Physical and Information-Theoretical Limits - CiteSeerX

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Ultra-Wideband Wireless Communication: Physical and Information-Theoretical Limits Course Reader for ECE 7750 and ECE 7970 Robert C. Qiu Last Update: June 2008 Department of Electrical and Computer Engineering Center for Manufacturing Research Tennessee Technological University Cookeville, TN 38501

Transcript of Physical and Information-Theoretical Limits - CiteSeerX

Ultra-Wideband Wireless Communication:Physical and Information-Theoretical Limits

Course Reader for ECE 7750 and ECE 7970

Robert C. Qiu

Last Update: June 2008

Department of Electrical and Computer Engineering

Center for Manufacturing Research

Tennessee Technological University

Cookeville, TN 38501

2

ACKNOWLEDGEMENT

Acknowledgment

This work is funded by the Office of Naval Research through a grant (N00014-07-1-0529), National Science Foun-dation through a grant (ECS-0622125), the Army Research Laboratory and the Army Research Office through aSTIR grant (W911NF-06-1-0349) and a DURIP grant (W911NF-05-1-0111), and ONR Summer Faculty FellowshipProgram Award. The NSF International Research and Education in Engineering (IREE) program has sponsored theauthor’s visit at Lund University, Sweden during which this book chapter is finalized.

The author wants to thank his sponsors Santanu K. Das (ONR), Brian Sadler (ARL), and Robert Ulman (ARO)for helpful discussions. He also wants to thank his hosts T. C. Yang (Naval Research Lab) and Andrew Molisch(Lund) to provide an ideal research environment. The department chairs Dr. P. K. Rajan (former) and Dr. StephenParke have encouraged this writing of notes. The director of Center for Manufacturing Research (CMR) at TTUhas provided the author with the desired support for carrying out this research. The author also wants to thank hisresearch group members Nan Guo, Chenming Zhou, Qiang Zhang, Zhen Hu, and Peng Zhang for their assistance.The author is indebted to the class graduates of Spring 2008, who have used this class reader. In particular, Zhen Huhas assisted in derivation of Chapter 4.

Contents

1 Introduction 1

1.1 The Mathematical-Physical Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.2 Capacity and Transient Modal Modulation—from Theory to Practice . . . . . . . . . . . . . . . . . 3

2 Some Mathematical Tools 5

2.1 Fractional Integration and Differentiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

2.2 Abelian and Tauberian Asymptotics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.3 Fundamental Connection between Fractional Calculus and Diffraction . . . . . . . . . . . . . . . . 8

2.3.1 Problem Arising from Information Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.3.2 Diffraction of an Edge by an Impulse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.4 A Generalized Multipath as a Fractional Integral Operator . . . . . . . . . . . . . . . . . . . . . . 11

2.4.1 The Generalized Multipath Model with Per-Path Impulse Response . . . . . . . . . . . . . 11

2.4.2 Representation of a Generalized Multipath as a Fractional Integral . . . . . . . . . . . . . . 11

2.5 Calculation of Fractional Integral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

3 Singular Value Decomposition of Fractional Integral Operator 15

3.1 Complex Exponentials as Eigenfunctions of Linear Time-Invariant Operators . . . . . . . . . . . . 15

3.2 Adjoint of an Integral Operator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.3 Adjoint and Singular Value Decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.3.1 Linear Shift-Variant (LSI) Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

3

4 CONTENTS

3.3.2 Linear Shift-Invariant (LSIV) System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

3.4 Singular Value Decomposition of the Ordinary Integral Operator . . . . . . . . . . . . . . . . . . . 18

3.5 Estimation of the Singular Values of a Finite Convolution . . . . . . . . . . . . . . . . . . . . . . . 19

3.6 Singular Value Decomposition of Fractional Integral Operator Using Semigroup Property . . . . . . 22

3.7 Exact Asymptotic of Fractional Integral Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

3.8 Exact Singular Value Decomposition of Fraction Integral Operator in Weighted L2-spaces . . . . . 23

3.9 Compressed Sampling for Transient Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

4 Transient Diffraction 29

4.1 Transient Diffraction by Edge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

4.1.1 Impulse Response of Edge Diffraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

4.1.2 Impulse Response of Edge Diffraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

4.2 Transient Diffraction by Slit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

4.3 Time-Domain Uniform Theory of Diffraction (TD-UTD) Operators . . . . . . . . . . . . . . . . . 55

5 Singular Value Decomposition of Transient Diffraction Operators 57

5.1 Singular Value Decomposition of Uniform Theory of Diffraction (UTD) Operators . . . . . . . . . 57

5.2 Singular Value Decomposition of Edge Impulse Response . . . . . . . . . . . . . . . . . . . . . . 57

6 Transient Modal Modulation and Capacity 59

6.1 Modal Modulation for Short Transient Pulses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

6.2 Capacity: Information-theoretic and Physical Limits . . . . . . . . . . . . . . . . . . . . . . . . . . 60

6.3 Numerical Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

7 Time Reversal—Exploiting Channel Impulse Response at the Transmitter 63

7.0.1 Time-Reversed Impulse MIMO for Optimum Diversity . . . . . . . . . . . . . . . . . . . . 65

7.0.2 Channel Reciprocity—the Symmetry of Signal Processing . . . . . . . . . . . . . . . . . . 69

7.0.3 Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

CONTENTS 5

7.0.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

8 Historical Survey 77

6 CONTENTS

List of Figures

2.1 Illustration of the special function I−αeat2 for α ≤ 0 or Iνeat2 for ν > 0 that is defined in (2.1.21).The shape of α = 0 (exactly the second order Gaussian) is different from that of α = −1/2. Theshape of α = −1 corresponds to the first order Gaussian function. . . . . . . . . . . . . . . . . . . 8

2.2 Calculation of a fractional differential Dα defined in (2.1.2) where α can be real. The α is negativein 2.2(a) and 2.2(b). A fractional integral is defined in (2.1.1). Recall that I−α = Dα. . . . . . . . 13

3.1 Illustration of the semi-group property of the fractional integral operator. . . . . . . . . . . . . . . . 27

3.2 (a) Illustration of the approach using the semigroup property. (b) SVD of fractional integral operator I12 , obtained using

four different approaches: (1) solution based on fractional integral in (3.6.5); (2) solution using the direct square root of

the singular values of the self-adjoint operator [1]; (3) the exact asymptotic expression 1/√

πn in (3.7.1); (4) numerical

calculation by directly solving the Volterra integral equation [2]. The dimensions of the signal space of a transient pulse,

which equal the product of a pulse’s duration T and its bandwidth W , is set to be 30, i.e., 2TW + 1 = 30. (c) The first

six eigenfunctions associated with the first six largest singular values of I12 . . . . . . . . . . . . . . . . . . . . . 27

4.1 The wave scattered by a perfectly conducting half-plane. . . . . . . . . . . . . . . . . . . . . . . . 29

4.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

4.3 The second order Gaussian pulse. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

4.4 The distorted terms of st (t) and sw (t). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

4.5 The distorted terms of st (t) and sw (t). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

4.6 sw (t) in Zone 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

4.7 The zoomed in version of sw (t) at −0.863ns in Zone 1. . . . . . . . . . . . . . . . . . . . . . . . 38

4.8 The zoomed in version of sw (t) at 3.219ns in Zone 1. . . . . . . . . . . . . . . . . . . . . . . . . 39

4.9 The zoomed in version of sw (t) at 3.333ns in Zone 1. . . . . . . . . . . . . . . . . . . . . . . . . 40

4.10 sw (t) in Zone 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

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8 LIST OF FIGURES

4.11 The zoomed in version of sw (t) at 2.357ns in Zone 2. . . . . . . . . . . . . . . . . . . . . . . . . 42

4.12 The zoomed in version of sw (t) at 3.333ns in Zone 2. . . . . . . . . . . . . . . . . . . . . . . . . 43

4.13 sw (t) in Zone 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

4.14 The zoomed in version of sw (t) at 3.333ns in Zone 3. . . . . . . . . . . . . . . . . . . . . . . . . 45

4.15 sw (t) in Zone 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

4.16 The zoomed in version of sw (t) at 0ns in Zone 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

4.17 The zoomed in version of sw (t) at 3.333ns in Zone 4. . . . . . . . . . . . . . . . . . . . . . . . . 48

4.18 sw (t) in Zone 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

4.19 The zoomed in version of sw (t) at 3.333ns in Zone 5. . . . . . . . . . . . . . . . . . . . . . . . . 50

4.20 The wave scattered by two perfectly conducting half-planes with a hole between two edges. . . . . . 51

6.1 Illustration of the modal modulation for UWB transient pulses. . . . . . . . . . . . . . . . . . . . . 60

6.2 A comparison of singular value distribution of a one-wedge channel, obtained using four differentapproaches: (a) exact solution based on fractional integral; (b) exact solution using the direct squareroot of the singular values associated with a two-wedge channel; (c) the exact asymptotic expression1/√πn; (d) numerical calculation by directly solving the Volterra integral equation. The dimen-

sions of the signal space of a transient pulse, which equal the product of a pulse’s duration and itsbandwidth, is set to be 30, i.e., 2TW + 1 = 100. . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

6.3 The orthonormal band-limited eigenfunctions of the channel composed of two consecutive wedges.The product of a pulse’s duration and its bandwidth is 2TW +1 = 30. (a) A comparison of transmit-ted eigen waveforms related to the tenth singular value σn, i.e., Φn(t), n = 10, using closed-formexact expression and calculation; (b) A comparision of the first six eigen waveforms correspondingto the largest energy, i.e., φn(t), n = 1, 2, ..., 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

6.4 The orthonormal band-limited eigenfunctions of the channel composed of one wedge, related to thefirst six largest singular value σn, i.e., ϕn(t), n = 1, 2, 3, 4, 5, 6. The product of a pulse’s durationand its bandwidth is 2TW + 1 = 30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

7.1 The System Block Diagram of Time-Reversed Impulse MIMO. . . . . . . . . . . . . . . . . . . . . 66

7.2 Channel Reciprocity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Chapter 1

Introduction

1.1 The Mathematical-Physical Framework

The unifying theme is to investigate, in a closed form, the degrees of freedom—the number of non-zero singu-lar values or eigenvalues—for transient, diffraction-limited, volume-to-volume communication, using the singularvalue decomposition (SVD) of a fractional integral operator that is compact and of infinite dimension in a Hilbertspace. The spectrum of a linear operator in an infinite-dimensional Hilbert space is much more complicated thanfor an operator in a finite-dimensional space. Similar to finite-dimensional matrix [3], the SVD of fractional integraloperator is fundamental to our operator approach. The transmitted modulation waveform and the received modu-lation waveform are a function of continuous variables, and can be represented, respectively, in terms of the leftsingular function and the right singular function, corresponding to the same singular value—the eigenmode. Theinformation-theoretical and physical limits can, thus, be studied through this proposed framework. The degrees offreedom of received waveforms are the unifying notion, and are only a finite number, even if those of transmittedwaveforms are an infinite number. In other words, transient diffraction limits the time-space degrees of freedom ofthe communication system. In physics, the minimum number of real parameters which are necessary to completelyspecify a system is called the number of degrees of freedom [4]. In MIMO communication, this number representsthat of parallel single-input single-output (SISO) subchannels. To the best knowledge of the author, the proposed re-search is the first attempt to study the degrees of the freedom of the transient signals in the context of communicationand information theory.

The compact linear operator defines a SVD that is, for such an operator A, given by [1]

Aφn(t) = σnΦn(t) (1.1.1)

where σn is the singular values, φn(t) is the left or input eigenfunction, and Φn(t) is the right or output eigenfunction.Both φn(t) and Φn(t) are orthonormal. As a special case, for the linear time-invariant (LTI) system, the pair of theinput and output eigenfunction is sinusoidal [5], with the eigenfunctions of infinite duration: The Fourier transformis a special case of SVD.

Often, the channel is limited by diffraction that is, in turn, represented by a fractional integral operator in a Hilbertspace. This operator is a compact operator that can be represented by its SVD. The SVD allows to identify theorthogonal SISO subchannels of a MIMO system. The singular values σn are an infinite countable set of real, positivenumbers, and limn→∞ σn → 0, due to the compactness of the operator. Due to the compactness of the fractional

1

2 CHAPTER 1. INTRODUCTION

integral operator, only a finite number of SISO subchannels can effectively be used for the output waveform, evenif the waveform with an infinite number of degrees of freedom is transmitted into the channel. Compact operatorscan be uniformly approximated by a finite dimensional operator within any degree of accuracy [6]. The evaluationof this finite dimension number is a key point to identify the maximum number of SISO subchannels. The followingtheorem [7] is relevant in a Hilbert space (denoted by H). Let A : H → H be a compact linear operator. Then, forε > 0, the number of eigenvalues λ such that |λ| ≥ ε is finite.

The integral operator of (regular) integer order is insufficient for the problem at hand. The integral operator offractional order [8, 9, 10], or fractional integral operator, is needed. Note that the fractional integral operator has aweakly-singular kernel [11]—channel impulse response—that is not square-integral, and is unbounded. To the bestknowledge of the PI, all the classical communication and information theories [12] are based on the assumption thatthe channel impulse response is, at least, square-integrable. This assumption is untrue for transient diffraction. Inother words, transient diffraction requires a mathematical tool beyond the existing information theory.

The analytical tool of obtaining the number of degrees of freedom [4, 13, 14] is the spectral theory of the integralequation in the mathematical discipline of functional analysis [15] - [16] [1, 11, 6, 7]. This problem can be, further,reduced to the SVD of an integral operator. The advantage of reformulating an equation, such as an integral equation,as an ”abstract” problem in a Hilbert space is that many of the important issues become clearer. In the abstractsetting, a function is regarded as a ”point” in some suitable space and an integral operator as a transformation of one”point” into another [17, 18, 11, 19]. Since a point is conceptually simpler than a function, this view has the meritof removing some of the mathematical clutter from the problem, making is possible to see the salient issues moreclearly. It is, thus, easy to visualize elegant general structures which can be translated into results about the originalconcrete problem. One of the aims of this proposal is to bring together strands from different disciplines (such asdiffraction, fractional calculus, transient electromagnetism and information theory), often regarded by researchersas totally unconnected. The rigorous or asymptotic SVD of a general operator is difficult to obtain in a closedform. The fractional integral operator is merely compact, but not self-adjoint [11]. Since operators that are merelycompact, or merely self-adjoint need not possess any eigenvalues, in the general case one needs concentrate oncompact, self-adjoint operators to obtain the sufficiently strong results. Unfortunately, this is not true for our case.Just as for general matrices, the amount that can be said about general compact operators is limited, and the mostsubstantial follows if the operator has some symmetry—self-adjointness. Again, the most powerful compact, self-adjoint operator theory cannot be applied to our case. The proposed research uses a blend of abstract “structure”results and more direct, down-to-earth mathematics [11]. The interplay between these two approaches is a centralfeature of the proposal, and it allows a through account to be given of many of the types of integral equationswhich arise in transient diffraction. The “right” mathematics related to SVD problems is not available until recently,because of the difficulties mentioned above. Fortunately, such a SVD for a fractional integral operator has beenavailable, thanks to the advance of applied mathematics in the last decade [20] - [21]. (See Fig. 3.2.)

The singular value method offers a very interesting alternative, since the types of singular functions, un(t) describingthe transmitted waveforms and vn(t) describing the received waveforms, may be different (Fig. ??). In other words,they lie on the different functional spaces: U and V . This feature is extremely relevant to the UWB, transient pulsesthat will experience waveform distortion during propagation [22]. Besides, the singular values σn of A: U → V , acompact operator, are

√λn, and fall off more slowly than the eigenvalues λn in eigenvalue decomposition (EVD)1

of A∗A, where A∗ is the adjoint of A [11]. For example, for semi-integral I12 ,

σn ∼ 1√n

(1.1.2)

1A∗A is resultant, if time-reversal of the channel impulse response is applied at the transmitter, as a pre-coding filter [22].

1.2. CAPACITY AND TRANSIENT MODAL MODULATION—FROM THEORY TO PRACTICE 3

while

λn ∼ 1n. (1.1.3)

See (3.7.1) also. The number of degrees of freedom—the number of non-zero singular values or eigenvalues—isessentially limited by two facts: (1) singular values or eigenvalues asymptotically fall off to zero; (2) the presence ofnoise or interference. Small singular values or eigenvalues will be buried below the noise level, and singular valuesfall off slower than eigenvalues: SVD offers a higher number of degrees of freedom than that of EVD and are moresuitable for our problem at hand.

1.2 Capacity and Transient Modal Modulation—from Theory to Practice

Once the SVD is obtained, the number of degrees of freedom and channel capacity can be readily derived from theexact or asymptotic distribution of these singular values. For transient modulation, a few modes—each of whichcorresponds to a singular value—are used to exploit transient behavior of channel impulse response. The results inthis proposed research can be used in real life for testbed.

4 CHAPTER 1. INTRODUCTION

Chapter 2

Some Mathematical Tools

2.1 Fractional Integration and Differentiation

A number of definitions of fractional integral and derivative exist [8, 9, 10]. We adopt the definition of the fractionalintegral that arises naturally from (2.4.4). The fractional integral of the order α is defined as

Iαf(x) ≡ 1Γ(α)

∫ x

a

f(t)(x− t)1−α

dt, x > a (2.1.1)

where α > 0 is a real value. This integral is also called Riemann-Liouville fractional integral. The fractional derivateDα is defined as the inverse operator of the fractional integral

Dαf(x) ≡ 1Γ(n− α)

(d

dx

)n ∫ x

a

f(t)(x− t)α−n+1

dt, (2.1.2)

where n = [α] + 1, and [α] denotes the integral part of a number α. We should also use the notation

Dαf = I−αf = (Iα)−1 f, α > 0. (2.1.3)

Sometimes the notation(

ddx

)αf(x) is used to represent both fractional integral and derivative. When α > 0, it

denotes fractional integral, and when α < 0, it represents fractional derivative. When α is an integer, it reduces toordinary integral and derivative. When α = 0, it does nothing. Define the fractional power of a complex variable zas zα = |z|αejα arg(z) with j =

√−1 and arg(z) ∈ [−π, π].

The most important property is the so-called semi-group property:

IαIβ = Iα+β , DαDβ = Dα+β (2.1.4)

which is true even for α+ β ≥ 1.

Let the entire function η(t) =∑∞

n=0 antn have a radius of convergence R > 0. Let

ξ(t) =∞∑0

anΓ(n+ α)Γ(n+ β)

tn (2.1.5)

5

6 CHAPTER 2. SOME MATHEMATICAL TOOLS

where α and β are fixed constants with α > 0. Let S be any positive number less than R. Then, ξ(t) convergesuniformly and absolutely for all t ∈ [−S, S].

When f(t) has the formtλη(t) (2.1.6)

ortλ(ln t)η(t), (2.1.7)

where λ > −1 is real and η(t) =∑∞

0 antn is an entire function, then f(t) has both a fractional integral and a

fractional derivative of any order—a real number, positive or negative [8] [p.89]. If f(t) = tλη(t), then Iνf(t) isgiven by

Iνf(t) = tλ+ν∞∑

n=0

anΓ(n+ λ+ 1)

Γ(n+ λ+ 1 + ν)tn, ν ≥ 0 or ν < 0 (2.1.8)

where Γ(z) =∫∞0 tz−1e−tdt with Re z > 0 is the gamma function and the real part of the complex argument z is

positive. Also, it follows that Γ(z + 1) = zΓ(z).

If f(t) = tλ ln tη(t), then Iνf(t) is given by

Iνf(t) = tλ+ν(ln t)∞∑

n=0

anΓ(n+ λ+ 1)

Γ(n+ λ+ 1 + ν)tn+tλ+ν

∞∑n=0

an[ψ(n+λ+1)−ψ(n+λ+ν+1)]Γ(n+ λ+ 1)

Γ(n+ λ+ 1 + ν)tn

(2.1.9)for ν ≥ 0 or ν < 0, where the psi function ψ(z) is defined [8] [p.299] as the logarithmic derivative of th gammafunction,

ψ(z) = D ln Γ(z) =DΓ(z)Γ(z)

. (2.1.10)

Equations (2.1.8) and (2.1.9) converge, according to (2.1.5), and are sufficient for most practical interest. Let usdefine the space E as the space of all the functions of the form (2.1.6) and (2.1.7). The tλ with λ > −1, polynomials,exponentials, and the sine and cosine functions belong to E, as do Et(λ, a), Ct(λ, a), and St(λ, a) for λ > −1.Some elementary examples are given below.

For f(t) = et, then

Iνet = Iν∞∑

n=0

tn

n!=

∞∑n=0

tn+ν

Γ(n+ ν + 1), ν ≥ 0 or ν < 0 (2.1.11)

where !α = Γ(α + 1) is the factorial notation even when α is not a positive integer. When f(t) = eat and ν islimited to a negative value of −α,

Iαeat = Et(α, a), α > 0 (2.1.12)

is a special function that is tabled extensively in [8]. If α = 1/2, then

I1/2eat = Et(1/2, a) = a−1/2eatErf(at)1/2 (2.1.13)

where Erf x = 2√π

∫ x0 e

−t2dt is the error function, and Erfc x = 1 − Erfx is the complementary error function.

When the fractional integral for α = 1/2 is used for the elementary function such as cosines, higher transcendentalfunctions is led to:

I12 cos(ax) =

√2a

[(cos(ax))C(y) + (sin(ax)S(y)] (2.1.14)

2.2. ABELIAN AND TAUBERIAN ASYMPTOTICS 7

I12 sin(ax) =

√2a

[(sin(ax))C(y) − (cos(ax)S(y)] (2.1.15)

where y =√

2axπ , and C(y) =

∫ y0 cos

12πt

2dt and S(y) =∫ y0 sin

12πt

2dt are Fresnel Sine and Cosine integrals [23],

respectively. Note that MATLAB has the built-in functions for C(y) and S(y). When α > 0, the compact formulasare

Iαcos(ax) = Ct(α, a)= tα

Γ(α+1) 1F2(1, 12 (α+ 1), 1

2(α+ 2);−14a

2t2) (2.1.16)

Iαsin(ax) = St(α, a)= atα

Γ(α+2) 1F2(1, 12(α+ 2), 1

2(α+ 3);−14a

2t2) (2.1.17)

where 1F2 is the hypergeometric function [23, 8]. The table about Ct(α, a) and St(α, a) is detailed in [8]. Note thatMATLAB has the built-in function for such a (generalized) hypergeometric function.

As a special case of (2.1.8), consider an even analytical function, say

H(t) =∞∑

n=0

bnt2n (2.1.18)

and ifF (t) = tλH(t), λ > −1, (2.1.19)

then

IνF (t) = tλ+ν∞∑

n=0

bnΓ(2n + λ+ 1)

Γ(2n + λ+ 1 + ν)t2n, ν ≥ 0 or ν < 0 (2.1.20)

As a simple application of (2.1.20), consider the second Gaussian function F (t) = eat2 =∑∞

n=0(at2)n

n! , then

Iνeat2 = tν∞∑

n=0

Γ(2n+ 1)Γ(2n+ 1 + ν)

(at2)n

n!, ν ≥ 0 or ν < 0 (2.1.21)

Note F (t) = eat2 is used often in UWB communications.

Riemann’s zeta function is defined as [24] [p.46]

ζ(α) =∞∑

n=1

1nα

α > 1. (2.1.22)

2.2 Abelian and Tauberian Asymptotics

We follow [25] for this topic. For the Laplace transform, there is a rule of thumb that shows that for F (s) =∫∞0 e−stf(t)dt, the value of F (s) as s→ ∞ are determined by those of f(t) for t → 0+, while F (s) for s→ 0+ is

determined by f(t) for t→ ∞. Here, by t → 0+, we mean that the limit approaches zero from its right hand.

These ideas are covered by Abelian and Tauberian asymptotics, respectively. Thus, if

8 CHAPTER 2. SOME MATHEMATICAL TOOLS

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alpha=0 alpha=0:-0.25:-1

alpha=-1

alpha=-0.75

alpha=-0.5

alpha=-0.25

Figure 2.1: Illustration of the special function I−αeat2 for α ≤ 0 or Iνeat2 for ν > 0 that is defined in (2.1.21).The shape of α = 0 (exactly the second order Gaussian) is different from that of α = −1/2. The shape of α = −1corresponds to the first order Gaussian function.

f(t) ∼∞∑0

antλn , −1 < λ0 < λ1 < · · · (2.2.1)

as t → 0+, then

F (s) ∼∞∑0

anΓ(1 + λn)s1+λn

, −1 < λ0 < λ1 < · · · (2.2.2)

where Γ(x) is Euler’s Gamma function. Here λn are real values. The full asymptotic series need not exist. Thetransient early-time response as t → 0+ determines the high-frequency asymptotic response as s = jω → ∞.When signal bandwidth approaches infinity, this early-time response is encountered.

2.3 Fundamental Connection between Fractional Calculus and Diffraction

2.3.1 Problem Arising from Information Theory

Since 1995 [26], the author has been led to derive a mathematical theory to describe the consequence of infinitebandwidth of the transmission signal, in the framework of information theory. The search turns out to be much moredifficult than its first appearance. Two major obstacles occur:

• The lack of a mathematical model to describe the channel.

• The lack of the mathematical tool to convert the continuous-time channel model into discrete-time, parallelsub-channels.

2.3. FUNDAMENTAL CONNECTION BETWEEN FRACTIONAL CALCULUS AND DIFFRACTION 9

In the first problem, the empirical model of wide use is a model suggested by Turin (in 1950s) in his PhD dissertationbreaks down mathematically, since it is not able to catch the so-called pulse distortion of each individual path. Ageneralized multipath model is postulated to fill this gap—now we have a channel model that is valid for infinitepulse bandwidth. This postulated model is consistent with physics, and has been motivated by results from thehigh-frequency radio waves, quasi-optics, and acoustics. The underlying Luneberg-Kline series has an origin fromquantum mechanics and is used to describe the asymptotic behavior of the wave field when the frequency (or signalbandwidth) approaches infinity. The address regarding the first problem reaches its stability in the time frame of2002 and reported in a paper series and book chapters.

In parallel with the above understanding, the singularity of the above postulated model is noticed. The calculationof the pulse response is difficult, due to this singularity that consists of most energy of the path in the neighborhoodof the singularity. Although some numerical tricks are used to circumvent this mathematical problem, the level ofanalysis does not reach its maturity until the recent results of exploiting the fractional calculus to deal with thissingularity.

In fact, the connection between the fractional integration and the diffraction is recognized before. This connectiontraces back to the result one century ago when Abel’s integral equation (a major motivator for fractional calculus) isused.

Until the recent development of fractional integral operator (in 1990s), the rigorous treatment of the second problemseems be within the reach. The singular value decomposition of the fractional integral operator is the mathematicalweapon of our choice. Although abstract, this tool seems sufficient for our dream of an information theory thatcan handle infinite signal bandwidth. It is the recent (2007) recognition of this new connection that triggers thewriting of this introductory lecture notes on fractional calculus and diffraction with related applications. Human’sunderstanding of nature replies on calculus. Our story is just another testimony of this conviction. Only when theunderstanding in mathematics and physics reaches a full circle—the challenges of physics provide new topics tomathematics, while the solution for these problems, in turn, will advance the physical understanding—our sciencewould move to another level.

2.3.2 Diffraction of an Edge by an Impulse

Infinite signal bandwidth implies an impulse. In transient electromagnetic fields, the diffraction process can beregarded as a linear time-invariant (LTI) system. When an perfectly conducting edge is incident by an impulsiveplane wave, the exact expression of the response of this edge to this incident impulse is written in the form of

h(τ) =1

τ + τa

1√τU(τ) (2.3.1)

where U(τ) is Heaviside’s step function, and τa is a parameter independent of τ . A lot can be learned by studyingthis function. First, this function is singular at τ = 0. Second, this function is not square-integrable, that is∫ ∞

−∞|h(t)|2dt→ ∞. (2.3.2)

The second property causes a lot of mathematical difficulty, since this function must be understood as a generalizedfunction (like Dirac’s delta function) or a distribution.

Often we restrict our attention to finite energy functions, that is,∫∞−∞ |x(t)|2dt < ∞. These signals are often called

L2 functions. In developing precise treatment of signals are both power and frequency limited, Gallagar (1966) in

10 CHAPTER 2. SOME MATHEMATICAL TOOLS

his classic [12] has assumed that the impulse response of arbitrary linear-varying filters, h(t, τ), is a L2 function,see page 392 (Section 8.4) of [12]. His assumption is motivated to deal with the arbitrary durations of the appliedsignal, the input duration T or the output duration T0. When either T or T0 or both may be infinite, he is led toalways assume that ∫ ∞

−∞

∫ ∞

−∞h2(t, τ)dtdτ <∞ (2.3.3)

The assumption in (2.3.3) rules out two situations that are quite common in engineering. One is the case whereh(t, τ) contains impulses and the other is the case where T and T0 are both infinite and the filter is time invariant.Thus, in his development, both of these situations must be treated as limiting cases and there is not always a guaranteethat the limit will exist. In Section 8.5 (page 407) of [12], he has made a similar assumption.

A comparison of (2.3.2) with (2.3.3) suggests the unsatisfactory status of the theoretical framework. A new mathe-matical formalism is needed to develop a precise treatment of the troublesome impulse response of a physical channel(2.3.1). This problem cannot be argued away on physical grounds, since we are dealing with mathematical modelsof physical problems. In other words, if we are interested in a signal of infinite bandwidth–resulting in impulseresponse, this problem naturally arise from our radio wave propagation (and also from many similar situations).

Since the energy of the channel impulse response is concentrated in the neighborhood of t → 0+, the asymptoticlimit of this function can be investigated, instead, to simplify the analysis and gain insight. Thus, (2.3.1) is rewrittenas

h(τ) ∼ 1a

1√τU(τ) (2.3.4)

where ∼ denotes the asymptotic limit of the function.

Now let us consider, as input, an arbitrary signal x(t), the output of the edge diffraction (LTI) is

y(t) = x(t) ∗ h(t) =∫ t

−∞x(τ)

1√t− τ

dτ (2.3.5)

where ∗ denotes linear convolution, and the time-independent parameter a in (2.3.4) is dropped for brevity. Forconvention, if we require that x(t) and henceforth y(t) be a causal signal, i.e., identically vanish for t < 0, then(2.3.5) becomes

y(t) =∫ t

0x(τ)

1√t− τ

dτ (2.3.6)

A comparison of (2.3.6) with (2.1.1) leads to the fundamental connection:

y(t) =∫ t

0x(τ)

1√t− τ

dτ ≡ I12x(t) (2.3.7)

where I12 denotes the fractional integral of order 1

2 , or semi-integral for brevity.

The interpretation of (2.3.7) is important. The only approximation that is already made in the derivation of (2.3.7) isthe asymptotic limit introduced in (2.3.4). For t→ 0+, according to Abelian asymptotics (2.2.1), this approximationimplies (2.2.2), i.e., the high-frequency asymptotic limits of the (physical) edge diffraction phenomenon. In otherwords, the time-domain asymptotic (early-time, transient) response of the edge diffraction corresponds to the high-frequency asymptotic limit. In [27], it has been found that the use of this asymptotic limit to approximate the edge(even more generally for wedge) diffraction causes no difference to the exact solution. It is because of this resultthat has motivated us in this research. The fundamental connection of (2.3.7) paves the way for a new mathematicalformalism of using fractional calculus—an old, but lively branch in mathematics analysis.

2.4. A GENERALIZED MULTIPATH AS A FRACTIONAL INTEGRAL OPERATOR 11

Mathematicians are bothered by an still-open question—is possible to find a geometric interpretation of a fractionalderivative of non-integer order? See page 15 of [8]. Equation (2.3.7) provides a physical interpretation for such anfractional integral.

2.4 A Generalized Multipath as a Fractional Integral Operator

2.4.1 The Generalized Multipath Model with Per-Path Impulse Response

The linearity of Maxwell’s equations implies the linearity of the system function. If no mobility is present, thechannel must be time-invariant. Combining the two results leads a linear-time-invariant (LTI) representation ofUWB channels. A generalized multipath is postulated for a class of UWB channels uniquely defined by its channelimpulse response

h(τ) =L∑

l=1

Alhl(τ) ∗ δ(τ − τl) (2.4.1)

where Al and τl are, respectively, the amplitude and delay of the l-th path, and hl(τ) is the per-path impulse re-sponse with its frequency transform Hl(jω), called per-path frequency response. Eq. (2.4.1) can be rewritten in thefrequency domain as

H(jω) =L∑

l=1

AlHl(jω)ejωτl (2.4.2)

where ω = 2πf is the angular frequency and f is the frequency in Hertz. For practical applications, it is oftensufficient to consider a special form

Hl(jω) = (jω)−αl (2.4.3)

hl(τ) =1

Γ(αl)τ−(1−αl)U(τ) (2.4.4)

where αl assumes a positive real value, e.g., αl = 1/2. The U(τ) is Heaviside’s function. The Gamma function isdefined [23] as Γ(z) =

∫∞0 tz−1e−tdt where the real part of z is positive, i.e., �(z) > 0. The function τ−(1−αl)U(τ)

has a singularity at t = 0, and must be treated as a generalized function or distribution [8, 9, 10]. It is also regardedas an unbounded linear operator. In fact, it is the behavior of this operator at t = 0 that determines its singular valuesdistribution.

Eq. (2.4.3) is sufficiently generic for our interest. Almost all the physics-based problems can be modeled bythis model [28, 29, 30, 27, 22, 31]. As pointed in [26], the frequency dependency factor αl can be measuredexperimentally—impossible for infinite bandwidth, however. For a comprehensive review of UWB channel models,we refer to [32] [33] .

2.4.2 Representation of a Generalized Multipath as a Fractional Integral

The mathematical form of (2.4.4) suggests a natural connection with the fractional integration and differentiation, arapidly developing branch in applied mathematics [8, 9, 10]. See Section 2.1 for definition and relevant properties.

When an input pulse x(t) is applied to the channel with the impulse response of (2.4.4), the fractional integral willarise naturally from the expression of the output pulse y(t). Without loss of generality, x(t) is nonzero for t > 0. To

12 CHAPTER 2. SOME MATHEMATICAL TOOLS

simplify the presentation, let us use the first path as an example, ignoring the associated delay for the moment, i.e.,h1(τ) = 1

Γ(α1)τ−(1−α1)U(τ). It follows from (2.4.4) that

y1(t) =∫∞−∞ x(τ)h(t− τ)dτ

=∫∞−∞

1Γ(α1)

x(τ)

(t−τ)(1−α1)U(t− τ)dτ

= 1Γ(α1)

∫ t0

x(τ)

(t−τ)(1−α1)dτ, t > 0(2.4.5)

Comparing the definition of fractional integral (2.1.1) in Section 2.1 with (2.4.5) naturally leads to

y1(t) = 1Γ(α1)

∫ t0

x(τ)

(t−τ)(1−α1)dτ, t > 0= Iα1x(t)

(2.4.6)

which means that the output waveform for the first path is the fractional integral of the input waveform with theorder of α1.

Following the similar procedure for the l-th path, the output waveform is yl(t) = Iαlx(t). When L paths areconsidered all together, the total channel response is

y(t) =L∑

l=1

Al(Iαlx(t)) ∗ δ(τ − τl) (2.4.7)

where Iαl can be treated as linear fractional integral operators that are of infinite dimensions. Single value decompo-sition is used to “diagonalize” these infinite-dimensional operators in 3. Eq. (2.4.7) allows us to handle a transmittedwaveform x(t) that are arbitrary in time duration and bandwidth.

2.5 Calculation of Fractional Integral

2.5. CALCULATION OF FRACTIONAL INTEGRAL 13

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L1

G1

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Figure 2.2: Calculation of a fractional differential Dα defined in (2.1.2) where α can be real. The α is negative in2.2(a) and 2.2(b). A fractional integral is defined in (2.1.1). Recall that I−α = Dα.

14 CHAPTER 2. SOME MATHEMATICAL TOOLS

Chapter 3

Singular Value Decomposition of FractionalIntegral Operator

Singular value decomposition (SVD) of a finite-dimension matrix operator [34] is a standard tool in modern algo-rithms. For example, the so-called subspace based algorithm [35] enabled by using SVD modernizes the signalprocessing[36]. This finite-dimension matrix operator, however, cannot apply to the infinite-dimension fractionalintegral operator at hands. Driven by the needs, mathematicians have advanced this tool for the infinite-dimensionoperators, although abstract but powerful. Often, physics problem lead to the singular integral operator as in the caseof diffraction theory. Close the singular integral operator, it is the fractional integral operator. We systematicallyinvestigate the SVD of fractional integral operators, since results are rich in applied mathematics literature.

3.1 Complex Exponentials as Eigenfunctions of Linear Time-Invariant Operators

Communication engineers are much concerned with the class of functions they call signals. These are real functions,r(t), defined everywhere on a real line that they call time. They are square-integrable there,∫ ∞

−∞r2(t)dt = E <∞ (3.1.1)

and the quantity E is called the energy of the signal r(t). It has an important physical intepretation. Signal space S ,is the set of all signals, r(t). It has, of course, just the space L2(−∞,∞) of the mathematician.

The response sf (t), of a linear time-invariant (LTI) system to the sinusoidal input ej2πft is easily calculated. Wehave

sf (t+ T ) = L[ej2πf(t+T )

]= L

[ej2πftej2πfT

]= ej2πfTL

[ej2πft

]= ej2πfT sf (t) (3.1.2)

Theorem 3.1 (Slepian, 1983) [5] All linear time-invariant (LTI) operators have the complex exponentials ej2πft,−∞ < f < ∞, as eigenfunctions. Different linear time-invariant operators are characterized by their eigenvaluesYL(f) (called the transfer function of L).

This theorem is the true genesis of the widespread applicability of Fourier analysis to electrical engineering.

15

16 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

3.2 Adjoint of an Integral Operator

Here we follow [37]. Let H represent a linear integral operator. The scalar product (g2,Hf1 can be written as

(g2,Hf1) =∫ β

αf1(x)

∫ β

αg∗2(x

′)h(x′, x)dx′dx (3.2.1)

The adjoint can be expressed as

(H†g2, f1) =∫ β

αf1(x)

[∫ β

αg2(x′)h†(x, x′)dx′

]∗dx (3.2.2)

where h†(x, x′) is the kernel of the adjoint operator. Comparison of (3.2.1) and (3.2.2) shows that

h†(x, x′) = h∗(x′, x) (3.2.3)

Thus the kernel for H† is obtained from the kernel of H by interchanging x and x′ and taking the complex conjugate.

In using (3.2.3), it is important to pay attention to the two arguments. We know g(x′) = [Hf ](x′) =∫h(x′, x)f(x)dx,

so the integral is over the second argument of h(x′, x). Similarly,[H†g](x) =∫h†(x, x′)g(x′)dx′; again, the in-

tegral is over the second argument of the kernel, which is h†(x′, x). With (3.2.3), we can also write [H†g](x) =∫h∗(x′, x)g(x′)dx′. The integral is over the first argument of h∗(x′, x), which is just the conjugate of the kernel

needed to calculate Hf(x′); no explicit interchange is needed in moving from H† to H, if we are careful to associatex with space U and x′ with space V.

3.3 Adjoint and Singular Value Decomposition

SVD is a powerful tool for analyzing linear systems. Here we follow [37]. If the system is described by a continuous-time to continuous-time operator H, SVD requires knowledge of the eigenfunctions of H†H and HH†, denoted byun(r) and vn(rd), respectively. Since H is a mapping from object (transmitter) space U to image (receiver) spaceV, the adjoint operator H† maps from V to U. For an image (communication) system, the adjoint operator convertsa function of (receiver) image coordinates rd to a function of objective (transmitter) coordinates r.

Functions that describes real objects (transmitted signals) and images (received signals) does not have infinite values.A function with finite support and no infinite values is necessarily square-integrable and hence a vector in Hilbertspace L2(S), where S is the region of support of the function in terms of its independent variables (not includingtime dimension). If a transmitted signal is described as a bounded function of q variables (or, q-dimensional vectorvector r, and f(r) is zero outside some region Sf in R

q (q-dimensional real space), then it is square-integrable∫Sf

|f(r)|2dqr <∞. (3.3.1)

Thus the transmitted signal can be regarded as a vector in the Hilbert space L2(Sf ). If the transmitted signal issquare-integrable over the infinite domain, it is a vector in L2(Rq). Similarly, if an received signal g(rd) is definedas a function on R

s and is zero outside a region Sg , then it is corresponds to a vector g in the Hilbert space L2(Sg),which may be L2(Rs) if no support restriction is required.

3.3. ADJOINT AND SINGULAR VALUE DECOMPOSITION 17

3.3.1 Linear Shift-Variant (LSI) Systems

The communication system is a mapping from L2(Sf ) to L2(Sg). If the mapping is further linear, the Riesz repre-sentation theorem suggest that

g(rd) =∫Sf

h(rd, r)f(r)dqr. (3.3.2)

where h(rd, r) is impulse response in electrical engineering, or point response function in imaging science. In amore abstract notation, we can express this integral as

g = Hf (3.3.3)

where f and g are Hilbert-space vectors and H is the linear operator defined in (3.3.4). With noise, the mappingtakes the form g = Hf + n, where n is a random vector whose sample space may be all of V.

For the operator H defined in (3.3.4), the adjoint is given by1

[H†g](r) =∫Sg

h∗(rd, r)g(rd)dsrd. (3.3.4)

where ∗ denotes the complex conjugate. The adjoint impulse response is the response in receiver signal space by apoint source in a transmitter signal space. If that point is at the specific location rd0, then the response is h∗(rd0, r).The adjoint operation is frequently called back projection, since each point is projected back into the transmittersignal space.

If we think of H as a blurring operation for imaging, then H† is a further blurring, but with h(rd, r) replaced byh∗(r, rd).

3.3.2 Linear Shift-Invariant (LSIV) System

Diffraction is an example of a spatial shift-invariant (LSIV) system, implying that there is no preferred origin inspace. Convolution operator and its adjoint can be used. When a spatial system in q dimensions can be described asLSIV, its output is given by

g(rd) =∫∞h(rd − r)f(r)dqr. (3.3.5)

By a change of variables, this integral becomes

g(rd) =∫∞h(r)f(rd − r)dqr. (3.3.6)

Note that the range of integration is infinite in all variables. In shorthand form, (3.3.5)and (3.3.6) can be written asa convolution given by

g(rd) = [h ∗ f ](rd) = h(rd) ∗ f(rd). (3.3.7)

The kernel of the convolution operator can be interpreted as the point spread function in imaging. The adjoint of theconvolution operator is given from (3.3.4), which now becomes

[H†g](r) =∫∞h∗(rd − r)g(rd)dqrd. (3.3.8)

If h(−r) = h∗(r), then these two operations are identical and H is Hermitian.

1Note we have not interchanged the two arguments in h∗(rd, r). See discussions below equation (3.2.3).

18 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

Example 3.1

Let the operator K on L2(0, 1) be defined by [11][p.173]

(Kφ)(x) =∫ 1

0log∣∣∣∣√x+

√t

√x−

√t

∣∣∣∣φ(t)dt (0 ≤ x ≤ 1) (3.3.9)

To show that K is a positive operator, consider

(T φ)(x) =∫ x

0

φ(t)√x− t

dt = I12 (0 ≤ x ≤ 1). (3.3.10)

Although the kernel is an unbounded function, it is a Schur kernel and therefore T is a bounded operator on L2(0, 1),with adjoint given by

(T †φ)(x) =∫ 1

x

φ(t)√t− x

dt = (I12 )† (0 ≤ x ≤ 1). (3.3.11)

The kernel of T T † is, for x �= t,

k(x, t) =∫ min(x,t)

0

ds√x− s

√t− s

= 2 log

∣∣∣∣∣√x+

√t√

|x− t|

∣∣∣∣∣ = log∣∣∣∣√x+

√t

√x−

√t

∣∣∣∣ (3.3.12)

the integration being most easily carried out using the substitution u =√x− s+

√t− s. Therefore, K = T T † and

T †φ = 0 gives (T †)2φ = 0 ⇒ φ = 0, implying the positivity.

3.4 Singular Value Decomposition of the Ordinary Integral Operator

The compact linear operator defines a singular value decomposition (SVD). The integral operator operated on func-tion f(t),

∫ t0 f(x)dx, is such a compact linear operator. The SVD for the operator of this kind A is defined as

[1]Aφn(t) = σnΦn(t) (3.4.1)

where σn is the singular values, φn(t) is the left or input eigenfunction, and Φn(t) is the right or output eigenfunction.Both φn(t) and Φn(t) are orthonormal. As a special example related to the linear time-invariant (LTI) system, thepair of the input and output eigenfunction is sinusoidal, for the pulses of infinite duration.

Mapping the square integral functional space L2[0, 1] to itself L2[0, 1], or L2[0, 1] → L2[0, 1], the integral operatorA is defined as

Af(t) :=∫ t

0f(x)dx, 0 ≤ t ≤ 1, (3.4.2)

The inverse operator A−1 corresponds to differentiation. The adjoint operator2 is given by

A∗f(t) :=∫ 1

tf(x)dx, 0 ≤ t ≤ 1, (3.4.3)

2Every bounded linear operator A : X → Y possesses an adjoint operator A∗ : Y → X, that is, (Af, g) = (f, A∗g), where (f, g) =∫ b

af(x)g(x)dx means the scalar inner product. By the bar we denote the complex conjugation.

3.5. ESTIMATION OF THE SINGULAR VALUES OF A FINITE CONVOLUTION 19

Hence, the self-adjoint operator A∗A is defined as

A∗Af(t) :=∫ 1

t

∫ y

0f(x)dxdy, 0 ≤ t ≤ 1, (3.4.4)

and the eigenvalue equation A∗Aϕ(t) = λϕ(t) is equivalent to the boundary value problem for the ordinary differe-nial equation

λϕ′′

+ ϕ = 0 (3.4.5)

with homogeneous boundary conditions ϕ(1) = ϕ′(0) = 0, where the prime ′ denotes differentiation. Note that thesquares σ2 of the singular values of A are given by the eigenvalues λ of the nonnegative self-adjoint operator A∗A.

A nontrivial solution exists only if

σn =√λ =

2(2n − 1)π

, n = 1, 2, ...,∞ (3.4.6)

The pair of the eigenfunctions is given by

φn(t) =√

2cos(2n− 1

2πt), 0 ≤ t ≤ 1 (3.4.7)

and

Φn(t) =√

2sin(2n − 1

2πt), 0 ≤ t ≤ 1. (3.4.8)

As a result, the exact solution is obtained for an integral operator.

3.5 Estimation of the Singular Values of a Finite Convolution

In order to make efficient use of the essential dimensions, estimates are needed of the singular values of finite convo-lution operators that can be obtained without expensive computation. Many problems in optics and communicationsinvolve solution of an equation of the form

g(s) =∫ 1

−1k[c(s − t)]f(t)dt (3.5.1)

or knowledge of the associated finite-convolution operator

(Rf)(s) =∫ 1

−1k[c(s − t)]f(t)dt (3.5.2)

Equation (3.5.1) is a Fredholm integral equation of the first kind, and, as such, its solution is an ill-posed problemwith the calculated solution f(t) being extremely sensitive to noise in g(s). Some components (≡ expansion coeffi-cients) of f(t) can be accurately determined in spite of the presence of noise, and the so-called degrees of freedomare defined using these expansion coefficients. Channel capacity is closely related to this problem.

Theorem 3.2 (Landau & Pollak, 1962) [38, 39] If

k(ct) =sin(c2πt)

πt≡ 2c sinc(cπt) (3.5.3)

20 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

and n(c, α) is the number of eigenvalues λn such that λn ≥ α, then

n(c, α) = 4c+2π2

log(α−1 − 1) log c+ o(log c). (3.5.4)

If b is fixed and c, c are chosen such that

c = 4c+2bπ2

log[2(2πc)1/2], (3.5.5)

thenlim

n→∞λn = (1 + eb)−1 (3.5.6)

This famous theorem implies that the λn are distributed in a steplike fashion, i.e.,

λn ∼ 1 if n < 4c (3.5.7)

λn ∼ 0 if n > 4c (3.5.8)

with the change from unity to zero occurring in a strip of width ∼ log n centered on n = 4c. Furthermore, asn→ ∞, the eigenvalues decay exponentially with n.

The implications for solution of (3.5.1) are that coefficients of eigenfunctions corresponding to eigenvalues greaterthan the noise level will be recovered in the presence of noise, but coefficients corresponding to eigenvalues lessthan the noise level will not. Because approximately 4c eigenvalues are essentially unity, then 4c componentswill be found; since the eigenvalues decay exponentially beyond this point, any improvement in the accuracy ofmeasurement of g will increase the number of eigenvalues greater than the noise level only by at most one or two.These features explain the number of degrees of freedom and its independence of noise [40].

The finite Fourier transform operator Fc, in general, is a compact operator, and so possesses a SVD {φn, σn, ϕn}∞n=1.The sets {φn} and {ϕn} form orthonormal bases for the space L2([−1, 1]); the set σ(R) ≡ {σn} consists ofnonnegative scalars arranged so that σn ≥ σn+1 and

Rφn = σnϕn. (3.5.9)

If k(t) is a symmetric operator, then σn = |λn|, where {λn} are the eigenvalues of R.

The SVD can be used to derive a formal solution to (3.5.1). Any left-hand side g(s) can be expanded as an infiniteseries of singular functions

g =∞∑

n=1

bnϕn, (3.5.10)

in which case the solution f can be expanded formally as the infinite series

g =∞∑

n=1

bnσn−1φn =

∞∑n=1

anφn. (3.5.11)

The Fourier transform operator F is defined as

(Ff)(r) =∫ ∞

∞exp(2πjrt)dt. (3.5.12)

3.5. ESTIMATION OF THE SINGULAR VALUES OF A FINITE CONVOLUTION 21

The finite Fourier transform operator Fc is defined by

(Fcf)(r) =∫ 1

−1exp(2πjrt)dt, r ∈ [−c, c]. (3.5.13)

The project on the interval [−c, c] by Pc is defined as

(Pcf)(t) = f(t) t ∈ c[−1, 1] (3.5.14)

= 0 otherwise. (3.5.15)

For convenience, we use P for c = 1. The adjoint of P is denoted by P†. If K(r) is a bounded continuous functionon (−∞,∞), then the associated multiplication operator is defined by

μKf(r) ≡ K(r)f(r). (3.5.16)

The kernel of (3.5.1) is defined only on the interval 2[−1, 1], so we assume that is can be extended to a function k(t)on the entire real line such that ∫ ∞

−∞|k(t)|dt <∞. (3.5.17)

For most kernels of interest, k(t) is analytic away from the origin, so that analytic continuation is a a natural extensionthat has all the required or derived properties. According to Ref. [41], the transform K = Fk of a kernel satisfyinginequality (3.5.17) is a bounded continuous function that vanishes at ∞, so that μK is a well-defined multiplicationoperator. Finally, by the convolution theorem for Fourier integrals, the operator R associated with kernel k satisfies

R : L2[−1, 1] → L2[−1, 1] is a bounded linear operator and

R = PF†μKP. (3.5.18)

Theorem 3.3 (Newsam & Barakat, 1985) [40] If |K(r)| is an even function and constantly decreasing away fromthe origin, then

σn(R) ≤ minc

{|K(c)| + [|K(0)| − |K(c)|]σn(Fc)} . (3.5.19)

Theorem 3.4 (Newsam & Barakat, 1985) [40] If K(r) is a real, nonnegative even function that is constantly de-creasing away from the origin, then

σn(R) ≥ maxc

[K(c)σ2n(Fc)] (3.5.20)

Corollary 3.1 (Newsam & Barakat, 1985) [40] If in addition to the conditions of Theorem 3.3, K(r) decays alge-braically, then an asymptotic upper bound on σn(R) is K(n/4). If K(r) also satisfies the conditions of Theorem3.4, then σn(R) asymptotes to K(n/4).

Corollary 3.1 will give a reasonable estimate tool not only for essential dimension but also of σn(R) for all n. Theapproximations of σn(R) by K(n/4) are not uniformly accurate, they reproduce the general form of σn(R) quitewell [40].

22 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

3.6 Singular Value Decomposition of Fractional Integral Operator Using Semi-group Property

The SVD of the fractional integral operator is studied in applied mathematics [42, 43, 44, 45, 20, 46, 47, 48, 49,50, 51, 52, 21], for asymptotic behavior of its singular values, generalizing the work of [53]. Chang, in turn, [53]extends the result of Hille and Tamarkin’s bounds on eigenvalues of fractional integral operators, to singular valuesof ordinary integral operators.

As illustrated in Fig. 3.2(a), the semi-group property of the fractional integral, (2.1.4) for β = 1 − α, implies

IαI1−α = Iα+1−α = I1 = I (3.6.1)

which is exactly an ordinary integral operator. In other words, the ordinary integral operator can be broken into twoconsecutive fractional integral operators3 Iα and I1−α.

As illustrated in Fig. 3.2(a), it follows that

y(t) = (IαI1−α)x(t) = (I1)x(t) =∫ t

bx(τ)dτ ; (3.6.2)

andz(t) = Iαx(t); y(t) = I1−αz(t) (3.6.3)

Fortunately, the SVD of the ordinary integral operator I1 has been made available in Section 3.4. When the lefteigenfunction φn(t) =

√2cos(ant) is treated as the left eigenfunction of the operator Iα in Fig. 3.2(a), the resultant

output of this operator is the right eigenfunction of this operator Iα—a key step in our approach. Here, an = (2n−1)π2

is given by (3.4.6). Formally, it follows that

σnΦn(t) = Iαφn(t), n = 1, 2, ...,∞= Iα

√2cos(ant)

=√

2Ct(α, an)(3.6.4)

from which σn for the operator Iα is to be determined. Defined in (2.1.16), the Ct(α, a) is a special function thatcan be expressed in terms of the hypergeometric function which has been built-in in MATLAB.

For the case of α = 1/2, it follows from (2.1.14) that

I12 cos(anx) =

√2an

[(cos(anx))C(y) + (sin(anx)S(y)] (3.6.5)

where y =√

2anxπ , and C(y) and S(y) Fresnel Sine and Cosine integrals [23], respectively.

In Fig. 3.2, the fractional integral operator I12 has an infinite number of degrees of freedom. When a signal with a

finite number of degrees of freedom NDOF = 2TW +1 = 30 is considered instead, Ky Fan’s inequality [54, 55, 56,57] can be used: For compact operators A and B, we have σm+n−1(AB) ≤ σm(A)σn(B). Let A be the operator with

3The two consecutive fractional integral operators can be, intuitively, viewed as a chain of two LTI systems. But, since the impulseresponses are generalized functions, fractional integral operators must be used for mathematical rigor and validity of the suggested generalizedmultipath model of (2.4.4).

3.7. EXACT ASYMPTOTIC OF FRACTIONAL INTEGRAL OPERATORS 23

NDOF . It is well known [58, 59, 60, 38, 39, 61, 62, 63] that the singular values of A are 1 until their index exceedsNDOF . This Slepian-Landau operator acts like a “gate” with a width of NDOF . When a signal with a finite numberof degrees of freedom NDOF = 2TW + 1 = 30 is considered instead in Fig. 3.2, the infinite-dimensional fractionalintegral operator I

12 is “gated” by the Slepian-Landau operator. This gating effect is vividly illustrated in Fig. 3.2:

the curve of numerical simulation. Physically, every communication system has a finite NDOF . Mathematically,when NDOF → ∞, the asymptotic limit of singular values σn for I

12 can be achieved.

3.7 Exact Asymptotic of Fractional Integral Operators

The asymptotic behavior of the singular values has been studied in applied mathematics [42, 43, 44, 45, 20, 46, 47,48, 49, 50, 51, 52, 21].

Let us denote σn as the singular values of the fraction integral operator Iα. The exact asymptotic behavior is derivedin the Theorem 3.5.

Theorem 3.5 (Dostanic, 1993) [50]: If α > 0, then

limn→∞σn(Iα) =

1(πn)α

(3.7.1)

In (3.7.1), ∼ means asymptotically equal. Eq. (3.7.1) is exact, only asymptotically when n → ∞, while the exactsingular values for an arbitrary integer n ≥ 1 are not known. In practice, (3.7.1) has been found in excellentagreement with numerical simulation (Fig. 3.2), after n > 3. Besides, Dostanic’s theorem does not provide singularfunctions that are needed for modal modulation.

Let �α� be the greatest integer which is not greater than α.

Corollary 3.2 (Dostanic, 1993) [50]: If α > 0, r ∈ C�α�+1, r(0) �= 0, k(x) = r(x)/x1−α and K : L2(0, 1) →L2(0, 1) is the linear operator defined by

Kf(x) =∫ x

0k(x− y)f(y)dy (3.7.2)

then,

limn→∞σn(Iα) ∼ r(0)Γ(α)

1(πn)α

(3.7.3)

3.8 Exact Singular Value Decomposition of Fraction Integral Operator in WeightedL2-spaces

Although (3.7.1) gives the exact asymptotic behavior of the singular values for the fractional integral operator, theexact behavior of the singular values is not known in L2-spaces. Exact SVD of fraction integral operator is onlyavailable in weighted L2-spaces [21], which is sufficient for our problem at hand.

24 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

Let U and V be infinite-dimensional Hilbert spaces, and let A : U → V be an injective, compact linear operator.Then, there exists: (1) an orthonormal basis {un(t)} in U ; (2) an orthonormal system {vn(t)} in V ; (3) a non-increasing sequence {σn} of positive numbers with limit 0 for n → ∞. The system {σn, un(t), vn(t)} is called asingular system of the operator A. For the operator A, then the following SVD

Ax(t) =∞∑

n=0

σn(x, un)Uvn(t), x(t) ∈ U (3.8.1)

is valid, where the weight functions ϕ and ψ appear in scalar products

(f, g)U =∫

Ωf(x)g(x)ϕ(x)dx, (f, g)V =

∫Ωf(x)g(x)ψ(x)dx

By exploiting the properties of the generalized Laguerre polynomials, a SVD of the operator Iα is found.

Theorem 3.6 (Gorenflo & Tuan, 1995) [21]: If λ+1/2 > α > 0, ϕ(t) = (1−t1+t)

λ−1/2, ψ(τ) = (1− τ)λ−α−1/2(1+τ)−λ−α+1/2, and Iα : L2((−1, 1);ϕ) → L2((−1, 1);ψ), then, the exact SVD {σn, un(t), vn(t)} of Iα is given by:

σn =(

Γ(n+ λ− α+ 1/2)Γ(n+ α+ λ+ 1/2)

) 12

∼ 1nα, n→ ∞ (3.8.2)

and un(t) and vn(t) are expressed in terms of orthogonal Jacob polynomials [23].

The family {un(t)} is complete in the corresponding space L2((−1, 1);ϕ), and, therefore, is an orthonormal basis ofthe space L2((−1, 1);ϕ). Besides, the family {vn(t)} is orthonormal in L2((−1, 1);ψ). In particular, for λ = 1/2,then Iα, 0 < α < 1, boundedly maps the space L2(−1, 1) into the weighted space L2((−1, 1); (1 − τ2)−α). Noteit is easy to extend the normalized duration (−1, 1) to an finite arbitrary interval for pulse duration.

3.9 Compressed Sampling for Transient Signals

Ultra-wideband (UWB) channels and underwater acoustic (UWA) channels exhibit a sparse impulse response. Thissparsity can be exploited through the framework of compressed sampling (or sensing) (CS) [64, 65, 66]. In UWBchannels, measured channel impulse responses have been used [67]. See also [68] for a tapped-delay line model.There is no justification for this use of CS, from a physics-based channel model. This gap will be filled below. Thisderivation is, although direct in the context of our chapter, of fundamental nature.

Sparsity and Compressibility [69]: We have a vector f ∈ Rn which we expand in an orthogonal basis (such as a

wavelet basis) Ψ = [ψ1ψ2ψn] as follows:

f(t) =n∑

i=1

xiψi(t) (3.9.1)

where x is the coefficient sequence of f , xi = 〈f, φi〉. Here 〈x, y〉 represents the inner product of x and y. It will beconvenient to express f as Ψx (where Ψ is the n× n matrix with ψ1,· · · , ψn as columns).

The implication of sparsity is now clear: when a signal has a sparse expansion, one can discard the small coefficientswithout much perceptual loss. Formally, consider fS(t) obtained as keeping only the terms corresponding to the S

3.9. COMPRESSED SAMPLING FOR TRANSIENT SIGNALS 25

largest values of (xi) in the expansion of (3.9.1). By definition, fS := ΨxS , where xS is the vector of coefficients(xi) with all but the largest S set to zero. This vector is sparse in a strict sense since all but a few of its entries arezero; we will call S-sparse such objects with at most S nonzero entries. Since Ψ is an orthogonal basis, we have

||f − fS||l2 = ||x− xS||l2 (3.9.2)

where ||θ||lp = (∑

i |θi|p)1/p denotes the norm the vector θ. The case of p = 2 is the usual Euclidean l2-distance.

x is compressible in the sense that the sorted magnitudes of the (xi) decay quickly. In particular, the n-th transformcoefficient typically decays as (following the power law)

|x|(n) ≤ R n−1/p, 1 ≤ n ≤ N (3.9.3)

where R > 0 and p > 0.

If x is sparse or compressible, then x is well approximated by xS and, therefore, the error ||f − fS ||l2 is small.In other words, one can “throw away” a large fraction of the coefficients without much loss. This observation hasfundamental significance for signal processing through the framework of compressed sampling.

Compressed Sampling [65]: Suppose that we take measurements

yk = 〈f,Xk〉 , k = 1, · · · ,K (3.9.4)

where Xk are N -dimensional Gaussian vectors with independent standard normal entries. Then, for each f obeyingthe decay estimate above for some 0 < p < 1 and with overwhelming probability, our reconstruction f, defined asthe solution to the constraints yk = 〈f,Xk〉 with minimum l1 norm, obeys

||f − f||l2 ≤ Cp · R · (K/log N)−r, r = 1/p − 1/2. (3.9.5)

where Cp is some constant which only depends on p. Equation (3.9.5) is surprising. It says that if one makesO(KlogN) random measurements of a signal f , and then reconstructs an approximation signal from a limited set ofmeasurements in a manner which requires no prior knowledge or assumptions on the signal (other than its perhapsobeys some sort of power law decay with unknown parameters), one still obtains a reconstruction error which isequally as good as that one would obtain by knowing everything about f and selecting the K largest entries of thecoefficient vector; thus the amount of “oversampling” incurred by this random measurements procedure comparedto the optimal sampling for this level of error is only a multiplicative factor of O(KlogN). The reconstructionalgorithm does not depend upon unknown quantities such as p or R.

Compressibility of Transient Signals: With the above definitions, we are in a position to make our major point: thetransient signals are compressible. Section 3 has shown that the singular values of the SVD for the signals—definedby equation (2.4.3) in Section 2.4.1—follow the power law. Since the singular basis is also an orthogonal basis,these signals are compressible in the sense of (3.9.3).

Since the model defined by equation (2.4.3) in Section 2.4.1 is very general, in reality almost all the (transient)acoustic and electromagnetic signals satisfy this definition either exactly or asymptotically. As a result, this physics-based model justifies the use of compressed sampling for these applications.

Pre-coding Optimization for Transient Signals: Since the transient signals are compressible, as pointed out above.This structure (compressibility) has been exploited in compressed sampling. Time reversal or pre-coding can beemployed at the transmitter, with a goal to minimize the complexity of the receiver, e.g. the sampling rate in thecompressed sampling. In particular, direct detection of data symbols using random samples [67] is promising.

26 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

There are many combinations of pre-coding schemes and receiver structures. Let us emphasize the following: (1)time reversal at the transmitter and energy detection at the receiver; (2) zero-forcing at the transmitter and energydetection at the receiver.

After zero-forcing, the equivalent channel is reduced to have the minimum sparsity, or S = 1. The sub-Nyquistsampling rate requirement is much smaller than that compared with the case of without zero-forcing. Time reversalis easier to implement than zero-forcing.

In a nutshell, the channel impulse response can be exploited, through pre-codig, to reduce the complexity of thecompressed sampling based receiver. For UWB systems, the channel is often quasi-static and reciprocal, it is idealto move the complexity from the receiver to the transmitter, through pre-coding. For UWA systems, the slowpropagation velocity of sound will cause the unfocusing problem for longer range.

3.9. COMPRESSED SAMPLING FOR TRANSIENT SIGNALS 27

I 1I)(tx

tdxty

0)()()(tz

)(tn )(tnn

)cos(2n

t )sin(2n

tn

Figure 3.1: Illustration of the semi-group property of the fractional integral operator.

I 1I)(tx

tdxty

0)()()(tz

)(tn )(tnn

)cos(2n

t )sin(2n

tn

(a)

0 5 10 15 20 25 30 35 400

0.1

0.2

0.3

0.4

0.5

0.6

0.7

Singular Value Index (n)

Sin

gula

r V

alue

s σ

n (N

orm

aliz

ed)

Bandlimited Eigenfunctions: 2TW+1 = 30

Fractional IntegrationSelf−Adjoint Operator

Exact Asymptotic (πn)−1/2

Calculated

(b)

−0.5 0 0.5−0.1

−0.05

0

0.05

0.1

Time (Normalized)

φ n(t)

Bandlimited Eigenfunctions: 2WT+1 = 30

φ1(t)

φ2(t)

φ3(t)

φ4(t)

φ5(t)

φ6(t)

(c)

Figure 3.2: (a) Illustration of the approach using the semigroup property. (b) SVD of fractional integral operator I12 , obtained using

four different approaches: (1) solution based on fractional integral in (3.6.5); (2) solution using the direct square root of the singular valuesof the self-adjoint operator [1]; (3) the exact asymptotic expression 1/

√πn in (3.7.1); (4) numerical calculation by directly solving the

Volterra integral equation [2]. The dimensions of the signal space of a transient pulse, which equal the product of a pulse’s duration T and itsbandwidth W , is set to be 30, i.e., 2TW + 1 = 30. (c) The first six eigenfunctions associated with the first six largest singular values of I

12 .

28 CHAPTER 3. SINGULAR VALUE DECOMPOSITION OF FRACTIONAL INTEGRAL OPERATOR

Chapter 4

Transient Diffraction

4.1 Transient Diffraction by Edge

Diffraction from a perfectly electronically conducting (PEC) half-plane or edge (Fig. 4.1)is the most basic phe-nomenon in electromagnetism and optics. The transient behavior of this phenomenon is fundamental to applicationssuch as UWB communication and tera-hertz optics.

4.1.1 Impulse Response of Edge Diffraction

The first exact time-harmonic solution for this problem has been obtained by Sommerfeld [70] [71]. A numberof derivations of Sommerfeld’s solution have been presented. The shortest derivation may be due to Bouwkamp(1953) [72][73], which is followed below as our starting point.

Direction ofincidence

Screen1

33

2

1

Reflectedray

r

y

x

14

5

Figure 4.1: The wave scattered by a perfectly conducting half-plane.

Consider an incident wave of the E type, propagating along a direction perpendicular to the edge of the screen.ϕ (0 < ϕ < 2π) is the angle between y and r. ϕ0 (0 < ϕ0 < π) is the angle between y and the direction ofincidence. Let k = ω/c be the wavenumber, where ω = 2πf , c is the speed of light in free space, and f is thefrequency of a time-harmonic wave. If the incident field is

Eiz = u0 = e−jku·r = e−jkrcos(ϕ−ϕ0) (4.1.1)

the total electronic field u1 = Eiz +Esc

z must satisfy the wave equation, vanish for ϕ = 0 and ϕ = 2π, be finite andcontinuous everywhere, and satisfy the radiation condition at infinity. Sommerfeld has solved this problem based on

29

30 CHAPTER 4. TRANSIENT DIFFRACTION

the concept of a two-sheeted Riemann surface [70]. His solution also covers the case of H type, where the unknownis the function u2 = H i

z +Hscz . The final results are

u1

u2

}= ejkr cos(ϕ−ϕ0) 1 + j

2

∫ 2(kr/π)12 cos[(ϕ−ϕ0)/2]

−∞e−jπτ2/2dτ∓ejkr cos(ϕ+ϕ0) 1 + j

2

∫ 2(kr/π)12 cos[(ϕ+ϕ0)/2]

−∞e−jπτ2/2dτ

(4.1.2)

Due to the reciprocity principle (Fig. 4.2), this solution can be used for energy radiation.

SourcenObservationObservatio

Source

'

'r 'r

)2( n )2( n

Figure 4.2:Principle of reciprocity in diffraction. (a) Plane wave incidence. (b) Cylinder wave incidence.

A new set of coordinates is introduced, following [72][73], as

u = 2r cos2 ϕ

2v = −r cosϕ (4.1.3)

in terms of which Helmohotz’s equation takes the form

�2Φ + k2 =[∂2

∂v2+

2uu+ v

(∂2

∂v2− ∂2

∂u∂v+

1u+ v

∂u+ k2

)]Φ = 0 (4.1.4)

It is straightforward to verify that a product of the form Φ = F (v)G(u) exists if F (v) and G(u) satisfy

d2F

dv2+ k2F = 0 (4.1.5)

F

(d2G

dv2+

12udG

du

)− dF

dv

dG

du= 0 (4.1.6)

The first equation is satisfied by F (v) = αe−jkv. Using this particular solution (4.1.6) transforms it into

d

du

[log(u

12dG

du

)]= −jk (4.1.7)

which has the solution

G(u) = β

∫ u

const

e−jku′

(u′)12

du′ (4.1.8)

Transforming back to polar coordinates gives the following expressions:

Φ = ejkr cos φ

∫ 2r cos2(φ2)

const

e−jku′

(u′)12

du′ (4.1.9)

4.1. TRANSIENT DIFFRACTION BY EDGE 31

Other particular solutions of Helmholtz’s equation can be obtained by replacing φ with φ+ φ0 or φ− φ0. It followsthat the linear combination

Φ} = Aejkr cos(ϕ−ϕ0)

∫ 2(kr/π)12 cos[(ϕ−ϕ0)/2]

−∞e−jπτ2/2dτ +Bejkr cos(ϕ+ϕ0)

∫ 2(kr/π)12 cos[(ϕ+ϕ0)/2]

−∞e−jπτ2/2dτ

(4.1.10)obtained by setting ku′ = πτ2/2, is also a solution of this equation. This expression for Φ is precisely of the formof Sommerfeld’s solution. The constants A and B can be determined by applying the boundary conditions satisfiedby Φ. The precedure leads to the values of A and B appearing in (4.1.2).

4.1.2 Impulse Response of Edge Diffraction

The incident field of impulsive wave is the Fourier transform of (4.1.1) given by

Eiz(t) = u0(t) =

12πδ(t− r/c cos(ϕ− ϕ0)) (4.1.11)

Similarly, the time domain impulse response for edge diffraction can be derived from (4.1.2). If r, ϕ and ϕ0 aredetermined, then the first term of RHS of Eqn. 4.1.2 is considered first as

H (k) = ejkr cos(ϕ−ϕ0) 1 + j

2

∫ 2(kr/π)12 cos[(ϕ−ϕ0)/2]

−∞e−jπτ2/2dτ (4.1.12)

If 2 (kr/π)12 cos [(ϕ− ϕ0)/2] > 0, according to the Fresnel Integral,

H (k) = ejkr cos(ϕ−ϕ0) 1 + j

2

[(1 − j) −

∫ ∞

2(kr/π)12 cos[(ϕ−ϕ0)/2]

e−jπτ2/2dτ

](4.1.13)

= ejkr cos(ϕ−ϕ0) − ejkr cos(ϕ−ϕ0) 1 + j

2

∫ ∞

2(kr/π)12 cos[(ϕ−ϕ0)/2]

e−jπτ2/2dτ (4.1.14)

Let x2 = jπτ2. So,

x =√π

2(1 + j) τ (4.1.15)

and,

dτ =2

(1 + j)√πdx (4.1.16)

Let Δ1 = (1 + j) (kr)12 cos [(ϕ− ϕ0)/2]. So H (k) can be simplified as

H (k) = ejkr cos(ϕ−ϕ0) − ejkr cos(ϕ−ϕ0) 1√π

∫ ∞

Δ1

e−x2/2dx (4.1.17)

Because erfc (x) = 2√π

∫∞x e−t2dt, Eqn. 4.1.17 can be further rewritten as,

H (k) = ejkr cos(ϕ−ϕ0) − 12ejkr cos(ϕ−ϕ0)erfc (Δ1) (4.1.18)

32 CHAPTER 4. TRANSIENT DIFFRACTION

From the defintion of Δ1, (Δ1)2 = jkr [cos (ϕ− ϕ0) + 1], so,

H (k) = e(Δ1)2

e−jkr − 12e(Δ1)

2

e−jkrerfc (Δ1) (4.1.19)

Let k = wc , τa = r[cos(ϕ−ϕ0)+1]

c and p = jw, where c is the speed of light. So, Eqn. 4.1.19 is changed to

H (p) = e−p( rc−τa) − 1

2πτ− 1

2a

πτ− 1

2a eτaperfc

12a p

12

)e−p r

c (4.1.20)

Because of the Laplace transform pairs δ (t− τ) ⇔ e−pτ and 1t+a

1√tu (t) ⇔ πa−

12 eaperfc

(a

12 p

12

)Re (p) ≥ 0,

the time domain impulse response for the first item of RHS of Eqn. 4.1.2 is

h (t) = δ(t−(rc− τa

))− 1

2πτ− 1

2a

(1

t+ τa

1√tu (t)

)∗ δ(t− r

c

)(4.1.21)

where τa = τa,i = r[cos(ϕ−ϕ0)+1]c .

If 2 (kr/π)12 cos [(ϕ− ϕ0)/2] = 0, according to the Fresnel Integral,

H (k) =12e−jkr (4.1.22)

Further, h (t) can be obtained,

h (t) =12δ(t− r

c

)(4.1.23)

If 2 (kr/π)12 cos [(ϕ− ϕ0)/2] < 0, according to the Fresnel Integral,

H (k) = ejkr cos(ϕ−ϕ0) 1 + j

2

∫ ∞

−2(kr/π)12 cos[(ϕ−ϕ0)/2]

e−jπτ2/2dτ (4.1.24)

Based on Eqn. 4.1.15, Eqn. 4.1.16 and Δ2 = − (1 + j) (kr)12 cos [(ϕ− ϕ0)/2], Eqn. 4.1.24 can be simplified as

H (k) =12e(Δ2)2e−jkrerfc (Δ2) (4.1.25)

Further, h (t) can be obtained,

h (t) =1

2πτ− 1

2a

(1

t+ τa

1√tu (t)

)∗ δ(t− r

c

)(4.1.26)

where τa = τa,i = r[cos(ϕ−ϕ0)+1]c .

If g(t) is the input signal, then the output signal is

st (t) = g (t) ∗ h (t) (4.1.27)

4.1. TRANSIENT DIFFRACTION BY EDGE 33

Let h (t) = 1t+τa

1√tu (t). Because 1√

tgoes to infinity when t approach 0, it is infeasible to calculate h (t) ∗ g (t)

directly. According to power series expansion, when∣∣∣ tτa

∣∣∣ < 1,

h (t) =1τa

11 + t

τa

1√tu (t) (4.1.28)

=1τa

( ∞∑n=0

(− t

τa

)n)

1√tu (t) (4.1.29)

=1τa

( ∞∑n=0

(− 1τa

)n (tn−

12

))u (t) (4.1.30)

According to the property of convolution,

h (t) ∗ g (t) =d

dt

((∫ t

0h (τ) dτ

)∗ g (t)

)(4.1.31)

=d

dt

(((1τa

∞∑n=0

(− 1τa

)n 1n+ 1

2

(tn+ 1

2

))u (t)

)∗ g (t)

)(4.1.32)

So, in this way st (t) is obtained. In the other way, because k = wc , Hw (w) = H

(wc

)from Eqn. 4.1.12, sw (t) can

be achieved from the following fomula,

sw (t) = IFT {Hw (w) (FT {g (t)})} (4.1.33)

where, FT {•} means Fourier transform and IFT {•} means inverse fourier transform.

st (t) and sw (t) should be exactly the same from theoretical point of view. If g (t) is the second order Gaussianpulse Fig. 4.3,

g (t) =

(1 − 4π

(t

α

)2)

exp

(−2π

(t

α

)2)

(4.1.34)

and φ = 7π/4, φ0 = π/4 as well as r = 1m, then the distorted terms of st (t) and sw (t) are shown in Fig. 4.4.

Similarly, the time domain impulse response for the second term of RHS of Eqn. 4.1.2 can be obtained as follows.

If 2 (kr/π)12 cos [(ϕ+ ϕ0)/2] > 0, then

h (t) = δ(t−(rc− τa

))− 1

2πτ− 1

2a

(1

t+ τa

1√tu (t)

)∗ δ(t− r

c

)(4.1.35)

If 2 (kr/π)12 cos [(ϕ+ ϕ0)/2] = 0, then

h (t) =12δ(t− r

c

)(4.1.36)

If 2 (kr/π)12 cos [(ϕ+ ϕ0)/2] < 0, then

h (t) =1

2πτ− 1

2a

(1

t+ τa

1√tu (t)

)∗ δ(t− r

c

)(4.1.37)

34 CHAPTER 4. TRANSIENT DIFFRACTION

−0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01−0.5

0

0.5

1

Time (ns)

The

2nd

Ord

er G

auss

ian

Pul

se

Figure 4.3: The second order Gaussian pulse.

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342 3.344−5

−4

−3

−2

−1

0

1

2

3

4

5x 10

−3

Time (ns)

Am

plitu

de

S

t(t)

Sw

(t)

Figure 4.4: The distorted terms of st (t) and sw (t).

4.1. TRANSIENT DIFFRACTION BY EDGE 35

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342 3.344−5

−4

−3

−2

−1

0

1

2

3

4

5x 10

−3

Time (ns)

Am

plitu

de

S

t(t)

Sw

(t)

Figure 4.5: The distorted terms of st (t) and sw (t).

where τa = τa,r = r[cos(ϕ+ϕ0)+1]c .

If g (t) is the second order Gaussian pulse Fig. 4.3 and φ = 7π/4, φ0 = π/4 as well as r = 1m, then the distortedterms of st (t) and sw (t) for this case are shown in Fig.4.5.

In sum, based on the results shown above and the knowledge of geometrical optics, the conclusion is easily obtainedas follows:

In the Zone 1 (0 < ϕ+ ϕ0 < π) of Fig. 4.1, the incidence ray, the reflected ray and two overlapped diffracted raysare observed, i.e.

h (t) = δ(t−(rc− τa,i

))+δ(t−(rc− τa,r

))−

⎡⎣ 1

2πτ− 1

2a,i

(1

t+ τa,i

1√tu (t)

)+

1

2πτ− 1

2a,r

(1

t+ τa,r

1√tu (t)

)⎤⎦∗δ (t− r

c

)(4.1.38)

In the Zone 2 (|ϕ− ϕ0| < π and π < ϕ+ ϕ0) of Fig. 4.1, the incidence ray and two overlapped diffracted rays areobserved, i.e.

h (t) = δ(t−(rc− τa,i

))−

⎡⎣ 1

2πτ− 1

2a,i

(1

t+ τa,i

1√tu (t)

)− 1

2πτ− 1

2a,r

(1

t+ τa,r

1√tu (t)

)⎤⎦∗δ (t− r

c

)(4.1.39)

36 CHAPTER 4. TRANSIENT DIFFRACTION

In the Zone 3 (π < ϕ− ϕ0 < 2π − ϕ0) of Fig. 4.1, only two overlapped diffracted rays are observed, i.e.

h (t) =

⎡⎣ 1

2πτ− 1

2a,i

(1

t+ τa,i

1√tu (t)

)+

1

2πτ− 1

2a,r

(1

t+ τa,r

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)(4.1.40)

In the Zone 4 (ϕ+ ϕ0 = π) of Fig. 4.1, the incidence ray, the attenuated reflected ray and one diffracted ray areobserved, i.e.

h (t) = δ(t−(rc− τa,i

))+

12δ(t−(rc− τa,r

))− 1

2πτ− 1

2a,i

(1

t+ τa,i

1√tu (t)

)∗ δ(t− r

c

)(4.1.41)

In the Zone 5 (ϕ− ϕ0 = π) of Fig. 4.1, the attenuated incidence ray and one diffracted ray are observed, i.e.

h (t) =12δ(t−(rc− τa,i

))+

1

2πτ− 1

2a,r

(1

t+ τa,r

1√tu (t)

)∗ δ(t− r

c

)(4.1.42)

In these situations, τa,i = r[cos(ϕ−ϕ0)+1]c and τa,r = r[cos(ϕ+ϕ0)+1]

c .

In order to verify the above conclusion, g (t) which is the second order gaussian pulse Fig. 4.3 is used as the inputthe signal and the output signal sw (t) is observed.

In the Zone 1 of Fig. 4.1, if φ = 2π/3, φ0 = π/4 as well as r = 1m, then rc = 3.333ns, r

c − τa,i = −0.863nsand r

c − τa,r = 3.219ns. sw (t) is shown in Fig. 4.6. The zoomed in version of sw (t) at −0.863ns is shown in Fig.4.7. The zoomed in version of sw (t) at 3.219ns is shown in Fig. 4.8. The zoomed in version of sw (t) at 3.333ns isshown in Fig. 4.9.

In the Zone 2 of Fig. 4.1, if φ = π, φ0 = π/4 as well as r = 1m, then rc = 3.333ns and r

c − τa,i = 2.357ns. sw (t)is shown in Fig. 4.10. The zoomed in version of sw (t) at 2.357ns is shown in Fig. 4.11. The zoomed in version ofsw (t) at 3.333ns is shown in Fig. 4.12.

In the Zone 3 of Fig. 4.1, if φ = 7π/4, φ0 = π/4 as well as r = 1m, then rc = 3.333ns. sw (t) is shown in Fig.

4.13. The zoomed in version of sw (t) at 3.333ns is shown in Fig. 4.14.

In the Zone 4 of Fig. 4.1, if φ = 3π/4, φ0 = π/4 as well as r = 1m, then rc = 3.333ns, r

c − τa,i = 0ns andrc − τa,r = 3.333ns. sw (t) is shown in Fig. 4.15. The zoomed in version of sw (t) at 0ns is shown in Fig. 4.16.The zoomed in version of sw (t) at 3.333ns is shown in Fig. 4.17.

In the Zone 5 of Fig. 4.1, if φ = 5π/4, φ0 = π/4 as well as r = 1m, then rc = 3.333ns and r

c − τa,i = 3.333ns.sw (t) is shown in Fig. 4.18. The zoomed in version of sw (t) at 3.333ns is shown in Fig. 4.19.

4.2 Transient Diffraction by Slit

The time domain impulse response for two-edge diffraction with a hole between two edges is considered hereaccording to Fig. 4.20. ϕ is the angle between the right side of screen and r. ϕ0 is the angle between the right side

4.2. TRANSIENT DIFFRACTION BY SLIT 37

−5 −4 −3 −2 −1 0 1 2 3 4 5−0.5

0

0.5

1

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.6: sw (t) in Zone 1.

38 CHAPTER 4. TRANSIENT DIFFRACTION

−0.872 −0.87 −0.868 −0.866 −0.864 −0.862 −0.86 −0.858 −0.856 −0.854−0.5

0

0.5

1

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.7: The zoomed in version of sw (t) at −0.863ns in Zone 1.

4.2. TRANSIENT DIFFRACTION BY SLIT 39

3.21 3.212 3.214 3.216 3.218 3.22 3.222 3.224 3.226 3.228−0.5

0

0.5

1

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.8: The zoomed in version of sw (t) at 3.219ns in Zone 1.

40 CHAPTER 4. TRANSIENT DIFFRACTION

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342−0.03

−0.02

−0.01

0

0.01

0.02

0.03

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.9: The zoomed in version of sw (t) at 3.333ns in Zone 1.

4.2. TRANSIENT DIFFRACTION BY SLIT 41

−5 −4 −3 −2 −1 0 1 2 3 4 5−0.5

0

0.5

1

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.10: sw (t) in Zone 2.

42 CHAPTER 4. TRANSIENT DIFFRACTION

2.348 2.35 2.352 2.354 2.356 2.358 2.36 2.362 2.364 2.366−0.5

0

0.5

1

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.11: The zoomed in version of sw (t) at 2.357ns in Zone 2.

4.2. TRANSIENT DIFFRACTION BY SLIT 43

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342−0.01

−0.008

−0.006

−0.004

−0.002

0

0.002

0.004

0.006

0.008

0.01

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.12: The zoomed in version of sw (t) at 3.333ns in Zone 2.

44 CHAPTER 4. TRANSIENT DIFFRACTION

−5 −4 −3 −2 −1 0 1 2 3 4 5−3

−2

−1

0

1

2

3

4

5x 10

−3

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.13: sw (t) in Zone 3.

4.2. TRANSIENT DIFFRACTION BY SLIT 45

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342−5

−4

−3

−2

−1

0

1

2

3

4

5x 10

−3

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.14: The zoomed in version of sw (t) at 3.333ns in Zone 3.

46 CHAPTER 4. TRANSIENT DIFFRACTION

−5 −4 −3 −2 −1 0 1 2 3 4 5−0.6

−0.4

−0.2

0

0.2

0.4

0.6

0.8

1

1.2

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.15: sw (t) in Zone 4.

4.2. TRANSIENT DIFFRACTION BY SLIT 47

−0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01−0.6

−0.4

−0.2

0

0.2

0.4

0.6

0.8

1

1.2

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.16: The zoomed in version of sw (t) at 0ns in Zone 4.

48 CHAPTER 4. TRANSIENT DIFFRACTION

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342

−0.2

−0.1

0

0.1

0.2

0.3

0.4

0.5

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.17: The zoomed in version of sw (t) at 3.333ns in Zone 4.

4.2. TRANSIENT DIFFRACTION BY SLIT 49

−5 −4 −3 −2 −1 0 1 2 3 4 5−0.3

−0.2

−0.1

0

0.1

0.2

0.3

0.4

0.5

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.18: sw (t) in Zone 5.

50 CHAPTER 4. TRANSIENT DIFFRACTION

3.324 3.326 3.328 3.33 3.332 3.334 3.336 3.338 3.34 3.342−0.3

−0.2

−0.1

0

0.1

0.2

0.3

0.4

0.5

Time (ns)

Am

plitu

de

Sw

(t) caused by the first term

Sw

(t) caused by the second term

Figure 4.19: The zoomed in version of sw (t) at 3.333ns in Zone 5.

4.2. TRANSIENT DIFFRACTION BY SLIT 51

d

1

112

3

4

56

78

9 10

Screen

Direction ofincidence

Reflectedrays

Screen

r

AB

Figure 4.20: The wave scattered by two perfectly conducting half-planes with a hole between two edges.

52 CHAPTER 4. TRANSIENT DIFFRACTION

of screen and the direction of incidence. The diameter of the hole is d. If A is chosen as the reference point, then thetime delay when the incidence ray arrives at B is τd = d cos ϕ0

c .

The phenomenons of diffraction and reflection in A is studied first. In this case, the incidence ray is considered.

In the Zone 1 of Fig. 4.20, the incidence ray, the reflected ray and two overlapped diffracted rays are observed, i.e.

h (t) = δ(t−(rc− τa,i,A

))+δ(t−(rc− τa,r,A

))−

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)+

1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦∗δ(4.2.1)

In the Zone 2, Zone 3, Zone 5 and Zone 8 of Fig. 4.20, the incidence ray and two overlapped diffracted rays areobserved, i.e.

h (t) = δ(t−(rc− τa,i,A

))−

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)(4.2.2)

In the Zone 4 and Zone 9 of Fig. 4.20, only two overlapped diffracted rays are observed because the incidence rayis blocked by the left side of the screen, i.e.

h (t) = −

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)(4.2.3)

In the Zone 6 of Fig. 4.20, only two overlapped diffracted rays are observed, i.e.

h (t) =

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)+

1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)(4.2.4)

In the Zone 7 of Fig. 4.20, the incidence ray, the attenuated reflected ray are observed and one diffracted ray areobserved, i.e.

h (t) = δ(t−(rc− τa,i,A

))+

12δ(t−(rc− τa,r,A

))− 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)∗ δ(t− r

c

)(4.2.5)

In the Zone 10 of Fig. 4.20, the attenuated incidence ray and one diffracted ray are observed, i.e.

h (t) =12δ(t−(rc− τa,i,A

))+

1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)∗ δ(t− r

c

)(4.2.6)

In these situations, τa,i,A = r[cos(ϕ−ϕ0)+1]c and τa,r,A = r[cos(ϕ+ϕ0)+1]

c .

The phenomenons of diffraction and reflection in B is more complex compared with A. In this case, rB which is thedistance between observation point and B is r sin ϕ

sin arctan r sin ϕd+r cos ϕ

. ϕ0,B = π − ϕ0.

4.2. TRANSIENT DIFFRACTION BY SLIT 53

If 0 < ϕ < π, then

ϕB =

{π − arctan r sinϕ

d+r cos ϕr sinϕ

d+r cos ϕ ≥ 0− arctan r sinϕ

d+r cos ϕr sinϕ

d+r cos ϕ < 0(4.2.7)

If π < ϕ < 2π, then

ϕB =

⎧⎨⎩ π − arctan r sin ϕ

d+r cos ϕ

(− r sinϕ

d+r cos ϕ

)≥ 0

2π − arctan r sin ϕd+r cos ϕ

(− r sinϕ

d+r cos ϕ

)< 0

(4.2.8)

τa,i,B =rB[cos(ϕB−ϕ0,B)+1]

c and τa,r,B =rB[cos(ϕB+ϕ0,B)+1]

c . Meanwhile, the incidence ray is not considered here.

In the Zone 1, Zone 2, Zone 5, Zone 6, Zone 7 and Zone 10 of Fig. 4.20, two overlapped diffracted rays are observed,i.e.

h (t) = −

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

))(4.2.9)

In Zone 3 of Fig. 4.20, the reflected ray and two overlapped diffracted rays are observed, i.e.

h (t) = δ(t−(rBc

− τa,r,B + τd

))−

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)+

1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦∗δ (t− (rBc

+ τd

)(4.2.10)

In Zone 4 of Fig. 4.20, two overlapped diffracted rays are observed, i.e.

h (t) =

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)+

1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

))(4.2.11)

In Zone 8 of Fig. 4.20, the attenuated reflected ray and one diffracted ray are observed, i.e.

h (t) =12δ(t−(rBc

− τa,r,B + τd

))− 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)∗ δ(t−(rBc

+ τd

))(4.2.12)

In Zone 9 of Fig. 4.20, the attenuated incidence ray and one diffracted ray are observed, i.e.

h (t) =12δ(t−(rBc

− τa,i + τd

))+

1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)∗ δ(t−(rBc

+ τd

))(4.2.13)

In sum, the time domain impulse response for two-edge diffraction with a hole between two edges can be obtainedaccording to the principle of superposition of the field as follows.

54 CHAPTER 4. TRANSIENT DIFFRACTION

In the Zone 1 of Fig. 4.20,

h (t) = δ(t−(rc− τa,i,A

))+ δ(t−(rc− τa,r,A

))

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)+

1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

))(4.2.14)

In the Zone 2 of Fig. 4.20,

h (t) = δ(t−(rc− τa,i,A

))−

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

))(4.2.15)

In the Zone 3 of Fig. 4.20,

h (t) = δ(t−(rc− τa,i,A

))−

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

δ(t−(rBc

− τa,r,B + τd

))−

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)+

1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

))(4.2.16)

In the Zone 4 of Fig. 4.20,

h (t) = −

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)+

1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

)) (4.2.17)

In the Zone 5 of Fig. 4.20,

h (t) = δ(t−(rc− τa,i,A

))−

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

))(4.2.18)

4.3. TIME-DOMAIN UNIFORM THEORY OF DIFFRACTION (TD-UTD) OPERATORS 55

In the Zone 6 of Fig. 4.20,

h (t) =

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)+

1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

)) (4.2.19)

In the Zone 7 of Fig. 4.20,

h (t) = δ(t−(rc− τa,i,A

))+

12δ(t−(rc− τa,r,A

))− 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)∗ δ(t− r

c

)

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

)) (4.2.20)

In the Zone 8 of Fig. 4.20,

h (t) = δ(t−(rc− τa,i,A

))−

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

+12δ(t−(rBc

− τa,r,B + τd

))− 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)∗ δ(t−(rBc

+ τd

))(4.2.21)

In the Zone 9 of Fig. 4.20,

h (t) = −

⎡⎣ 1

2πτ− 1

2a,i,A

(1

t+ τa,i,A

1√tu (t)

)− 1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)⎤⎦ ∗ δ(t− r

c

)

+12δ(t−(rBc

− τa,i + τd

))+

1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)∗ δ(t−(rBc

+ τd

)) (4.2.22)

In the Zone 10 of Fig. 4.20,

h (t) =12δ(t−(rc− τa,i,A

))+

1

2πτ− 1

2a,r,A

(1

t+ τa,r,A

1√tu (t)

)∗ δ(t− r

c

)

⎡⎣ 1

2πτ− 1

2a,i,B

(1

t+ τa,i,B

1√tu (t)

)− 1

2πτ− 1

2a,r,B

(1

t+ τa,r,B

1√tu (t)

)⎤⎦ ∗ δ(t−(rBc

+ τd

)) (4.2.23)

4.3 Time-Domain Uniform Theory of Diffraction (TD-UTD) Operators

56 CHAPTER 4. TRANSIENT DIFFRACTION

Chapter 5

Singular Value Decomposition of TransientDiffraction Operators

5.1 Singular Value Decomposition of Uniform Theory of Diffraction (UTD) Oper-ators

5.2 Singular Value Decomposition of Edge Impulse Response

57

58 CHAPTER 5. SINGULAR VALUE DECOMPOSITION OF TRANSIENT DIFFRACTION OPERATORS

Chapter 6

Transient Modal Modulation and Capacity

6.1 Modal Modulation for Short Transient Pulses

As illustrated in Fig. 6.1, the modal modulation first suggested by [74] is the optimum modulation [75]. Theeigenvalue decomposition of the autocorrelation of the channel impulse response is used in [74, 75]. Here, the SVDof the channel impulse response is used to derive the system in Fig. 6.1.

The LTI channel impulse response h(t) defines a singular value decomposition:

φn(t) ∗ h(t) = σnΦn(t) (6.1.1)

where σn is the singular value, and φn(t) and Φn(t) are orthonormal, input and output eigenfunctions, respectively.The SVD of (6.1.1) is postponed to Section 3. Given N degrees of freedom1, the input pulse can be expanded interms of orthonormal basis functions as

x(t) =N∑

n=1

xnφn(t), (6.1.2)

After the input pulse transmits through the LTI channel h(t), the output pulse is expressed as

y(t) =∑N

n=1 xnφn(t) ∗ h(t)=∑N

n=1 xnσnΦn(t)(6.1.3)

The received signal in the presence of the additive white Gaussian noise (AWGN) with the power spectral densityN0 is

r(t) = y(t) + n(t),=∑N

n=1 xnσnΦn(t) + n(t)(6.1.4)

It is well known that the optimum reception [75] is the matched filter y(T − t), and thus, Φn(T − t). The structureof Fig. 6.1 is, thus, derived.

The total transmitted energy is Ex =∑N

n=1 x2n, and the total received energy is Eb =

∑Nn=1 σ

2nx

2n. When the

transmitted signal is ±x(t), the probability of error for this detector is

Pe =1√2π

∫ −√

2Eb/N0

−∞exp(−1

2x2)dx (6.1.5)

1For a pulse of duration of T with a bandwidth of W , N = 2TW + 1 [12].

59

60 CHAPTER 6. TRANSIENT MODAL MODULATION AND CAPACITY

)(th

)(AWGN tn

Tt0

)(*1 tT

)(*2 tT )(*2 tT

)(*1 tTN

)(* tTN

)(*1 tT

)(tN

)(1 tN

)(2 t

)(1 t

)(tx

Tt0

)(tn

)(tnn

1x

2x

1Nx

Nx

11x

22x

11 NN x

)(ty

forclosed

N

nnn txtx

1

)()( N

nnnn

N

nnn

tx

thtxty

1

1

)(

)()()(

)()()( ttht nnn

SVD

NN x

Figure 6.1: Illustration of the modal modulation for UWB transient pulses.

6.2 Capacity: Information-theoretic and Physical Limits

The approaches for capacity calculation for the L2−space and the weighted L2−space are identical. The transmis-sion system generates a set of N parallel sub-channels with channel gain xnσn, n = 1, 2, ..., N , in the presence ofAWGN. The capacity for each sub-channel is Cn = log2(1 + xn

2σn2

N0), bits per channel use. The overall capacity is

C = max∑Nn=1 x2

n≤Ex

N∑n=1

log2(1 +xn

2σn2

N0), bits per channel use (6.2.1)

where σn is solely determined by the nature of the channel: For a large class of channels, including a conductingedge, σn is given in closed form in (3.7.1). The throughput of per channel use is determined by the correspondingspace-time eigenfields that may be arbitrary in time or (space) bandwidth. Water-filling will lead to the optimumenergy allocation xn [76, 77, 12]. Physically, every communication system has a finite N . Mathematically, whenN → ∞, the asymptotic limit of physics-based capacity can be achieved.

If the energy allocation is chosen such that xn/√N0 = σn = 1

nα where α is positive, then the maximum transmissionrate is

R =N∑

n=1

log2(1 +1n2α

), bits per channel use (6.2.2)

which, according to Jensen’s inequality2 [78], implies

R ≤ log2(1 +N∑

n=1

1n2α

), bits per channel use (6.2.3)

If the degree of freedom of the transmission waveform goes unbounded, N → ∞, then it follows that

R ≤ log2(1 +∞∑

n=1

1n2α

), bits per channel use (6.2.4)

which implies, for 2α > 1,R ≤ log2(1 + ζ(2α)), bits per channel use (6.2.5)

where ζ(z) is Riemann’s zeta function defined in (2.1.22). This result is interesting and unexpected. The proper-ties of the famous zeta function can be resorted to to study the fundamental limits for infinitive bandwidth of thetransmission waveform. Note for 2α ≤ 1, Riemann’s zeta function is undefined. We guess that all the physicalwaveforms satisfy the condition that 2α > 1.

2log2(1 + x) is a convex function

6.3. NUMERICAL RESULTS 61

0 5 10 15 20 25 30 35 400

0.1

0.2

0.3

0.4

0.5

0.6

0.7

Singular Value Index (n)

Sin

gula

r V

alue

s σ

n (N

orm

aliz

ed)

Bandlimited Eigenfunctions: 2TW+1 = 30

Fractional IntegrationSelf−Adjoint Operator

Exact Asymptotic (πn)−1/2

Calculated

Figure 6.2: A comparison of singular value distribution of a one-wedge channel, obtained using four differentapproaches: (a) exact solution based on fractional integral; (b) exact solution using the direct square root of thesingular values associated with a two-wedge channel; (c) the exact asymptotic expression 1/

√πn; (d) numerical

calculation by directly solving the Volterra integral equation. The dimensions of the signal space of a transient pulse,which equal the product of a pulse’s duration and its bandwidth, is set to be 30, i.e., 2TW + 1 = 100.

−0.5 0 0.5−1

−0.5

0

0.5

1

Time (Normalized)

Φn(t

)

Bandlimited Eigenfunctions: 2WT+1 = 30

Calculated Φn(t) n=5

Exact sin(0.5(2n−1)πt

(a)

−0.5 0 0.5−0.1

−0.05

0

0.05

0.1

Time (Normalized)

φ n(t)

Bandlimited Eigenfunctions: 2WT+1 = 30

φ1(t)

φ2(t)

φ3(t)

φ4(t)

φ5(t)

φ6(t)

(b)

Figure 6.3: The orthonormal band-limited eigenfunctions of the channel composed of two consecutive wedges. Theproduct of a pulse’s duration and its bandwidth is 2TW +1 = 30. (a) A comparison of transmitted eigen waveformsrelated to the tenth singular value σn, i.e., Φn(t), n = 10, using closed-form exact expression and calculation; (b) Acomparision of the first six eigen waveforms corresponding to the largest energy, i.e., φn(t), n = 1, 2, ..., 6.

6.3 Numerical Results

The dimensions of the signal space of a transient pulse equals the product of a pulse’s duration.

Fig. 6.2 shows A comparison of singular value distribution of a one-wedge channel, obtained using four differentapproaches: (a) exact solution based on fractional integral; (b) exact solution using the direct square root of thesingular values associated with a two-wedge channel; (c) the exact asymptotic expression 1/

√πn; (d) numerical

calculation by directly solving the Volterra integral equation. Since the dimensions of the input pulse are set to be30, the calculated values reflect this fact, but other three approaches cannot.

62 CHAPTER 6. TRANSIENT MODAL MODULATION AND CAPACITY

0 0.2 0.4 0.6 0.8 1−3

−2

−1

0

1

2

3

4

Time (Normalized)

SV

D (

Out

put)

Eig

enfu

nctio

ns

Exact Solution 2TW+1 = 30

σ1

σ2

σ3

σ4

σ5

σ6

Figure 6.4: The orthonormal band-limited eigenfunctions of the channel composed of one wedge, related to the firstsix largest singular value σn, i.e., ϕn(t), n = 1, 2, 3, 4, 5, 6. The product of a pulse’s duration and its bandwidth is2TW + 1 = 30.

Chapter 7

Exploiting Channel Impulse Response at theTransmitter—Time Reversal

Often it is more convenient to design a system, based on the channel cross-correlation

Rhh(t) = hforward(−t; r0, r1) ∗ hreverse(t; r1, r0) (7.0.1)

where ∗ denotes linear convolution, and r0 and r1 are the positions of the transceiver. If the channel is reciprocal,i.e.,

hforward(t; r0, r1) = hreverse(t; r1, r0), (7.0.2)

then, Rhh(t) reduces to the auto-correlation of the channel impulse response. As mentioned before, the use ofauto-correlation simplifies the system design based on the channel impulse response only. One good analogy is thespread-spectrum system that uses the auto-correlation of the spreading codes. The channel impulse response can beviewed as a spatial code [84].

Time reversal has been extensively studied in underwater acoustics [79] and ultra-wideband communications [80].We follow [81, 82] for development. Let us consider the system block diagram of the time-reversed impulse MIMOin Fig. 7.1. Energy-detection is used. Let us denote hmn(t) the channel impulse response (CIR) relating the m-thelement at the transmitter to the n-th element at the receiver. The set of impulse responses is called the propagationoperator. If one sends pulsed signal am(t),m = 1, ...,M from the transmit array, the signal bn(t) is obtained in thereceive array as

bn(t) =M∑

m=1

hnm(t) ∗ am(t), n = 1, ..., N (7.0.3)

Or, in matrix form,b(t) = H(t) ∗ a(t) (7.0.4)

where b(t) = [b1(t),b2(t), ...,bN(t)]†, a(t) = [a1(t),a2(t), ...,aM(t)]†, and H(t) is the matrix of N ×M withelements of hnm(t). The notation of “∗” represents element-by-element convolution; the superscript “†” representsthe conjugate transpose (Hermitian) of a vector or matrix. On the other hand, due to the spatial reciprocity, if onesends a signal cm,m = 1, ...,M from the receive array, the signal dn(t), n = 1, ..., N is obtained in the transmitarray. Defining column vectors c and d as a and b, respectively, it follows that

d(t) = H†(t) ∗ c(t) (7.0.5)

63

64CHAPTER 7. EXPLOITING CHANNEL IMPULSE RESPONSE AT THE TRANSMITTER—TIMEREVERSAL

As a consequence, H(t) permits one to calculate the forward propagation of impulses from the transmit array to thereceive array, while H†(t) the backward propagation from the receive array to the transmit array.

A time-reversal focusing is a two-step process: (1) first backward propagation and (2) then forward propagation. Thetwo steps can be regarded as the combination of the backward propagation process described by Eq. (7.0.4) withthe forward propagation process described by Eq. (7.0.5). The time-reversal process begins by sending the N × 1vector p(t) = [p1(t), ...,pN(t)]† from the receive array, where pn(t) is the pulse waveform emitted from the n-thantenna. Then the signal obtained at the transmit array after the backward propagation is expressed according to Eq.(7.0.5) as the M × 1 vector g(t) = [g1(t), ...,gM(t)]† given by

g(t) = H†(t) ∗ p(t) (7.0.6)

where gn(t) is the pulse waveform obtained at them-th antenna of the transmit array. In the second step, the recordedsignal at the transmit array g(t) is time-reversed to yield

g(−t) = H†(−t) ∗ p(−t) (7.0.7)

The time-reversed signals gn(−t), n = 1, 2, ..., N , are modulated with information-bearing pulsed waveforms xkm(t),k = 1, 2, ..., N ,m = 1, 2, ...,M , and the resultant M pulsed waveforms corresponding toN antennas at the transmitarray are given by

qm(t) =M∑

k=1

xmk(t) ∗ gk(−t),m = 1, ...,M (7.0.8)

Or, in matrix form,q(t) = X(t) ∗ g(−t) = X(t) ∗ H†(−t) ∗ p(−t) (7.0.9)

where q(t) = [q1(t), ...,qM(t)]† is an N×1 vector, and the mk-th element of the M ×M matrix X(t) is xmk(t)1.The resultant modulated signal collected in the vector q(t) is again re-transmitted from the transmit array. Bycombining Eq. (7.0.4), Eq. (7.0.7) and Eq. (7.0.9), the signal y(t) obtained at the receive array is expressed as

y(t) = H(t) ∗X(t) ∗ H†(−t) ∗ p(−t) (7.0.10)

where theN×1 vector y(t) has its n-th element yn(t) corresponding to the n-th antenna. y(t) is the signal obtainedin the receive array after time-reversal re-transmission. For brevity, defining Δ(t) = H(t) ∗ X(t) ∗ H†(−t), Eq.(7.0.10) is rewritten as

y(t) = [Δ(t)]N×N ∗ p(−t) (7.0.11)

Here Δ is called generalized time-reversal operator since the element-by-element Fourier transform of H(t) ∗H†(−t), H(ω)H†(ω), is usually called time-reversal operator [83]. Eq. (7.0.10) and Eq. (7.0.11) are sufficientlygeneral for the purpose of this investigation.

To simplify receiver detection, a linear scheme is proposed here; the signal pulses received by the N antennas arepulse-shaped, linearly weighted, and linearly combined:

z(t) =N∑

n=1

wn(t) ∗ yn(t) = w(t)† ∗ y(t) = w(t)† ∗H(t) ∗ X(t) ∗ H†(−t) ∗ p(−t) (7.0.12)

1Some traditional receiver processing functions such as diagonalizing the matrix in Eq. (7.0.11) below are moved to the transmitter tosimplify the receiver structure. Here the transmitter knows the channel and is able to optimize the transmission. These functions are implicitlyabsorbed in X(t) at this point.

65

where w = [w1(t),w2(t), ...,wN(t)]†. The right side of Eq. (7.0.12) is a scalar that also gives

z(t) = tr

{p(−t) ∗w†(t) ∗

[H(t) ∗ X(t) ∗ H†(−t)

]N×N

}(7.0.13)

where “tr” denotes the trace of an matrix. One goal of research is to make z(t) resemble δ(t).

Let us make two observations about Eq. (7.0.10) and Eq. (7.0.11). If the operator Δ(t) is diagonalized and the n-thdiagonal element is Λn(t), then Eq. (7.0.11) is simplified as

yn(t) = Λn(t) ∗ pn(−t) n = 1, 2, ..., rank[Δ(t)] (7.0.14)

In this special case, the whole system can be viewed as N independent channels. Λn(t) is explained as the impulseresponse of the n-th effective channel. If these independent channels are used to carry the same symbols, the linearscheme as defined in Eq. (7.0.12) can be used to maximize the spatio-temporal diversity gain.

On the other hand, Eq. (7.0.14) can be used to maximize the capacity of the channel. The independent parallelchannels in Eq. (7.0.14) can be used for different streams of symbols. In this case the elements of X(t) are usedto represent parallel streams of symbols. If the N channels can carry identical symbol rates, the channel capacityof the MIMO is N times that of a single channel (SISO). Note the rank of the Δ(t) is determined by the channeland numbers of transceiver antennas, and also satisfies rank(Δ(t)) ≤ min(M,N). To simplify the followingdiscussion, without loss of generality we assume M ≥ N .

To gather insight, let us consider these two special applications: (1) the goal is to maximize the diversity gain; (2)the goal is to maximize the channel capacity.

7.0.1 Time-Reversed Impulse MIMO for Optimum Diversity

The objective here is to maximize the z(t) in Eq. (7.0.13). Three limitations are of practical interest: (1) pn(t) =p(t), n = 1, ..., N are identical for the n-th antenna; or p(−t) = αIN×1p(−t). (2)X(t) is diagonal with itsm-th diagonal element xmm(t) = α × p(t), implying that the M antennas send the same waveforms; Here α isinformation-bearing scalar during a symbol interval; or, X(t) = αIM×Mp(t) where IM×M is a M ×M identitymatrix with its diagonal elements being ones. (3) w(t) = IN×1δ(t), implying z(t) =

∑Nn=1 yn(t).

The first two assumptions suggest using qm(t) =N∑

n=1hmn(−t) ∗ [p(−t) ∗ p(t)] as the pre-filter for them-th transmit

antenna. For a chirp signal p(t), p(t) ∗ p(−t) = δ(t), so qm(t) =N∑

n=1hmn(−t). Using a chirp signal we can pay

our attention to the impulse nature of MIMO. Another choice is to choose very short pulses, say pn(t) ≈ δ(t) sothe transmit array does not need to use pulse shaping at all. The two approaches are equivalent but the chirp one isbelieved to be more simple for implementation.

With the three simplifications, Eq. (7.0.13) is derived as

z(t) = tr[1N×Nδ(t) ∗ H(t) ∗ H†(−t)] ∗ α[p(t) ∗ p(−t)] (7.0.15)

where all the entries of 1N×N are ones. The role of 1N×N here is to sum up all the entries of the matrix H(t) ∗H†(−t). Or, Eq. (7.0.15) is given by

z(t) = αΓ(t) ∗ [p(t) ∗ p(−t)] (7.0.16)

66CHAPTER 7. EXPLOITING CHANNEL IMPULSE RESPONSE AT THE TRANSMITTER—TIMEREVERSAL

Figure 7.1: The System Block Diagram of Time-Reversed Impulse MIMO.

where we defineΓ(t) = tr(1N×Nδ(t) ∗H(t) ∗H†(−t)) (7.0.17)

For a chirp pulse or Dirac pulse p(t), Eq. (7.0.16) is reduced to z(t) = αΓ(t).

The elements of H(t) ∗H†(−t) are expressed as

[H(t) ∗ H†(−t)

]nk

=M∑

m=1

h†nm(−t) ∗ hkm(t) n, k = 1, 2, ...N (7.0.18)

The cross-correlations corresponds to terms of n �= k, while the auto-correlations n = k. Eq. (7.0.17) is expandedin a term-by-term form to gather insight:

Γ(t) =N∑

n=1

[M∑

m=1

hnm(−t) ∗ hnm(t)

]︸ ︷︷ ︸

Coherent signal (Sharp Peak)

+N∑

n=1

⎧⎨⎩⎡⎣ M∑

m=1,k =n

hnm(−t)

⎤⎦ ∗

⎡⎣ M∑

k=1,k =n

hkm(t)

⎤⎦⎫⎬⎭︸ ︷︷ ︸

Incoherent signal

(7.0.19)

The first part of Eq. (7.0.19) only involves all the auto-correlations, while the incoherent part all the cross-correlations.All the terms of hmn(−t) ∗hmn(t) reach their maximum at the same time (t = 0), and these peaks give the energiesof each hmn(t). As a result, the coherent part will dominant the total signal at the receiver. A simple scheme suchas energy-detection can be used to detect the information-bearing scalar α in Eq. (7.0.16).

67

0 10 20 30 40 50

−0.02

−0.01

0

0.01

0.02

Time(ns)

Am

plitu

de(V

olt)

Waveform

2 4 6 8 10 12 14 16

−0.02

−0.01

0

0.01

0.02

Time(ns)

Am

plitu

de(V

olt)

Waveform

forward linkreverse link

forward linkreverse link

Figure 7.2: Channel Reciprocity.

Due to the coherent summing, both transmit and receive antennas contribute to the total captured energy. Thisis not true, however, for systems without using time-reversal. In [84], it is found that doubling the number oftransmit antennas, M , does not change the SNR, while doubling the number of transmit antennas, N , does. Thereceived signal amplitudes after the N matched filters add coherently whereas the corresponding noise componentsadd incoherently. Doubling N yields a 3 dB gain in SNR. But with the diversity order of UWB channels beinginherently very large, increasing diversity through adding more transmit antennas is only marginal. In the time-reversal scheme, the final summing up at the receiver can be effectively viewed as after the MN matched filters.Doubling M also causes the same performance as doubling N .

Physically, the coherent part can be viewed as the coherent spatio-temporal focusing of the N MISO arrays. Theenergy is spatio-temporally focused at the n−th antenna element located at r = rn, n = 1, 2, ..., N . Each MISO[85] consists of M antenna elements located at r = rm, m = 1, 2, ...,M . The MN elements serve as discretesensors to sample the continuous spatio-temporal transient electromagnetic fields. The coherent contributions of

68CHAPTER 7. EXPLOITING CHANNEL IMPULSE RESPONSE AT THE TRANSMITTER—TIMEREVERSAL

these N MISO arrays are given by

ϕ(rn, t) =M∑

m=1

hnm(−t) ∗ hnm(t), r = rn, n = 1,2, ...,N (7.0.20)

Ideal spatio-temporal focusing implies that ϕrn(t) = Enδ(r − rn)δ(t) where En is the energy received by then-th MISO array at r = rn. If we superpose the N spatio-temporally focused contributions, they will be added upindependently to yield

Γ(t) =N∑

n=1

ϕ(rn, t) =

[N∑

n=1

Enδ(r − rn)

]δ(t). (7.0.21)

In this ideal case, the incoherent signal part in Eq. (7.0.19) disappears. The total energy that is obtained by integration

over the whole space and time isN∑

n=1En. As a consequence, the N discrete sensors capture all the energies, without

overlapping other locations (interference to others). Seen from Eq. (7.0.21), all the terms ϕrn(t) are synchronous atall times and reach their maximum at t = 0. As shown in Eq. (7.0.20), however, these terms are only synchronous attheir maximum at t = 0; non-ideal spatial focusing leads to energies overlapping other undesired locations describedby the incoherent part of Eq. (7.0.19). One goal of time-reversed impulse MIMO is to exploit the global synchronousproperty at t = 0. A superposition of the received signal at different antenna sensors across the space will stack upenergies coherently.

In the following let us pay attention to understanding the coherent signal mathematically in Eq. (7.0.17) and Eq.(7.0.19). The squared Frobenius norm of H(t), H2

F(t), is defined as

H2F(t) = tr[H(t) ∗ H†(−t)] =

M∑m=1

N∑n=1

hmn(t) ∗ hmn(−t) (7.0.22)

The first part of Γ(t) in Eq. (7.0.19) is mathematically equal to H2F(t). Consider the MISO as a special case for

N = 1. Eq. (7.0.22) simplifies as

H2F(t) = tr[H(t) ∗ H†(−t)] =

M∑m=1

hm(t) ∗ hm(−t) (7.0.23)

which is exactly the expression for MISO. The familiar definition of the Frobenius norm is given by [36]

H2F = tr[HH†] =

M∑m=1

N∑n=1

|hmn|2 (7.0.24)

where hmn are the channel gains. Due to the assumption of narrowband frequency flat fading, the convolution in theUWB MIMO degenerates to the simple product in Eq. (7.0.24). H2

F(t) may be interpreted as the total energy of thechannel and satisfies

H2F(t) =

N∑n=1

λn(t) (7.0.25)

where λn(t) (n = 1, 2, ..., N ) are the eigenvalues of H(t) ∗ H†(−t).

69

7.0.2 Channel Reciprocity—the Symmetry of Signal Processing

The foundation of time reversal is the so-called channel reciprocity: the impulse response of the forward link,hforward(t), is identical to that of the reverse link, hreverse(t), or

hforward(t; r0, r1) = hreverse(t; r1, r0) (7.0.26)

where r0 and r1 are two observation points. Experimental confirmation has been given in [86]. Fig. 7.2 illustratesthe typical waveforms for both links within the engine [87].

Channel reciprocity is the killer for time reversal for UWA communications, due to the slow propagation velocityof sound. Eq. (7.0.26) is very difficult to satisfy. This is, however, easily met for UWB communications, since thevelocity of radio is six orders of magnitudes larger than that of sound.

7.0.3 Discussions

In the theoretical aspects, we will take advantage of spatio-temporal focusing, a new physical phenomenon governedby transient electromagnetics, which is unique to time-reversed impulse systems. We are particularly interested inextending the current work to the framework of MIMO to improve the spatio-temporal focusing [88, 89, 90].

The similarity of the UWB communications to that of UWA communications motivates a unified view of the twosystems [81]. Common issues include rich multipath and fading. Equalization to compensate for inter-symbol-interference (ISI) is critical. Time-reversal is promising for both. Frequency-shift-keying (FSK) is the primarypractical scheme that works for UWA. Phase-shift-keryng (PSK) is promising for high-data rates, but suffers fromrandom phase noise caused by the ocean [91]. One wonders if the concept of “impulse radio” can be applied to UWAcommunications. Modulation schemes based on carrierless pulses such as pulse position modulation (PPM) havesome advantages, especially for high-frequency UWA communications in the bandwidth of e.g. 25-50 kHz. Therelative bandwidth of this system satisfies the definition of UWB, according to FCC. This large bandwidth justifiesthe use of UWB wireless technologies to UWA communications.

In practice, pairs of chirp waveforms, rather than the impulses, are used for modulation, in both UWA and UWBcommunications [80, 82].

7.0.4 Summary

A theory of time-reversed impulse MIMO is given for UWB communications. One goal of the proposed researchis to investigate time-reversal based non-coherent reception as an alternative to coherent communications. Theapproach takes advantage of the unique characteristics of impulse radio, through a new paradigm of using time-reversal combined with MIMO. In this paradigm, only a noncoherent energy detector is required in the receiver thatwill be cost-effective.

Since time reversal has been demonstrated experimentally [92] over the air indoors, it is interesting to extend thisconcept to other radios such as high-frequency (HF). The channel reciprocity of HF radios is still an open problem.

70CHAPTER 7. EXPLOITING CHANNEL IMPULSE RESPONSE AT THE TRANSMITTER—TIMEREVERSAL

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Chapter 8

Historical Survey

77

I. HISTORICAL SURVEY

Our philosophy is to bring together strands from different disciplines (such as diffraction, transient electromag-netism, fractional calculus, and information theory), often regarded by researchers as totally unconnected. Theseamless connection, through the bridge of SVD of fractional integral operator, seems unique to our approach.(1) The fundamental connection between the transient electromagnetism and fractional calculus is made throughrepresentation of a diffracted pulse in terms of a fractional integral, e.g, for one edge-diffracted path. (2) Anotherfundamental connection between information theory and transient electromagnetism is enabled through SVD forthe fractional integral operator: parallel subchannels are resultant, as SVD for a MIMO matrix.

II. DIFFRACTION

The above two fundamental connections unify results from four different disciplines. Diffraction has a longhistory in physics, quasi-optics, and high-frequency electromagnetism. For the problems at hand, for convenience,we can divide the whole history, ordered yearly, into five periods: (1) Physics [1]–[44]; (2) Quasi-optics and high-frequency electromagnetism until Levine and Schwinger (1948) at the MIT Radiation Lab in the World War II[45]–[87]; (3) The theory of geometric diffraction (GTD) by Keller (1958) [88]–[144]; (4) The uniform theoryof geometric diffraction (UTD) by Kouyoumjian and Pathak (1974) [145]–[191]; (5) Modern wireless propagationbeginning with Luebbers (1988) [192]–[293].

III. TRANSIENT DIFFRACTION

Transient diffraction itself is a discipline: its mathematical tool can be very different from that of diffractionthat usually uses time-harmonic analysis. Four periods can be divided: (1) Early times since Lamb (1910) [294]–[354]; (2) Middle times since Felsen and Maculvitz (1973) [355]–[403]; (3) Late times since time-domain GTDof Veruttipong (1990) [215], [401]–[471]; (4) Modern times of applications in UWB communications since FCC’s2002 rulings. It is impossible to have an exhaustive list of the UWB papers, like MIMO.

The unifying notion is the degrees of freedom. This concept traces back to Di Francia (1955), inspired byShannon’s information theory [472]. Three periods are identified. (1) Early work in optics since Di Francia(1955) [473]–[523]; (2) Times since diffracted-limited imaging using SVD by Bertero (1984) [265], [269], [524]–[558]; (3) Modern times since Miller (2000) [559]–[619].

IV. SINGULAR VALUE DECOMPOSITION FOR FRACTIONAL INTEGRAL OPERATORS

The mathematical tool is SVD for the fractional integral operator. Fractional calculus has a long history [620]–[664]. The SVD for integral operators is investigated, tracing back to 1928 [487], [491], [665]–[690]. The workat Los Alamos National Lab on SVD of fractional integral operator [691]–[696] has triggered a new round ofdevelopment [697]–[711].

We need justify the exhaustive list of the references. All these references has been studied by the author andbound in a yearly order. This long list has occurred naturally, in the past decade. In the transient analysis, earlytimes references on exact solutions and late times references on asymptotic, high-frequency analysis are searchedexhaustively. A mathematical model for a generalized multipath has been postulated by the author, to unify theseresults [712], [713] [714] - [715]. When the above two fundamental connections are made, it is natural to searchall the related references to find a most suitable technique.

The proposed approach is fundamentally different from the wideband MIMO work of [716]–[720]. Those worksare based on an empirical fading model, and let the bandwidth increase to the limit of infinity [719]. Thislimit process is not allowed by physics. Infinite bandwidth will cause big problems. Besides, the philosophy ofFranceschetti seems to be related to ours [567], [578]–[580], [593], [611], [721], [722]. The two recent papers [593],[611] are especially relevant. However, our mathematical tool and goals are totally different.

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