MIMO Course301011

Tel Aviv and Ben Gurion Universities
MIMO-OFDM LECTURE NOTES

Dr. Doron Ezri
i
Preface
MIMO and OFDM technologies are gaining ever growing interest in modern com-
munications systems. These technologies provide a powerful tool for enhancing the
wireless link with an emphasis on increased spectral eciency. MIMO and OFDM
have already been incorporated as major building blocks into existing standards and
are considered the bridge to fourth generation (4G) broadband wireless access systems
and technologies.
The course is made of two parts. In the rst part the basic concepts of dierent
MIMO modes are presented together with an analysis of their performance. The
second part discusses OFDM and concludes with the fusion of OFDM and MIMO
in practical systems and standards (with an emphasis on LTE). This course targets
graduate students in Electrical Engineering and communications engineers who need
an ecient introduction to these all important subjects.
The course is devised to be self-contained. However, some of the material in
the MIMO part is covered in [13], while some of the OFDM part is covered in [20].
Additional references for further reading are listed in the Bibliography section.
Dr. Doron Ezri OFDM MIMO
ii
Contents
I Basic MIMO Concepts 1
1 The SISO Case 2
1.1 System Model and ML Receiver . . . . . . . . . . . . . . . . . . . . . 2
1.2 Evaluation of the Error Probability . . . . . . . . . . . . . . . . . . . 3
2 Receive Diversity - MRC 7
3 Transmit Diversity - STC 12
3.3 Transmit and Receive Diversity - STC+MRC . . . . . . . . . . . . . 16
3.3.1 System Model and ML Receiver . . . . . . . . . . . . . . . . . 16
3.3.2 Evaluation of the Error Probability . . . . . . . . . . . . . . . 18
4 Transmit Beamforming 20
4.1 System Model and Optimal Transmission . . . . . . . . . . . . . . . . 20
4.3 Maximal Ratio Transmission . . . . . . . . . . . . . . . . . . . . . . . 25
Contents iii
5 Spatial Multiplexing 26
5.3 The Sphere Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
5.4 Linear MIMO Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5.5 Successive Interference Cancelation . . . . . . . . . . . . . . . . . . . 33
5.6 The Diversity-Multiplexing Tradeo . . . . . . . . . . . . . . . . . . . 35
6 Closed Loop MIMO 38
6.1 System Model and Optimal Transmission . . . . . . . . . . . . . . . . 38
6.2 Implications of Closed Loop MIMO . . . . . . . . . . . . . . . . . . . 40
7 Space Division Multiple Access 43
7.1 System Model and Basic Solution . . . . . . . . . . . . . . . . . . . . 43
7.2 More Advanced Solutions and Considerations . . . . . . . . . . . . . 45
II Practical OFDM-MIMO 48
8 The Wireless Channel 49
8.1 Propagation Eects . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
8.1.1 Path Loss and Shadowing . . . . . . . . . . . . . . . . . . . . 49
8.1.2 The Physics of Multipath . . . . . . . . . . . . . . . . . . . . 51
8.1.3 Delay Spread . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
8.1.4 Doppler Spread . . . . . . . . . . . . . . . . . . . . . . . . . . 55
8.2 Channel Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
8.2.1 Modeling Path Loss and Shadowing . . . . . . . . . . . . . . . 56
8.2.2 Modeling Mobile Channels . . . . . . . . . . . . . . . . . . . . 57
Contents iv
8.3 Simulating Mobile Channels . . . . . . . . . . . . . . . . . . . . . . . 59
8.4 Extension to the MIMO Case . . . . . . . . . . . . . . . . . . . . . . 60
8.4.1 The MIMO Channel . . . . . . . . . . . . . . . . . . . . . . . 60
8.4.2 Modeling MIMO Channels . . . . . . . . . . . . . . . . . . . . 62
8.4.3 Simulating MIMO Channels . . . . . . . . . . . . . . . . . . . 64
9 OFDM Basics 65
9.1 The Basic Concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
9.2 Pilots and Channel Estimation . . . . . . . . . . . . . . . . . . . . . . 70
9.3 Guards in Time and Frequency . . . . . . . . . . . . . . . . . . . . . 71
9.4 The Eects of Time and Frequency Osets . . . . . . . . . . . . . . . 73
9.5 The OFDM Parameters Tradeo . . . . . . . . . . . . . . . . . . . . 75
9.6 The PAPR Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
10 OFDMA and SC-FDMA 78
10.1 From OFDM to OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . 78
10.2 SC-FDMA as a Variant of OFDMA . . . . . . . . . . . . . . . . . . . 80
11 Practical MIMO OFDM 83
11.1 The Fusion of OFDM and MIMO . . . . . . . . . . . . . . . . . . . . 83
11.2 Pilots Patterns in MIMO OFDM . . . . . . . . . . . . . . . . . . . . 84
11.3 Obtaining Channel Knowledge at the Transmitter . . . . . . . . . . . 86
11.3.1 Reciprocity Methods . . . . . . . . . . . . . . . . . . . . . . . 86
11.3.2 Feedback Methods . . . . . . . . . . . . . . . . . . . . . . . . 88
11.4 Future Directions in MIMO-OFDM . . . . . . . . . . . . . . . . . . . 90
Bibliography 90
Contents v
A Complex Normal Multivariate Distribution 95
B Log Likelihood Ratio 97
C Derivatives w.r.t a Vector and LS 99
D Some Results For Chapter 4 101
D.1 Lemma 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
D.2 Lemma 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
E DO and AG in 2 2 ZF 104
F The Baseband Channel 106
G The Impact of Correlation on MRC 108
1
Part I
Basic MIMO Concepts
2
Chapter 1
The SISO Case
1.1 System Model and ML Receiver
We begin with the simplest case of single input single output system (SISO) endowed
with single Tx and Rx antennas, depicted in Fig. 1.1. The received signal y satises
y = hs + n, (1.1)
where the channel h is a zero mean complex Normal
1
random variable (RV) with unit
variance (Eh
h = E[h[
2
= 1), s is a QPSK symbol bearing 2 bits (see Fig. 1.2),
is the noise intensity, and n is a zero mean complex Normal RV with unit variance.
Thus, the signal to noise ratio (SNR) in this case is 1/
2
.
Figure 1.1: SISO communications system.
The aim of the receiver is to estimate the transmitted symbols (or bits) using the
1
For the denition of circularly symmetric complex Normal distribution see Appendix
A.
1. The SISO Case 3
measurement y. We also assume h is known at the receiver.
The Maximum a-Posteriori (MAP) receiver computes the the most probable sym-
bol s given the the measurement y. Assuming equally probable symbols we get the
Maximum Likelihood (ML) estimator
s = argmax
sQPSK
p(y[s). (1.2)
Using the conditional density of y
2
the ML estimator takes the form
s = argmax
sQPSK
exp
_
[y hs[
2
2
_
. (1.3)
Since the exponential is a monotone function, the ML estimator may be rewritten as
s = argmin
sQPSK
[y hs[
2
= argmin
sQPSK
[ s s[
2
, (1.4)
where s =
y
h
. The ML estimator (1.4) implies that we estimate each symbol according
to the constellation point which is nearest to s. We note the following.
The division by h plays the role of equalization (compensating for the
eect of the channel) in this simple example.
In coded systems the ML estimated (hard decision) symbol is not useful.
Here the log likelihood ratio (LLR) which is a soft decision metric is
computed for each transmitted bit (see Appendix B).
1.2 Evaluation of the Error Probability
We turn now to the evaluation of the error probability. We note that
s = s +

h
n, (1.5)
2
Note that conditioned on h and s, y is complex Normal with mean hs and variance
2
. For the p.d.f. of a complex Normal distribution see Appendix A.
1. The SISO Case 4
Figure 1.2: QPSK, 16QAM and 64QAM modulations. Note that in a nor-
malized QAM, with n bits/symbol, d
min
=
1
2
n
1
6
.
so the probability of error given h is bounded by
Pr error[ h Pr
_
h
n
>
d
min
2
h
_
= Pr
_
[n[ >
[h[ d
min
2
h
_
=
_

|h|d
min
/2
2z exp
_
z
2
_
dz,
(1.6)
where z = [n[ is Rayleigh distributed
3
with
2
=
1
2
, and d
min
=
2 in QPSK (see
Fig. 1.2). The integral in (1.6) may be evaluated analytically, so the error probability
given h reads
Pr error[h exp
_
[h[
2
2
2
_
= exp
_
SNR(h)
2
_
, (1.7)
3
The absolute value z of a complex Normal RV x+jy where x and y are zero mean real
valued i.i.d. Gaussian RVs each with variance
2
is Rayleigh distributed with parameter
and pdf p(z) =
1
2
z exp
_
z
2
2
2
_
for z 0.
1. The SISO Case 5
where SNR(h) is the instantaneous SNR.
In order to obtain the unconditional error probability we average (1.7) w.r.t the
complex Normal distribution of h, which gives
Pr error =
_
hC
Pr error[h p(h) dh
_
hC
exp
_
[h[
2
2
2
_
1
exp
_
[h[
2
_
dh
=
1
_
hC
exp
_
_
1 +
1
2
2
_
[h[
2
_
dh.
(1.8)
Using the equality (A.7), the bound (1.8) simplies to
Pr error
1
1 +
1
2
2
=
1
1 +
SNR
2
. (1.9)
The error probability (1.8) in the case of Rayleigh fading reveals how signicantly
the Rayleigh channel aects the performance. For means of comparison, we note that
in the case of white channel, h = 1, the error probability may be evaluated through
(1.7) as
Pr error exp
_
1
2
2
_
= exp
_
SNR
2
_
. (1.10)
The symbol error rate (SER) curves for SISO in AWGN and Rayleigh are given in
Fig. 1.3.
1. The SISO Case 6
Figure 1.3: SER curves of SISO with AWGN and Rayleigh channels.
7
Chapter 2
Receive Diversity - MRC
We begin with the single input multiple output (SIMO) case, in which the receiver
is endowed with N receive antennas, as depicted in Fig. 2.1. In this case, the
mathematical model for the measurements vector y is
y = hs + n, (2.1)
where the elements h
i
of the channel vector h, are independent complex Normal
RVs with unit variance, and the elements n
i
of the noise vector n, are independent
complex Normal RVs with unit variance.
Figure 2.1: MRC conguration.
We proceed as in the SISO case to obtain the ML estimator s, assuming the
2. Receive Diversity - MRC 8
receiver possesses h. The expression for s in this case becomes
s = argmax
sQPSK
exp
_
|y hs|
2
2
_
= argmin
sQPSK
|y hs|
2
. (2.2)
We note that the functional |y hs|
2
in (2.2) attains its global minimum at the
least squares (LS) solution (see Appendix C)
s = (h
h)
1
h
y =
h
y
|h|
2
, (2.3)
and that the quadratic cost |y hs|
2
may be rewritten as
|y hs|
2
= |y h s +h s hs|
2
= |(y h s) + (h s hs)|
2
= |y h s|
2
+|h( s s)|
2
+ 21(y h s)
h( s s) . (2.4)
Using the fact that about s the last term on the r.h.s of (2.4) vanishes
(y h s)
h = y
h s
|h|
2
= y
h
y
h
|h|
2
|h|
2
= 0, (2.5)
and the cost functional is written in the convenient form
|y hs|
2
= |y h s|
2
+|h( s s)|
2
= C +|h|
2
[ s s[
2
. (2.6)
Thus, in the case of Rx diversity, the ML estimator (2.2) is simplied to
s = argmin
sQPSK
[ s s[
2
, (2.7)
where s is the LS solution (2.3). The above result implies that the optimal decoding
in case of Rx diversity begins with the calculation of the LS estimate s for s, and the
rest of the processing is identical to SISO.
The LS solution in the case of Rx diversity is also known as maximal-ratio-
combining (MRC)[15, 16]. In the case of 2 Rx antennas, Eq. (2.3) reads
s =
h
0
y
0
+h
1
y
1
[h
0
[
2
+[h
1
[
2
, (2.8)
which means that the signal from each antenna is de-rotated according to the phase
of the corresponding channel. Then, the de-rotated signals are weighted according to
the strength of the channel (per antenna SNR) and summed.
Substituting (2.1) in the MRC expression (2.3) we get
s =
h
(hs + n)
|h|
2
= s +
h
n
|h|
2
. (2.9)
Note that the variance of the noise term is

2
|h|
2
so the post-processing SNR is
|h|
2
2
. Thus, the probability of error given h, similarly to (1.6), is
Pr error[h
_

hd
min
/2
2z exp
_
z
2
_
dz
= exp
_
|h|
2
2
2
_
. (2.10)
The error probability is obtained by averaging (2.10) w.r.t. the complex Normal
distribution of h, which gives
Pr error =
_
hC
N
Pr error[h p(h) dh
_
hC
N
exp
_
|h|
2
2
2
_
1
N
exp
_
|h|
2
_
dh
=
1
N
_
hC
N
exp
_
h
__
1 +
1
2
2
_
I
_
h
_
dh.
(2.11)
Using the equality (A.7), the bound (2.11) simplies to
1
Pr error
1
_
1 +
1
2
2
_
N
=
1
_
1 +
SNR
2
_
N
. (2.12)
It is evident that Rx diversity decreases the error probability considerably. Intuitively,
this conclusion may be derived from the expression for E[ s s[
2
=
2
/|h|
2
implied
from (2.9). The estimation error variance depends on the absolute value of all channels
and not just one as in the SISO case. Moreover, in the case of white channels, MRC
simply means averaging the signals from the antennas, reducing the estimation error
variance by a factor of N.
At this point we introduce two important concepts in MIMO. The rst is the
diversity order (DO)
DO = lim
SNR
log
e
Pr error
log
e
SNR
, (2.13)
which is the slope of the error probability curve at high SNR. The second is the array
gain (AG), dened as the average increase in the post processing SNR
AG =
Epost processing SNR
SNR
. (2.14)
An alternative, more meaningful denition (in terms of performance) for the AG,
which may not coincide with the previous denition, is the shift of the error probability
curve w.r.t. the curve (for QPSK)
1
_
1 +
SNR
2N
_
N
. (2.15)
Note that in the case of Rx diversity, the DO and AG (according to both denitions)
are equal to N. The SER curves of MRC with 2 Rx and 4 Rx antennas are given in
Fig. 2.2.
1
We use here the identity det A =
N
det A, where A is an N N matrix.
Figure 2.2: SER curves of MRC 1 2 and 1 4.
12
Chapter 3
Transmit Diversity - STC
In many cases placing many Rx antennas at the receiver is impractical, so a natural
question is wether we can obtain the DO and AG of MRC using multiple Tx antennas
instead. We begin with a naive scheme where the same symbol s is transmitted from 2
Tx antennas (with the appropriate scaling 1/
2 to ensure unit Tx power) as depicted

in Fig. 3.1. The model for the signal received at the single Rx antenna is
y = h
0
1
2
s +h
1
1
2
s + n
=
1
2
(h
0
+h
1
)s + n. (3.1)
Note that in independent Rayleigh, the RV
h =
1
2
(h
0
+h
1
) (3.2)
is complex normal with zero mean and unit variance. This means we get a model
that is identical to SISO, so we gain nothing. Another approach has to be invoked.
One of the most prominent methods for Tx diversity is Alamoutis space time
coding (STC) [2], which is applicable for two Tx antennas. Besides the use of the
spatial domain (as done in MRC), STC makes further use of the time domain.
3. Transmit Diversity - STC 13
Figure 3.1: Naive Tx diversity scheme.
In Alamoutis scheme, the transmission is done from two Tx antennas and in pairs
of time slots, as depicted in Fig. 3.2. Beginning with the case of single Rx antenna,
the mathematical model corresponding to the ith time slot is
y(i) = [ h
0
h
1
]
_
x
0
(i)
x
1
(i)
_
+ n, (3.3)
where y(i) is the measurement at the Rx antenna at time i, x
0
(i) is the transmitted
signal from Tx antenna 0 at time i, and x
1
(i) is the transmitted signal from Tx
antenna 1 at time i. The transmission scheme is
_
x
0
(0) x
0
(1)
x
1
(0) x
1
(1)
_
=
1
2
_
s
0
s
1
s
1
s
0
_
, (3.4)
which means that only one data stream is transmitted from the Tx antennas and
the transmission rate is identical to that in SISO. The factor
1
2
, makes sure that
the total transmission power remains identical to the SISO case. Assuming that the
channel vector is identical at both time slots, the aggregated received signal is
_
y(0)
y
(1)
_
. .
y
=
1
2
_
h
0
h
1
h
1
h
0
_
. .
H
_
s
0
s
1
_
. .
s
+ n. (3.5)
We denote the linear transformation operating on s by H and not simply H, to
emphasize that it is not the physical channel, but rather the eective channel created
by the STC transmission scheme. Note that the columns of H are orthogonal
1
_
h
0
h
1
_
_
h
1
h
0
_
= [h
0
, h
1
]
_
h
1
h
0
_
= 0. (3.6)
Figure 3.2: STC 2 1 conguration.
We proceed as before to obtain the ML estimator, assuming the receiver possesses
H. The expression for the ML estimator s of s in this case becomes
s = argmin
sQPSK
2
|y Hs|
2
. (3.7)
We note that the term |y Hs|
2
in (3.7) may be rewritten as
[ s s]
(H
H)[ s s], (3.8)

where s is the least squares (LS) estimator of s given the measurements y, satisfying
s = H
+
y, (3.9)
where H
+
is the pseudo-inverse of H dened as (H
H)
1
H
. We further note that

in Alamoutis STC, H is a scaled unitary matrix. That is
H
H=
[h
0
[
2
+[h
1
[
2
2
I. (3.10)
1
This means in AWGN each of the symbols may be decoded individually (in MRC
fashion) regardless to the other symbol, simlilarly I and Q components modulated with
orthogonal Sine and Cosine.
This property of H is perhaps the most crucial part of the Alamouti scheme. Using
(3.10), turns (3.8) to the form
[h
0
[
2
+[h
1
[
2
2
| s s|
2
, (3.11)
so the ML estimator becomes
s = argmin
sQPSK
2
| s s|
2
= argmin
sQPSK
2
_
[ s
0
s
0
[
2
+[ s
1
s
1
[
2
_
, (3.12)
or simply
s
0
= argmin
s
0
QPSK
[ s
0
s
0
[
2
s
1
= argmin
s
1
QPSK
[ s
1
s
1
[
2
, (3.13)
which means that in STC, the ML receiver sums up to LS estimation followed by
regular SISO processing for each of the symbols s
0
, s
1
independently.
Proceeding as in the previous sections, we substitute (3.5) in the LS equation (3.9)
for s and obtain
s = (H
H)
1
H
[Hs + n]
= s +
2
[h
0
[
2
+[h
1
[
2
H
n, (3.14)
which means that the covariance matrix of the noisy term is
2
2
[h
0
[
2
+[h
1
[
2
I, (3.15)
which is identical to that in the MRC case ((2.9) and line under), except for the factor
2 which means a 3dB decrease in the AG. In STC the AG is 1.
Since the expression for the variance of the noisy part after the LS is identical to
that in MRC, up to the constant 2, the error probability takes the form
Pr error
1
_
1 +
1
4
2
_
2
=
1
_
1 +
SNR
4
_
2
, (3.16)
which implies second order diversity, as in the case of MRC with 2 Rx antenna, but
AG of 1, which means no AG. The SER curve of STC 2 1 is given in Fig. 3.3. The
SER curve of MRC 1 2 is also given to show the 3dB dierence between the curves,
and the identical DO.
Figure 3.3: SER curves of STC 2 1 and MRC 1 2.
3.3 Transmit and Receive Diversity - STC+MRC
3.3.1 System Model and ML Receiver
The previous sections show that STC with 2 Tx antennas, provides DO of 2 and no
AG. They also show that MRC with N Rx antennas provides DO N and AG N. A
natural expansion of the ideas above would be the fusion of STC transmission and
Rx diversity. We consider here a MIMO array with 2 Tx antennas transmitting STC
and N Rx antennas. This MIMO system is given in Fig. 3.4.
Figure 3.4: STC with Rx diversity conguration.
The model for the received signal at the nth Rx antenna aggregated over two
time slots is identical to (3.5)
_
y
n
(0)
y
n
(1)
_
. .
y
n
=
1
2
_
h
n,0
h
n,1
h
n,1
h
n,0
_
. .
Hn
_
s
0
s
1
_
. .
s
+ n
n
. (3.17)
Thus, the whole system model is
_
_
y
0
y
1
.
.
.
y
N1
_
_
. .
y
=
_
_
H
0
H
1
.
.
.
H
N1
_
_
. .
H
_
s
0
s
1
_
. .
s
+ n. (3.18)
Here y and n are vectors of length 2N. We note that here too the columns of H are
orthogonal
H
H =
_
H
0
H
1
H
N1
_
H
0
H
1
.
.
.
H
N1
_
_
=
N1
n=0
H
n
H
n
=
1
2
N1
n=0
([h
n,0
[
2
+[h
n,1
[
2
)I, (3.19)
so the ML receiver implies SISO processing on the output of the LS solution. We
further note that using the LS solutions s
n
at each of the antennas, the LS solution
takes the form
s = (H
H )
1
H
y
=
1
1
2
N1
n=0
([h
n,0
[
2
+[h
n,1
[
2
)
_
H
0
H
1
H
N1
_
y
0
y
1
.
.
.
y
N1
_
_
=
N1
n=0
([h
n,0
[
2
+[h
n,1
[
2
) s
n
N1
n=0
([h
n,0
[
2
+[h
n,1
[
2
)
, (3.20)
which means combining the LS solutions at the antennas in an MRC fashion. The
weight assigned to the LS solution of the n th antenna is [h
0,n
[
2
+ [h
1,n
[
2
, which is
proportional to its post processing SNR.
3.3.2 Evaluation of the Error Probability
The LS solution s takes the form
s = (H
H )
1
H
[H s + n]
= s +
2
N1
n=0
([h
n,0
[
2
+[h
n,1
[
2
)
H
n (3.21)
which means that the covariance matrix of the noisy term is
2
2
N1
n=0
([h
n,0
[
2
+[h
n,1
[
2
)
I, (3.22)
implying an AG of value N. The error probability is evaluated as in previous sections
and reads
Pr error
1
_
1 +
1
4
2
_
2N
=
1
_
1 +
SNR
4
_
2N
, (3.23)
which means DO 2N. Intuitively, the STC provided DO 2 and the MRC provided
DO N, so the total DO is 2N. The SER curve of STC 2 2 is given in Fig. 3.5.
Note the dierence in DO compared with STC 2 1.
Figure 3.5: SER curves of STC 2 2 and STC 2 1.
20
Chapter 4
Transmit Beamforming
In the previous chapters, we assumed perfect channel knowledge at the receiver,
but no channel knowledge at the transmitter. In this chapter we concentrate on
methods for transmission and reception assuming perfect channel knowledge at both
sides. Practical methods for obtaining channel knowledge at the transmitter will be
discussed in Chapter 11.
4.1 System Model and Optimal Transmission
We consider a MIMO array endowed with M transmit and N receive antennas, de-
picted in Fig. 4.1. We assume that the transmitter possesses perfect knowledge of
the channels matrix. The question at hand is how to exploit the channel knowledge
at the transmitter to transmit the information symbol s using the M transmit anten-
nas, in a manner that optimizes the link performance. Hereafter we restrict ourselves
to linear precoding, where the transmitted signal x satises x = ws and w is the
precoding weight vector. This method of precoding in also known as beamforming,
and w is dubbed the beamformer. The mathematical model for the received signal
when beamforming is applied is
y = Hx + n = Hws + n. (4.1)
4. Transmit Beamforming 21
Note that when the beamformer w is applied, Hw may be viewed as the equivalent
channel. We further note that the post-processing SNR at the receiver (after applying
MRC with the N Rx antennas) is |Hw|
2
/
2
.
Figure 4.1: Tx beamforming conguration with M Tx and N Rx antennas.
When the optimization criterion is maximal SNR at the receiver, the optimal
beamforming problem may be written as
w = argmax
:
2
=1
|H|
2
. (4.2)
The unity magnitude constraint || = 1 is used to make sure that the transmission
power remains equal to that in the SISO case. The optimization problem (4.2) may
be solved using Lagrange multipliers. We dene the Lagrangian
L = |H|
2
(||
2
1), (4.3)
dierentiate w.r.t (assuming the real-valued case, see Appendix C), and equate to
zero
L
H (
1)]
= 2
H 2
= 0. (4.4)
Applying conjugate transposition and returning to w leads to
(H
H) w = w. (4.5)
This means that w is an eigenvector of the rectangular matrix H
H. Bearing in mind
that we are seeking the solution that maximizes |Hw|
2
, we reach the conclusion that
w is the eigenvector of H
H corresponding its the largest eigenvalue (the result holds

in the complex-valued case).
The eigenvectors of H
H may also be found by the singular value decomposition

(SVD) of the (not necessarily rectangular) matrix H. The SVD decomposes H into
a product of three matrices
H = UDV
, (4.6)
where U and V are unitary matrices satisfying U
U = I, V
V = I, and D is a
diagonal matrix with real positive singular values on its diagonal. The entries of D
are the square roots of the eigenvalues of H
H or HH
. The columns of V are the

singular vectors of H which are the eigenvectors of H
H, and the columns of U are

the eigenvectors of HH
.
As noted above, the receiver applies MRC to the signals at the N Rx antennas, so
the post processing SNR is
post processing SNR =
|Hw|
2
2
=

1
2
=
d
2
1
2
, (4.7)
where
1
is the largest eigenvalue of HH
and d
1
is the largest singular value of H.
Using the fact that rotation matrices do not change the Frobenius norm
1
of a matrix,
we get
|H|
2
F
= |UDV
|
2
F
= |D|
2
F
=
d
2
i
, (4.8)
1
The Frobenius norm |A|
F
of an N M matrix A is dened as the square root of
the sum of the absolute squares of its elements, |A|
F
=
_
n
m
[A
n,m
[
2
. Thus, |A|
2
F
measures the energy of the matrix.
where d
i
is the ith singular value of H. Obviously, d
2
1
is upper bounded by
d
2
i
=
|H|
2
F
. Moreover, since d
1
is the largest singular value, d
2
1
is lower bounded by
d
2
i
divided by the number of singular values. Thus, we have
|H|
2
F
minM, N
d
2
1
|H|
2
F
. (4.9)
The post processing SNR =
d
2
1
2
is bounded by
|H|
2
F
minM, N
2
post processing SNR
|H|
2
F
2
, (4.10)
which leads to bounds on the AG by applying an expectation and dividing by the
average SNR =
1
2
MN
minM, N
AG MN. (4.11)
This means that in the case of 2 2, the AG is up to 3dB better than that in
STC+MRC.
An upper bound for the error probability is given by
Pr error
1
_
1 +
1
2 minM, N
2
_
MN
=
1
_
1 +
SNR
2 minM, N
_
MN
, (4.12)
which implies that in the case of 2 2, the DO is identical to that in STC+MRC.
The SER curves of eigen beamforming 2 2 and 4 2 are given in Fig. 4.2. Note
that the DO in the 2 2 case is identical to STC 2 2 and the AG is better by less
than 3dB.
In some cases the distribution of
1
is known explicitly, so the bounds may be
replaced with an explicit expression for the AG and error probability. For example,
in the 2 2 case, the distribution of
1
is [3, 17]
p(
1
) = exp(
1
)
_
2
1
2
1
+ 2
2 exp (2
1
) . (4.13)
so the average error probability is bounded by
Pr error =
_

0
Pr error[
1
p(
1
) d
1
_

0
exp
_

1
2
2
_
p(
1
) d
1
=
_

0
exp
_

1
2
2
_
_
exp(
1
)
_
2
1
2
1
+ 2
2 exp (2
1
)
_
d
1
=
32
_
2 +
1
2
_
3
_
4 +
1
2
_

1
_
1 +
3.36 SNR
2 4
_
4
, (4.14)
which implies AG of 3.36 (or 5.27dB) which is a 2.27dB advantage over the 2 2
STC+MRC scheme (due to channel knowledge at the transmitter).
Figure 4.2: SER curves for eigen beamforming 2 2 and 4 2.
The DO and AG are asymptotic (at high SNR) metrics, so it may suce to
approximate the error probability curve at high SNR, instead of seeking an accurate
expression at all SNR values. We note the average error probability bound in (4.14)
takes the form of the (one sided) Laplace transform of p (
1
)
Pr error
_

0
exp
_

1
2
2
_
p(
1
) d
1
=
_

0
exp
_
S
1
_
p(
1
) d
1
,

S =
SNR
2
, (4.15)
so the asymptotic error probability curve may be computed through the initial value
theorem. The asymptotic error curve then depends on the density of
1
near the
origin [21]. Specically, p (
1
) is expanded about the origin as
p(
1
) = exp(
1
)
_
2
1
2
1
+ 2
2 exp (2
1
)
=
1
3
3
1
+ higher order terms, (4.16)
so the asymptotic expression of the error probability is
_

0
exp
_

1
2
2
_
1
3
3
1
d
1
=
32
SNR
4
, (4.17)
which gives the same solution (DO=4, AG=3.36).
4.3 Maximal Ratio Transmission
A special case of Tx beamforming is the case of a single Rx antenna, N = 1. This is a
common case since in many systems the receiver is to be low cost. Here the channels
matrix H reduces to a row vector h
= [h
0
. . . , h
M1
], and the matrix H
H in (4.5)
turns to hh
, which has rank 1.

In this simplied case the computation of the SVD reads
h
= 1 |h|
_
h
|h|
_
. (4.18)
Thus, the optimal beamformer in the case of single Rx antenna reads (remember
H = h
)
w =
h
|h|
w
i
=
h
i
|h|
. (4.19)
This method is known as maximal ratio transmission (MRT) [9]. Note that the SER
curve of MRT with M Tx antennas and one Rx antenna is identical to that in MRC
with one Tx antenna and M Rx antennas.
26
Chapter 5
Spatial Multiplexing
In the previous chapters, we exploited the MIMO conguration to enhance the link
properties, with the underlying assumption that a better link (higher SNR, less fad-
ing) means the ability to transmit more information by using less robust modulation
schemes (say switching from QPSK to 16QAM) conveying more information. In this
chapter we consider a dierent approach to exploit the MIMO conguration, in which
dierent information streams are transmitted from the Tx antennas. This approach
is known as spatial multiplexing.
In spatial multiplexing (SM), independent information streams are transmitted through
the Tx antennas. We consider a MIMO array with M transmit and N receive an-
tennas where N M, depicted in Fig. 5.1. The transmitted vector is
1
M
s where
s = [s
0
, s
1
, . . . , s
M1
]
T
is a vector of M independent symbols. The factor
1
M
is in-
troduced in order to maintain unity transmission power. The mathematical model
for the received signal is
y =
1
M
H
PHY
. .
H
s + n. (5.1)
5. Spatial Multiplexing 27
Thus, in SM we increase the throughput explicitly (assuming that the receiver is
capable of decoding the information).
Figure 5.1: Spatial multiplexing conguration with M Tx and N Rx anten-
nas.
The ML estimator s of s reads
s = argmin
sQPSK
M
|y Hs|
2
. (5.2)
Note that in SM, in contrast to all diversity schemes we discussed before, H
H is not
a diagonal matrix. This means that the LS solution followed by SISO processing is no
longer optimal. Actually, no further simplication of the ML estimator (5.2) exists.
Moreover, Eq. (5.2) implies that optimal ML decoding in SM requires exhaustive
search in multiple dimensions. The problem becomes more severe when high modu-
lations (say 64QAM) or large number of Tx antennas are employed. For instance, in
M=4 and 64QAM, the computation of the ML estimator requires exhaustive search
over 64
4
16 10
6
options.
The fact that ML reception in SM requires exhaustive search is troublesome,
so suboptimal schemes have to be devised when either the number of constellation
points or number of Tx antennas is high. In the sequel we consider some of the more
prominent suboptimal solutions.
In order to evaluate the error probability we assume that the symbol s was transmitted
and dene the minimizing vector
s = argmin
QAM
M
J(), (5.3)
where J() = |yH|
2
. Focusing on an error event in s
0
, the error probability may
be interpreted as
Pr error in s
0
= Pr s
0
,= s
0
. (5.4)
We begin by conditioning the error event on H and s, to get
Pr error in s
0
[H, s = Pr
_
_
_
_
s: s
0
=s
0
J( s) J(s)
H, s
_
_
_
, (5.5)
which may be bounded by the union bound
Pr error in s
0
[H, s
s: s
0
=s
0
Pr J( s) J(s)[ H, s . (5.6)
The conditional probability on the r.h.s. of (5.6) is calculated in Section D.1 as
Pr J( s) J(s)[ H, s = Q
_
|H( s s)|
2
_
, (5.7)
so Equation (5.6) turns to
Pr error in s
0
[H, s
s: s
0
=s
0
Q
_
|H( s s)|
2
_
, (5.8)
which may be further simplied using the bound Q(x)
1
2
exp
_
x
2
2
_
to yield
Pr error in s
0
[H, s
1
2
s: s
0
=s
0
exp
_
|H( s s)|
2
4
2
_
. (5.9)
Averaging w.r.t s gives
Pr error in s
0
[H
1
2 L
M
sQAM
M
eA
0
(s)
exp
_
|He|
2
4
2
_
, (5.10)
where L is the number of points in the QAM constellation, and A
0
(s) is the set of
error vectors s s such that s
0
,= s
0
.
The unconditional error probability is obtained by averaging (5.10) w.r.t to the
Rayleigh distribution of H. Specically, the expectation of the term exp
_
|He|
2
4
2
_
w.r.t H is calculated in Section D.2 as
E
H
_
exp
_
|He|
2
4
2
__
=
1
_
1 +
|e|
2
4M
2
_
N
, (5.11)
which leads to the unconditional error probability
Pr error in s
0

1
2 L
M
sQAM
M
eA
0
(s)
1
_
1 +
|e|
2
4M
2
_
N
. (5.12)
The expression (5.12) is dominated by the error vectors with minimal norm. Focusing
on QPSK, each symbol s has 2 dominant vectors e with |e|
2
= 2, such that s
0
,= s
0
.
Thus, (5.12) may be approximated by
Pr error in s
0

1
2
2
1
_
1 +
2
4M
2
_
N
=
1
_
1 +
SNR
2M
_
N
, (5.13)
which means DO N and AG N/M. We emphasize here that in SM the throughput
is M times that in SISO
1
.
5.3 The Sphere Decoder
The exponential complexity of the exhaustive search ML suggests that other methods
are ought to be sought. Sphere decoding [5] is an iterative method for the computation
1
Note that nowhere in this derivation we assumed that N M. Actually the derivation
hold even for N = 1 (but the performance is very poor).
of the ML solution. The method provides the optimal ML solution with signicantly
smaller complexity.
Focusing on the case of 2 Tx and N 2 Rx antennas, the ML cost functional
may be rewritten as
|y Hs|
2
= C + ( s s)
H( s s). (5.14)
Note that since H
H is a positive denite symmetric matrix, it can be decomposed

into U
U = H
H where U is an upper triangular matrix with real diagonal (The

matrix U may be obtained through the QR decomposition of H). Thus, the cost
functional to be minimized turns to (we omitted the constant C)
( s s)
U( s s) = |U s|
2
, (5.15)
where s = s s. Using the special structure of U we write (5.15) explicitly as
[u
11
s
1
+u
12
s
2
[
2
+[u
22
s
2
[
2
= u
2
22
[s
2
s
2
[
2
+u
2
11
s
1
s
1
+
u
12
u
11
(s
2
s
2
)
2
.
(5.16)
We begin with searching for points s for which the cost functional (5.16) is smaller
than an arbitrary r
2
. Taking only the rst term in the sum (5.16) we obtain a
necessary (but not sucient) condition for a point s to have a cost smaller than r
2
as
u
2
22
[s
2
s
2
[
2
< r
2
[s
2
s
2
[
2
<
r
2
u
2
22
, (5.17)
which implies that a necessary condition is that s
2
lies within a circle about the LS
solution s
2
. If there are no points in QAM
2
satisfying (5.17), the magnitude of r is
increased and the algorithm starts all over. In the case there are points which satisfy
the condition, we choose one of them and use it to produce a similar condition on s
1
(for the specic s
2
chosen) through (5.16) as
u
2
22
[s
2
s
2
[
2
+u
2
11
s
1
s
1
+
u
12
u
11
(s
2
s
2
)
2
< r
2
(5.18)
or
s
1
_
s
1
u
12
u
11
(s
2
s
2
)
_
2
<
r
2
u
2
22
[s
2
s
2
[
2
u
2
11
, (5.19)
which means that s
1
should lie within a circle that depends on the s
2
chosen. If
there are no points s
1
satisfying the condition, we turn to the next point s
2
satisfying
(5.17). Otherwise we have a point s with cost smaller than r
2
, dubbed candidate.
We compute the cost of this point say r
2
< r
2
and repeat the algorithm with r
2
.
Eventually, r
2
will be small enough such that no points with smaller cost exist
and the minimizer is the candidate of the last iteration. Surely, if no points exist for
a certain r
2
and no candidates have been found in previous iterations, r
2
should be
increased. The advantage of the sphere decoding method stems from its optimality
and the fact that all searches are in one complex dimension leading to signicantly
lower computational burden.
5.4 Linear MIMO Decoder
A much simpler method to decode SM MIMO is zero forcing (ZF) which implies linear
decoding. In ZF, we do not follow the ML optimality criterion (5.2) but rather apply
SISO processing to the LS estimator for s
s = (H
H)
1
H
y, (5.20)
which in the case of 2 2 reduces to
s = H
1
y
= H
1
(Hs + n)
= s +H
1
n
= s +
1
h
00
h
11
h
10
h
01
_
h
11
h
10
h
01
h
00
_
n, (5.21)
which means that in the case det(H) is small, the post processing SNR becomes small,
regardless of the magnitudes of h
i,j
. In ZF, the post processing SNR experienced by
each stream is
1
2M
2
2
2(NM+1)
2
[6, 22]. This post processing SNR distribution is
similar to that in MRC N M + 1 with a reduced mean (by a factor of M). Thus,
in this suboptimal method, the DO is N M + 1 and the AG reads
N M + 1
M
.
Specically, in the 2 2 case, which is illustrated in Appendix E, we get the DO of
SISO with AG
1
2
.
Another approach which is very similar to ZF is best linear estimation (BLE or
MMSE). In BLE we construct the best linear estimator of s conditioned on y. We
emphasize that since s and y are not jointly Gaussian, the BLE in not optimal in
any way. Considering the MIMO model (5.1), the BLE s
BLE
for s is dened as
s
BLE
Es +
sy
1
yy
[y Ey]. (5.22)
Using the fact that Es = Ey = 0, and
ss
= I, the rest of the elements on the
r.h.s of (5.22) are easily calculated as follows
sy
Es(Hs + n)
=
ss
H
= H
yy
E(Hs + n)(Hs + n)
= H
ss
H
+
2
I = HH
+
2
I. (5.23)
2
The sum Q =

K
j=1
x
2
j
, where x
j
are i.i.d standard real valued Gaussian RVs, is
chi-square distributed with K degrees of freedom, denoted Q
2
K
.
Substituting (5.23) in (5.22) leads to the expression for the BLE
s
BLE
= H
(HH
+
2
I)
1
y. (5.24)
Note that in the limit of high SNR (small )
lim
0
s
BLE
= s
ZF
. (5.25)
Thus, the DO in the BLE is identical to that in ZF and reads N M +1. The SER
curves for ML 2 2 and ZF 2 2 are given in Fig. 5.2. Note that the DO in ML is
twice that in ZF.
Figure 5.2: SER curves for ML 2 2 and ZF 2 2. Note that the DO in the
ML is twice that in the ZF.
5.5 Successive Interference Cancelation
Any discussion concerning SM decoding algorithms would not be complete without
V-Blast, the original decoding method proposed by the authors of [23], that is con-
sidered the seminal paper presenting SM. This method, also known as successive
interference cancelation (SIC), borrows concepts from decision feedback equalization
and synchronization.
The SIC algorithm begins with linear processing, similarly to (5.20)
s
ini
= Gy = s + Gn, (5.26)
where G in this case is the pseudo inverse of H (similar version exists for MMSE). At
this point, we look for the index k
1
featuring the largest per stream post processing
SNR associated with (5.26)
k
1
= argmin
j0...M1
|G(j, :)|
2
. (5.27)
The symbol s
k
1
which is the most robust, is decoded linearly, as implied by (5.26)
s
k
1
= G(k
1
, :)y, (5.28)
and then sliced to obtain s
k
1
| QAM.
Equipped with the (hopefully correct) estimate s
k
1
| of s
k
1
, the algorithm proceeds
to cancel out the estimated contribution of s
k
1
in the original received vector y
y
2
= y h
k
1
s
k
1
|, (5.29)
such that in case s
k
1
is decoded correctly, we are left with a problem identical to (5.1),
but with M 1 symbols
y
2
= H
k
1
s
k
1
+ n, (5.30)
where H
k
1
is H with the k
1
th column eliminated, and s
k
1
is s with the k
1
th
element eliminated. The algorithm continues recursively with the computation of the
pseudo inverse G
2
of H
k
1
, the determination of
k
2
= argmin
j0...M1,j=k
1
|G
2
(j, :)|
2
. (5.31)
and so on, until all symbols are decoded.
Obviously, the main problem with the SIC algorithm is error propagation resulting
from the assumption that previous symbols have been decoded correctly (e.g. (5.30)
does not hold when s
k
1
is decoded incorrectly). In the 2 2 case, the performance is
very much similar to ZF, however, in the case of M > 2, the SIC algorithm exhibits
somewhat superior performance [11].
5.6 The Diversity-Multiplexing Tradeo
Equipped with the understanding of diversity and multiplexing, we reach the con-
clusion that in many cases there exists a tradeo between the two. Considering a
physical conguration of 2 2 without channel knowledge at the transmitter, we
have 2 prominent approaches, STC and SM. In this case SM will deliver twice the
throughput with 2nd order diversity, while STC gives 4th order diversity.
A natural question that arises is which is better? In order to answer this question,
we need to compare equal throughput schemes (apples to apples), so we construct the
SER curve of STC 22 employing 16QAM modulation (this curve is identical to that
of QPSK, except an approx. 7dB shift in SNR due to the decrease in d
min
). The SER
curves of STC 22 16QAM and SM 22 QPSK, featuring identical throughput, are
given in Fig. 5.3. Note that the STC curve is superior to that of the SM (assuming
we are targeting SER of 10
4
).
However, when comparing the SER curves of SM 2 2 16QAM with the equal
throughput competitor STC 2 2 256QAM as shown in Fig. 5.4, the situation
reverses, and the SM is superior. This means that there is no simple answer to the
question above, and there is a strong dependency on channel condition. As a rule
of thumb, we say that diversity methods are superior in the regime of small SNR,
Figure 5.3: SER curves for SM 2 2 QPSK and STC 2 2 16QAM.
whereas multiplexing is superior in high SNR [27, 12]. Bearing in mind that as the
SNR increases more SNR is needed to double the rate (3dB to move from BPSK to
QPSK, but 7dB to move from QPSK to 16QAM etc.), it is clear that at large SNR
schemes that explicitly double the rate become more attractive.
Figure 5.4: SER curves for SM 2 2 16QAM and STC 2 2 256QAM.
Another important factor which we have not addressed yet is correlation between
the spatial channels. In order to demonstrate the eect of correlation we turn to
the limit of fully correlated channels, so all entries in the channels matrix H are
identical (but yet random). In this case the DO of all diversity schemes decreases to
1. However, in SM the schemes collapse and decoding is impossible (e.g. in the ZF
decoder, the matrix is not invertible). As a rule of thumb, we say that SM methods
are more sensitive to spatial correlation than diversity methods [4]. The impact of
spatial correlation on MRC is given in Appendix G.
38
Chapter 6
Closed Loop MIMO
In the previous chapter we considered SM and assumed no channel knowledge at the
transmitter. In this chapter we consider SM with perfect channel knowledge at the
transmitter, a technique that is known as closed loop (CL) MIMO. This technique may
be viewed as fusion between SM and beamforming. Practical methods for obtaining
channel knowledge at the transmitter will be discussed in Chapter 11.
6.1 System Model and Optimal Transmission
We consider here an array with M transmit and N receive antennas, and assume
perfect channel knowledge at the transmitter and receiver. We already saw that
using this system it is possible to transmit a single precoded stream and obtain MN-
th order diversity. The question at hand here, is how to exploit the channel knowledge
at the transmitter in order to concurrently transmit K min(M, N) streams.
One solution to this problem is closely related to the concept of single stream
beamforming and SVD. We consider the following transmitted signal which may be
viewed as an extension of single stream beamforming
x =
K1
i=0
a
i
v
i
s
i
, (6.1)
where v
i
is the i-th singular vector of H and a
i
is a positive power allocation coecient
6. Closed Loop MIMO 39
with
a
2
i,i
= 1 to maintain unity transmission power. This precoding scheme is
attractive since the singular vectors are orthogonal (in contrast to eigenvectors) and
remain orthogonal after multiplication with H
(Hv
i
)
(Hv
j
) = v
i
(H
Hv
j
) = v
i
(v
j
) = 0 for i ,= j. (6.2)
which means orthogonal at the receiver.
In order to further investigate the scheme we rewrite the transmitted signal as
x = VAs, (6.3)
where V is the right hand unitary matrix in the SVD of channels matrix H and
A
MK
is a diagonal matrix with the entries a
i
on its diagonal. The resulting received
signal is
y = HVAs + n. (6.4)
Note that now, the equivalent channel matrix HVA satises
(HVA)
HVA = A
HVA
= A
V D
. .
H
UDV
. .
H
VA
= (DA)
DA, (6.5)
where (DA)
DAis a diagonal matrix. Thus, in this transmission mode ZF is optimal

(orthogonal transmission). An equivalent reception method decodes the received
signal with the matrix U
so we arrive at the signal

z = U
y = U
HVAs + U
n. (6.6)
Using the expression the SVD and the fact that U is unitary, Eq. (6.6) turns to
z = DAs + n, (6.7)
where DA is a diagonal matrix.
6.2 Implications of Closed Loop MIMO
Equation (6.7) for the decoded signal z leads to the following important implications.
The MIMO link is transformed into K parallel SISO links. This means
that ZF decoding is optimal, and receiver complexity is signicantly
reduced.
No noise amplication occurs since U is a unitary matrix that does not
introduce gain. This is in contrast to the noise amplication in ZF due
to the multiplication with the pseudo-inverse of H.
The singular values on the diagonal of D may signicantly dier in
magnitude, so (unless compensated by A, and usually A does not
compensate for this eect, as discussed in the sequel) we have streams
with dierent SNR. The pdf of the singular values in an uncorrelated
4 4 Rayleigh channels matrix is given in Fig. 6.1.
Figure 6.1: The singular values pdf in an uncorrelated 44 Rayleigh channels
matrix.
The matrix A determines the number K min(M, N) of spatial
streams transmitted according to the number of nonzero entries on
its diagonal. In particular, when A is set to
A =
_
_
1 0 . . . 0
0 0
.
.
.
.
.
.
0 0
_
_
, (6.8)
the transmission is reduced to single stream transmit beamforming dis-
cussed in Chapter 4.
The DO in the various streams is also dierent (as well as the AG). In
fact recent results show that the DO of the kth stream (k = 0 . . . , K
1) is (M k)(N k) [25]. This means that in the M M case, while
the rst stream enjoys DO of M
2
, the last experiences DO one (this
asymmetry is dicult to balance).
We note that we do not have a complete solution yet, since the matrix A has not
been determined. The intuition of some would lead them to the conclusion that A
should be proportional to D
1
, so that DA in (6.7) renders a scaled identity matrix
leading to parallel streams with equal SNR.
In order to investigate this issue an optimality criterion for the case of multiple
streams is required. Moreover, it is obvious that the maximal SNR criterion we used
this far does not suce for this matter. For this case, the sum capacity criterion [13]
a = argmax
a
2
=1
log (1 + SNR of stream i)

= argmax
a
2
=1
log
_
1 +a
2
i
d
2
i
2
_
, (6.9)
is more suitable. In the case of two stream the optimization problem (6.9) has an
analytical solution and the optimal value of the power allocated to the rst stream, a
2
1
,
is given in Fig. 6.2. Several SNRs of the two streams (corresponding to
d
2
i
2
, i = 1, 2)
are considered.
Figure 6.2: The optimal power allocation in the sense of sum capacity.
The gure shows that the stream featuring higher SNR is allocated with more
(or all) power, and as the SNR increases the allocation is more equal. Thus, in the
sense of sum capacity the intuition pointing at allocating more power to the weaker
streams is misleading.
43
Chapter 7
Space Division Multiple Access
7.1 System Model and Basic Solution
Space division multiple access (SDMA) is a technique very similar to CL MIMO,
since in both techniques, multiple beamformed streams are transmitted concurrently,
and perfect channel knowledge at the transmitter is assumed. The dierence between
the two techniques lies in the fact that in SDMA the Rx antennas belong to dierent
receivers/users. To simplify matters, we assume that every receiver is endowed with
a single Rx antenna. An SDMA conguration is given in Fig. 7.1.
The model for the received signals in an SDMA system with M transmit antennas
and N M receive antennas is
_
_
y
0
.
.
.
y
N1
_
_
. .
y
= HW
_
_
s
0
.
.
.
s
N1
_
_
. .
s
+ n, (7.1)
where y
i
is the signal received at the antenna of the ith user, and s
i
is the information
signal transmitted to the ith user. The main dierence between CL MIMO and
SDMA is now evident. In CL MIMO, the Rx antennas belong to a single receiver, and
it uses all of them to reconstruct the multiple information streams (the ith stream
is decoded with u
i
y). In SDMA the situation is dierent and each receiver uses its
7. Space Division Multiple Access 44
Figure 7.1: SDMA Conguration in which each receiver is endows with a
single Rx antenna.
single antenna to reconstruct the single information stream addressing it. Thus, in
SDMA, the precoding matrix W has to be devised such that HW is diagonal or
nearly diagonal. Otherwise, multi-user interference (MUI) is introduced.
Assuming that the SNR is high and MUI is the main concern, the beamforming
matrix W should satisfy
HW = D, (7.2)
where D is a diagonal matrix, and is a scaling factor. The precoding matrix should
also meet the unity power constraint
E|Ws|
2
= 1 |W|
F
= 1. (7.3)
Thus, a straight-forward solution meeting both requirements is the ZF beamformer
W =
H
+
D
|H
+
D|
F
. (7.4)
The physical interpretation of SDMA is the following. For the ith receiver,
SDMA uses w
i
to create a beam that amplies s
i
at the direction of that receiver,
and attenuates s
i
at the directions of all other N 1 receivers (spatial nulls). This
interpretation is given in Fig. 7.2. The equation for the SDMA beamforming matrix
(7.4) also implies that an array of M Tx antennas can create up to M 1 nulls.
Figure 7.2: The beams shape in SDMA is such that the beam for the nth
UT nulls out at the directions of all other users.
The matrix D which actually determines the power allocation to each stream
is determined according to the multi-user transmission strategy. If the strategy is
to maximize the sum capacity, the entries of D will be determined by a procedure
similar to (6.9). Note that the SNR of ith stream (when each stream is allocated
with identical power) is proportional to
1
|q
i
|
2
where Q = H
+
.
7.2 More Advanced Solutions and Considerations
In the common case, the SDMA transmitter is a base station (BS). The BS endowed
with M antennas communicates with N
u
user terminals (UTs). Usually, N
u
>> M,
so the BS cannot transmit simultaneously in an SDMA fashion to all UTs. Thus,
when SDMA transmission is employed, the BS needs to divide the UTs into sets of
up to N M users, to which it will transmit simultaneously.
A natural algorithm to divide UTs into sets would be the grouping of UTs with
orthogonal channel vectors into the same set. In this case, MRT may be applied to
each UT independently, and no MUI is introduced. In this case, MRT would also be
the optimal solution. Obviously, in real scenarios perfect orthogonality is not to be
found, so sets with minimal correlation are desirable.
In the previous section, we assumed that the SNR is high and MUI is the main
concern. However, SDMA is also applied in medium and low SNR, so another criterion
such as maximal signal to noise and interference ratio (SINR) should replace the zero
MUI criterion we adopted [7, 18].
Another extension of the ideas demonstrated above is the application of SDMA
to the case where each receiver is endowed with multiple receive antennas [19, 24]. In
this case, the received signal takes the form
_
_
y
0
.
.
.
y
N1
_
_
. .
y
= HW
_
_
s
0
.
.
.
s
N1
_
_
. .
s
+ n, (7.5)
where y
i
= [y
i,0
, . . . , y
i,N
i
1
]
T
is the signal vector arriving at the N
i
antennas of the
i th UT, and s
i
= [s
i,0
, . . . , s
i,N
i
1
]
T
is the information vector addressing the i-
th UT. Assuming that M

i
N
i
, it is possible to transmit up to N
i
information
streams to the ith UT in an SDMA fashion. This means up to
i
N
i
concurrent
information stream to all UTs. In this case, the zero MUI approach requires that
HW is not diagonal, but block diagonal.
HW =
_
_
[B
0
] 0 . . . 0
0 [B
1
]
.
.
.
.
.
.
0 [B
N
i
1
]
_
_
. (7.6)
This approach leads to superior performance over the case of
i
N
i
UTs with a single
Rx antenna.
The main problem with all of the approaches discussed above is the sensitivity of
the scheme to channel state information. In fact, when the channel state information
is not perfect (and this is always the case in practical systems), the near zero MUI
approach fails. The LTE and 802.16m standards are considering a dierent SDMA
concept, in which each UT is equipped with N
e
> 1 antennas, and K N
e
streams are
transmitted concurrently (say one for each UT). This way each UT performs regular
SM processing and disregards the streams addressing other UTs. In this approach
precoding is optional, but obviously leads to superior performance.
48
Part II
Practical OFDM-MIMO
49
Chapter 8
The Wireless Channel
In previous chapters we assumed that each entry of the channels matrix H was a
single RV, independent of the frequency axis. This corresponds to the assumption
of at fading. In this chapter we describe channel models that are more suitable for
wireless propagation.
8.1 Propagation Eects
The propagation eects are usually divided into three distinct types of models as
illustrated in Fig. 8.1 . These are mean path loss, slow variation about the mean due
to shadowing and scattering, and the rapid variation in the signal due to multipath
eects. The rst two, which are also known as large scale fading, are usually consid-
ered frequency independent (about the carrier), while the last, known as small scale
fading, is frequency dependent.
8.1.1 Path Loss and Shadowing
The path loss L describes the mean attenuation in the radio channel primarily due to
physical separation between the transmitter and receiver. The free space path loss,
8. The Wireless Channel 50
Figure 8.1: Propagation eects.
which lower bounds any practical path loss, is given (in far eld) by
FSPL(dB) = 20 log
10
(R) + 20 log
10
(f) + 32.5, (8.1)
where R is the transmitter-receiver separation (km) and f is the carrier frequency
1
(MHz).
However, the free space path loss is not suitable for real life scenarios, so path
loss parameters are usually based on empirical evidence (measurement campaigns
in dierent physical scenarios). For instance the ITU-R [1] adopts the following
expression for the outdoor to indoor and the pedestrian environments
L(dB) = 40 log
10
R + 30 log
10
f + 49, (8.2)
where f is the carrier frequency (MHz) in the vicinity of 2000MHz. Note that this
1
Note that the path loss increases with the frequency. This is not due to the impact of
free space, but rather due to the receive antenna aperture.
equation is usually not valid for other scenarios (e.g vehicular), or other frequency
bands (e.g. 5.8GHz).
Obstacles between the transmitter and receiver also attenuate the signal. The
overall phenomenon is known as shadowing. The eect of showing is usually slow
(seconds to minutes). The large scale fading components given above do not include
the important impact of multipath (small scale fading) which is considered in the
next sections.
8.1.2 The Physics of Multipath
In case of perfect line-of-sight (LOS) between the transmitter and receiver, the noise-
less version of the baseband signal, y(t), arriving at the receiver is simply a scaled
delayed version of the transmitted baseband signal s(t), reading
y(t) = a s(t ), (8.3)
where a is a complex valued factor
2
and is the delay.
However, in multipath, the transmitted signal is reected from numerous scatter-
ers creating multiple paths of propagation to the receiver (the multipath phenom-
enon). Each path results in a dierent attenuation and a dierent delay
i
(due to a
dierent path length). This scenario, known as non line-of-sight (NLOS) is depicted
in Fig. 8.2.
In multipath, the received signal is a superposition of the contributions of the K
dierent paths
y(t) =
K1
i=0
a
i
s(t
i
), (8.4)
2
For more information on baseband signals see Appendix F.
Figure 8.2: A multipath scenario.
so the corresponding baseband channel h() takes the form
h() =
K1
i=0
a
i
(
i
). (8.5)
When either the transmitter, receiver, or scatterers are in motion, the received
signals are subject to the Doppler eect. For example, in the case of LOS, motion in
absolute velocity v and relative velocity v cos() results in the frequency shift
f
d
= f
m
cos(), (8.6)
where f
m
is the maximal doppler shift
f
m
=
v
=
vf
c
C
, (8.7)
is the wavelength, and C is the speed of light.
Thus, when we have both multipath and Doppler, the received baseband signal is
[compare with (8.4)]
y(t) =
K1
i=0
a
i
exp [j2f
m
cos(
i
) t] s(t
i
), (8.8)
where
i
is the angle corresponding to the ith path. We understand that each
path may shift (spread) the original signal in both delay and frequency. The shifts
associated with each path may be dierent as each path has it own delay and own
Doppler, due to dierent angle. A measure for the spread in the delay is the delay
spread
= max
i
min
i
, (8.9)
and a measure for the spread in frequency is the Doppler spread
f
d
= max f
m
cos(
i
) min f
m
cos(
i
) . (8.10)
8.1.3 Delay Spread
Focusing on the case of zero Doppler (alternatively we can assume zero Doppler
spread), a channel with impulse response of the form (8.5), has a frequency response
H(f) =
K1
i=0
a
i
exp (j2
i
f) (8.11)
that may signicantly vary in frequency, so such channels are dubbed frequency se-
lective. An example for the frequency response of a frequency selective channel is
given in Fig. 8.3
In order to illustrate the way multipath impacts frequency selectivity we consider
the following simple channel with two paths
h() = a
1
() +a
2
(
2
). (8.12)
The channel magnitude in the frequency domain is selective
[H(f)[ = [a
1
+a
2
exp(j2
2
f)[, (8.13)
as depicted in Fig. 8.4. Moreover, we understand that the rapidness of the channel
in frequency depends on
2
as depicted in Fig. 8.5, while similar gains imply deeper
fades as shown in Fig. 8.6.
Figure 8.3: An example for the frequency response of a selective fading chan-
nel.
Figure 8.4: The magnitude of a simple two paths channel.
It is now clearer that the delay spread dened (8.9) may be misleading as it does
not account for power of each path. To solve this problem we dene the root-mean-
square (RMS) delay spread
which is the RMS value of the delay of reections,

weighted proportionally to the energy in the reected waves
=
_
2
, (8.14)
Figure 8.5: The larger the delay spread, the more rapid the channel in fre-
quency.
Figure 8.6: Similar paths gain lead to deeper fades.
where
=
K1
i=0
[a
i
[
2
i
K1
i=0
[a
i
[
2
;
2
=
K1
i=0
[a
i
[
2
2
i
K1
i=0
[a
i
[
2
. (8.15)
8.1.4 Doppler Spread
Focusing on the case of zero delay (alternatively we can assume zero delay spread)
the received signal (8.8) takes the form
y(t) = s(t)
K1
i=0
a
i
exp [j2f
m
cos(
i
) t]
= s(t) g(t), (8.16)
where g(t) is the time varying process
g(t) =
K1
i=0
a
i
exp [j2f
m
cos(
i
) t] . (8.17)
Note the complete duality between g(t) in (8.17) and H(f) in (8.11). In g(t), the
Doppler shifts f
m
cos(
i
) play the role of the delays
i
in H(f).
8.2 Channel Modeling
When designing a wireless communications systems we need benchmark channel mod-
els so we can design and test our algorithms and mechanisms. It is important that the
models capture the most important characteristics of the channel (e.g., delay spread,
Doppler spread and pdf of the fades). However, It is also important that these models
are simple to allow simple denition (in terms of number of parameters) and simple
simulation.
There are two major approaches to channel modeling. The rst is the ray tracing
approach which draws the position and velocity of all entities (transmitter, receiver,
scatterers, etc.) and traces the propagation of the rays. The second approach is
stochastic, in which the channels are dened by their statistics (as random variables
and processes). We will concentrate in this section on the latter approach which is
usually simpler.
8.2.1 Modeling Path Loss and Shadowing
Modeling the path loss usually means adopting a pathloss expression similar to (8.1)
or (8.2). Considering the pathloss model alone, the channel from the transmitter to
the receiver depends only on the distance (for a xed carrier frequency), and all points
on a circle centered at the transmitter will experience the same reception power.
Adding the shadowing eect makes things a bit more realistic and allows equally
distant receivers to experience dierent receive power. The randomness of the environ-
ment is captured by modeling the density of obstacles and their absorption behavior
as random numbers. For instance, The ITU-R augments the path loss model (8.2)
with a log-normal distributed RV for the shadowing. The standard deviation chosen
for the log-normal RV is 10dB.
8.2.2 Modeling Mobile Channels
In many scenarios, each of the K paths is composed of numerous subpaths reected
from scatterers, so the central-limit theorem suggest the process g(t) in (8.17) may
be approximated by Gaussian process. Further assuming that the scatterers are
uniformly distributed leads to the classical U-shaped PSD given in Fig. 8.7. This
PSD, denoted Doppler PSD, is approximated by the Jakes model [8]
3
S(f) =
_
_
1
f
m
1
1
_
f
f
m
_
2
[f[ < f
m
0 otherwise,
(8.18)
Following this approach, we may write the channel corresponding to (8.8) as
h(; t) =
K1
i=0
a
i
(t)(
i
), (8.19)
and assume each of the processes a
i
(t) is a (usually independent) Gaussian random
process with a given PSD (up to scaling that corresponds to dierent per path power
2
i
). This also means that at any time instance t, the channel coecients are inde-
pendent Gaussian with variances
2
i
.
3
Note that constant frequency shift in direction translates to h(; t) =
() exp(2jf
m
t cos ) so the autocorrelation function given is exp(2jf
m
t cos ).
This way the unconditioned autocorrelation leads to a zero order Bessel function of the
form
_
2
0
exp(jxsin)d, with U shaped Fourier transform.
Equipped with the the Gaussian approximation we dene thecoherence bandwidth
B
c
which is a measure for the frequency selectivity of the channel. The coherence
bandwidth is dened as the frequency interval over which the channel magnitude is
highly correlated. A common value of the correlation is 0.5 which gives
B
c
=
1
2
. (8.20)
The fact that B
c
is inversely proportional to the RMS delay spread
4
arises from
Fourier theory. Similarly, the coherence time, T
c
, is dened as the time interval over
which the channel is highly correlated. Setting the correlation to 0.5, gives
T
c
=
9
16f
m
1
5f
m
. (8.21)
Figure 8.7: The classical Doppler PSD
This means that on top of the pathloss and shadowing models, a wireless mobile
channel may be dened with the number of paths K, the paths delays
i
, the paths
average power
2
i
, the paths PSD type (e.g., Jakes), and the maximal Doppler fre-
quency f
m
(implied from the carrier frequency f
c
and the velocity). An example for
4
When dealing with Gaussian channels replace [a
i
[
2
in (8.15) with
2
i
.
a table of parameters dening a benchmark mobile channel, taken from [1] is given
in Fig. 8.8
Figure 8.8: An example for mobile channel parameters [1].
8.3 Simulating Mobile Channels
The simulation of mobile channels consists of the generation of the independent sto-
chastic processes a
i
(t) for the dierent paths. Bearing in mind that each process
is Gaussian with known variance and normalized PSD, the process a
i
(t) may be
generated by passing a complex white Gaussian sequence w
i
(t) through the lter
G(f) =
_
S(f). The output of the lter is a stochastic process with PSD equal
to [G(f)[
2
= S(f). The output of the lter is then multiplied by
i
to adjust the
variance. The procedure of creating the stochastic processes a
i
(t) is depicted in Fig.
8.9.
Figure 8.9: A procedure for creating a dynamic channel.
8.4 Extension to the MIMO Case
8.4.1 The MIMO Channel
When we have multiple antennas, the channel respective to each antenna may dier.
To illustrate this we begin with static scenario with a single Tx antenna and N Rx
antennas. We assume the the Rx antennas form a linear array, which means they are
equally distant with separation d on a straight line. The linear array is shown in Fig.
8.10. In case the transmitter is far, it is safe to assume that the signal reaches all
Rx antennas with an identical angle of arrival , measured from the broadside of the
array. This way, the dierential path length x between two consecutive antennas is
x = d sin , (8.22)
and the received signal at the kth antenna is
y
k
(t) = a
1
exp
_
j
2
kx
_
s
_
t
1
k
x
C
_
. (8.23)
Figure 8.10: Wavefront from a far transmitter approaching a linear Rx array.
Assuming the signal bandwidth is much smaller than the coherence bandwidth in-
duced by the (maximal) dierential delay between the antennas
BW <<
_
(N 1)
d
C
_
1
, (8.24)
we neglect the dierential delay k
x
C
, so for the common choice, d = /2, we have
y
k
(t) = a
1
exp (jk sin ) s(t
1
), (8.25)
which corresponds to the frequency domain channel
H
k
(f) = a
1
exp (jk sin ) exp (j2f
1
) , (8.26)
so all channels have identical gain
[H
k
(f)[ = [a
1
[ [exp (jk sin ) exp (j2f
1
)[ = [a
1
[. (8.27)
There is no diversity in LOS.
In multipath we have superposition of multiple paths with dierent angles of
arrival
i
, and possibly dierent delays
i
. The received signal at the kth antenna
is then
y
k
(t) =
i
a
i
exp (jk sin
i
) s(t
i
), (8.28)
which corresponds to the frequency domain channel
H
k
(f) =
i
a
i
exp (jk sin
i
) exp (j2f
i
) . (8.29)
Note that here even if the paths dier only in angle (same gain and same delay)
H
k
(f) = a
1
exp (j2f
1
)
i
exp (jk sin
i
) , (8.30)
the channels magnitude may be totally dierent
[H
k
(f)[ = [a
1
[
i
exp (jk sin
i
)
. (8.31)
This implies that multipath creates spatial diversity. This gives rise to stochastic
modeling of the MIMO channel which includes spatial correlation that depends on
the geometry of the array and the multipath characteristics. Obviously, we can con-
sider the more involved case of MIMO channel with mobility (Doppler). In this case
each path is associated with a dierent frequency shift (which is common to all Rx
antennas).
8.4.2 Modeling MIMO Channels
In MIMO there are MN physical channels. If these channels are independent, then
each of them may be viewed as a SISO channel depicted in the previous section.
Moreover, it is usually assumed that the channels are identically distributed, so the
procedure in Fig. 8.9 should simply be performed for each channel independently.
However, in many cases, MIMO channels are assumed identically distributed but
correlated.
We begin by stating that the cross correlation between MN channels is dened
by an MN MN matrix R. This way it is possible to dene dierent correlation
values between dierent pairs of channels. Another common extension of this idea
is assigning a dierent correlation matrix to each path. The physical incentive mo-
tivating this approach is that usually the shorter paths, which are near LOS, are
more correlative than longer paths that are assumed to encounter multiple scatterers.
In this approach the MIMO channel is dened with R
0
, . . . , R
K1
, where R
i
is the
MN MN correlation matrix associated with the ith path.
Assuming we have the per path correlation matrices, the question that needs to be
answered is how to create correlated stochastic processes that correspond to the paths
gains. We argue that correlated processes may be created by linear transformation
over independent processes. To illustrate this we assume x is a vector of i.i.d Gaussian
RVs, such that
Exx
= I, (8.32)
Note that the covariance of the product Cx is
E(Cx)(Cx)
= CC
. (8.33)
This means that if we want to create a vector with covariance R we simply need to
nd a matrix C such that CC
= R. The matrix C may be easily found using the

SVD of R, which for symmetric matrices takes the form
R = V DV
=
_
V
D
__
V
D
_
, (8.34)
where
D is the per element square root of D. Thus, it is readily seen that C =

V
D.
8.4.3 Simulating MIMO Channels
The simulation of mobile MIMO channels may be achieved by the generation of MN
SISO channels and the introduction of correlation between their paths processes via
linear manipulations. To set ideas straight, we consider the 2 2 dynamic MIMO
channel
H(; t) =
_
h
0
(, t) h
1
(, t)
h
2
(, t) h
3
(, t)
_
, (8.35)
where each entry is a SISO channel satisfying
h
m
(, t) =
K1
i=0
b
m,i
(t)(
i
), (8.36)
where b
m,i
(t) is the process of the ith path in the mth channel. We focus on
the 4 processes b
0
(t) = [b
0,0
(t), . . . , b
3,0
(t)]
T
corresponding to the rst path. These
processes satisfy
Eb
0
(t)b
0
(t) = R
0
. (8.37)
Thus, the processes are generated by the product
_
_
b
0,0
(t)
b
1,0
(t)
b
2,0
(t)
b
3,0
(t)
_
_
= C
0
_
_
a
0,0
(t)
a
1,0
(t)
a
2,0
(t)
a
3,0
(t)
_
_
(8.38)
where C
0
satises C
0
C
0
= R
0
, and a
0,0
(t), . . . , a
3,0
(t) are the gain processes of the
rst path generated by the 4 independent SISO channel generators depicted in Fig.
8.9.
65
Chapter 9
OFDM Basics
9.1 The Basic Concept
In the previous chapter we discussed wireless channels that are selective both in
frequency and time. In this chapter we present orthogonal frequency division multi-
plexing (OFDM) which is a technology devised to mitigate such channels. OFDM is a
multi-carrier technique, in which a single high data rate stream is transmitted across
a large number of lower data rate subcarriers. One of the main reasons to use OFDM
is its ability to eectively deal with frequency selective channels or a narrow-band
interference.
Classical multi-carrier techniques divide the available bandwidth into a set of
non-overlapping, equally spaced subcarriers, onto which the modulated data is then
multiplexed. The spacing between subcarriers would be chosen so as to eliminate
the inter-channel interference; guard bands between subcarriers could be used as
an example. These techniques, however, do not use the available bandwidth very
eciently. A more ecient technique would create an overlap between the used
subcarriers without increasing the inter-channel interference, which implies creating
orthogonality between the subcarriers.
Let us design such an orthogonal multi-carrier technique. We begin by choosing
9. OFDM Basics 66
Figure 9.1: The pulse and the frequency shifted pulse in the frequency
domain.
a rectangular pulse g(t) that is time-limited to the interval [0, T]
g(t) =
_
1 0 t T
0 otherwise,
(9.1)
with frequency response G(f). Obviously G(f) will take the form of a sinc() function
with the rst null at 1/T as depicted in Fig. 9.1. We can devise a simple single carrier
transmission scheme using the base band signal
s(t) =
m
a
m
g(t mT), (9.2)
where a
m
is a series of information bearing QAM symbols. Thus, for T = 100s and
QPSK modulation, we transmit 2 10, 000 bits per second. We note that if we have
a second carrier that has a frequency exactly f
k
= k/T higher than the rst, and
modulate it with the same symbol rate, it turns out that both signals are orthogonal,
as depicted in Fig. 9.1. To illustrate this we shift the frequency response G(f) by
k/T
G
k
(f) = G(f k/T), (9.3)
9. OFDM Basics 67
which implies that in the time domain pulse g
k
(t) satises
g
k
(t) = exp
_
j
2kt
T
_
g(t). (9.4)
This means that g
k
(t) has the same support as g(t), and they are orthogonal as given
by
_
T
0
g(t)g
k
(t) dt =
_
T
0
g(t)g
(t) exp
_
j
2kt
T
_
dt
=
_
T
0
exp
_
j
2kt
T
_
dt = 0. (9.5)
The orthogonality in the frequency domain is evident about the peaks of the sinc()
functions. Using this approach we can simultaneously transmit over N carriers spaced
exactly 1/T away from each other and achieve very high spectral eciency. The
problem with the simple-minded approach is that it takes lots of local oscillators,
each locked to the others, such that frequencies at exact multiples are attained. This
dicult and expensive scheme is given in Fig. 9.2.
Figure 9.2: Simple multicarrier scheme.
The above mentioned multicarrier approach may be realized eciently by means
of digital signal processing (DSP). Concentrating on the rst symbol in the interval
9. OFDM Basics 68
[0, T], time domain multicarrier symbol takes the form
s(t) =
N1
k=0
a
k
g
k
(t)
=
N1
k=0
a
k
exp
_
j
2kt
T
_
g(t)
=
N1
k=0
a
k
exp
_
j
2kt
T
_
, (9.6)
where a
k
is the QAM symbol to be sent on the kth subcarrier. We further note
that sampling s(t) with period T/N leads to
s
n
= s
_
n
T
N
_
=
N1
k=0
a
k
exp
_
j
2kn
N
_
, (9.7)
which is simply the inverse fast Fourier transform (IFFT) of the sequence a
k
, k =
0, . . . , N 1. OFDM takes exactly this approach. In OFDM, N QAM symbols
are transmitted simultaneously over N subcarriers in an orthogonal manner. The
transmitted OFDM symbol in the time domain is constructed by applying IFFT to
the sequence of QAM symbols followed by digital to analog converter (DAC). At the
receiver, the received signal in the time domain is sampled, and divided into blocks
of length N, such that each block corresponds to a single OFDM symbol. Then the
samples undergo an FFT operation. The structure of the transmitter and receiver is
given in Fig. 9.3. A two dimensional plot of the OFDM signal is given in Fig. 9.4. The
gure shows that all subcarriers are orthogonal. Although there is an overlap between
subcarriers, when the sampling point is chosen to be the peak of each subcarrier, then
all other subcarriers give no contribution at that point.
The special structure of the OFDM symbol in the frequency domain, transforms
the frequency selective channel into multiple at fading channels. This is since in
principle, the transmitted signal S(f) in the frequency domain, is multiplied with the
9. OFDM Basics 69
Figure 9.3: Simplied OFDM transceiver structure.
channel H(f)
1
so the received signal Y (f) satises
Y (f) = S(f)H(f). (9.8)
In particular, at the subcarrier frequencies f = k
1
T
= kf
sc
, the received signal
b
k
= Y (kf
sc
) is
b
k
= S(kf
sc
)H(kf
sc
)
= a
k
H(kf
sc
). (9.9)
Thus, it is evident that every QAM symbol a
k
is multiplied with a complex valued
number H(kf
sc
), which is the frequency response of the channel at the frequency
of the subcarrier on which a
k
is modulated. This means that on a subcarrier level,
OFDM may be viewed as a at fading system and the analysis of Chapter 1 is valid.
1
We will address this issue in more detail in Section 9.3
9. OFDM Basics 70
Figure 9.4: Two dimensional plot of the OFDM signal.
9.2 Pilots and Channel Estimation
As a result of the last section, equalization in OFDM is rather easy. The equalizer
only has to compensate for a simple constant complex number. Some of the used
subcarriers could be used for transmitting known pilots, which will be used for chan-
nel estimation. The estimated channel, in turn, is used as the equalizer gain and
phase values. Fig. 9.5 shows an OFDM symbol in the frequency domain, which
has undergone frequency selective fading. It is easy to see that using only few pi-
lots, spread across the frequency axis, the entire frequency selective channel could be
approximated (using linear interpolation, for example).
The pilots are spread in a two-dimensional array, both along the frequency and
time axes. The density of pilots in each dimension should be set so as to be able
to track the channel changes. Specically, when the delay spread of the channel
is large, implying small coherence bandwidth, the number of the pilots along the
frequency axis should be high enough to track the channel. In a similar way, when
9. OFDM Basics 71
Figure 9.5: An OFDM symbol in the frequency domain, aected by a selec-
tive fading channel.
the coherence time is small, denser pilots in the time domain are needed. An example
of two dimensional pilots grid, with 3 subcarriers separation along the frequency axis
and 4 symbols separation along the time axis is given in Fig. 9.6.
9.3 Guards in Time and Frequency
In OFDM there are two guards - the guard band (GB) and the guard interval (GI).
The GBs are two frequency bands at the left most and right most parts of the occupied
bandwidth. In these bands the subcarriers are set to zero, in order to ensure that the
out-of-band emission is small enough to prevent interference to neighboring frequency
bands. The GBs force the sinc() functions to decay to such an extent that the out-
of-band emission requirements (usually about -40dB) are met. The size of the bands
is usually 10% of the subcarriers on each side. An OFDM symbol endowed with GBs
is given in Fig. 9.7.
9. OFDM Basics 72
Figure 9.6: An example of a two dimensional pilots grid.
The GI is a temporal guard that is applied to eliminate inter symbol interference
(ISI). When an OFDM symbol with duration T propagates through a multipath
channel with maximal delay spread of
max
, the duration of the symbol at the output
of the channel is increased to T +
max
(a basic property of convolution). Thus, if this
eect is not accounted for, the symbols at the output of the channel overlap and ISI is
introduced. At rst glance, it seems that a trivial solution to this problem would be
the insertion of a quiet GI (in which no transmission is made) between consecutive
symbols. As long as the length of the GI is larger than the maximal delay spread, no
ISI is introduced.
In OFDM, instead of inserting a quiet GI, the GI contains a cyclic extension
of the OFDM symbol, also known as cyclic prex (CP). This means that if the GIs
duration is 1/8 of the symbol duration, then the last 1/8 portion of the symbol is
copied into the GI. At the receiver, the GI is removed prior to the FFT operation.
The process of GI insertion and removal is depicted in Fig. 9.8, and the correspond-
ing transceiver structure is given in 9.9. The CP ensures that the OFDM symbol is
9. OFDM Basics 73
Figure 9.7: An OFDM symbol with guard bands.
cyclicly convolved with the impulse response of the channel, maintaining orthogonal-
ity between subcarriers and making sure that for suciently long CP (longer than
the delay spread of the channel) Eq. (9.9) holds.
9.4 The Eects of Time and Frequency Osets
The eect of uncompensated frequency oset in an OFDM receiver is simple and
dramatic. As noted above, the orthogonality of the OFDM subcarriers relies on ac-
curately sampling the frequency domain exactly at the subcarriers frequencies. Thus,
since frequency oset f actually means that the reference points in the frequency
domain are shifted, the receiver samples the frequency domain away from the optimal
sampling points. The shifted sampling points are kf
sc
+f, so the orthogonality of
the subcarriers is compromised. Usually, the receiver would tolerate frequency oset
of no more than a few percents of the subcarrier spacing f
sc
.
The CP converts timing osets, due to synchronization errors, to cyclic shifts of
the symbol in the time domain (actually, this is true only in one direction). Thus,
9. OFDM Basics 74
Figure 9.8: The GI insertion and removal process.
after the FFT operation at the receiver, this shift is transformed into the introduction
of linear phase in the frequency domain. Specically, an oset of n samples in the
time domain, turns the original symbol b
k
in the frequency domain into
b
k
= b
k
exp(j
2nk
N
). (9.10)
Note that using the expression for b
k
(9.9), Eq. (9.10) may be rewritten as
b
k
= a
k
H(kf
sc
) exp(j
2nk
N
)
. .
Heq(kfsc)
, (9.11)
where H
eq
(kf
sc
) is the equivalent channel including the eect of the temporal oset.
Thus, for small enough values of n, temporal shift is transparent to the receiver,
the equivalent channel is estimated at the receiver and compensated for.
9. OFDM Basics 75
Figure 9.9: Transceiver structure with CP insertion and removal.
9.5 The OFDM Parameters Tradeo
We review here some of the primitive OFDM parameters and discuss the related
tradeos. We begin with noting that the sampling frequency f
s
in OFDM is N/T =
Nf
sc
which is approximately the occupied bandwidth (including GBs). Assuming
we set the GI duration xed in terms of the OFDM symbol duration (say 10%), the
question that remains to be answered concerns the number of subcarriers to be used
(the length of the FFT).
The answer to this question reveals the following interesting tradeo. The larger
the value of N (more subcarriers, smaller subcarrier spacing), the larger the duration
of the symbol T = N/f
s
. This means that the GI is longer and the transmission can
mitigate larger delay spreads without ISI. However, this also means that the trans-
mission is more sensitive to frequency shifts, since the subcarrier spacing is smaller.
9. OFDM Basics 76
We further note that the throughput is independent of N. Thus, in actual systems,
the number of subcarriers is determined according to the deployment scenario, taking
both the expected delay spread and frequency shift into account.
9.6 The PAPR Problem
Being a multi-carrier technique, OFDM suers from high peak to average power ratio
(PAPR). The use of a large number of subcarriers creates a highly varying envelope,
and high temporal peaks, due to occasional constructive combining of subcarriers.
Thus, OFDM imposes some dicult requirements on the front end power amplier
(PA), in terms of linearity over a large range. An example of a time domain OFDM
symbol is given in Fig. 9.10. Note the large temporal peak about the sample number
250.
Figure 9.10: An example of a time domain OFDM symbol.
9. OFDM Basics 77
When the temporal peaks exceed the linearity range of the PA, loss of orthogonal-
ity of the subcarriers is introduced, leading to the degradation of bit error rate (BER).
Another eect of the nonlinear amplier is the spectral spreading and out-of-band
interference, aecting adjacent frequency bands. High power eciency is of utmost
importance in mobile radios; however, operating near the saturation point of the PA
will result in the unwanted nonlinear interference and may outweigh the advantages
of the OFDM system. Thus, PAPR reduction is an important issue in OFDM system,
especially on the UT side, where the PA is to remain low in cost. A good survey of
prominent PAPR reduction techniques is given in [20].
78
Chapter 10
OFDMA and SC-FDMA
In the previous chapter we discussed OFDM technology. In this chapter we con-
sider a generalization of OFDM known as orthogonal frequency division multiple
access (OFDMA). We then discuss single carrier frequency division multiplexing (SC-
FDMA) which is a variant of OFDMA adopted for the LTE uplink.
10.1 From OFDM to OFDMA
In most modern communications systems, the link between the BS and the UTs
is bidirectional. The BS transmission towards the UTs is dubbed downlink (DL),
and the UT transmission towards the BS is dubbed uplink (UL). The DL and UL
transmissions must be separated in some domain. In time division duplex (TDD)
the DL and UL are transmitted in the same frequency band, but at dierent time
instances. In frequency division duplex (FDD) the DL and UL are transmitted in
disjoint frequency band.
In TDD OFDM, transmission is often done in sets of symbols known as frames.
The frame is composed of DL symbols (DL subframe) followed by UL symbols (UL
subframe). Each DL symbol may address multiple UTs (in a broadcast fashion), and
each UL symbol is transmitted by a single UT. An example for a TDD OFDM frame
10. OFDMA and SC-FDMA 79
structure is given in Fig. 10.1.
Figure 10.1: TDD OFDM frame structure. In the DL each colored column
represents an OFDM symbol. In the UL each colored column represents an
OFDM symbol transmitted by a dierent UT.
OFDMA may be viewed as a generalization of OFDM, in the sense that in the DL
and UL, allocations are not made of entire symbols. In OFDMA, the allocations are
rectangular in time and frequency. On top of the fact that this approach allows more
exibility in the process of allocating resources to dierent UTs (known as schedul-
ing), OFDMA holds another prominent advantage for distant UTs. In OFDMA,
distant UTs that need more power to arrive at the BS with sucient signal to noise
ratio (SNR), may transmit via allocations that use a small number of subcarriers
spread over a large number of symbols. This way the distant user concentrates all its
energy on a small frequency band, and the BS receives the users transmission with
signicantly enhanced SNR. We emphasize the signicance of this result by the fol-
lowing example. Considering an OFDMA system with FFT size of 1024, and minimal
allocation size of 4 subcarriers (in the frequency domain), the SNR gain following the
OFDMA approach is up to 10 log
10
(1024/4) 24dB! An example for an OFDMA
frame structure with an allocation of a distant UT is given in Fig. 10.2.
1
Figure 10.2: TDD OFDMA frame structure.
10.2 SC-FDMA as a Variant of OFDMA
While the 802.16e adopted OFDMA as its transmission methods for both DL and UL,
the LTE chose SC-FDMA, a variant of OFDMA for the UL. In SC-FDMA, at each
OFDM symbol the N active subcarriers (containing N QAM constellation points)
undergo an N < M point DFT operation prior to the regular M point IFFT of
OFDM. The DFT operation may be viewed as precoding. The transceiver structure
in SC-FDMA is given in Fig. 10.3. Note that besides the short DFT operation at
the transmitter and the dual short IDFT at the receiver, the transceiver remains the
same (IFFT, CP, FFT etc).
In case the N active subcarriers are consecutive at some frequency band (localized
mode), the concatenation of the shorter DFT and IFFT results in interpolation, so
1
Note that in some of the IEEE802.16e transmission schemes, the subcarriers are per-
mutated in a pseudo-random fashion to obtain frequency diversity. In these schemes Fig.
10.2 would depict the logical allocations prior to permutation.
Figure 10.3: SC-FDMA transceiver.
the time domain signal at the output of the IFFT block is simply Sinc() interpolation
(of factor M/N) of the QAM symbols as depicted in Fig. 10.4.
Fig. 10.4 explains why this transmission method is called single carrier. Moreover,
the gure hints about the most important advantage of SC-FDMA, which is lower
PAPR. It is intuitive that an interpolation of QAM symbols would result in relatively
low PAPR. In fact SC-FDMA usually exhibits an advantage of 2-4dB over OFDMA
in terms of PAPR. The name includes FDMA since choosing the location of the band
acts as frequency hoping.
The most serious drawback of SC-FDMA lies in the fact the even in the SISO case,
simple linear decoding is not optimal (in fact the scheme depicted in Fig. 10.3 is not
optimal). To illustrate this we consider a certain symbol with N active subcarriers,
so the N 1 vector s is to be transmitted. The N point DFT operation may be
viewed as multiplication with the unitary Fourier matrix F, so the received signal at
the receiver after FFT (before the IDFT) is
y = HFs + n, (10.1)
Figure 10.4: The time domain signal in SC FDMA. The red bins are the
QAM symbols and the blue bins are the IFFT output.
where H is a diagonal matrix with the channel response at the subcarrier frequencies
on its diagonal.
Note that unless H is a scaled identity (implying that the channel response at
all subcarriers is identical, which means very large coherence bandwidth), the matrix
(HF)
HF is not diagonal, so the ZF solution

s = (HF)
1
y = F
(H)
1
y, (10.2)
is not optimal. Observe that the suboptimal ZF solution (10.2) is actually the stan-
dard frequency domain equalization (H
1
is diagonal) followed by the IDFT (repre-
sented by F
).
Another restriction implied by SC-FDMA, is that pilot subcarriers should be
located at special symbols (data and pilot subcarriers cannot be mixed at the same
symbol as in OFDMA). This restriction limits the exibility in the types of allocation
blocks used.
83
Chapter 11
Practical MIMO OFDM
In the previous chapters we considered the OFDM technology with SISO congura-
tion. In this chapter we introduce the fusion of OFDM and MIMO. We note that
the fusion of these two technologies is natural, since MIMO relies on spatial diversity
resulting from multipath and OFDM is devised to handle the multipath scenario.
Moreover, both technologies are aimed at increased spectral eciency. Thus, MIMO
OFDM has become one of the major building blocks for the fourth generation (4G)
broadband wireless access.
11.1 The Fusion of OFDM and MIMO
In Chapter 9 we reached the conclusion that post FFT, the received signal b
k
on the
kth subcarrier (in the SISO case) takes the form
b
k
= H(kf
sc
)a
k
. (11.1)
Extending this understanding to the MIMO case, and introducing additive white
noise, leads to the conclusion that the received signal vector y
k
on the kth subcarrier
11. Practical MIMO OFDM 84
satises
y
k
=
_
_
H
0,0
(kf
sc
) H
0,1
(kf
sc
) . . . H
0,M1
(kf
sc
)
H
1,0
(kf
sc
)
.
.
.
.
.
.
H
N1,0
(kf
sc
) H
N1,M1
(kf
sc
)
_
_
. .
H
k
a
k
+ v
k
, (11.2)
which is the very same model we considered in Part I. This means that all of the MIMO
methods and analysis given in Part I apply to MIMO OFDM on the subcarrier level.
To keep notations simple, we assume hereafter that the mathematical models are on
a subcarrier level and neglect the subscript for the subcarrier number k.
Moreover, since all MIMO methods involve some kind of mathematical manip-
ulation on the channel matrix H (for instance, the computation of H
+
and the
computation of the beamforming vectors), these manipulations may be conducted
once for a set of subcarriers within the coherence bandwidth of the channel. A simi-
lar argument applies to the time domain, so these manipulations may be conducted
once for a set of symbols within the coherence time of the channel.
11.2 Pilots Patterns in MIMO OFDM
The MIMO conguration imposes new restrictions of the manner pilots are transmit-
ted and processed to obtain an adequate channel estimate. These restrictions vary
and generally depend on the MIMO transmission method implemented. We speci-
cally consider the following MIMO modes and their corresponding restrictions on the
pilots pattern.
1 N conguration, MRC at the receiver. Here the pilots pattern is
identical to that in SISO, since each antenna may perform independent
channel estimation.
N M conguration, STC or SM transmission modes. Here the re-
ceiver should estimate the whole N M channel matrix. One of the
most prominent solutions is to create orthogonality between the pilots
transmitted from dierent Tx antennas. A common method is to divide
the pilot subcarriers between Tx antennas, such that when a certain
antenna transmits a pilot, all the other M 1 Tx antennas transmit
nulls. This way, at the transmission of the rst antennas pilot, the
received signal gives
y = H
_
_
1
0
.
.
.
0
_
_
+ v
(11.3)
=
_
_
h
0,0
h
1,0
.
.
.
h
N1,0
_
_
+ v. (11.4)
Thus, following this procedure for all M Tx antennas allows the channel
estimation of the whole matrix H. This concept is depicted in Fig. ??.
N M conguration, eigen beamforming transmission mode. In this
case, the pilots pattern is identical to SISO with the following important
dierence. The received pilots here are aected by the beamformer v
so they may not be used for channel estimation of non beamformed
transmissions (in the vicinity of the beamformed allocation). These
pilots are dubbed dedicated pilots.
NM conguration, closed-loop MIMO transmission mode, with SVD
computation at the receiver. When the receiver is to compute the SVD
of the channel matrix H (see Section 11.3.2), it should be able to
estimate the whole channel matrix. Thus, here the pilots pattern is
similar to STC and SM.
11.3 Obtaining Channel Knowledge at the Trans-
mitter
Some of the more ecient MIMO schemes require channel knowledge at the trans-
mitter. This knowledge in turn allows the employment of beamformed transmission.
Thus, a key issue in OFDM MIMO is the means to acquire that information. In
this regard there are two prominent approaches. The rst is based on the concept of
channel reciprocity, and the other on feedback from the receiver. In this section we
address these methods.
11.3.1 Reciprocity Methods
We begin with the SISO case depicted in Fig. 11.1. The channel H
f
(f; t) is the
forward SISO channel from the BS antenna to the UT antenna, and H
r
(f; t) is the
reverse channel. Here, the channels are time dependent so they are also functions of
time.
The reciprocity principle states that if the time, frequency and antennas for chan-
nel use are the same, then the channels in the forward and reverse links are identical
H
f
(f; t) = H
r
(f; t). (11.5)
Obviously the reciprocity principle may be extended to antenna arrays, where reci-
procity applies to each pair of Tx and Rx antennas. Thus, a simple way to allow
channel knowledge at the transmitter (usually the BS), would be the incorporation
of a special signal transmitted by the UT at the UL, that allows adequate channel
estimation at the BS.
Figure 11.1: The forward and reverse channels.
This signal usually takes a form similar to that of the preamble symbol transmitted
by the BS, and is known as a sounding symbol. The sounding symbol includes
pilot subcarriers spread in frequency over some predened frequency band. The
beamformed transmission is restricted to the same frequency band as well. In many
cases, the BS wishes to transmit beamformed signals to multiple users. Thus, the BS
needs to acquire channel knowledge concerning several users. We note that when the
pilots transmitted by each UT are decimated in the frequency domain (say, each UT
transmits a pilot once every k subcarriers), one sounding symbol may accommodate k
UTs. The transmission of decimated pilots allows the BS to approximate the channel
to each UT by means of interpolation or ltering. A sounding symbol accommodating
several users through decimation is given in Fig. 11.2.
We note here that reciprocity methods usually do not apply to FDD communica-
tions systems, since the DL and UL are transmitted in disjoint frequency bands (in
FDD however, the UL may be used to estimate the direction of arrival). Moreover, in
TDD systems, reciprocity methods set stringent requirements on the coherence time
of the channel. This is due to the fact that the UL and DL are separated in time,
so the channel may change between the instance of sounding transmission and the
beamformed DL. Thus, reciprocity methods are usually applicable in slowly varying
channels where the coherence time of the channel is large enough.
Figure 11.2: A sounding symbol accommodating several users through dec-
imation.
11.3.2 Feedback Methods
Another method, devised to obtain channel knowledge at the transmitter, is based on
channel information feedback from the UT. In this approach, the receiver estimates
the channel (as in the usual way), and feedbacks information regarding the channel.
The feedback (in bits) usually consists of some quantized version of the estimated
channel matrix or some other matrix derived from it.
Following this idea, in CL-MIMO the UT may feedback a quantized version of the
estimated channel matrix, or a quantized version of the right-hand unitary matrix
V in the SVD of the channel matrix H, followed by the quantized singular values.
Obviously a feedback of V is more ecient than the feedback of H, due to the fact
that V may be a smaller matrix than H, and the fact that V is a unitary matrix
with less degrees of freedom. To illustrate this idea we recall that a 2 2 real valued
unitary matrix V may be written as
V =
_
cos sin
sin cos
_
, (11.6)
so V is dened by one real number , rather than the four real numbers needed to
dene a general real valued 2 2 matrix.
In the 802.16e and LTE standards, the quantization of V is done by selecting
the most suitable unitary matrix out of predened codebook. The codebook usually
retains 8-64 unitary matrices. Thus, a feedback of 36 bits denes the unitary matrix
selected out of the codebook. An example of a 802.16e codebook for the 2 2 case
is given in Fig. 11.3. Moreover, the UT may feedback only one singular vector to
accommodate single stream Tx beamforming [10, 14, 26].
An important dierence between reciprocity and feedback methods lies in the fact
that feedback methods also apply to FDD systems. The methods are similar in the
sense that they both set similar requirements on the coherence time of the channel.
Thus, similarly, feedback methods are applicable in slowly varying channels.
Figure 11.3: An example of a 802.16e codebook for the 2 2 case.
11.4 Future Directions in MIMO-OFDM
MIMO-OFDM technology has advanced considerably in current communications stan-
dards (WiMAX, WiFi, etc.), and is considered the bridge to fourth generation (4G)
broadband wireless access (BWA). However, in order to achieve the stringent require-
ments of 4G BWA, in terms of spectral eciency, power consumption and cost (this
list is not exhaustive), MIMO-OFDM is to further evolve.
Some future directions in MIMO-OFDM reected in standards that are in process
of consolidation (IEEE802.16m, LTE) are given below.
Larger number of antennas (mostly on the BS side). More antennas
imply more hardware and more complex algorithms. Thus, the employ-
ment of large number of antennas is contingent on the development of
eective hardware and algorithms to accommodate it. An example for
that is low complexity SM decoding algorithms for large number of Tx
antennas.
Combined diversity-multiplexing methods. In particular, low complex-
ity open-loop methods with high diversity and multiplexing gains.
Smart mode selection methods that allow selection of the optimal MIMO
scheme based on the channel conditions.
Fast feedback channels (to accommodate higher mobility implying shorter
coherence time) and low capacity feedback methods.
Low complexity SDMA algorithms with emphasis on user selection.
There is still much work to be done...
91
Bibliography
[1] Recommendation ITU-R M.1225: Guidelines for Evaluation of Radio
Transmission Technologies for IMT-2000, ITU, 1997.
[2] Alamouti, S. A simple transmit diversity technique for wireless commu-
nications. IEEE J. Sel. Areas Comm., 16(8):14511458, 1998.
[3] Andersen, J. B. Array gain and capacity for known random channels
with multiple element arrays at both ends. IEEE Joural. Select. Areas
in Comm., 18(11):21722178, 2000.
[4] Bolcskei, H., and Paulraj, A.J. Performance of space-time codes in
the presence of spatial fading correlation . In Signals, Systems and
Computers, 2000, volume 1, pages 687693. IEEE, 2000.
[5] Fincke, U., and Pohst, M. Improved methods for calculating vectors of
short length in lattice, including complexity analysis. Mathematics of
Computation, 44:463471, 1985.
[6] Gor, B., Heath, R., and Paulraj, A. On performance of zero forcing
receriver in presence of transmit correlation. Proc. IEEE ISIT, page
159, 2002.
Bibliography 92
[7] Hemanth, S., Stoica, P., and Paulraj, A. Generalized linear precoder and
decoder design for MIMO Channels using the weighted MMSE criterion.
IEEE Trans. Comm., 49(12):21982206, 2001.
[8] Jakes, W. Microwave Mobile Communications. Wiley, 1974.
[9] Lo, T. Maximal ratio transmission. IEEE Trans. Comm., 47(10):1458
1461, 1999.
[10] Love, D. G., and Heath, R. W. Jr. Grassmannian beamforming for
multiple-input multiple-output wireless systems. IEEE Trans. Info. The-
ory, 49(10):27352747, 2003.
[11] Loyka, S., and Gagnon, F. Performance analysis of the V-BLAST
algorithm: an analytical approach. IEEE Trans. Wireless Comm.,
3(4):13261337, 2004.
[12] Muquet, B., Biglieri, E., and Sari, H. MIMO link adaptation in mobile
WiMAX systems. In Wireless Communications and Networking Con-
ference, pages 18101813. IEEE, 2007.
[13] Paulraj, A., Nabar, R., and Gore, D. Introduction to Space-Time Wire-
less Communications. Cambridge, 2003.
[14] Pengfei, X. and Giannakis, G.B. Design and analysis of transmit-
beamforming based on limited-rate feedback. IEEE Trans. Signal Proc.,
54:1853 1863, 2006.
[15] Poor, V. and Wornell, G. Wireless Communications: Signal Processing
Perspectives. Prentice Hall, 1998.
Bibliography 93
[16] Proakis, J. Digital Communications. McGraw-Hill, 1995.
[17] Rao B. D., and Yan, M. Performance of maximal ratio transmission
with two receive antennas. IEEE Trans. Comm., 51(6):894895, 2003.
[18] Serbetli, S., and Yener, A. Transceiver optimization for multiuser MIMO
systems. IEEE Trans. Sig. Proc., 52(1):214226, 2004.
[19] Spencer, Q. H., Swindlehurst, A. L., and Haardt, M. Zero-forcing
methods for downlink spatial multiplexing in multiuser MIMO chan-
nels. IEEE Trans. Comm., 52(2):461471, 2004.
[20] Van Nee, R. D. J. OFDM for Wireless Multimedia Communications.
Artech House Publishers, 1999.
[21] Wang, Z., and Giannakis, G. B. A simple and general parameteriza-
tion quantifying performance in fading channels. IEEE Trans. Comm.,
51:13891398, 2003.
[22] Winters, J., Salz, J. and Gitlin, R. . The impact of antenna diversity on
the capacity of wireless communications systems. IEEE Trans. Comm,,
42(2):17401751, 1994.
[23] Wolniansky, P.W., Foschini, G.J., Golden, G.D., and Valenzuela, R.A.
V-BLAST: an architecture for realizing very high data rates overthe
rich-scattering wireless channel. In URSI International Symposium on
Signals, Systems, and Electronics, 1998.
[24] Wong, K., Murch, R. D., and Ben Letaief, K. A joint-channel diago-
nalization for multiuser MIMO antenna systems. IEEE Trans. Wireless
Comm., 2(4):773786, 2003.
Bibliography 94
[25] Xia, P., Niu, H., Oh, J., and Ngo, C. Diversity analysis of transmit
beamforming and its application in IEEE 802.11n systems. IEEE Trans.
Vehic. Tech., 57(4):26382642, 2008.
[26] Zhou, S., Wang, Z., and Giannakis, G. Quantifying the power loss when
transmit beamforming relies on nite-rate feedback. IEEE Trans. Info.
Theory, 4(4):19481957, 2005.
[27] Zhuang, X., Vook, F.W., and Thomas, T.A. OFDM multi-antenna
designs with concatenated codes. In Global Telecommunications Con-
ference, pages 666 670. IEEE, 2002.
95
Appendix A
Complex Normal Multivariate
Distribution
We begin with two i.i.d Gaussian variables x and y with zero mean and variance
2
.
The joint pdf of x and y is
p(x, y) = p(x)p(y) =
1
2
2
exp
_
x
2
+y
2
2
2
_
. (A.1)
We dene the complex valued random variable z = x + jy. Note that the moments
of z are
Ez = 0
E
_
[z[
2
_
= 2
2
=
2
z
. (A.2)
The density of z takes the form
p(z) = p(x, y) =
1
2
2
exp
_
x
2
+y
2
2
2
_
=
1
2
z
exp
_
[z[
2
2
z
_
, (A.3)
and z is denoted complex normal circularly symmetric distributed with mean 0 and
variance
2
z
.
In general, while the pdf of an N 1 real valued Gaussian vector x with mean
and covariance matrix = E
_
(x )(x )
T
_
is
p(x) =
1
(2)
N/2
(det )
1/2
exp
_
1
2
[x ]
T
1
[x ]
_
, (A.4)
A. Complex Normal Multivariate Distribution 96
the pdf of an N 1 complex valued Gaussian vector z with with mean
z
and
covariance matrix
z
= E(z
z
)(z
z
)
is
p(z) =
1
N
det
z
exp
_
[z
z
]
1
z
[z
z
]
_
. (A.5)
Since p(z) is a probability density function, it follows that
_
zC
N
p(z) dz = 1, (A.6)
which leads to the useful equality
1
_
zC
N
exp
_
z
1
z
z
_
dz =

N
det
1
z
. (A.7)
1
We use here the identity det
_
A
1
_
=
1
det A
.
97
Appendix B
Log Likelihood Ratio
In coded system the decoder requires a soft decision metric for each transmitted bit
(in contrast to the hard decision ML estimated symbols or bits). The log likelihood
ratio (LLR) is such a metric.
In the SISO case (see model (1.1)), for each transmitted bit b the receiver computes
the LLR
LLR(b) = log
e
Pr b = 1[y
Pr b = 0[y
. (B.1)
Using Bayes rule and assuming equiprobable symbols, the LLR becomes
log
e
s:b=1
p(y[s)
s:b=0
p(y[s)
= log
e
s:b=1
exp
_
[y hs[
2
2
_
s:b=0
exp
_
[y hs[
2
2
_. (B.2)
Applying the max-log approximation we get
LLR(b) log
e
exp
_
min
s:b=1
[y hs[
2
2
_
exp
_
min
s:b=0
[y hs[
2
2
_
=
1
2
_
min
s:b=1
[y hs[
2
+ min
s:b=0
[y hs[
2
_
=
[h[
2
2
_
min
s:b=1
[ s s[
2
+ min
s:b=0
[ s s[
2
_
, (B.3)
B. Log Likelihood Ratio 98
where s = y/h. Note that the post instantaneous SNR, [h[
2
/
2
, multiplies the ex-
pression involving the Euclidian distances.
Similarly, in the MIMO case (see (5.1)) the LLR of each transmitted bit takes the
form
LLR(b)
1
2
_
min
s:b=1
|y Hs|
2
+ min
s:b=0
|y Hs|
2
_
. (B.4)
99
Appendix C
Derivatives w.r.t a Vector and LS
We begin with some useful rules regarding dierentiation w.r.t a vector (the real-
valued case).
_
a
T
x
_
x
= a
T
. (C.1)
(Ax)
x
= A. (C.2)
_
x
T
Ax
_
x
= x
T
_
A+A
T
_
. (C.3)
The above rules are employed to obtain the solution to the least squares (LS) problem
s = argmin
s
|y Hs|
2
. (C.4)
The LS solution is obtained by dierentiating the functional |y Hs|
2
w.r.t s
(|y Hs|
2
)
s
=
_
[y Hs]
T
[y Hs]
_
s
=
_
y
T
y 2y
T
Hs +s
T
H
T
Hs
_
s
= 2y
T
H + 2s
T
_
H
T
H
_
, (C.5)
C. Derivatives w.r.t a Vector and LS 100
and equating to zero, which gives
y
T
H + s
T
_
H
T
H
_
= 0 s =
_
H
T
H
_
1
H
T
y. (C.6)
Note that the term
_
H
T
H
_
1
H
T
is also known as the pseudo-inverse of H and
denoted H
+
. In the complex-valued case, the derivation is a little dierent, but leads
to the similar result H
+
= (H
H)
1
H
.
101
Appendix D
Some Results For Chapter 4
D.1 Lemma 1
Here we show that
Pr J( s) J(s)[ H, s = Q
_
|H( s s)|
2
_
, (D.1)
where J() is dened in Chapter 5.
We note that the probability on the l.h.s of (D.1) may be written explicitly as
Pr J( s) J(s) 0[ H, s
= Pr
_
|y H s|
2
|y Hs|
2
0
H, s
_
= Pr
_
|Hs + n H s|
2
| n|
2
0
H, s
_
= Pr
_
|H(s s)|
2
+ 2 1[H(s s)]
n 0
H, s
_
. (D.2)
Since conditioned on H and s, J( s) J(s) is a Gaussian RV with
EJ( s) J(s)[H, s = |H( s s)|
2
Var J( s) J(s)[H, s = 2
2
|H( s s)|
2
, (D.3)
and bearing in mind that
1
2
2
_

m
exp
_
x
2
2
2
_
dx = Q
_
m
_
, (D.4)
Equation (D.1) holds.
D. Some Results For Chapter 4 102
D.2 Lemma 2
Here we show that
E
H
_
exp
_
|He|
2
4
2
__
=
1
_
1 +
|e|
2
4M
2
_
N
, (D.5)
where H =
1
M
H
PHY
, and H
PHY
is a standard NM uncorrelated Rayleigh matrix.
We denote W = H
PHY
for convenience.
Using W, the expectation on the l.h.s of (D.5) takes the form
_
exp
_
|We|
2
4M
2
_
p (W) dW. (D.6)
The term We may be rewritten as
We =
M
m=1
w
m
e
m
(D.7)
where w
m
is the m-th column of W, or alternatively as
M
m=1
w
m
e
m
= Aw, (D.8)
where
w
NM1
=
_
_
w
1
.
.
.
w
M
_
_
, and A
NNM
= [e
1
I, . . . , e
M
I] . (D.9)
Using these denitions, (D.6) becomes
_
wC
MN
exp
_
|Aw|
2
4M
2
_
p (w) dw
=
1
MN
_
exp
_
Aw
4M
2
_
exp (w
w) dw
=
1
MN
_
exp
_
w
_
I +
A
A
4M
2
_
w
_
dw. (D.10)
D. Some Results For Chapter 4 103
Using the equality (A.7) and the identity det(I + AB) = det(I + BA) for A
MN
and B
NM
, the expectation (D.10) gives
1
_
det
_
I
N
+
AA
4M
2
__. (D.11)
Since AA
= |e|
2
I
N
, we obtain
1
_
det
_
I
N
+
|e|
2
I
N
4M
2
__ =
1
_
1 +
|e|
2
4M
2
_
N
, (D.12)
so Eq. (D.5) holds.
104
Appendix E
DO and AG in 2 2 ZF
Focusing on s
0
in Eq. (5.21), the error variance given H is
E( s
0
s
0
)
2
=
2
[h
11
[
2
+[h
10
[
2
[h
00
h
11
h
10
h
01
[
2
= 2
2
[w
11
[
2
+[w
10
[
2
[w
00
w
11
w
10
w
01
[
2
(E.1)
where w
ij
are the normalized complex normal RVs, and the factor 2 on the r.h.s is
introduced to account for the 1/
M = 1/
2 scaling to maintain unit Tx power. The

post processing SNR is
ppSNR
0
=
1
2
2
[w
00
w
11
w
10
w
01
[
2
[w
11
[
2
+[w
10
[
2
=
1
2
2
[w
0
w
1
[
2
| w
1
|
2
, (E.2)
where w
0
is the rst column of the normalized channel matrix W and w
1
is the
complex normal vector
w
1
=
_
w
11
w
10
_
, (E.3)
which is independent of w
0
and is statistically identical to the second column of W.
We rewrite the ppSNR (E.2) as
ppSNR
0
=
1
2
2
|w
0
|
2
| w
1
|
2
cos
2
| w
1
|
2
=
|w
0
|
2
cos
2
2
2
, (E.4)
where is the angle between w
0
and w
1
. Note that the post processing SNR is
bounded by |w
0
|
2
/2
2
which is achieved when = 0, which means that the columns
of W are orthogonal (note also that w
1
is orthogonal to the second column of W).
E. DO and AG in 2 2 ZF 105
When dealing with independent complex normal vectors of length N, we know
that the angle between them, , is independent of their norms and its pdf is [11]
p
() = 2(N 1) sin
2N3
cos , 0 /2, (E.5)
which for N = 2 gives
p
() = sin(2), 0 /2. (E.6)

Thus, the ppSNR (E.4) is a scaled product of two independent RVs
ppSNR
0
=
X cos
2
2 2
2
, (E.7)
where X = 2|w
0
|
2
is Chi square distributed with parameter k = 4, satisfying
p
X
(x) =
1
2
k/2
(k/2)
x
k/21
exp(x/2) =
1
4
x exp(x/2), x 0. (E.8)
The pdf of Z = X cos
2
is computed as follows.
Pr Z < z[ = Pr
_
X <
z
cos
2
_
=
_
z/ cos
2
x=0
p
X
(x) dx, (E.9)
for z 0. Averaging w.r.t the pdf of gives
Pr Z < z =
_
/2
=0
p
()d
_
z/ cos
2
x=0
p
X
(x) dx. (E.10)
Dierentiating w.r.t z and applying Leibnizs integral rule we have
p
Z
(z) =
_
/2
=0
p
()d

z
_
z/ cos
2
x=0
p
X
(x) dx
=
_
/2
=0
p
()d
1
cos
2
p
X
_
z
cos
2
_
. (E.11)
Plugging the explicit pdfs of X (E.8) and (E.6), the pdf of Z is recovered as
p
Z
(z) =
1
2
z
_
/2
=0
sin
cos
3
exp
_
z
2 cos
2
_
d
=
1
2
z
exp(z/2)
z
=
1
2
exp(z/2), (E.12)
which means that Z is Chi Square distributed with k = 2, so the post processing
SNR (E.7) is associated with has DO=1 and AG=1/2.
106
Appendix F
The Baseband Channel
In wireless communications, the transmitter modulates two independent waveforms,
on the cosine and sine respectively, such that the transmitted signal takes the form
s(t) =

I(t) cos(2f
c
t)

Q(t) sin(2f
c
t), (F.1)
where f
c
is a high carrier frequency and

I(t) and

Q(t) are denoted the in-phase
and quadrature components respectively (in this appendix

() denotes a real valued
entity).
Note that the transmitted signal s(t) may be rewritten using the baseband complex
valued signal s(t) =

I(t) +j

Q(t) as
s(t) = 1s(t) exp [j2f
c
t] . (F.2)
In the case of perfect line-of-sight (LOS) between the transmitter and receiver, the
noiseless version of the signal arriving at the receiver y(t), is simply a scaled delayed
version of s(t), reading
y(t) = a s(t ), (F.3)
where a is the real attenuation factor and is the delay.
F. The Baseband Channel 107
When multipath is present, the received signal is a superposition of the contribu-
tions of the K dierent paths
y(t) =
K1
i=0
a
i
s(t
i
). (F.4)
Using (F.2) and the fact that a
i
are real valued, the received signal may be rewritten
as
y(t) =
K1
i=0
a
i
1s(t
i
) exp [j2f
c
(t
i
)]
= 1
_
K1
i=0
a
i
exp [j2f
c
(t
i
)] s(t
i
)
_
= 1
_
exp [j2f
c
t]
K1
i=0
a
i
exp [j2f
c
i
] s(t
i
)
_
, (F.5)
which means that the received baseband signal y(t) is
y(t) =
K1
i=0
a
i
exp [j2f
c
i
] s(t
i
)
=
K1
i=0
a
i
s(t
i
), (F.6)
where a
i
= a
i
exp [j2f
c
i
] is the complex valued coecient of the ith path, and
the baseband channel h() takes the form
h() =
K1
i=0
a
i
(
i
). (F.7)
108
Appendix G
The Impact of Correlation on MRC
In order to further illustrate the impact of spatial correlation we consider a 1 N
Rx diversity system where channels are correlated. The system is similar to that
discussed in Section 2, only here the channels are dened with a covariance matrix
Ehh
= C. (G.1)
Regardless to the channel model, in MRC, the error probability conditioned on h is
bounded by
Pr error[h exp
_
|h|
2
2
2
_
. (G.2)
The unconditional error probability is obtained through integration over the joint
probability density of h, so it is bounded by
_
hC
N
exp
_
|h|
2
2
2
_
p(h) dh. (G.3)
Using the joint density of h (See Appendix A), Eq. (G.3) is given by
1
N
det C
_
hC
N
exp
_
|h|
2
2
2
_
exp
_
h
C
1
h
_
dh
=
1
N
det C
_
hC
N
exp
_
h
_
I
2
2
+C
1
_
h
_
dh. (G.4)
G. The Impact of Correlation on MRC 109
Using the equality (A.7), Eq. (G.4) turns to
1
det Cdet
_
I
2
2
+C
1
_ =
1
det
_
C
2
2
+I
_. (G.5)
Sanity check: In the case of uncorrelated components (C = I), the expression (G.5)
coincides with the standard MRC bound (2.11).
We focus on the case of 2 Rx antennas with real valued spatial correlation r. Here
the covariance matrix takes the form
C =
_
1 r
r 1
_
, (G.6)
and bound (G.5) becomes
1
1 +
1
2
+
(1 r
2
)
(2
2
)
2
. (G.7)
This means that for r ,= 1 the DO is 2, and only the AG is inicted by the correlation.
In contrast, in the limit case of full correlation r = 1 the highest power term cancels
out and the DO is 1. The performance of 2 antenna MRC in the case of spatial
correlation (r = 0.8) is given in Fig. G.1.
G. The Impact of Correlation on MRC 110
Figure G.1: Perfomance of 2 antenna MRC with spatial correlation.

MIMO Course301011

Caricato da

Informazioni sul documento

Titolo originale

Copyright

Formati disponibili

Condividi questo documento

Condividi o incorpora il documento

Opzioni di condivisione

Hai trovato utile questo documento?

Questo contenuto è inappropriato?

Copyright:

Formati disponibili

MIMO Course301011

Caricato da

Copyright:

Formati disponibili

Tel Aviv and Ben Gurion Universities

MIMO-OFDM LECTURE NOTES

2 to ensure unit Tx power) as depicted

H)[ s s], (3.8)

. We further note that

H corresponding its the largest eigenvalue (the result holds

H may also be found by the singular value decomposition

. The columns of V are the

H, and the columns of U are

, which has rank 1.

H is a positive denite symmetric matrix, it can be decomposed

H where U is an upper triangular matrix with real diagonal (The

DAis a diagonal matrix. Thus, in this transmission mode ZF is optimal

so we arrive at the signal

log (1 + SNR of stream i)

which is the RMS value of the delay of reections,

= R. The matrix C may be easily found using the

D is the per element square root of D. Thus, it is readily seen that C =

HF is not diagonal, so the ZF solution

2 scaling to maintain unit Tx power. The

() = sin(2), 0 /2. (E.6)

Potrebbero piacerti anche