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Diversity
Mobile Communications Handbook
Ed. Suthan S. Suthersan
Boca Raton: CRC Press LLC, 1999
c 1999byCRCPressLLC
Diversity
Arogyaswami J. Paulraj
Stanford University
12.1 Introduction
12.2 DiversitySchemes
Space Diversity
Polarization Diversity
Angle Diversity
FrequencyDiversity
PathDiversity
TimeDiversity
Trans-
formedDiversity
12.3 DiversityCombiningTechniques
Selection Combining
Equal
GainCombining
Lossof DiversityGainDuetoBranchCor-
relationandUnequal BranchPowers
12.4 Effect of DiversityCombiningonBit Error Rate
12.5 ConcludingRemarks
DeningTerms
References
12.1 Introduction
Diversityisacommonlyusedtechniqueinmobileradiosystemstocombat signal fading. Thebasic
principleof diversityisasfollows. If several replicasof thesameinformation-carryingsignal are
receivedover multiplechannelswithcomparablestrengths, whichexhibit independent fading, then
thereisagoodlikelihoodthatatleastoneor moreof thesereceivedsignalswill notbeinafadeatany
giveninstant intime, thusmakingit possibletodeliver adequatesignal level tothereceiver. Without
diversitytechniques, innoiselimitedconditions, thetransmitter wouldhavetodeliver amuchhigher
power level to protect thelink duringtheshort intervals when thechannel is severely faded. In
mobileradio, thepower availableon thereverselink isseverelylimited bythebatterycapacityof
hand-heldsubscriber units. Diversitymethodsplayacrucial roleinreducingtransmit power needs.
Also, cellular communicationnetworksaremostlyinterferencelimitedand, onceagain, mitigationof
channel fadingthroughuseofdiversitycantranslateintoreducedvariabilityofcarrier-to-interference
ratio(C/I), whichinturnmeanslower C/I marginandhencebetter reusefactorsandhigher system
capacity.
Thebasicprinciplesof diversityhavebeenknownsince1927whentherst experimentsinspace
diversitywerereported. Therearemanytechniquesfor obtainingindependentlyfadingbranches,
andthesecan besubdividedinto two main classes. Therst areexplicit techniqueswhereexplicit
redundant signal transmission is used to exploit diversity channels. Useof dual polarized signal
transmissionandreceptioninmanypoint-to-pointradiosisanexampleof explicitdiversity. Clearly
suchredundant signal transmissioninvolvesapenaltyinfrequencyspectrumor additional power.
In thesecond class areimplicit diversity techniques: thesignal is transmitted only once, but the
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decorrelatingeffectsinthepropagationmediumsuchasmultipathsareexploitedtoreceivesignals
over multiplediversitychannels. Agoodexampleof implicit diversityistheRAKEreceiverincode
divisionmultipleaccess(CDMA) systems, whichusesindependent fadingof resolvablemultipaths
toachievediversitygain. Figure12.1illustratestheprincipleof diversitywheretwoindependently
fadingsignalsareshownalongwiththeselectiondiversityoutput signal whichselectsthestronger
signal. Thefadesin theresultingsignal havebeen substantiallysmoothed out whilealso yielding
higher averagepower.
FIGURE 12.1: Exampleof diversity combining. Two independently fadingsignals 1and 2. The
signal 3istheresult of selectingthestrongest signal.
If antennas areused in transmit, they can beexploited for diversity. If thetransmit channel
isknown, theantennascan bedriven with complex conjugatechannel weightingto co-phasethe
signals at thereceiveantenna. If theforward channel is not known, wehaveseveral methods to
convert spaceselectivefadingat thetransmit antennastoother formsof diversityexploitableinthe
receiver.
Exploitingdiversityneedscareful designof thecommunicationlink. Inexplicitdiversity, multiple
copiesof thesamesignal aretransmittedinchannelsusingeither afrequency, time, or polarization
dimension. Atthereceiver endweneedarrangementstoreceivethedifferentdiversitybranches(this
istruefor bothexplicit andimplicit diversity). Thedifferent diversitybranchesarethencombined
toreducesignal outageprobabilityor bit error rate.
In practice, thesignalsin thediversitybranchesmaynot showcompletelyindependent fading.
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Theenvelopecrosscorrelation betweenthesesignalsisameasureof their independence.
=
E [[r
1
r
1
] [r
2
r
2
]]
_
E |r
1
r
1
|
2
E |r
2
r
2
|
2
wherer
1
and r
2
represent theinstantaneous envelopelevels of thenormalized signals at thetwo
receiversand r
1
and r
2
aretheir respectivemeans. Ithasbeenshownthatacrosscorrelationof 0.7[3]
between signal envelopesissufcient to provideareasonabledegreeof diversitygain. Depending
onthetypeof diversityemployed, thesediversitychannelsmust besufcientlyseparatedalongthe
appropriatediversitydimension. Forspatial diversity, theantennasshouldbeseparatedbymorethan
thecoherencedistancetoensureacrosscorrelationof lessthan0.7. Likewiseinfrequencydiversity,
thefrequency separation must belarger than thecoherencebandwidth, and in timediversity the
separationbetweenchannel reuseintimeshouldbelonger thanthecoherencetime. Thesecoherence
factorsinturndependonthechannel characteristics. Thecoherencedistance, coherencebandwidth
andcoherencetimevaryinverselyastheanglespread, delayspread, andDoppler spread, respectively.
If thereceiver hasanumber of diversitybranches, it hastocombinethesebranchestomaximize
thesignal level. Several techniqueshavebeenstudiedfor diversitycombining. Wewill describethree
maintechniques: selectioncombining, equal gaincombining, andmaximal ratiocombining.
Finally, weshouldnotethat diversityisprimarilyusedtocombat fadingandif thesignal doesnot
showsignicantfadingintherstplace, for examplewhenthereisadirectpathcomponent, diversity
combiningmaynot providesignicant diversitygain. In thecaseof antennadiversity, arraygain
proportional tothenumber of antennaswill still beavailable.
12.2 DiversitySchemes
Thereareseveral techniques for obtainingdiversity branches, sometimes also known as diversity
dimensions. Themost important of thesearediscussedinthefollowingsections.
12.2.1 SpaceDiversity
Thishashistoricallybeen themost common formof diversityin mobileradio basestations. It is
easytoimplement anddoesnot requireadditional frequencyspectrumresources. Spacediversityis
exploitedon thereverselink at thebasestation receiver byspacingantennasapart so asto obtain
sufcient decorrelation. Thekeyfor obtainingminimumuncorrelatedfadingof antennaoutputsis
adequatespacingof theantennas. Therequiredspacingdependsonthedegreeof multipathangle
spread. For exampleif themultipathsignalsarrivefromall directionsintheazimuth, asisusually
thecaseat themobile, antennaspacing(coherencedistance) of theorder of 0.5 to 0.8 isquite
adequate[5]. Ontheother handif themultipathanglespreadissmall, asinthecaseof basestations,
thecoherencedistanceismuchlarger. Alsoempirical measurementsshowastrongcouplingbetween
antennaheight and spatial correlation. Larger antennaheights imply larger coherencedistances.
Typically10 to20 separationisadequatetoachieve = 0.7 at basestationsinsuburbansettings
when thesignalsarrivefromthebroadsidedirection. Thecoherencedistancecan be3to 4times
larger for endrearrivals. Theendreproblemisavertedinbasestationswithtrisectoredantennas
aseachsector needstohandleonlysignalsarriving60
2
e
r
2
i
2
2
(12.1)
wherer
i
isthesignal envelopeineachbranch. If wedenetwonewvariables
i
=
Instantaneoussignal power ineachbranch
Meannoisepower
=
Meansignal power ineachbranch
Meannoisepower
thentheprobabilitythat theC/Nislessthanor equal tosomespeciedvalue
s
is
Prob
_
i
s
_
= 1 e
s
/
(12.2)
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FIGURE12.2: Diversitycombiningmethodsfor twodiversitybranches.
Theprobabilitythat
i
inall brancheswithindependent fadingwill besimultaneouslylessthan
or equal to
s
isthen
Prob
_
1
,
2
, . . .
M
s
_
=
_
1 e
s
/
_
M
(12.3)
Thisisthedistribution of thebest signal envelopefromthetwo diversitybranches. Figure12.3
showsthedistributionofthecombineroutputC/NforM =1,2,3,and4branches. Theimprovement
insignal qualityissignicant. For exampleat 99%reliabilitylevel, theimprovement inC/Nis10dB
for twobranchesand16dBfor four branches.
Selection combiningalso increasesthemean C/N of thecombiner output andcan beshown to
be[3]
Mean(
s
) =
M
k=1
1
k
(12.4)
Thisindicatesthatwith4branches, for example, themeanC/Nof theselectedbranchis2.08better
thanthemeanC/Ninanyonebranch.
12.3.2 Maximal RatioCombining
InthistechniquetheM diversitybranchesarerst co-phasedandthenweightedproportionallyto
their signal level beforesumming. SeeFig. 12.2(b). Thedistributionof themaximal ratiocombiner
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FIGURE12.3: Probabilitydistributionof signal envelopefor selectioncombining.
hasbeenshowntobe[5]
Prob
_
m
_
= 1 e
(
m
/ )
M
k=1
(
m
/ )
k1
(k 1)!
(12.5)
Thedistribution of output of amaximal ratio combiner is shown in Fig. 12.4. Maximal ratio
combiningisknowntobeoptimal inthesensethat it yieldsthebest statistical reductionof fadingof
anylinear diversitycombiner. Incomparisontotheselectioncombiner, at 99%reliabilitylevel, the
maximal ratiocombiner providesa11.5dBgainfor twobranchesanda19dBgainfor four branches,
animprovement of 1.5and3dB, respectively, over theselectiondiversitycombiner.
ThemeanC/Nof thecombinedsignal maybeeasilyshowntobe
Mean(
m
) = M (12.6)
Therefore, combiner output meanvarieslinearlywithM. Thisconrmstheintuitiveresult that
theoutput C/N averaged over fadesshould providegain proportional to thenumber of diversity
branches. Thisisasituationsimilar toconventional beamforming.
12.3.3 Equal GainCombining
Insomeapplications, it maybedifcult toestimatetheamplitudeaccurately, thecombininggains
mayall besettounity, andthediversitybranchesmerelysummedafterco-phasing. [SeeFig.12.2(c)].
Thedistributionof equal gaincombiner doesnot haveaneat expressionandhasbeencomputed
bynumerical evaluation. Itsperformancehasbeen shown to beverycloseto within adecibel to
c 1999byCRCPressLLC
FIGURE12.4: Probabilitydistributionfor signal envelopefor maximal ratiocombining.
maximal ratiocombining. ThemeanC/Ncanbeshowntobe[3]
Mean(
e
) =
_
1 +
4
(M 1)
_
(12.7)
Likemaximal ratiocombining, themeanC/Nfor equal gaincombininggrowsalmostlinearlywith
M andisapproximatelyonlyonedecibel poorer thanmaximal ratiocombiner evenwithaninnite
number of branches.
12.3.4 LossofDiversityGainDuetoBranchCorrelationandUnequal Branch
Powers
Theaboveanalysisassumedthatthefadingsignalsinthediversitybrancheswereall uncorrelatedand
of equal power. Inpractice, thismaybedifcult toachieveandaswesawearlier, thebranchcross-
correlationcoefcient = 0.7 isconsideredtobeacceptable. Also, equal meanpowersindiversity
branchesarerarelyavailable. Insuchcaseswecanexpect acertainlossof diversitygain. However,
sincemost of thedamagein fadingisdueto deepfades, andalso sincethechanceof coincidental
deepfadesissmall evenfor moderatebranchcorrelation, onecanexpect areasonabletoleranceto
branchcorrelation.
Thedistributionoftheoutputsignal envelopeofmaximal ratiocombinerhasbeenshowntobe[6]:
Prob
_
m
_
=
M
n=1
A
n
2
n
e
m
/2
n
(12.8)
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where
n
aretheeigenvaluesof theM M branchenvelopecovariancematrixwhoseelementsare
denedby
R
ij
= E
_
r
i
r
j
_
(12.9)
andA
n
isdenedby
A
n
=
M
k = 1
k = n
1
1
k
/
n
(12.10)
12.4 Effect of DiversityCombiningonBit Error Rate
SofarwehavestudiedthedistributionoftheinstantaneousenvelopeorC/Nafterdiversitycombining.
Wewill nowbrieysurveyhowdiversitycombiningaffectsBERperformanceindigital radiolinks;
weassumemaximal ratiocombining.
To begin let us rst examinetheeffect of Rayleigh fadingon theBER performanceof digital
transmissionlinks. Thishasbeenstudiedbyseveral authorsandissummarizedin[7]. Table12.1
gives theBER expressions in thelargeE
b
/N
0
casefor coherent binary PSK and coherent binary
orthogonal FSK for unfaded and Rayleigh faded AWGN (additivewhiteGaussian noisechannels)
channels.
E
b
/N
0
representstheaverageE
b
/N
0
for thefadingchannel.
TABLE12.1 Comparisonof BER
Performancefor UnfadedandRayleighFaded
Signals
Modulaton UnfadedBER FadedBER
CohBPSK
1
2
erfc
__
E
b
/N
0
_
1
4
_
E
b
/N
0
_
CohFSK
1
2
erfc
_
_
1
2
E
b
/N
0
_
1
2
_
E
b
/N
0
_
Observethat error ratesdecreaseonlyinverselywithSNRasagainst exponential decreasesfor the
unfadedchannel. Alsonotethatforfadingchannels,coherentbinaryPSKis3dBbetterthancoherent
binaryFSK, exactlythesameadvantageasinunfadedcase. Evenfor modest target BERof 10
2
that
isusuallyneededinmobilecommunications, thelossduetofadingcanbeveryhigh17.2dB.
ToobtaintheBERwithmaximal ratiodiversitycombiningwehavetoaveragetheBERexpression
for theunfadedBERwiththedistributionobtainedfor themaximal ratiocombiner givenin(12.5).
Analytical expressionshavebeenderivedfor thesein[7]. For abranchSNRgreater than10dB, the
BERafter maximal ratiodiversitycombiningisgiveninTable12.2.
Weobservethattheprobabilityof error variesas1/
E
b
/N
0
raisedtotheLthpower. Thus, diversity
reducestheerror rateexponentiallyasthenumber of independent branchesincreases.
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TABLE12.2 BERPerformancefor
Coherent BPSK andFSK withDiversity
Modulaton Post DiversityBER
Coherent BPSK
_
1
4
E
b
/N
0
_
L
_
2L 1
L
_
Coherent FSK
_
1
2
E
b
/N
0
_
L
_
2L 1
L
_
12.5 ConcludingRemarks
Diversityprovidesapowerful techniquefor combatingfadingin mobilecommunication systems.
Diversitytechniquesseektogenerateandexploit multiplebranchesover whichthesignal showslow
fadecorrelation. Toobtainthebest diversityperformance, themultipleaccess, modulation, coding
andantennadesignof thewirelesslinkmustall becarefullychosensoastoprovidearichandreliable
level of well-balanced, low-correlation diversity branches in thetarget propagation environment.
Successful diversity exploitation can impact a mobile network in several ways. Reduced power
requirementscanresult inincreasedcoverageor improvedbatterylife. Lowsignal outageimproves
voicequalityand handoff performance. Finally, reduced fademarginsdirectlytranslateto better
reusefactorsand, hence, increasedsystemcapacity.
DeningTerms
Automaticrequestforrepeat: Anerrorcontrol mechanisminwhichreceivedpacketsthatcan-
not becorrectedareretransmitted.
Channel coding/Forwarderrorcorrection: A technique that inserts redundant bits during
transmissiontohelpdetect andcorrect bit errorsduringreception.
Fading: Fluctuationinthesignal level duetoshadowingandmultipatheffects.
Frequencyhopping: Atechniquewherethesignal burstsaretransmittedat different frequen-
ciesseparatedbyrandomspacingthat aremultiplesof signal bandwidth.
Interleaving: Aformof datascramblingthatspreadsburstof biterrorsevenlyover thereceived
dataallowingefcient forwarderror correction.
Outageprobability: Theprobabilitythatthesignal level fallsbelowaspeciedminimumlevel.
PCS: Personal CommunicationsServices.
RAKEreceiver: A receiver usedindirect sequencespreadspectrumsignals. Thereceiver ex-
tractsenergyineachpathandthenaddsthemtogether withappropriateweightingand
delay.
References
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velopesof900MHzsignalsreceivedatamobileradiobasestationsite.Proc.IEE,133(6),506512,
1986.
[2] Freeburg, T.A., Enablingtechnologiesforin-buildingnetworkcommunicationsfourtechnical
challengesandfour solutions. IEEETrans. Veh. Tech., 29(4), 5864, 1991.
[3] Jakes, W.C., MicrowaveMobileCommunications, JohnWiley&Sons, NewYork, 1974.
c 1999byCRCPressLLC
[4] Jefford, P.A., Turkmani, A.M.D., Arowojulu, A.A., andKellet, C.J., Anexperimental evaluation
of theperformanceof thetwobranchspaceandpolarizationschemesat1800MHz. IEEETrans.
Veh. Tech., VT-44(2), 318326, 1995.
[5] Lee, W.C.Y., MobileCommunicationsEngineering, McGraw-Hill, NewYork, 1982.
[6] Pahlavan, K.andLevesque, A.H.,WirelessInformationNetworks,JohnWiley&Sons, NewYork,
1995.
[7] Proakis, J.G., Digital Communications, McGraw-Hill, NewYork, 1989.
[8] Vaughan,R.G.,Polarizationdiversitysysteminmobilecommunications.IEEETrans.Veh.Tech.,
VT-39(3), 177186, 1990.
[9] Viterbi,A.J.,CDMA:PrincipleofSpreadSpectrumCommunications,Addison-Wesley,Reading,
MA, 1995.
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