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Wireless Communications

Future Broadband Wireless Systems

• Desired attributes

– Significant increase in spectral efficiency and data rates

– High Quality–of–Service (QoS) — bit error rate, outage, . . .

– Wide coverage

– Low deployment, maintenance and operation costs

– Severe fluctuations in signal level (fading)

– Co–channel interference

– Signal power falls off with distance (path loss)

– Scarce available bandwidth

– ...

[1]

The Wireless Channel

[1]

MIMO System

Performance Improvements Using MIMO Systems

[1]

Array Gain

the incoming / outgoing signals

[2, 3]

Array Gain

y = Hx + n

• H ∈ CM ×N (E|Hik |2 = 1). x ∈ CN , y ∈ CM

• Principle: To obtain the full array gain, one should transmit using the

maximum eigenmode of the channel

†

• The singular

√ value decomposition

√ (SVD) H = UDV , with

D = diag( λ1, . . . , λm, 0, . . . , 0) and m = min{N, M }, yields

m equivalent SISO channels ( ` †´ eig HH if M < N

λ1 , . . . , λm = ` † ´

eig H H if M ≥ N

y

e = De

x+n

e,

e = U†y, x

where y e = V†x and n

e = U†n (U, V unitary)

An Overview of MIMO Systems in Wireless Communications 7

[2, 3]

Array Gain

y

e = De

x+n

e

p

yei = λmax x ei + n

ei

• Known results

– For N × 1 and 1 × M arrays, the array gain (increase in average

SNR) is respectively of 10 log10 N and 10 log10 M dB

– In the asymptotic limit, with M large:

√

λmax < ( c + 1)2M c= N

M ≥1

√

λmin > ( c − 1)2M c= N

M >1

• For maximum

– Capacity: waterfilling (later in this presentation)

– Array gain: use only the maximum eigenchannel

[2, 3]

Diversity Gain

• Principle: provide the receiver with multiple identical copies of a

given signal to combat fading =⇒ gain in instantaneous SNR

[4]

Diversity Gain

• Intuitively, the more independently fading, identical copies of a

given signal the receiver is provided with, the faster the bit error rate

(BER) decreases as a function of the per signal SNR. At high SNR

values, it has been shown that

Pe ≈ (Gc · SNR)−d

where d represents the diversity gain and Gc the coding gain

• Definition: For a given transmission rate R, the diversity gain is

log(Pe(R, SNR))

d(R) = − lim , (1)

SN R→∞ log SNR

where Pe(R, SNR) is the BER at the given rate and SNR

• Diminishing return for each extra signal copy

An Overview of MIMO Systems in Wireless Communications 10

[3, 5, 6]

Diversity Gain

L,d

• The diversity gain is the magnitude of the slope of the BER Pe(R, SNR) plotted

as a function of SNR on a log–log scale

[4, 6]

Multiplexing Gain

• Principle: Transmit independent data signals from different

antennas to increase the throughput

[1]

Co–Channel Interference

[1]

Co–Channel Interference Reduction

[1]

Capacity of MIMO Systems — The Gaussian Channel

y = Hx + n,

with:

fading environment)—i.i.d. Gaussian, zero–mean, independent real

and imaginary parts, variance 1/2

• x ∈ CN , y ∈ CM

variance real and imaginary parts. E[nn†] = IM

† †

• Transmitter power constraint: E[x x] = tr E[xx ] ≤ P

[7]

Circularly Symmetric Random Vectors

circularly symmetric if the corresponding vector

Re(x)

x̂ ∈ R2n =

Im(x)

†

1 Re(Q) −Im(Q)

E (x̂ − E[x̂])(x̂ − E[x̂]) =

2 Im(Q) Re(Q)

[7]

Circularly Symmetric Random Vectors

The pdf of a CSCG random vector x with mean µ and covariance matrix

Q is given by

1 † −1

fµ,Q(x) = exp − (x − µ) Q (x − µ)

det πQ

Z

h(X) = − fµ,Q(x) log fµ,Q(x) dx

Cn

[7]

The Deterministic Gaussian Channel — Capacity

y = Hx + n, E[x†x] ≤ P

= h(Y) − h(N)

=⇒ Maximize h(Y)

[7]

Maximizing h(Y)

Complex Gaussian (CSCG)

CSCG

= log det(IM + HQH†)

tr(Q) ≤ P remains to be found

An Overview of MIMO Systems in Wireless Communications 19

[7]

Deterministic Gaussian MIMO Channel

• H known at the transmitter (“waterfilling solution”): Choose Q

diagonal, such that

Qii = (α − λ−1 +

i ) , i = 1, . . . , N

with P

that i Qii = P . The capacity is given by:

N

X +

CWF = log(αλi) [bits/s/Hz]

i=1

P

• H unknown at the transmitter: Choose Q = N IN (equal power).

Then,

CEP = log det(IM + N P

HH†) [bits/s/Hz]

[3, 7]

Waterfilling Solution

Rayleigh Fading MIMO Channel

• Memoryless Rayleigh fading Gaussian channel (unknown at the

transmitter)

P

• Choose x CSCG and Q = N IN . The ergodic capacity is given by:

h i

CEP P

= EH log det(IM + N HH†) [bits/s/Hz]

m

X

P

= EH log 1 + N λi ,

i=1

Wishart matrix

HH†

M <N

W=

H†H M ≥N

• For large SNR, CEP = min(N, M ) log P + O(1), i.e. the capacity

grows linearly with min(N, M )!

An Overview of MIMO Systems in Wireless Communications 22

[3, 7]

Capacity of Fading Channels

SNR reduces the capacity

are significant at low SNR but converge to zero as the SNR increases

=⇒ Question: Is it beneficial to feed the channel state back to the

transmitter ?

• Many exact capacity results are known for i.i.d. Rayleigh channels.

For other channels (Rice, etc.), we have many limiting results

[3]

Ergodic Capacity of Ideal MIMO Systems

Channel unknown at the transmitter, i.i.d. Rayleigh fading

MT , N

MR , M

[6]

Outage Capacity

• The capacity of a fading channel is a random variable

information rate that is guaranteed for (100 − q)% of the channel

realizations, i.e.

P (I(X; Y) ≤ Cout,q) = q%

C(SNR)

r = lim ,

SNR→∞ log SNR

[1, 3, 6]

Outage Capacity of Ideal MIMO Systems

Channel unknown at the transmitter, i.i.d. Rayleigh fading

MT , N

MR , M

[6]

Transmission over MIMO channels

error rate (BER) =⇒ space–time codes (STC)

laboratories layered space–time)

throughput and increasing diversity

[3, 6, 8]

Maximizing Diversity with Space–Time Codes

• Space–Time Trellis Codes (STTC) ←− at the cost of increased complexity

increases exponentially with the transmission rate

– Full diversity. Coding gain

– Simple maximum–likelihood (ML) decoding based on linear

processing

– Full diversity. Minimal or no coding gain

An Overview of MIMO Systems in Wireless Communications 28

[3]

Alamouti Scheme for Transmit Diversity (STBC)

r1 = h1c1 + h2c2 + n1 [time t]

r2 = −h1c∗2 + h2c∗1 + n2 [time t + T ]

c1

=⇒

re2 = h∗2 r1 − h1r2∗ = (|h1|2 + |h2|2)c2 − h1n∗2 + h∗2 n1 −→ b

c2

symbols

• Rate = 1 — Diversity order = 2 — Simple decoding

[9]

STBC Receiver Structure

[3]

STBCs from Complex Orthogonal Designs

• Alamouti’s scheme works only when N = 2 =⇒ Generalization

orthogonal matrix with entries in the indeterminates

∗ ∗ ∗

±x1, ±x2, . . . , ±xN , their conjugates

√ ±x1 , ±x2 , . . . , ±xN or multiples

of these indeterminates by ± −1

space −→ time

x1 x2 ↓

• Example (2 × 2): Oc(x1, x2) =

−x∗2 ∗

x1

• Coding scheme (using a constellation A with 2b elements):

1. At time slot t, N b bits arrive at the encoder. Select constellation

signals c1, . . . , cN

2. Set xi = ci to obtain a matrix C = Oc(c1, . . . , cN )

3. At each time slot t = 1, . . . , N , the entries Cti, i = 1, . . . , N are

transmitted simultaneously from transmit antennas 1, 2, . . . , N

[10]

STBCs from Complex Orthogonal Designs

processing for STBCs

transmission rate R = 1 using STBCs based on orthogonal designs

[10]

Generalized Complex Orthogonal Designs (GCOD)

∗ ∗ ∗

±x1, ±x2, . . . , ±xk , their conjugates

√ ±x1 , ±x2 , . . . , ±xk or multiples of

these indeterminates by ± −1 or 0. If Gc†Gc = (|x1|2 + · · · + |xk |2)I,

then Gc is referred to as a generalized complex orthogonal design of size

N and rate R = k/p

(GCLPOD) Lc: exactly like above, but the entries can be linear

combinations of x1, . . . , xk and their conjugates

based on a GCOD or a GCLPOD of size N and rate R

[10]

Generalized Complex Orthogonal Designs

• Generalized complex linear processing orthogonal designs of rates:

– R = 1 exist for N = 2

– R = 3/4 exist for N = 3 and N = 4

– R = 1/2 exist for N ≥ 5

x1 x2 x3

x1 x2

x

√3

−x2 x1 −x4

2 −x3 x4 x1

∗ ∗ x3

−x2 x1 √

−x4 −x3

3 2 3 x2

Lc = √x3∗ ∗ ∗ ∗ G =

x3 −x1 −x1 +x2 −x2 c

∗ ∗ ∗

2

√

2 2 x1 x2 x3

∗ ∗ ∗ ∗ ∗ ∗ ∗

x3 x3 x2 +x2 +x1 −x1 −x x −x

√ − √2 2 1 4

2 2 −x∗ x∗

x∗

3 4 1

∗

−x4 −x∗3 x∗2

[10]

Capacity and Space–Time Block Codes

– have extremely low encoder/decoder complexity

• However

– For the i.i.d. Rayleigh channel, STBCs result in a capacity loss in

the presence of multiple receive antennas

– STBCs are only optimal with respect to capacity when they have

rate R = 1 and there is one receive antenna

[11]

Maximizing the Throughput with V–BLAST

[1]

Maximizing the Throughput with V–BLAST

Description

antennas — each substream can be individually coded)

1

• Individual transmit powers scaled by N so the total power is kept

constant

[4]

Receivers for Spatial Multiplexing

y = Hx + n, i.e.

y1 h11 h12 · · · h1N x1 n1

y2 h21 . . . .. x n

. = . 2 2

. . ...

+

.. .. ..

yM hM 1 · · · · · · hM N xN nM

Y, N ∈ CM ×T and X ∈ CN ×T

• Optimal (ML) Receiver: x̂ = arg min y − Hx

x

– Diversity order for each data stream: M (N ≤ M )

[3, 4, 6]

Receivers for Spatial Multiplexing

y = Hx + n

x̂ = H#y

– Noise enhancement problem

– Diversity order for each data stream: M − N + 1 (N ≤ M )

[3, 4, 6, 12]

Receivers for Spatial Multiplexing

y = Hx + n

h 2i

f · y,

x̂ = W f = arg min E Wy − x .

where W

W

We obtain:

†

†−1

†

x̂ = H HH + E nn ·y

– Equivalent to the zero–forcing receiver at high SNR

– Diversity order for each data stream: approximately M − N + 1

(N ≤ M )

[3, 4, 6, 12]

Receivers for Spatial Multiplexing

y = Hx + n, H= h1 h2 · · · hN

e1 = w1T y

x

x̂1 = Q(e

x1) (quantization)

y2 = y − x̂1h1 (interference cancellation)

e2 = w2T y2,

x etc.

• The ith ZF–nulling vector wi is defined as the unique minimum–norm

vector satisfying

0 j>i

wiT hj =

1 j = i,

to the symbols not yet estimated and cancelled and is given by the ith

row of H# = (H†H)−1H† (N ≤ M )

An Overview of MIMO Systems in Wireless Communications 41

[13]

Receivers for Spatial Multiplexing

y = Hx + n, H= h1 h2 · · · hN

• V–BLAST receiver

– The SNR of xei is proportional to 1/kwik2

– Idea: detect the components xi in order of decreasing SNR =⇒

ordered successive interference cancellation (OSIC)

#

˜T

gi1 gi2 giN

ˆ

initialization: G1 = H Gi = ···

i = 1

y1 = y

‚ j ‚2

recursion: ki = arg minj ∈{k

/ 1 ,...,ki−1 } gi

‚ ‚

k

wki = gi i

x

eki = wkT yi

i

x̂ki = Q(e xki )

yi+1 = yi − x̂ki hki

Gi+1 = H# Hk , H with columns k1, · · · , ki set to 0

ki i

i = i+1

An Overview of MIMO Systems in Wireless Communications 42

[13]

Receivers for Spatial Multiplexing

– Provides a reasonable trade–off between complexity and performance

(between MMSE and ML receivers)

– Achieves a diversity order of approximately M − N + 1 per data

stream (N ≤ M )

– Provides a reasonable trade–off between complexity and performance

(between MMSE and ML receivers)

– Achieves a diversity order which lies between M − N + 1 and M for

each data stream (N ≤ M )

[3, 6]

Performance Comparison

N M

↓ ↓

←− diversity receiver

←− SIC

←− OSIC

[6]

Performance Comparison

[4]

D–BLAST

[4, 14]

Linear Dispersion Codes

• V–BLAST

– is unable to work with fewer receive than transmit antennas

– doesn’t have any built–in spatial coding

– include V–BLAST and the orthogonal design STBCs as special cases

– can be used for any number of transmit and receive antennas

– can be decoded with V–BLAST like algorithms

– satisfy an information–theoretic optimality criterion

[4, 15]

Linear Dispersion Codes

k

• A linear dispersion code of rate R = p b is one for which

1

x

k

X x2

X= (ciCi + c∗i Di), X=

..

i=1

xp

Ci, Di ∈ Cp×N

Number of receive antennas: M

[15]

Linear Dispersion Codes

ŷ1 ĉ1 n̂1 Y= y1 · · · yM

.. = H .. + .. ,

ŷM ĉk n̂M N= n1 · · · nM

| {z } | {z }

η ξ

h i h i h i

Re(yi ) Re(ni ) Re(ci )

where ŷi , Im(yi ) , n̂i , Im(ni ) , ĉi , Im(ci ) and

dispersion codes

• {C1, . . . , Ck , D1, . . . , Dk } are dispersion matrices designed to optimize

given criteria (e.g. maximum mutual information between η and ξ)

[15]

Diversity vs. Multiplexing Trade–off

l, one for each SNR level. R(SNR) [b/symbol] denotes the rate of the

code C(SNR)

multiplexing gain r and diversity gain d if the data rate

R(SNR)

lim =r

SNR→∞ log SNR

log Pe(SNR)

lim = −d (2)

SNR→∞ log SNR

[8]

Diversity vs. Multiplexing Trade–off

• For each r, d∗(r) is the supremum of the diversity gains achieved

over all schemes

• We also define:

– d∗max , d∗(0), the maximal diversity gain

∗

– rmax , sup{r|d∗(r) > 0}, the maximal spatial multiplexing gain

d∗(r) is given by the piecewise–linear function connecting the points

(k, d∗(k)), k = 0, 1, . . . , min{N, M }, where

∗

= min{N, M }.

[8]

Diversity vs. Multiplexing: Optimal Trade–off

m,N

n,M

[8]

Diversity vs. Multiplexing Trade–off: V–BLAST

n,N =M

[8]

Diversity vs. Multiplexing Trade–off: Alamouti Scheme

m,N

n,M

[8]

Diversity vs. Multiplexing Trade–off: Alamouti Scheme

m,N

n,M

[8]

Diversity vs. Multiplexing Trade–off

• Definitions (1) and (2) for the diversity gain are not equivalent: in

the former one, a fixed data rate is assumed for all SNRs, whereas in

the latter one, the data rate is a fraction of C(SNR), and hence

increases with the SNR

trade–off

[6, 8]

MIMO Channel Modeling

– Path loss

– Shadowing

[3]

Ricean K factor distribution

H = HLOS + HNLOS

(line–of–sight)

• HLOS is a time–invariant, often low rank matrix =⇒ high K factor

channels often exhibit a low capacity

• In a near–LOS link, the improvement in link budget often more than

compensates for the loss of MIMO capacity =⇒ usually, the LOS

component is not intentionally reduced

• Experimental measurements show that, in general:

– K increases with antenna height

– K decreases with transmitter–receiver distance =⇒ MIMO

substantially increases throughput in areas far away from the base

station

An Overview of MIMO Systems in Wireless Communications 58

[3]

Correlation Model for HNLOS

“One–ring” model

here uniformly distributed in θ

TAl : lth transmitting antenna element Θ : angle of arrival

RAl : lth receiving antenna element ∆ : angle spread

S(θ) : scatterer located at angle θ

[16]

Correlation Model for HNLOS

2π

E[Hl,pH∗m,p] ≈ J0 d(l, m)

λ ↑

distance between antennas l and m

in the broadside direction (Θ = 0):

2π

E[Hm,pH∗m,q ] ≈ J0 ∆ d(p, q)

λ

↑

distance between antennas p and q

in the inline direction (Θ = π2 ):

2

2

∆ 2π

∗ −j 2π d(p,q) 1− ∆4

E[Hm,pHm,q ] ≈ e λ · J0 d(p, q)

2 λ

[3, 16]

Correlation Model for HNLOS

←− J0 (x)

diversity

beamforming and MIMO yield conflicting criteria

• Using the above results, one can obtain upper bounds for the MIMO

capacity

[3, 16]

Decoupling Between Rank and Correlation

Pinhole channel

high–rank channel

[3, 4]

MIMO Channel Modeling

L

X

H(τ ) = Hiδ(τ − τi)

i=1

– Base station: 10λ (due to the absence of local scatterers)

– Subscriber unit: 12 λ (rich scattering)

[3]

MIMO–OFDM Systems

decomposed into K parallel frequency-flat fading channels, each

B

having bandwidth K . (Condition: The impulse response of the

channel is shorter than the length of the cyclic prefix)

[6, 17]

MIMO–OFDM Systems

IDFT/DFT and CP operations at each of the transmit and receive

antennas (with the appropriate condition on the length of the cyclic

prefix)

– Send c1 and c2 over OFDM tone i over antennas 1 and 2

– Send −c∗2 and c∗1 over OFDM tone i + 1 over antennas 1 and 2

within the same OFDM symbol

– Alternative technique: Code on a per–tone basis across OFDM

symbols in time

[6]

MIMO–OFDM Systems

transmitting independent data streams over different antennas =⇒

spatial multiplexing over each tone

– OFDM tones with spacing larger than the coherence bandwidth

BC experience independent fading

B

– If Deff = BC , the total diversity gain that can be realized is of

N M Deff

[6]

Throughput in MIMO Cellular Systems

[1, 4]

Conclusions

and a co–channel interference cancellation gain

wireless networks

• Ongoing research

– Space–time coding (orthogonal designs, etc.)

– Receiver design (ML receiver is too complex)

– Channel modeling

– Capacity of non–ideal MIMO channels

– ...

[1, 4]

References

[1] H. Bölcskei, “MIMO: what shall we do with all these degrees of freedom?,” presentation, 2003, available at

http://www.tele.ntnu.no/projects/beats/seminar.htm.

[2] J. B. Andersen, “Array gain and capacity for known random channels with multiple element arrays at both ends,” IEEE J.

Select. Areas Commun., vol. 18, no. 11, pp. 2172–2178, Nov. 2000.

[3] D. Shiu P. J. Smith D. Gesbert, M. Shafi and A. Nayguib, “From theory to practice: An overview of MIMO space–time

coded wireless systems,” IEEE J. Select. Areas Commun., vol. 21, no. 3, pp. 281–302, Apr. 2003.

[4] D. Gesbert, “MIMO space–time coded wireless systems,” presentation, Sept. 2003, available at

http://www.tele.ntnu.no/projects/beats/course.htm.

[5] Z. Wang and G. B. Giannakis, “A simple and general parametrization quantifying performance in fading channels,” IEEE

Trans. Commun., vol. 51, no. 8, pp. 1389–1398, Aug. 2003.

[6] R. U. Nabar A. J. Paulraj, D. A. Gore and H. Bölcskei, “An overview of MIMO communications—a key to gigabit wireless,”

Proceedings of the IEEE, vol. 92, no. 2, pp. 198–218, Feb. 2004.

[7] E. Teletar, “Capacity of multi-antenna Gaussian channels,” Tech. Rep., AT&T Bell Laboratories, June 1995.

[8] D. N. C. Tse L. Zheng, “Diversity and multiplexing: a fundamental trade–off in multiple antenna channels,” IEEE Trans.

Inform. Theory, vol. 49, no. 5, pp. 1073–1096, May 2003.

[9] S. M. Alamouti, “A simple transmit diversity technique for wireless communications,” IEEE J. Select. Areas Commun., vol.

16, no. 8, pp. 1451–1458, Oct. 1998.

[10] H. Jafarkhani V. Tarokh and A. R. Calderbank, “Space–time block codes from orthogonal designs,” IEEE Trans. Inform.

Theory, vol. 45, no. 5, pp. 1456–1467, July 1999.

[11] S. Sandhu and A. Paulraj, “Space–time block codes: a capacity perspective,” IEEE Commun. Lett., vol. 4, no. 12, pp.

384–386, Dec. 2000.

[12] H. Bölcskei and A. Paulraj, “Multiple–input multiple–output (MIMO) wireless systems,” unpublished.

[13] R. A. Valenzuela G. D. Golden, C. J. Foschini and P. W. Wolniansky, “Detection algorithm and initial laboratory results

using V–BLAST space–time communication architecture,” Electronics Lett., vol. 35, no. 1, Jan. 1999.

[14] G. J. Foschini, “Layered space–time architecture for wireless communication in a fading environment using multi–element

antennas,” Bell-Labs Techn. J., pp. 41–59, 1996.

[15] B. Hassibi and B. M. Hochwald, “High–rate codes that are linear in space and time,” IEEE Trans. Inform. Theory, vol. 48,

no. 7, pp. 1804–1824, July 2002.

[16] M. J. Gans D. Shiu, G. J. Foschini and J. M. Kahn, “Fading correlation and its effect on the capacity of multielement

antenna systems,” IEEE Trans. Commun., vol. 48, no. 3, pp. 502–513, Mar. 2000.

[17] M. Sandell, Design and analysis of estimators for multicarrier modulation and ultrasonic imaging, Ph.D. thesis, Luleå

University, Sweden, 1996.

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