984

IEEE SIGNAL PROCESSING LETTERS, VOL. 23, NO. 7, JULY 2016

Semidefinite Relaxations for MIMO Transmissions

With High-Order QAM Constellations
Nuno Souto, Marco Ribeiro, and Pedro Sebastiao

AbstractIn this letter, simple semidefinite relaxations are proposed for the detection of high-order quadrature amplitude modulations in multiple-inputmultiple-output systems. The detector is
based on the addition of several convex and concave quadratic inequality constraints into the maximum-likelihood detector before
relaxing the problem into a convex one. Combined with a randomized sampling procedure, it is shown that the performance and
worst-case computational complexity of the proposed approach
makes it very competitive against existing detectors in large problem sizes.
Index TermsMultiple-inputmultiple-output (MIMO) detection, quadrature amplitude modulations (QAM) constellations,
semidefinite relaxation (SDR).

I. INTRODUCTION

ULTIPLE-INPUTMULTIPLE-OUTPUT (MIMO) sys

tems have been one of the most studied solutions for
coping with the increasing demand for higher data rates in wireless services. While MIMO techniques can take different forms,
from point-to-point MIMO to multiuser MIMO and the more recent massive MIMO schemes [1], [2], they all have in common
the need for detection methods that can achieve the potential capacity increase with affordable complexity. Due to the nondeterministic polynomial time-hard (NP-hard) nature of the MIMO
detection problem [3], optimum methods have a complexity
which is exponential. For example, tree-search-based sphere decoders (SD) can provide maximum-likelihood (ML) solutions
with a complexity order of O(M M t x ), where (0, 1] is a
factor depending on the SNR [4], Mtx is the number of transmit
antennas, and M is the constellation size. Therefore, suboptimal
approaches are often employed in large problem sizes. These
approaches range from well-known linear methods such as zero
forcing (ZF) and minimum mean squared error to nonlinear detectors like the successive interference cancellation (SIC) detector or lattice reduction aided (LRA) detectors [5] (an extensive
review is provided in [6]). However, depending on the problem
size, most of these suboptimal methods often perform far from
Manuscript received April 13, 2016; revised May 24, 2016; accepted June 1,
2016. Date of publication June 7, 2016; date of current version June 17, 2016.
This work was supported in part by the Fundaca o para a Ciencia e Tecnologia
and Instituto de Telecomunicaco es under Projects HETCOP, PURE-5GNET,
VELOCE-MTC, and UID/EEA/50008/2013. The associate editor coordinating
the review of this manuscript and approving it for publication was Prof. Alessio
Zappone.
The authors are with the ISCTE-University Institute of Lisbon, Lisboa
1649026, Portugal, and also with the Instituto de Telecomunicaco es, Lisboa
1049001, Portugal (e-mail: nuno.souto@lx.it.pt; marco.ribeiro@iscte.pt; pedro.
sebastiao@iscte.pt).
Color versions of one or more of the figures in this letter are available online
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/LSP.2016.2576640

the ML detector (MLD) or have a high complexity cost as in [7]

(which uses a combination of the projected subgradient method
and an SD to solve a Lagrangian dual relaxation formulation
of the MLD). Among the different suboptimal methods, one of
the most promising approaches is the one based on semidefinite
relaxation (SDR) [8], [9] due to the competitive performance
achieved with guaranteed polynomial time worst-case computational complexity. SDR methods rely on the approximation of
the MIMO detection problem as a semidefinite program (SDP),
which is a subfield of convex optimization [18]. These methods
were initially applied to low-order constellations like QPSK
[10] and later on extended to high-order modulations, either
working directly over the original signal space [11][13] or using a binary representation of the constellation points [14][17].
While the SDR approach has been shown to achieve near ML
performance for low-order constellations [10], the application
to high-order quadrature amplitude modulations (QAM) still reveals a large gap to ML [11][16] or can reduce this gap at the
6.5
) reducible
cost of a much higher complexity [17] (O(M 6.5 Mtx
5.5
5.5
to O(M Mtx ) with a customized interior point algorithm).
Note that, as a different application, SDR can also be used for
defining an ML criterion which can be integrated into existing
detection methods such as SDs, as discussed in [19].
In order to decrease the performance gap to the MLD, in
this letter, we study new relaxations of the MIMO detection
problem. By first adding several redundant convex and concave
quadratic inequality constraints and then relaxing the problem,
we can reduce the feasible set and tighten the resulting SDP.
The proposed MIMO detector can be seen as a generalization
of the convex relaxation for integer convex quadratic minimization described in [22] built over an extended set of nonconvex
quadratic constraints combined with convex quadratic bounding
constraints. The adopted approach makes the detector applicable
to any M-sized rectangular and nonrectangular QAM constellation and independent of the bit mapping, as opposed to the SDR
methods in [11], [13], and [15]. Furthermore, it is shown that
3.5
), the proposed method can
with a complexity order of O(Mtx
attain improved performance in large problem sizes over other
suboptimal detectors with comparable complexities, including
the bound constrained SDR (BC-SDR) detector from [12].
Notation: Matrices and vectors are denoted by uppercase and
lowercase boldface letters, respectively. The superscript (. )T
denotes the transpose of a matrix/vector, Tr(. ) is the trace of a
matrix, and diag(. ) represents the vector containing the diagonal elements of a matrix. Re{. } and Im{. } denote the real and
imaginary parts of the elements of a matrix/vector, respectively.
||. ||2 is the 2-norm of a vector, In is the n n identity matrix,
and ei is a vector with a 1 in position i and zeros elsewhere.

1070-9908 2016 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications standards/publications/rights/index.html for more information.

SOUTO et al.: SEMIDEFINITE RELAXATIONS FOR MIMO TRANSMISSIONS WITH HIGH-ORDER QAM CONSTELLATIONS

II. PROBLEM STATEMENT

Let us consider a typical spatial multiplexing transmission in a flat fading channel with Mtx transmit antennas and
Nrx receive antennas. The baseband received signal can be
written as
s + n
y
= H

(1)

C N r x M t x is the channel,
where H
s is the Mtx 1 column vector whose elements are the complex valued transmitted
symbols, and n
C N r x 1 is the vector containing independent
zero-mean circularly symmetric Gaussian noise samples with
s
covariance 2 2 IM t x . Assuming that the transmitted symbols
are drawn from a constellation that can be mapped to a subset of
the Gaussian integers space ZM t x [j] through shifting and scaling (e.g., M-QAM constellations), we can adopt an equivalent
real valued lattice representation and write
y = Hx + n

(2)

are satisfied by all integer vectors x for any al Z2M t x and bl

Z. Therefore, any number m1 of these inequalities can be added
to the problem without changing its optimal value. Inequalities
of the form (7) allow us to remove regions corresponding to
the intersection of two half-spaces from the constraint set, after
the integer constraint (5) is dropped. Limits on the constellation
can also be added using m2 convex quadratic inequalities of
the form
..
- T
cl x dl cl T x fl 0, l = 1, . . . , m2
(8)

with cl Z2M t x , dl Z, and fl Z. These inequalities can be

used for defining a polyhedron which contains the constellation
points, removing its exterior from the feasible set. Note that (8)
can be applied to rectangular and nonrectangular constellations,
i.e., constellations having more complex bound constraints than
those specified with (6).
Finally, we also consider constraints which are directly obtained from (6), namely
(xi li ) (xj lj ) 0

with
#
$

Im H
#
$

Re H

(
)
*
+
1
1
M
+
+ j H1
tx
Re y

2
2

y=
*
(
)
+

1
1
M
+ j H1
Im y
+
tx
2
2

(
)
*
+
1
1

s/ +
+ j 1M t x
Re
Re
{
n
}
2
2

x=
*
(
)
+ , n =

1
1
Im
{
n
}
+ j 1M t x
Im
s/ +
2
2

#
$

Re H
H=
#
$

Im H

(3)

min y Hx22

(4)

subject to x Z2M t x

(5)

li xi ui , i = 1, ..., 2Mtx

(6)

where li and ui represent the lower and upper limits on the

ith element of the transmitted vector in the real valued lattice
representation.
III. PROPOSED SDR APPROACH
A. Semidefinite Relaxations
In order to build SDRs with a reduced feasible set, we start by
adding several redundant constraints using quadratic inequalities to our MIMO detection problem. The concave quadratic
inequalities employed in [20], which have the form
- T
..
al x bl aTl x (bl + 1) 0, l = 1, . . . , m1
(7)

(9)

(xi ui ) (xj uj ) 0

(10)

(xi ui ) (xj lj ) 0

(12)

(xi li ) (xj uj ) 0

where represents the scaling factor (minimum symbol distance in the constellation) and 1M t x denotes an all-ones Mtx 1
column vector. Using this model, the MLD for the transmitted
symbols can be formulated as the following integer least squares
problem
x

985

(11)

with i = 1, . . . , 2Mtx and j = 1, . . . , i. These constraints are

similar to those employed in [21] for the convex reformulation
of a general mixed integer quadratic program. Notice that it is
possible to expand (8) into a more general form that can generate
inequalities (9) to (12), but for clarity we will maintain this
formulation. Using combinations of the described constraints,
we can obtain relaxations of the problem by dropping the integer
(5) and bound constraints (6). The resulting nonconvex problem
can then be relaxed into a convex one using an approach similar
to the one in [22]. First, the objective function is expanded and
(4) is rewritten as
#
$
min y Hx2 2 = min xT HT Hx 2yT Hx . (13)
x

Noting that x H Hx = Tr(xT HT Hx) = Tr(HT HxxT ),

the problem can be reformulated using a new matrix variable,
X = xxT , as
# - T
.
$
Tr H HX 2yT Hx
min
(14)
T

xR2 M t x ,XS 2 M t x

subject to X = xxT

(15)

where S2M t x is the set of symmetric 2Mtx 2Mtx matrices.

Relaxing constraint X = xxT into X xxT and using a Schur
complement we obtain the following relaxed SDP:
# - T
.
$
Tr H HX 2yT Hx
(16)
min
xR2 M t x ,XS 2 M t x

subject to

xT

(17)

where operator refers to the generalized inequality associated

tx
. Using (15), matrix
with the positive semidefinite cone S2M
+
variable X can also be introduced into the quadratic inequalities

986

IEEE SIGNAL PROCESSING LETTERS, VOL. 23, NO. 7, JULY 2016

(7)(12) resulting
.
Tr al aTl X + (2bl + 1) aTl x bl (bl + 1) 0 (18)
.
(19)
Tr cl cl T X + (dl + fl ) cl T x dl fl 0
Xij xj li + xi lj li lj

(20)

Xij xi uj + xj li li uj

(22)

Xij xj ui + xi uj ui uj

(21)

Xij xi lj + xj ui ui lj .

(23)

Regarding the constraints of the form (19), for a rectangular

constellation with limits defined according to (6), we can use
ci = ei , di = li , fi = ui and express the inequalities as
Xii xi (ui + li ) li ui ,

i = 1, . . . , 2Mtx .

(24)

Notice that (22) and (23) also generate constraint (24) for
i = j.
While a relaxed problem comprising only (16) and (17) can
be used as a basic approximation to the original MLD problem, the addition of a subset of inequalities (18)(23) reduces
the feasible set and produces an optimal value which can be
closer to the original one. Furthermore, the resulting SDP can
be efficiently solved in polynomial time using an interior point
method [23]. Since the relaxed problem will generate a solution comprising a matrix and a vector whose elements may
not be necessarily integers, an estimate of the transmitted symbol vector can be obtained through a randomization procedure
[22]. Denoting the solutions of the SDP as x and X , Q vector samples, x(q ) , can be drawn from the Gaussian distribution x(q ) N (x , X x xT ) and the elements rounded to
the nearest integers inside the limits (6). The vector yielding
the lowest objective value in (4) is then selected as the final
estimate.
B. Complexity
Based on the iterative primal-dual interior point method from
[23], it can be inferred [24] that the complexity per iteration for
solving the relaxed SDP (16)(17) with m inequality constraints
2
3
3
+ mMtx
+ Mtx
+ m3 ), and
of the type (18)(23)
is O(m2 Mtx

it requires O( Mtx ) iterations to achieve a predefined accuracy.

2
) , the worst-case comTherefore, for the case where m = O(Mtx
6.5
plexity of the relaxed SDP is O(Mtx ). If only inequalities of
the form (18) and (19) are used, with al = el and cl = el , the
constraints become dependent only on x and on the diagonal of
X. Exploiting this structure, and for the case of m = O(Mtx ),
it is possible to reduce the complexity of the interior point
3.5
). Since the randomization procedure
method [23] to O(Mtx
3
2
+ QMtx
) then, for Q = O(Mtx ),
has a complexity of O(Mtx
the overall complexity of the proposed MIMO detection ap3.5
) when using inequalities (18) and (19), and
proach is O(Mtx
6.5
O(Mtx ) when inequalities (20)(23) are also included. These
complexities make the proposed approach competitive against
other suboptimal MIMO detectors (as can be seen in Table X
in [6]).

Fig. 1.

SER performance of a 16 16 MIMO system with 64-QAM.

C. Extension for Soft Decoding

The use of forward error correction in MIMO systems requires the adoption of soft decision decoders such as [30] and
[31] in order to achieve near-optimum performance. Although it
is not the main purpose of this letter, the proposed SDR method
can be easily extended to soft decoding. Since the randomization
procedure used for the final estimate of the transmitted symbol
vector produces a list of candidate vectors, based on [25], approximate log-likelihood ratios can be computed for the kth bit
using
5
2 3
3 4
1
3 H
s32 2 2

s :b k (
s )=1 exp y
2
5
2 3
(25)
Lk = log 1
3 4
3 H
s32 2 2

s :b k (
s )=0 exp y
2

s) denotes
where is the set with the Q vector samples and bk (
the kth bit of vector
s.
IV. SIMULATION RESULTS

Several Monte Carlo simulations were run to evaluate the performance of the proposed SDR approach. The elements of ma were chosen as independent and identically distributed,
trix H
zero-mean, unit variance complex Gaussian random variables.
Figs. 1 and 2 present symbol error rate (SER) performances as a
function of the SNR for a 16 16 and a 32 32 MIMO system
using 64-QAM. Table I lists the different sets of inequalities employed to obtain the curves of the proposed detector. Set number
5, only includes inequalities of the form (18), with ai = ei and
bi = 0 for i = 1, . . . , 2Mtx . Notice that in this case the inequalities reduce to
diag (X) x

(26)

which corresponds to the constraint adopted in [22]. The difference between sets 2, 3, and 4 lies in the number of inequalities
of type (18) employed which are associated with the initial
idea of removing regions between constellation points in order
to reduce the constraint set. While sets 4 and 3, respectively,

SOUTO et al.: SEMIDEFINITE RELAXATIONS FOR MIMO TRANSMISSIONS WITH HIGH-ORDER QAM CONSTELLATIONS

987

TABLE I
LIST OF INEQUALITY SETS EMPLOYED IN THE SIMULATIONS
Label
SDR, set 1

SDR, set 2
SDR, set 3
SDR, set 4
SDR, set 5

Fig. 2.

Inequalities

Equation (18) with a i = e i , b i = l i + j 1, i = 1, . . . , 2M t x , and j = 1, . . . , M 1.

Equation (19) with c i = e i , d i = l i , f i = u i , and i = 1, . . . , 2M t x .
Equations (20)(23) with i = 1, . . . , 2M t x and j = 1, . . . , i 1.

Equation (18) with a i = e i , b i = l i + j 1, i = 1, . . . , 2M t x , and j = 1, . . . , M 1.

Equation (19) with c i = e i , d i = l i , f i = u i , and i = 1, . . . , 2M t x .
6
7

Equation (18) with a i = e i , b i = l i + j 1, i = 1, . . . , 2M t x , and j 1, 2M , M 1 .

Equation (19) with c i
Equation (18) with a i
Equation (19) with c i
Equation (18) with a i

=
=
=
=

SER performance of a 32 32 MIMO system with 64-QAM.

adopt one and three inequalities per dimension of x, thus, hav3.5

), set 2 includes one inequaling a complexity order of O(Mtx
ity for each consecutive
pair
of
integers within the bounds,

making a total of M 1 inequalities along each dimension.

Therefore, the SDR with set 2 has a worst-case complexity of
3.5
). In the simulations,square M-QAM constellaO(M 1.5 Mtx

tions were considered with li = M /2 + 1 and ui = M /2

for i = 1, . . . , 2Mtx . During the randomization step, Q = 100
samples were used for all tested configurations. For comparison
we include performance curves obtained with a naive lattice
decoder (NLD), which consists of an ML SD with the symbol bound constraints removed (implemented using algorithm 5
from [26]), the ZF-SIC detector [27], the LRA-ZF-SIC detector employing LenstraLenstraLovasz (LLL) reduction [28],
and the BC-SDR detector (which is a representative SDR detector with identical performance to other well-known SDRs, as
shown in [29]) with 100 randomization samples. Due to the high
computational complexity required for obtaining ML solutions
on the problem sizes considered, only the no interference curve
(single user matched filter performance without cochannel interference) is included in both figures as a performance lower
bound. Note also that the NLD curve was not obtained for the
32 32 MIMO due to its excessive complexity.

ei ,
ei ,
ei ,
ei ,

di
bi
di
bi

=
=
=
=

l i , f i = u i , and i = 1, . . . , 2M t x .
0, i = 1, . . . , 2M t x .
l i , f i = u i , and i = 1, . . . , 2M t x .
0, i = 1, . . . , 2M t x .

Looking at the results obtained with sets 4 and 5 in both

figures, it is clear that the relaxation proposed in [22] (which
coincides with our set 5) can be substantially improved with the
simple inclusion of quadratic inequalities related to the constellation bounds (set 4). As more inequalities are added to set 4,
the performance can still improve between 1 and 4 dB, with
the best results achieved with set 1. Note, however, that the
6.5
), is sigworst-case complexity of the SDR with set 1, O(Mtx
nificantly higher than the other sets, while its gains over the
SDR with set 2 lie around 0.5 dB. Bounding inequalities (19)
and inequalities of the form (18) thus seem more relevant for
attaining high performance gains. Furthermore, as we compare
the results obtained with sets 2, 3, and 4 we can realize that,
while the use of more inequalities of the form (18) can be beneficial for the 16 16 MIMO, the impact becomes smaller for
the larger 32 32 system. From Fig. 1, it can also be observed
that, with the exception of the NLD, the SDRs with sets 1 to 4
outperform all the other detectors, including the BC-SDR, with
gains above 8 dB (set 1 and 2) for high SNRs. For the 32 32
system in Fig. 2, the improvements are even higher with the gap
to the no interference curve lying between 6 and 8 dB for an
SER of 103 . As a final comment, we would like to point out that
there are methods which can perform closer to ML than ours but
whose additional complexity cost often makes them impractical
for large problem sizes. This is the case of the NLD (whose
performance is shown in Fig. 1) or other SD-based methods like
the iterative one from [7] which, besides the need to initially
solve a box relaxation of the ML problem, also applies LLL
reduction and an SD, multiple times.

V. CONCLUSION
In this letter, we have proposed a new SDR-based MIMO
detector for high-order QAM constellations. The SDR formulation is built over a flexible set of convex and concave quadratic
inequality constraints and has a polynomial time worst-case
complexity that can be made independent of the constellation
order. It was shown that the proposed approach can achieve a
very competitive tradeoff between complexity and performance
in large problem sizes when compared against other existing
suboptimal detectors.

988

IEEE SIGNAL PROCESSING LETTERS, VOL. 23, NO. 7, JULY 2016

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