts are uncorrelated
and have equal variance. These assumptions can be
represented in short as E{ssH } = I and E{ssT } = 0.
Here I and 0 are identity and null matrix, respectively.
First, a new variable is de7ned as z = WH w,
where W is the true mixing matrix and w is the ICA
basis vector to be estimated. The goal is to show that
t
z(t) [0 0 v 0 0]T ; |v| = 1, i.e. w converges to one
column of W with a unit norm complex scalar ambiguity. This indeterminacy is an inherent property of
complex ICA.
For notational convenience, denote z+ the new
value for z. Applying Eq. (10), we thus have
z + = W H w+

(A.1)

= WH E{y(wH y) |wH y|2 } 2WH w

(A.2)

= E{WH y(zH WH y) |zH WH y|2 } 2z

(A.3)

= E{s(zH s) |zH s|2 } 2z:

(A.4)

In the third, and fourth equality we have used the

facts w = Wz, and s = WH y, respectively, since W
is orthonormal. To express the last equality in more
detail, the following relations are 7rst obtained:


zi si ;
(A.5)
zH s =
i

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T. Ristaniemi, J. Joutsensalo / Signal Processing 82 (2002) 417 431

|zH s|2 =

|zi |2 |si |2 +

zi zj si sj ;

(A.6)

i=j

(zH s) |zH s|2

=
zi |zj |2 si |sj |2 +
zh zi zj sh si sj :
i; j

(A.7)

h; i=j

Therefore, the lth element of z+ is equal to

zl+ = E{sl (zH s) |zH s|2 } 2zl
= zl |zl |2 E{|sl |4 } + 2

zl |zi |2 2zl

(A.8)
(A.9)

i=l

= zl |zl |2 E{|sl |4 } + 2zl (1 |zl |2 ) 2zl

(A.10)

= zl |zl |2 Jc (sl );

(A.11)

def

where Jc (sl ) = E{|sl |4 } 2, i.e. the kurtosis of

sl . Here the second equality is due to the assumptions of the sources s, since then for different indices i; j; l; m we have: E{|si |2 |sj |2 } = 1,
and E{si sj |sj |2 } = E{si2 (sj )2 } = E{si sj (sl )2 } =

E{si sj |sl |2 }=E{si sj sl2 }=E{si sj sl sm

}=0. In the third

equality, we have used the fact that ||z||= i |zi |2 =1.
This follows from the fact that w is normalized to
unity after each iteration, and thus ||w|| = ||z|| = 1,
since W is orthonormal.
The rest of the proof is entirely similar to [9],
and therefore only the key steps are now shortly
highlighted. First, j is chosen so that Jc (sj ) = 0, and
zj (t 1) = 0, so that

3
|zi+ | |zi (t)|
|Jc (si )| |zi (t 1)|
(A.12)
=
=
|zj+ | |zj (t)| |Jc (sj )| |zj (t 1)|
is well-de7ned. This leads to an explicit recursive formula for |zi (t)|=|zj (t)|:

3t

|Jc (si )|
|Jc (si )||zi (0)|
|zi (t)|

=
:
(A.13)
|zj (t)|
|Jc (sj )|
|Jc (sj )||zj (0)|

For j = arg maxp |Jc (sp )||zp (0)| this implies |zj |
1, and the other |zi | 0, since ||z|| = 1.
The proof for the special case where the mixing
matrix is complex but the sources real is an open
issue. Notice that due to the real sources we also have

E{si2 (sj )2 } = E{si2 sj2 } = 1 for i = j, and thus the direct

access to the fourth order cumulants does not follow,
as was the case in Eq. (A.11). However, motivated
by extensive numerical experiments,  = 3 turns out
to be a good choice. An argument for that choice,
though heuristic, is the observation that both in pure
real and complex case the choice of  was entirely due
to the kurtosis of the sources. Recall that the choice
 = 2 in Eqs. (A.8) (A.11) was, in fact, to gain a
compact representation Eq. (A.11), characterized by
the kurtosis, Jc (sl ) = E{|sl |4 } 2, of the source sl .
This was the reason in [9], too, for the choice  =
3 in pure real case, when the kurtosis is de7ned as
def
Jr (sl ) = E{sl4 } 3. In this respect, the choice  = 3
for real sources seems justi7able despite of complex
mixing.
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