Wireless Broadband Communications

CLO 3
MIMO
Komunikasi Nirkabel Pitalebar - 201
Faculty of Electrical Engineering
General Information

• The target of the course is to give a general overview

on basic concepts, design criteria, technologies and
standards related to modern broadband transmission
systems.
• A student should have an overall understanding on
the existing major wireless standards as well as
current state-of-the art in global R&D on wireless.
The goal for this course

• To gain understanding on the basic broadband

transmission schemes.
• To understand the challenges of the propagation
environment in wireless broadband system design.
• To understand differences between wireless
standards, and to have an idea on future broadband
technology directions.
Course Learning Outcomes

1. Student can distinguish the basic transmission technologies

used in the broadband wireless communication systems.
2. The student can differentiate and compare the key points
behind these technologies, why they are used and what are
their advantages and disadvantages.
3. Student can explain how the wireless channel impacts the
design of the overall system.
4. The most relevant standards are introduced and explained, so
that student can attain information from past and especially
the forthcoming wireless standards.
Text Books and Recommended Books
Tentative Course Syllabus
• [Week 1] Introduction to Wireless Broadband Communications
• [Week 2,3,4] Transmission Media
• Technical challenges of wireless communications, noise- and interference- limited systems,
• Characteristics of mobile radio channels, NB vs. WB fading models, impact of radio channels on the system
design, mm-wave propagation
• Capacity of Wireless Channels
• [Week 5,6] OFDM
• Basic Features, Signal Generation, Modulation and Coding, OFDM in Multipath Channels, Design Aspects of
OFDM Systems – Cyclic Prefix, Carrier Spacing, Signal Spectrum and Spectrum Limitation Advantages and
Disadvantages of OFDM
• Frequency and Timing Synchronization Schemes, Channel Estimation Principles, Peak Power Problem,
• Some Waveforms inspired by OFDM
• [Week 7] == MID-TERM
• [Week 8, 9,10] MIMO
• Narrowband MIMO model, Parallel Decomposition of MIMO channel,
• MIMO Channel Capacity, Diversity-Multiplexing Trade-Offs
• MU-MIMO, Massive MIMO, etc.
• [Week 11] Cognitive Radio
• Principles of CR, Cognitive transceiver architecture, Principle of Interweaving, Spectrum Sensing, Spectrum
Management, Spectrum Sharing
• [Week 12,13] Open and Softwarization
• [Week 14] == FINAL TEST
Outline
• Introduction...why MIMO??
• Shannon capacity of MIMO systems Telatar, AT&T 1995
• The ”pipe” interpretation
• To exploit the MIMO channel
• BLAST Foschini, Bell Labs 1996
• Space Time Coding Tarokh, Seshadri & Calderbank 1998
• Beamforming
• Comparisons & hardware issues
• Space time coding in 3G & EDGE
Release ’99
Why multiple antennas ????
• Frequency and time processing are at limits
• Space processing is interesting because it
does not increase bandwidth

outdoor indoor
”Specular” ”Scattering”
channels channels
Phased array
range extension,
interference reduction MIMO
Systems
Adaptive Antennas (diversity)
interference cancellation
 MIMO

Why MIMO?
h1

h2
 h11

h12

h21

h22
Assume: Pn = 1
mW
Spatial Multiplexing
Multiple Input Multiple Output (MIMO) Systems

• MIMO systems have multiple transmit and receiver antennas (Mt

at TX, Mr at RX)

x=[x1,…,xMt] y=[y1,…,yMr]

TX power constraint:
E[xxH]=r=P/s2
y=Hx+n
• Input described by vector x of dimension Mt
• Output described by vector y of dimension Mr
• Channel described by MrxMt matrix
• Design and capacity analysis depends on what is known about
channel H at TX and RX
• If H unknown at TX, requires vector modulation/demod
Narrowband MIMO Model

x represents the Mt -dimensional transmitted symbol

n is the Mr -dimensional noise vector
H is the Mr × Mt matrix of channel gains hij representing
the gain from transmit antenna j to receive antenna i
MIMO Decomposition
~
• Decompose channel through transmit precoding (x=Vx) and
H ~
receiver shaping (y=U y)

~ ~ ~
y=S x+n
y=Hx+n H=USVH
yi=si~
~ x+n~i

• Leads to RHmin(Mt,Mr) independent channels with gain si (ith

singular value of H) and AWGN

• Independent channels lead to simple capacity analysis and

modulation/demodulation design
SVD
Consider a MIMO channel with Mr × Mt channel gain matrix H that is known to both
the transmitter and the receiver. Let RH denote the rank of H.
For any matrix H we can obtain its singular value decomposition (SVD) as
Example
SVD MIMO
The parallel decomposition of the channel is obtained by defining a transformation
on the channel input and output x and y via transmit precoding and receiver
shaping.

In transmit precoding the input x Receiver shaping performs a

to the antennas is generated by a similar operation at the receiver by
linear transformation on input multiplying the channel output y by
vector ˜x as x = V˜x. UH
SVD-MIMO
SVD MIMO
Capacity of MIMO Systems
• Depends on what is known at TX and RX and if channel is
static or fading

• For static channel with perfect CSI at TX and RX, power

water-filling over space is optimal:
• In fading waterfill over space (based on short-term power constraint)
or space-time (long-term constraint)

• Without transmitter channel knowledge, capacity metric is

based on an outage probability
• Pout is the probability that the channel capacity given the channel
realization is below the transmission rate.
Shannon capacity of a MIMO channel:
the maximum data rate that can be transmitted over the channel with arbitrarily small error
probability.

Channel capacity depends on what is known about the channel gain matrix or its distribution at
the transmitter and/or receiver.

det[A] denotes the determinant of the matrix A

Rx covariance matrix on the input vector x,
MIMO capacity with CSIT and CSIR

RH is the number of nonzero singular values of H

ρ =P/σ2
is the SNR associated with the ith channel at full power
Water filling Power Allocation
water-filling power allocation for the MIMO channel

γ0 cutoff value

The resulting capacity is then

Example
Example
Main Points

• In practice, constellations cannot be updated faster than

10s-100s of symbol times: OK for most dopplers.

• Estimation error/delay causes error floor

• MIMO systems exploit multiple antennas at both TX and

RX for capacity and/or diversity gain

• With TX and RX channel knowledge, channel

decomposes into independent channels
• Linear capacity increase with number of TX/RX antennas
• Without TX CSI, capacity vs. outage is the capacity metric
MIMO Beamforming
Beamforming
• Scalar codes with transmit precoding

v1 x1 u1
v2 u2
x x2 y
vM t xM t uM r

y=uHHvx+uHn
• Transforms system into a SISO system with diversity.
•Array and diversity gain
•Greatly simplifies encoding and decoding.
•Channel indicates the best direction to beamform
•Need “sufficient” knowledge for optimality of beamforming
MIMO Beamforming
The multiple antennas at the transmitter and receiver can be used to obtain
array and diversity gain instead of capacity gain.

In this setting the same symbol – weighted by a complex scale factor – is

sent over each transmit antenna, so that the input covariance matrix has
unit rank.

This scheme is also referred to as MIMO beamforming.

A beamforming strategy corresponds to the precoding and shaping matrices

being just column vectors: V = v and U = u,
When the channel matrix H is known at Tx and Rx, the received SNR is
optimized by choosing u and v as the principal left and right singular vectors
of the channel matrix H. The resulting capacity is

Although beamforming has a reduced capacity relative to the capacity-

achieving transmit precoding and receiver shaping matrices, the demodulation
complexity with beamforming is on the order of |X| instead of |X|RH.
When the channel is not known to the transmitter,

for Mt = 2 the Space-Time Coding (Alamouti scheme) can be used to extract

an array gain of Mr and the maximum diversity gain of 2Mr .

For Mt > 2, full diversity gain can also be obtained using space-time block
codes.
Example
Example
Diversity-Multiplexing Trade-offs
Diversity vs. Multiplexing
• Use antennas for multiplexing or diversity

Error Prone Low Pe

• Diversity/Multiplexing tradeoffs (Zheng/Tse)

log Pe ( SNR)
lim  d R(SNR)
SNR  log SNR lim r
SNR   log SNR

d (r)  (M t  r)(M r  r)
*
How should antennas be used?
• Use antennas for multiplexing:

High-Rate ST Code
Quantizer High Rate Decoder

Error Prone

 Use antennas for diversity

Low-Rate ST Code
Quantizer High Decoder
Diversity

Low Pe

Depends on end-to-end metric: Solve by optimizing app. metric

MIMO Receiver Design
• Optimal Receiver:
• Maximum likelihood: finds input symbol most likely to have resulted in received
vector
• Exponentially complex # of streams and constellation size
• Linear Receivers
• Zero-Forcing: forces off-diagonal elements to zero, enhances noise
• Minimum Mean Square Error: Balances zero forcing against noise
enhancement
• Sphere Decoder:
• Only considers possibilities within a sphere of received symbol.
• If minimum distance symbol is within sphere, optimal, otherwise null is returned

xˆ  arg min | y  Hx |2 xˆ  arg min | y  Hx |2

x:|y  Hx| r
Main Points
• Capacity of MIMO systems
• Without TX CSI, at high SNR/large arrays, capacity increases linearly with the number of
TX/RX antennas
• With TX and RX channel knowledge, water-fill power over space or space-time to achieve
capacity
• Beamforming transforms MIMO system into a SISO system with TX and RX
diversity.
• Beamform along direction of maximum singular value
• MIMO introduces diversity/multiplexing tradeoff
• Optimal use of antennas depends on application
• MIMO RX design trades complexity for performance
• ML detector optimal - exponentially complex
• Linear receivers balance noise enhancement against stream interference
MIMO for 3G and 4G/LTE
MIMO transmission schemes for LTE

• LTE supports downlink LTE Transmission modes

transmissions on one, two or
four cell-specific antenna ports 1 Single eNB antenna
• Up to two transport blocks can
be transmitted simultaneously 2 Tx diversity (SFBC)
on up to four layers
3 Open-loop SM
4 Closed-loop SM
• The use of multiple antennas in
the DL of LTE comprises 5 Multi-user MIMO
several modes
6 Beamforming
• The system adaptively switches
between each mode to obtain 7 UE specific RS
the best possible performance
as the propagation conditions
vary

48 01.03.2012
Downlink multi-antenna support in LTE
• Up to 4x4 antennas on downlink 1 Single eNB antenna
• 8x8 on LTE-advanced 2 Tx diversity (SFBC)
• Single-user schemes 3 Open-loop SM
• Transmit diversity (2)
4 Closed-loop SM
• Spatial multiplexing (3, 4)
• Beamforming (6) 5 Multi-user MIMO
• Multi-user MIMO (5) 6 Beamforming
• A common physical layer architecture: 7 UE specific RS

code words layers antenna ports

Modulation Resource element OFDM signal

Scrambling mapper
mapper generation
Layer
Precoding
mapper
Modulation Resource element OFDM signal
Scrambling mapper
mapper generation

07 September 2011 49
Downlink multi-antenna support in LTE
• Up to 4x4 antennas on downlink 1 Single eNB antenna
• 8x8 on LTE-advanced 2 Tx diversity (SFBC)
• Single-user schemes 3 Open-loop SM
• Transmit diversity (2)
4 Closed-loop SM
• Spatial multiplexing (3, 4)
• Beamforming (6) 5 Multi-user MIMO
• Multi-user MIMO (5) 6 Beamforming
• A common physical layer architecture: 7 UE specific RS

code words layers antenna ports

Modulation Resource element OFDM signal

Scrambling mapper
mapper generation
Layer
Precoding
mapper
Modulation Resource element OFDM signal
Scrambling mapper
mapper generation

07 September 2011 50
Transmit Diversity with 2 Tx antennas
• Alamouti scheme
• Transmitted diversity streams are orthogonal:
Subcarrier (frequency)
Port (antenna)

 y 0 (1) y 0 (2)  x1 x2 
 1    * *
 y (1) y (2)   x2 x1 
1

x1 x2

Antenna port 0

-x2* x1*

Antenna port 1

51
OFDM subcarriers
07 September 2011
Downlink multi-antenna support in LTE
• Up to 4x4 antennas on downlink 1 Single eNB antenna
• 8x8 on LTE-advanced 2 Tx diversity (SFBC)
• Single-user schemes 3 Open-loop SM
• Transmit diversity (2)
4 Closed-loop SM
• Spatial multiplexing (3, 4)
• Beamforming (6) 5 Multi-user MIMO
• Multi-user MIMO (5) 6 Beamforming
• A common physical layer architecture: 7 UE specific RS

code words layers antenna ports

Modulation Resource element OFDM signal

Scrambling mapper
mapper generation
Layer
Precoding
mapper
Modulation Resource element OFDM signal
Scrambling mapper
mapper generation

07 September 2011 52
Downlink spatial multiplexing for 2x2
antennas
• The number of codewords equals the transmission rank and codeword
n is mapped to layer n
• Rank one precoders are column subsets of the rank two precoders

1 0 1 1  1 1 
0 1, 1  1,  j  j 
     

• Recommendations on transmission rank and which precoder matrix to

use is obtained via feedback from the subscriber equipment (UE)
• The base station (eNB) can override the rank recommended by the UE

• Codeword to layer mapping:

Codeword 1 Codeword 2
Rank 1 Layer 1
Rank 2 Layer 1 Layer 2
Rank 3 Layer 1 Layer 2 and 3
Rank 4 Layer 1 and 2 Layer 3 and 4
53 07 September 2011
Downlink multi-antenna support in LTE

• Up to 4x4 antennas on downlink 1 Single eNB antenna

• 8x8 on LTE-advanced 2 Tx diversity (SFBC)
• Single-user schemes 3 Open-loop SM
• Transmit diversity (2)
4 Closed-loop SM
• Spatial multiplexing (3, 4)
• Beamforming (6) 5 Multi-user MIMO
• Multi-user MIMO (5) 6 Beamforming
• A common physical layer architecture: 7 UE specific RS

code words layers antenna ports

Modulation Resource element OFDM signal

Scrambling mapper
mapper generation
Layer
Precoding
mapper
Modulation Resource element OFDM signal
Scrambling mapper
mapper generation

07 September 2011 54
DL peak throughputs in LTE

64QAM Modulation

Data rate (gross)

MIMO config 326Mbps

245Mbps
4 layer
Peak Throughput 163Mbps
172.8Mbps
82Mbps
2 layer 49Mbps
23Mbps 129.6Mbps
86.4Mbps
43.2Mbps 86.4Mbps
1 layer 25.9Mbps
10.4Mbps
64.8Mbps
43.2Mbps
13Mbps 21.6Mbps
5.2Mbps

1.4 3 5 10 15 20
Carrier Bandwidth (MHz)

55 07 September 2011
Downlink MIMO for HSPA (3G)
• HSPA supports downlink closed-loop MIMO rank 2

07 September 2011 56
Other multiple antenna schemes
• Multi-user (MU-) MIMO
• Spatial multiplexing to different UEs in the same cell
• Also called Spatial Division Multiple Access (SDMA)

07 September 2011 57
MU-MIMO and Massive MIMO
(adopted from the tutorial of Marzetta, 2015)
SPATIAL MULTIPLEXING PUSHED TO AN EXTREME
POINT-TO-POINT MIMO
ROY & OTTERSTEN (1991); PAULRAJ & KAILATH (1993); FOSCHINI (1995); RALEIGH & CIOFFI (1998); TELATAR (1999)
MULTI-USER MIMO
CAIRE & SHAMAI (2003); VISWANATH & TSE (2003); VISHWANATH, JINDAL, & GOLDSMITH (2003)
MASSIVE MIMO
MARZETTA (2006); MARZETTA (2010)
MASSIVE MIMO: MORE THAN JUST MANY ANTENNAS

• Using measured channels: Beamforming gain grows linearly

with number of antennas, irrespective of the noisiness of the
measurements
• Frequency-independent power control: Based solely on long-
scale (slow) fading, is exceedingly effective
• Pilot contamination: Ultimate limitation in non-cooperative multi-
cell systems
DOWNLINK DATA TRANSMISSION:
CONJUGATE BEAMFORMING
ANTENNAS TRANSMIT THE WEIGHTED MESSAGE-BEARING SYMBOLS TO ARRIVE IN-PHASE AT THE
INTENDED USER & OUT-OF-PHASE ELSEWHERE

The simplest possible pre-coding, but often very effective

WHY SO IMPORTANT TO DO BEAMFORMING WITH
MEASURED PROPAGATION?