IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO.
8, AUGUST 2004
Compact Wide-Band Multimode Antennas for
MIMO and Diversity
Christian Waldschmidt, Student Member, IEEE, and Werner Wiesbeck, Fellow, IEEE
AbstractThis paper presents broadband multimode antennas
for multiple-input multiple-output (MIMO) and diversity applica-
tions. The antenna system is not based on spatial diversity, as usual
MIMO systems, but on a combination of pattern and polarization
diversity. Different modes of self-complementary, thus extremely
broadband, spiral and sinuous antennas are used to decorrelate
the signals. It is shown that only one antenna is necessary to re-
ceive three uncorrelated signals, thus the space required to place
the MIMO antenna is very small. Simulation results and measure-
ments of a typical indoor scenario are given.
Index TermsMultimode diversity, multiple-input multiple-
output (MIMO), sinuous antenna, spiral antenna.
I. INTRODUCTION
F UTURE communication systems have to fulfill the require-
ments of high data rates and flexible interfaces for dif-
ferent communication system standards. Multistandard radios,
offering the demanded flexibility to use different standards, re-
quire very broadband antennas. multiple-input multiple-output
(MIMO) and diversity systems allow exploitation of the spatial
channel properties. If the signals received by different antennas
are uncorrelated, very high data rates may be reached as recent
studies have shown, first in [1] and later in [2], [3]. Usually un-
correlated signals are obtained by spatial diversity, which re-
quires large antenna spacings.
This paper presents new broadband antenna solutions, that
are small enough to fit into laptops or organizers, but that still
yield uncorrelated signals for MIMO or diversity applications.
The compactness of the broadband MIMO antenna system is not
achieved by using different antennas, but by one antenna with
different, independently fed, modes. This results in multimode
diversity, a combination of pattern- and polarization diversity to
obtain uncorrelated channel impulse responses for the MIMO or
diversity system. As far as the authors are aware multimode di-
versity has first been suggested in [4], where orthogonal azimuth
patterns were used. In [5] a multimode patch antenna with dif-
ferent modes for diversity was presented. Multimode diversity
for MIMO has been suggested in [6], but this paper presents
a new and practical antenna concept, based on spiral and sin-
uous antennas. In [7] the ability of logarithmic spiral antennas
to radiate in different polarizations is discussed and a possible
application for diversity is mentioned, but not explicated.
Besides uncorrelated signals at the antennas, which are ob-
tained by orthogonal patterns the mean signal to noise ratio
Manuscript received February 4, 2003; revised August 25, 2003.
The authors are with the Institut fr Hchstfrequenztechnik und Elektronik
(IHE), Universitt Karlsruhe (TH), Karlsruhe D-76128 Germany (e-mail: Chris-
tian.Waldschmidt@ihe.uka.de).
Digital Object Identifier 10.1109/TAP.2004.832495
0018-926X/04$20.00 2004 IEEE
1963
Fig. 1. Geometry of a spiral antenna with voltage sources between the single
arms of the spiral.
(SNR) of all the signals has to be similar, see [8], to obtain
a diversity gain or capable MIMO systems. Similar in this
context means, e.g., less than 10 dB difference for two branch
maximum ratio combining, [8]. In this paper it is shown, that
the mean effective gain (MEG), which is linked to the SNR, of
the single modes differs by only 1 to 2 dB, thus a high diver-
sity gain is obtained. For MIMO the total received power or the
mean SNR respectively is an important quality measure for an
antenna array. By a comparison with a dipole array with large
antenna spacings, which is generally considered as a capable
array for MIMO, the ability of multimode antennas for MIMO
is shown.
This paper is organized as follows. In the first section
four-arm spiral and sinuous antennas and the different exci-
tations for the modes are presented. Second, the correlation
properties of signals received by different modes of the antenna
and the mean effective gains are given as a function of the
incident field and its spatial distribution. In the last section
MIMO capacity calculations and measurements with spiral
antennas are given.
II. SPIRAL AND SINUOUS ANTENNAS
The self-complementary, archimedian, four-arm spiral an-
tenna and sinuous antennas are well described in the literature,
see, e.g., [9][11], thus only the properties crucial for multi-
mode diversity are given here. The spiral antenna consists of
four arms, that are rotated around the center of the antenna,
see Fig. 1. The antenna can basically radiate three different
modes depending on the excitation. For this application mode
1 and mode 2 are used. Mode 1 is characterized by a phase
shift of 90 between adjacent sources at the single arms of the
spiral, see Fig. 1. Mode 2 has a phase shift of 180 . Both modes
are circularly polarized in the direction of the main radiation
1964 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004
Fig. 2. Geometry of a four-arm sinuous antenna.  describes the lengths of
the teeth and is therefore a determining antenna parameter.
Fig. 3. Pattern of mode 1 of the spiral antenna with a radius of 10 cm at 2 GHz
separated into left (lhc) and right hand circular (rhc) polarization. If the spiral is
fed at the outer end of the arms, the polarization is orthogonal to the one obtained
by exciting at the center of the spiral.
and elliptically polarized otherwise. Due to the self-comple-
mentarily the antennas are frequency-independent or, in other
words, extremely broadband. Since the geometrical structure
of the spiral antenna is finite, there exists a lower frequency
bound. This bound is
(1)
where is the speed of light, the outer radius of the spiral
and the effective substrate permittivity. has to be de-
termined by simulations of the spiral antenna or experimentally.
According to experience, is close to one for etched spirals,
also for a high of the substrate. For all simulations presented
in this paper the antennas were simulated with FEKO [12], a
standard software tool based on method of moments. Equation
(1) is explicable by the current distribution within the active
zones of the single modes [10]. The active zone is a circular area
located around the center of the antenna. The energy is radiated
from the antenna in the active zone. This zone is characterized
by a certain ratio of its circumference to the wavelength. For
Fig. 4. Pattern of mode 2 of the spiral antenna with a radius of 10 cm at 2 GHz.
The pattern hardly changes versus frequency for frequencies above 1.2 GHz.
Fig. 5. Phase of the pattern of mode 1 and mode 2, shown in Figs. 3 and 4.
The phase of mode 1 changes 360 per circulation around the antenna, mode 2
changes 720 .
mode 1 the circumference is one wavelength, for mode 2 it is
two wavelengths. Thus, the current distribution on the arms of
the spiral in the active zone has two maxima for mode 1 and
four for mode 2. Above this lower frequency bound all antenna
properties are almost stable and change only slightly with fre-
quency. The pattern in elevation of mode 1 and 2 are given
in Fig. 3 and Fig. 4. The azimuth patterns are omnidirec-
tional. The phase of the complex radiation pattern, which among
other parameters determines the correlation among the receive
signals, is shown in Fig. 5. The phase of mode 1 changes 360
and the one of mode 2 720 for each circulation around the an-
tenna, which is explicable by the current distribution within the
active zones. The modes can be excited in two ways: first by
feeding the spiral arms at the inner ends that is at the center
of the spiral and second at the outer ends of the arms. Those
modes are orthogonally polarized left-hand circular (lhc) and
right-hand circular (rhc). The third mode of the spiral antenna
(270 phase shift between adjacent arms at the excitation) has
a pattern, whose amplitude is equal to mode 1, but the polar-
ization changes from lhc to rhc. Thu,s mode 1 and mode 3 are
orthogonally polarized. The unwrapped phase of the pattern of
mode 3 changes 1080 per circulation around the antenna.
WALDSCHMIDT AND WIESBECK: COMPACT WIDE-BAND MULTIMODE ANTENNAS FOR MIMO AND DIVERSITY
Fig. 6. Pattern of mode 2 of the sinuous antenna with a radius of 10 cm at
2 GHz. The pattern hardly changes versus frequency for frequencies above
1.7 GHz.
Fig. 7. Pattern of mode 1 of the sinuous antenna with a radius of 10 cm at
2 GHz.  is 50 . Mode 3 is orthogonally polarized, but has the same pattern.
The geometry of a four-arm sinuous antenna is given in Fig. 2
and described in detail in [11]. The antenna is self-complemen-
tary and used as a multimode antenna. The modes are excited the
same way as for the spiral antenna. The lower frequency bounds
of the modes are a function of different geometry parameters,
thus are not as easy accessible as for the spiral. In general the
lower frequency bounds are higher than the ones for the spiral
antenna for a given outer radius of the antennas. They decrease
with increasing (for see Fig. 2), since the antenna resembles
in sections a spiral antenna for large . The patterns of mode
1 and 2 are given in Figs. 6 and 7. The shapes of the patterns
change only slightly with frequency or , but the polarization
changes. The pattern is alternately left and right hand ellipti-
cally polarized versus frequency, see Fig. 8. The axial ratio of
the sinuous antenna depends on . For large the antenna acts
in sections like a spiral, thus the axial ratio is almost 0 dB. For
small the antenna is rather linearly polarized. Both modes may
be excited at the center or at the outer ends of the arms, but in
contrast to the spiral antenna, orthogonal polarizations are only
obtained for large ( , spiral-like behavior). The shape
1965
Fig. 8. Gain of the rhc and lhc polarized field of the sinuous antenna with
 = 50 and an outer radius of 0.1 m.
of the pattern of mode 3 is equivalent to mode 1, but both modes
are orthogonally polarized.
III. MULTIMODE-DIVERSITY
MIMO transmission channels are characterized by the
channel matrix , which contains the channel impulse re-
sponses or the channel coefficient in the flat fading case
between the different sets of transmit and receive antenna
ports. For broadband systems the spectrum can be divided into
narrowband sections with flat fading. The diversity gain or
MIMO capacity depends on the correlation coefficients among
those channel coefficients of , see [3], and the SNR. The
correlation is influenced by the statistical properties of the
wave propagation and the antenna properties, in this case the
properties of the single modes. In the following the correlation
coefficient among two receive signals as a function of the
incident field is calculated. This is equivalent to the correlation
among the channel coefficients of for one transmit and two
receive antennas in a MIMO system.
The spatial wave propagation properties are describable by
the power azimuth and elevation profile and
for both polarizations and . To allow for analytical calcula-
tions typical statistical functions to model the wave propagation
are chosen. Measurements have shown, that the power azimuth
spectrum is best modeled by a Laplacian function [13]
for both polarizations. For the power elevation profile a
Gaussian function is assumed. The total power angle spectrum is
given by the product of the Laplacian function for the azimuth
and a Gaussian function for the elevation, normalized so that
. With [14] (earlier shown in [8] in a
similar way) it can easily be shown that the complex correlation
coefficient among two signals received by different antennas, in
this case different modes, is given by
(2)
1966
Fig. 9. Correlation coefficient among mode 1 (a) and mode 2 (c), excited at
the center of the spiral, and mode 1 (b), excited at the outer edge of the spiral to
generate orthogonal polarizations. The incident field has an elevation spread of
5 and azimuth spread of 60 . The lower frequency bound of mode 2 is 1.2 GHz,
thus the spiral does not work correctly for lower frequencies.
with the covariance
where is constant and the variance
where is the ratio of the power in -polarization to the
power in polarization at the receiver. Note, that is a func-
tion of the polarimetric radiation pattern, thus disappears for
orthogonally polarized antennas in this case lhc and rhc polar-
ized modes. The power correlation coefficient is obtained by
, according to [15].
Basically it is possible to use spiral or sinuous antennas with
any different modes and polarizations for multimode-diversity.
In the following first a spiral and second a sinuous antenna are
used to calculate the correlation coefficients among receive sig-
nals. The orientation of the both antenna planes is vertical. A
spiral antenna with mode 1 and mode 2, excited at the center of
the antenna, and a third mode (mode 1) with orthogonal polar-
ization excited at the outer edge of the antenna is used. Figs. 9
and 10 show the power correlation coefficient between
different modes for a large azimuth angular spread of 60 and
a small spread of 20 for a mean direction of 10 in azimuth
and 0 in elevation of the incident waves. The third mode is or-
thogonally polarized to the other modes, thus the correlation is
almost zero. The other modes are more strongly correlated as
the pattern of mode 1 and 2 partly overlap. On the other hand,
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004
Fig. 10. Correlation coefficient among the same modes as in Fig. 9, but the
incident field has an elevation spread of 5 and an azimuth spread of 20 .
Due to slight changes in the pattern for different frequencies the correlation
coefficient changes. But it is over the whole frequency range low enough to
obtain a diversity gain.
(3)
(4)
Fig. 11. Correlation coefficient among mode 1 (1), mode 2 (2) and mode 3
(3) of the sinuous antenna. The incident field has an elevation spread of 5 and
azimuth spread of 60 . The lower frequency bound of mode 2 is 1.7 GHz, thus
the antenna does not work correctly for lower frequencies.
the different phases of the patterns of mode 1 and 2 (see Fig. 5)
decorrelate the received signals, since the single plane waves
from different directions superpose differently for each mode.
The influence of the feed network on the pattern of the modes
is neglected.
The sinuous antenna is used with three modes, all
excited at the center of the antenna. Figs. 11 and 12 show the
correlation coefficient versus frequency for the scenarios men-
tioned above. Mode 3 is orthogonally polarized to mode 1 and
2, thus the correlation is low. Mode 1 and 2 hardly overlap, thus
different signals are received.
In order to fulfill the requirement of an equal or similar
SNR of the signals received by different modes to obtain a diver-
sity gain the MEG may be used, see [16]. The MEG is defined as
the ratio of the mean received power of one antenna under test
to the mean received power of a reference antenna, when both
WALDSCHMIDT AND WIESBECK: COMPACT WIDE-BAND MULTIMODE ANTENNAS FOR MIMO AND DIVERSITY
Fig. 12. Correlation coefficient among the same modes as in Fig. 11, but the
incident field has an elevation spread of 5 and an azimuth spread of 20 . With
decreasing angular spread the correlation increases.
TABLE I
MEG OF DIFFERENT MODES IN DECIBELS (ELEVATION ANGULAR SPREAD 5 )
antennas are used in the same channel with the same transmit
antenna, see [17], [18]. For the assumptions on the wave propa-
gation made above the MEG can be calculated analytically for
an isotropic reference antenna.
(5)
where are the gain patterns for both polarizations. Table I
shows the MEGs for different antennas and modes for a cross-
polarization coupling of 8 dB. The MEGs of mode 3 of both
antennas are equal to the one of mode 1. Since the requirement
of orthogonal patterns, i.e., uncorrelated signals, and similar
MEGs are fulfilled, a diversity gain over a large bandwidth with
both antenna types, used as multimode antennas, is obtained.
IV. MIMO SYSTEMS BASED ON MULTIMODE-DIVERSITY
In order to show the potential of multimode antennas in
MIMO systems, simulations and measurements of the capacity
of a MIMO system with one multimode spiral antenna on each
side of the link, were performed. Additionally a comparison
with dipole antennas, arranged in parallel, is drawn. For the
simulations a sophisticated channel model is used. This model
does not allow for analytical calculations like in Section III,
but it allows to assess the MIMO performance in very realistic
environments.
1967
A. Simulations of the Capacity
The channel model used to calculate the capacity of MIMO
systems consisting of one spiral antenna at the transmitter and
one at the receiver is an extended version of the model described
in [19]. This stochastic channel model is based on ray-tracing
simulations and measurement campaigns in indoor scenarios.
It is a three dimensional double-directional channel model, in
other words provides the angle of departure and arrival of each
path. The channel model takes only non line-of-sight (NLOS)
connections into account. The power azimuth spectrum
is modeled by multiple Laplacian functions, each modeling a
cluster of scatterers. The elevation profile is modeled by a sine
function. The cross polarization coupling is 8 dB. The an-
tennas used for the simulation are one spiral antenna at the trans-
mitter and one at the receiver. Mode 1 and 2 are excited at the
center of the spiral, and mode 1 with orthogonal polarization is
excited at the outer edge of the spiral. Thus, the same modes
as in Section III at both transmitter and receiver are used. The
orientation of the spiral plane is again vertical. The result of
the simulations with this channel model are channel matrices
(obtained the same way as in [20]). Therefore, the capacity of
a MIMO system with no channel state information at the trans-
mitter can be calculated [2]
SNR
(6)
where SNR denotes SNR conjugate complex transpose and
is the number of transmit antennas, in this case the number
of different modes. The channel matrices in (6) are normalized
with
(7)
to obtain a constant mean gain of each channel matrix, see [21].
The SNR in (7) is the average SNR at the receiver. This normal-
ization allows to show the influence on the capacity of the cor-
relation properties and the distribution of the mean gains of the
channel coefficients. This distribution influences the capacity.
The channel coefficients between co-polarized modes have a
larger mean gain than those between cross-polarized modes.
Thus, the mean gains of the channel coefficients are not equal.
Equality is considered to be optimal, [2]. Fig. 14 shows the ca-
pacity distribution for a constant mean SNR at the receiver of
10 dB for 1000 channel realizations at 2 GHz. The 10% outage
capacity is approximately 7.3 bit/s/Hz.
B. Power Considerations
When the normalization in (7) is used in other words when
the gain of each channel matrix is normalized, the information
about it is lost. But to assess arrays for MIMO completely, this
information needs to be taken into account to assure a high effi-
ciency of the complete MIMO channel. Fig. 15 shows the cumu-
lative distribution function of the gain of the channel matrices
of the simulations. The comparison with a MIMO
system with arrays consisting of three vertical half-wavelength
1968 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004
Fig. 13. Scenarios for the measurements. For the LOS scenarios transmitter
and receiver are placed in the same room. For the NLOS scenarios the
transmitter is placed in the corridor.
Fig. 14. Measured cumulative distribution functions of the capacity for
different antenna scenarios at 2 GHz. The three dipoles have spacings of =4.
The capacity of the NLOS measurements reaches higher capacities as in the
LOS scenarios for a constant mean SNR of 10 dB.
dipoles (also simulated with FEKO) with spacings on each
side of the link shows, that the gain of the channel matrices of
the multimode MIMO system is not worse than with the dipole
arrays. Additionally this distribution function is given for dipole
arrays with spacings on each side of the link.
C. Measurements
The measurements were performed with two spiral antennas.
The antenna were designed for a frequency range from 1.2 GHz
up to 2.5 GHz, limited by the feeding network. Mode 1 and 2 are
excited with the feeding network given in [9]. At the outer ends
of the arms a hybrid mode with orthogonal polarization com-
pared to the other modes is excited. The coupling between the
single modes is below 20 dB. The measurement system con-
sists of a two channel network analyzer, amplifiers and coaxial
switches. The channel coefficients were measured one by one.
All measurements were done during night, in order to reduce
the time variance of the channel. The measurements were per-
formed in an office building, with concrete ceilings and concrete
and wood covered walls. The average office size is 4 5 m, see
Fig. 13. The receive antennas were placed at the same position
Fig. 15. Transmission gain of different MIMO systems for the path based
channel model. The SISO system has one transmit and one receive dipole.
for all measurements. The transmitter was moved along two dif-
ferent routes, shown in Fig. 13. During the first route a strong
LOS component is present, whereas the other route is always
NLOS. Along each route measurements at 801 discrete frequen-
cies in the frequency range from 1.5 to 2.5 GHz at 210 different
positions were performed. The measured data are normalized,
according to (7), to obtain a constant mean SNR of each channel
matrix of 10 dB. Fig. 14 shows the cumulative capacity distribu-
tion for both routes at 2 GHz. The capacity distribution changes
negligibly with frequency. Due to the higher multipath richness
of the NLOS route, it outperforms the LOS route.
For comparison two dipole arrays, consisting of three dipoles
each, were used, one at each side of the link. The dipoles were
arranged in parallel with spacings of and vertical polariza-
tion. The array covers approximately the same area as the spiral
antenna with dimensions, so that the resonance frequency of the
dipoles equals the lower frequency bound of the spiral. Fig. 14
shows, that the dipoles perform worse than the spiral, since nei-
ther polarization nor pattern diversity is exploited. The space
diversity is very limited due to the small antenna spacings.
V. CONCLUSION
This paper shows that four-arm spiral and sinuous antennas
allow to exploit multimode diversity, which is a combination
of pattern and polarization diversity. The antennas are ex-
tremely broadband, thus allow applications for multistandard
radios. The space required for the antennas is relatively small.
If placing dipoles on the same space required by the spiral,
the dipoles do not reach the capacity of multimode-based
MIMO-systems.
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1969
Christian Waldschmidt (S01) was born in Basel,
Switzerland, in 1976. He received the Dipl.-Ing.
(M.S.E.E.) degree in electrical engineering from the
Universitt Karlsruhe, Karlsruhe, Germany, in 2000,
where he is currently working toward the Ph.D.
degree.
From 2001 to 2003, he was with the Institut fr
Hchstfrequenztechnik und Elektronik (IHE), Uni-
versitt Karlsruhe (TH), as a Research Assistant. He
serves as a Lecturer for smart antennas and radar an-
tenna systems for the Carl Cranz Series for scientific
education. His research activities mainly focus on multiple input multiple output
systems, smart antennas, small antennas, integration of antennas and vehicular
antennas for radar and mobile communications applications.
Werner Wiesbeck (SM87F94) received the Dipl.-
Ing. (M.S.E.E.) and the Dr.-Ing. (Ph.D.E.E.) degrees
from the Technical University of Munich, Munich,
Germany, in 1969 and 1972, respectively.
From 1972 to 1983, he was with AEG-Tele-
funken in various positions including the Head of
Research and Development, Microwave Division,
Flensburg, Germany, and Marketing Director in
the Receiver and Direction Finder Division, Ulm.
During this period he had product responsibility for
millimeter-wave radars, receivers, direction finders
and electronic warfare systems. Since 1983, he has been Director of the Institut
fr Hchstfrequenztechnik und Elektronik (IHE), University of Karlsruhe,
Karlsruhe, Germany, where he is presently Dean of the Faculty of Electrical
Engineering. In 1989 and 1994, respectively, he spent a six month sabbatical
at the Jet Propulsion Laboratory, Pasadena. He serves as a Permanent Lecturer
for radar system engineering and for wave propagation For the Carl Cranz
Series for Scientific Education. He is a Member of an Advisory Committee of
the EU-Joint Research Centre (Ispra/Italy), and he is an advisor to the German
Research Council (DFG), to the Federal German Ministry for Research and to
industry in Germany. His research topics include radar, remote sensing, wave
propagation and antennas.
Dr. Wiesbeck has received a number of awards including the IEEE Mil-
lennium Medal. Since 2002, he has been a Member of the Heidelberger
Akademie der Wissenschaften. He was a Member of the IEEE GRS-S AdCom
from 19922000, Chairman of the GRS-S Awards Committee from 1994 to
1998, Executive Vice President IEEE GRS-S from 1998 to 1999, President
IEEE GRS-S from 2000 to 2002, Associate Editor IEEE TRANSACTIONS ON
ANTENNAS AND PROPAGATION from 1996 to 1999, past Treasurer of the IEEE
German Section. He has been General Chairman of the 1988 Heinrich Hertz
Centennial Symposium, the 1993 Conference on Microwaves and Optics
(MIOP 93) and he has been a member of scientific committees of many
conferences.