A Tutorial on MIMO

Craig Wilson
EE381K-11: Wireless Communications
Spring 2009
May 9, 2009
Contents
1 Introduction 1
2 Benets of MIMO 1
2.1 Diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
2.1.1 Union Bound on Probability of Error . . . . . . . . . . . . . . . . . . . . 3
2.1.2 Outage Probability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2.2 Spatial Multiplexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3 Basic Schemes for Multiple Antennas 5
3.1 Channel Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3.2 Scalar Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
3.3 Maximal Ratio Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
3.4 Selection Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
3.5 Equal Gain Combining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
3.6 Transmit Maximal Ratio Combining . . . . . . . . . . . . . . . . . . . . . . . . 8
3.7 Alamouti Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
4 MIMO Channel Modeling and Capacity 10
4.1 Narrowband MIMO Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
4.1.1 Narrowband MIMO Channel Capacity . . . . . . . . . . . . . . . . . . . 11
4.1.2 Rank and Condition Number . . . . . . . . . . . . . . . . . . . . . . . . 12
4.2 Physical Modeling of MIMO Channels . . . . . . . . . . . . . . . . . . . . . . . 12
4.2.1 LOS SIMO and MISO Channel . . . . . . . . . . . . . . . . . . . . . . . 13
4.2.2 LOS MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.3 Geographically Separated MIMO . . . . . . . . . . . . . . . . . . . . . . 15
4.2.4 Two-Ray MIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
4.3 Statistical Modeling of MIMO Channels . . . . . . . . . . . . . . . . . . . . . . 17
4.3.1 Frequency Selective MIMO Channel . . . . . . . . . . . . . . . . . . . . . 19
i
5 Diversity-Multiplexing Tradeo 20
5.1 Scalar Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
5.1.1 QAM over the Scalar Rayleigh Channel . . . . . . . . . . . . . . . . . . . 21
5.2 MISO Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
5.3 MIMO Rayleigh Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
6 Space-Time Coding over Narrowband Channels 23
6.1 Error Motivated Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
6.2 Space-Time Block Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
6.2.1 Linear STBCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
6.3 Bell Labs Space Time Architectures . . . . . . . . . . . . . . . . . . . . . . . . . 30
6.3.1 V-BLAST . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
6.3.2 D-BLAST . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.4 Space-Time Trellis Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
6.4.1 Trellis Representation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
6.4.2 Delay-Diversity Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
7 Space-Time Coding for Frequency Selective Channels 40
7.1 Single Carrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
7.2 MIMO-OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
7.2.1 OFDM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
7.2.2 Extension to MIMO-OFDM . . . . . . . . . . . . . . . . . . . . . . . . . 42
7.2.3 Space-Frequency Coded MIMO-OFDM . . . . . . . . . . . . . . . . . . . 43
7.2.4 Space-Time Coded MIMO-OFDM . . . . . . . . . . . . . . . . . . . . . . 43
7.2.5 Space-Time Frequency Coded MIMO-OFDM . . . . . . . . . . . . . . . . 44
8 Multiuser MIMO 44
8.1 Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
8.1.1 Linear Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
8.1.2 Nonlinear Precoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
ii
8.2 Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
8.3 Working with Partial CSIT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
9 MIMO in Wireless Standards 46
9.1 3GPP LTE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
9.2 WiMAX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
9.3 802.11n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
10 Conclusion 49
A Math Review 50
A.1 Rank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
A.2 Eigenvalues and Eigenvectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
A.2.1 Diagonalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
A.2.2 Connection To The Determinant and Trace . . . . . . . . . . . . . . . . . 51
A.3 Inner Product Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
A.4 Singular Value Decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
A.4.1 Pseudoinverse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
A.4.2 Condition Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
A.5 Lagrange Multipliers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
References 53
iii
1 Introduction
Wireless systems face several challenges including demands for higher data rates, better quality
of service, and increased network capacity while working with limited amounts of spectrum.
Multiple Input and Multiple Output (MIMO) wireless communication systems have become
a hot research topic because they promise to deal with all of these issues by providing both
increased resilience to fading and increased capacity without using more bandwidth or power.
Methods to take advantage of multiple antennas at the receiver or the transmitter were known
from the 1950s onward. Early methods provided for spatial diversity to improve error per-
formance and beamforming to increase SNR by focusing the energy from an antenna into a
desired direction. In the 1990s MIMO systems with multiple antennas at both the transmitter
and receiver were proposed. Instead of just using diversity to combat fading MIMO systems
actively take advantage of multipath to work. One of the early seminal works in MIMO was
Telatars paper, which demonstrated the potential for improved capacity with no extra spectrum
[Tel95]. Around the same time Bell Labs developed the BLAST architectures, which achieved
high spectral eciency on the order of 10-20 bits/s/Hz [Fos96]. Also around the same time the
rst space-time coding methods were proposed [TSC98]. In the 2000s MIMO has continued to
be developed and there are now plans to implement MIMO in several new wireless standards
such as 802.11n, WiMAX, and LTE.
This tutorial paper focuses on the following major topics in MIMO:
1. MIMO Channel Modeling and Capacity
2. Diversity-Multiplexing Tradeo
3. Space-Time Coding and Architectures
4. Space-Time Coding in Frequency Selective Channels
5. Multi-User MIMO and Applications
6. MIMO in Wireless Standards
2 Benets of MIMO
The two major benets of MIMO are diversity gain, increased resilience to fading in the form
of better error performance, and multiplexing gain, increased rate of transmission by exploiting
the increased degrees of freedom oered by the spatial MIMO channel. The gure below shows
a simple MIMO setup with n
t
transmit antennas and n
r
receive antennas.
1
Figure 1: MIMO System Concept [Gold05]
2.1 Diversity
Diversity is an attempt to exploit redundancies in the way information is sent to achieve bet-
ter error performance by cleverly using multiple copies of the same signal. Three fundamental
types of diversity are time, frequency, and antenna diversity. Time diversity involves averaging
the fading eects of the channel over time. The simplest example is the repetition code, which
transmits the same symbol multiple times with the transmissions separated by more than the co-
herence time of the channel. The receiver decodes each symbol independently and estimates the
transmitted symbol by majority rule. Frequency diversity exploits the variations in a frequency
selective channel. For example, orthogonal frequency division multiplexing(OFDM) can apply
modulation order adaption to each subcarrier depending on the quality of a given subchannel.
Finally, there are several dierent types of antenna diversity. The most obvious type is to simply
use multiple antennas. This type of antenna diversity is one of the main focuses of this paper.
The second type of antenna diversity is to use multiple antennas with dierent polarizations.
The third type of antenna diversity is to use multiple antennas with dierent non-overlapping
beam patterns.
It is generally of interest to quantify exactly how much diversity a given scheme provides. This
can be done through calculating either the average probability of error or the outage probability.
Both of these expressions can generally be approximated as
SNR
L
(1)
at high SNR. L is the diversity gain. This diversity gain can be more rigorously dened as
L = lim
SNR
log(P
e
)
log(SNR)
This is just a formalization of the intuition above that replaces at high SNR with a limit. For
the case of n
t
n
r
narrowband MIMO the maximum possible diversity gain is n
t
n
r
, which is
the maximum number of independent copies of the same signal that the receiver sees.
2
2.1.1 Union Bound on Probability of Error
It can be dicult to calculate an exact expression for the probability of error for an arbitrary
modulation, so it is useful to calculate an upper bound on the probability of error. Consider an
arbitrary constellation ( containing M points. Write the constellation as
( = c
1
, c
2
, . . . , c
M
(2)
Let P
e
be the probability of symbol error. Let P
e|c
i
be the probability of symbol error given
c
i
( was sent. Assuming all symbols are equally likely then
P
e
=
1
M
M

m=1
P
e|cm
(3)
The conditional probability of symbol of error can be expanded as
P
e|cm
= P[c
m
is detected incorrectly [ c
m
was transmitted]
=
M

l=1
l=m
P[c
m
is estimated as c
l
[ c
m
was transmitted]
Computing each of these probabilities is dicult and requires integration over a possibly com-
plicated Voronoi region specic to each type of modulation. A simplifying approximation is the
pairwise error probability(PEP) in which it is assumed for the purposes of calculation that only
c
m
and c
l
are in the constellation. This is denoted P[c
m
c
l
]. For complex AWGN
P[c
m
c
l
] = Q
_
_

E
x
N
o
[[c
m
c
l
[[
2
2
_
_
(4)
PEP overestimates the probability of decoding c
m
as c
l
, so
P
e|cm

M

l=1
l=m
Q
_
_

P
N
o
[[c
m
c
l
[[
2
2
_
_
(5)
3
Then let d
2
min
be the square of the minimum distance between points in the constellation (.
Then
P
e

1
M
M

m=1
M

l=1
l=m
Q
_
_

P
N
o
[[c
m
c
l
[[
2
2
_
_

1
M
M

m=1
M

l=1
l=m
Q
_
_

P
N
o
d
2
min
2
_
_
=
1
M
M

m=1
(M 1)Q
_
_

P
N
o
d
2
min
2
_
_
= (M 1)Q
_
_

P
N
o
d
2
min
2
_
_
(6)
The Cherno bound on the Q-function is
Q(x)
1
2
e
x
2
/2
(7)
So then the probability of error can be approximated as
P
e

M 1
2
e

P
No
d
2
min
4
(8)
This bound is very useful in calculating the diversity gain for simple multiple antenna systems.
2.1.2 Outage Probability
Formally the channel is in outage if the rate of transmission exceeds the channel capacity. The
outage probability is the probability that this situation occurs: P [C < R]. From expressions
for outage probability one can also nd the diversity gain in a manner similar to the average
probability of error method. For the typical Gaussian memoryless channel the channel capacity
is C = Blog
2
(1 + SNR). Thus
P [Blog
2
(1 + SNR) < R] = P
_
SNR < 2
R/B
1

Generally for other channels the outage condition reduces to the SNR being below a certain
threshold. Thus the diversity gain can generally be found from the probability:
P [SNR < ]
4
2.2 Spatial Multiplexing
Besides providing diversity gain and improved error performance MIMO can also provide in-
creased data rates and spectral eciency through spatial multiplexing. To see how MIMO
achieves this rst consider QAM. The transmitted signal can be expressed as
x
n
(t) = a
n
(t)cos(2f
c
t) b
n
(t)sin(2f
c
t) (9)
assuming the appropriate normalizations have been made. This system has two real degrees of
freedom (1 complex degree of freedom) because independent streams of bits could be transmitted
on the cosine and sine terms. In practice, however, the two independent streams usually come
from one original stream, which is demultiplexed by the symbol mapping operation into two
streams, which are placed on the cosine and sine terms.
Fundamentally MIMO provides increased rates in a similar way by providing even more degrees
of freedom. The degrees of freedom in MIMO come from the multiple antennas transmitting
independent streams. In the 4 4 MIMO case, for example, each transmit antenna can send
an independent stream, which will be received by all four antennas simultaneously, so there
are four degrees of freedom. The maximum possible complex degrees of freedom for MIMO is
minn
t
, n
r
.
3 Basic Schemes for Multiple Antennas
Now consider a few basic multiple antennas schemes that can provide diversity. The major
assumptions underlying these schemes are whether the receiver has channel information(CSIR)
or the transmitter has channel information(CSIT). CSIR is a pretty common assumption and
can be achieved through several estimation methods. CSIT is trickier to achieve as the receiver
must estimate the channel and feed the estimate back to the transmitter through a feedback
channel in FDD or the transmitter must assume that it sees the same channel as the receiver in
TDD. Feedback entails a cost in terms of lost capacity and bandwidth.
3.1 Channel Models
The channel model for these basic MIMO schemes is a simple extension of the scalar Rayleigh
channel. The channels are now modeled as complex Gaussian vectors with (^(0, I) distribution.
This channel model is justied in terms of physical propagation models in the next section.
5
3.2 Scalar Rayleigh Channel
For comparison consider the scalar Rayleigh channel
y[n] = hx[n] + v[n] (10)
with h (^(0, 1) and v[n] (^(0, N
o
).
For a complex gaussian vector of length m with correlation matrix R the pdf for the vector h
is given by
f
h
=
1

m
[ det R[
e
h

R
1
h
(11)
Also by the denition of the pdf
_ _

_
1

m
[ det R[
e
h

R
1
h
dh = 1 (12)
Then the average probability of error for the Rayleigh channel is
P
e
E
_
M 1
2
e

hP
No
d
2
min
4
_
=
M 1
2
_
1

hP
No
d
2
min
4
e
h

h
dh
=
M 1
2
_
1

e
h

1+
P
No
d
2
min
4

1
h
dh
=
M 1
2
_
_
1 +
P
No
d
2
min
4
_
1

_
1 +
P
No
d
2
min
4
_
1
e
h

1+
P
No
d
2
min
4

1
h
dh
=
M 1
2
_
1 +
P
No
d
2
min
4
_ (13)
At high SNR
P
e
SNR
1
(14)
This corresponds to a diversity gain of 1, which is to be expected as there is only one copy of
the signal.
3.3 Maximal Ratio Combining
Consider a system with a single transmit antenna and n
r
receive antennas - the Single-In
Multiple-Out (SIMO) case. This system can be modeled as
y[n] = hx[n] +v (15)
6
This model is basically an extension of the scalar Rayleigh channel to the vector iid Rayleigh
channel. The receiver must take the received parallel signal and estimate the transmitted symbol.
In MRC this is done with a weighted summation of the received branches performed by a complex
vector q.
z[n] = qhx[n] +qv (16)
In this case the SNR can be calculated and bounded with the Cauchy-Schwarz inequality.
SNR =
[qh[
2
P
[q[
2
N
o

[q[
2
[h[
2
P
[q[
2
N
o

[h[
2
P
N
o
(17)
Thus the optimal choice for q is q = h

, which achieves the maximum SNR [Kah54]. This is

eectively a matched lter. Multiplying by the conjugate of the channel co-phases the signals
and then weights the branches by the channel amplitude [Rapp02]. This kind of action is
similar to the RAKE receiver for CDMA. Now to calculate the diversity gain of MRC through
the average probability of error with the union upper bound consider:
P
e
E
_
M 1
2
e

||h||
2
P
No
d
2
min
4
_
= E
_
M 1
2
e

hP
No
d
2
min
4
_
Then since R = I,
P
e

M 1
2
_ _

_
1

nr
e

hP
No
d
2
min
4
e
h

h
dh
=
M 1
2
_ _

_
_
P
4No
d
2
min
+ 1
_
nr

nr
_
P
4No
d
2
min
+ 1
_
nr
e
h

(
P
4No
d
2
min
+1)
1
I

h
dh
=
M 1
2
_
P
4No
d
2
min
+ 1
_
nr
(18)
Then at high SNR
P
e
SNR
nr
(19)
From this calculation it is evident that the diversity gain is n
r
- the number of receive antennas
and also the number of copies of the symbol that the receiver sees.
3.4 Selection Combining
This method has the same general setup as MRC but the receiver selects the best receive
antennas with largest [h
i
[ as opposed to combining the signal from all antennas [Jak71]. This
7
method can achieve the same diversity gain as MRC - n
r
. Assuming each branch has amplitude
s
k
, then as outlined in [SA00]
P [maxs
1
, s
2
, . . . , s
nr
< S] =
_
1 e
S
2
_
nr
(20)
So the pdf of s
max
is given by
p
smax
(S) = n
r
2Se
S
2
_
1 e
S
2
_
nr1
(21)
Then the average received SNR is
SNR = P
nr

i=1
1
i
(22)
It is obvious from this equation that increasing the number of receive antennas provides a
diminishing return. Most of the gain comes from going from one receive antenna to two and
three receive antennas.
3.5 Equal Gain Combining
The branches from each antenna are rst co-phased to cancel out the eects of the channel and
then they are simply added together to produce the output. If the channel tap h
i
=
i
e
j
i
, then
the co-phasing operation is simply a multiplication of each branch by e
j
i
. Equal gain combining
produces performance similar to MRC and achieves the full diversity gain as demonstrated in
[Yac93], but with a 1-3 dB penalty depending on the exact setup and number of antennas.
3.6 Transmit Maximal Ratio Combining
We have considered the SIMO case and now it is time to consider the Multiple-In Single-Out
(MISO) case with n
t
transmit antennas. With multiple transmit antennas it is important to
keep the total transmit power P constant to allow a fair comparison to the cases with only one
transmit antenna. The question now is if any diversity gain can be achieved and if so how? A
rst attempt to achieve diversity gain with multiple transmit antennas is to simply transmit the
same symbol on each branch. However, this method does not achieve any diversity gain. To get
an intuitive explanation for this one can consider the eective channel that the receiver sees to
be
h
1
+ h
2
+ + h
nt

n
t
(^(0, 1) (23)
The
1

nt
normalizes the transmit power. This eective channel behaves like a scalar Rayleigh
channel, which provides no diversity gain beyond the scalar Rayleigh channel.
An approach that does work is Transmit Maximal Ratio Combining (TMRC), which requires
CSIT and is a close analog of MRC. The system can be modeled as
y = hx + v (24)
8
A weighting vector q sends a weighted version of the current symbol x to each antenna. So then
y = hqx + v (25)
Then by a derivation similar to MRC it can be shown that the optimal choice for q is q = h

[God97]. The diversity gain for this scheme is n

t
.
3.7 Alamouti Code
Using TMRC requires CSIT, which entails a host of other problems including delay issues and
channel estimation accuracy issues. However, Alamouti in [Ala98] showed that in the 2 n
r
case it is possible to achieve the full diversity, 2n
t
, without CSIT using a clever transmit scheme
with minimal drawbacks. To get the idea of the Alamouti code consider the 2 1 case. For a
narrowband channel the system can be modeled as
y[n] = h
1
x
1
[n] + h
2
x
2
[n] + v[n] (26)
with h
1
and h
2
the channel coecients. To transmit two symbols u
1
and u
2
do the following
over two symbol times:
1. During the rst symbol time send x
1
[n] = u
1
and x
2
[n] = u
2
.
2. During the second symbol time send x
1
[n + 1] = u

2
and x
2
[n + 1] = u

1
.
The system can then be written in matrix form as
_
y[n] y[n + 1]

=
_
h
1
h
2

_
u
1
u

2
u
2
u

1
_
+
_
v[n] v[n + 1]

(27)
The receiver is trying to detect u
1
and u
2
, so it is more convenient to write the system in the
following form obtained by conjugating y[n + 1]:
_
y[n]
y

[n + 1]
_
=
_
h
1
h
2
h

2
h

1
_ _
u
1
u
2
_
+
_
v[n]
v

[n + 1]
_
(28)
The two columns of the square matrix are orthogonal:
_
h

1
h
2
h

2
h
1
_ _
h
1
h
2
h

2
h

1
_
=
_
[h
1
[
2
+[h
2
[
2
0
0 [h
1
[
2
+[h
2
[
2
_
Thus this detection problem can be decomposed into simple scalar detection problems by pro-
jecting the receiver vector y onto each column of the H matrix. Then the received signal for
each symbol that is used for detection is
r
i
= [[h[[
2
u
i
+ v
i
(29)
9
with v
i
(^(0, N
o
). In detection the vector channel is decomposed into a scalar Rayleigh
channel for each symbol. The Alamouti code is representative of a larger class of codes call
orthogonal space-time block codes (O-STBCs) that also have easy detection due to orthogonality.
It can be shown that the diversity gain is 2. Since each symbol is transmitted twice, the
transmit power of each antenna must be reduced by 3 dB compared to the single antenna case
to normalize the total power. This power loss hurts detection but no so much as to make the
Alamouti code useless. In fact, there are some advantages to using antennas transmitting with
lower power. At lower power it is easier to nd cheap ampliers that can operate in the linear
region. Also the Alamouti code transmits two symbols over two symbol periods, so its eective
rate of transmission is the same as the original symbol rate.
Finally, the Alamouti code can be extended to the full 2n
r
case by using the same transmission
scheme as the 2 1 case and MRC. This method provides the full 2n
r
diversity gain.
Figure 2: Comparison of Alamouti and MRC Error Performance [OC06]
4 MIMO Channel Modeling and Capacity
In this section we will consider several MIMO channels and the physical meaning behind these
channels. Of particular interest is how the structure of a MIMO channel suggests the gains of
MIMO. For all MIMO channels we will assume the rate of transmission is high enough that the
channel will be slow fading, which is a reasonable assumption in any modern high speed wireless
system.
10
4.1 Narrowband MIMO Channel
First, consider the narrowband MIMO channel in which the channel is modeled as a single
complex coecient h
ij
between the jth transmit antenna and the ith receive antenna [Gold05].
In this case the system can be modeled with matrices as y = Hx +v. This can be written as
_

_
y
1
.
.
.
y
nr
_

_
=
_

_
h
11
h
1nt
.
.
.
.
.
.
.
.
.
h
nr1
h
nrnt
_

_
_

_
x
1
.
.
.
x
nt
_

_
+
_

_
v
1
.
.
.
v
nr
_

_
(30)
with v
i
(^(0, N
o
). This is a nice mathematical formulation, but it oers little insight into
what constitutes desirable properties for H. The singular value decomposition (SVD), however,
can provide the desired insight. The SVD of H is
H = UV

(31)
with U C
nrnr
, V C
ntnt
, and R
nrnt
. Both U and V are unitary, which means
UU

= U

U = I
nr
(32)
VV

= V

V = I
n
t
(33)
Then the system becomes
y = (UV

)x +v (34)
Dene y = U

y, x = V

y, and v = U

v. Then
y = x + v (35)
with v (^(0, N
o
I
nr
), since U

is unitary. Let n
min
= minn
r
, n
t
. Then the matrix is zero
except on the diagonals where
ii
=
i
is the ith singular value of H. In addition by convention,

1

2

n
min
. This coordinate change transforms the complicated system described by
H into the simple system with independent parallel channels described by .
4.1.1 Narrowband MIMO Channel Capacity
Since the MIMO channel has been decomposed into several parallel channels, the capacity is
easy to compute. The capacity that a MIMO system can support in this case assuming CSIR
and CSIT is
C
sum
=
n

i=1
Blog
2
_
1 +
P
i

2
i
N
0
_
(36)
11
as demonstrated in [CT91, CKT98, Tel95]. The power allocation P
i
can be chosen by trying
to maximize C
sum
subject to the constraint

n
min
i=1
P
i
= P. Lagrange multipliers can be used in
this case to compute the optimal power allocation.

P
i
_
n
min

i=1
Blog
2
_
1 +
P
i

2
i
N
0
_
_
=

P
i
_
n
min

i=1
P
i
_
B
2
i
(P
i

2
i
+ N
o
) log(2)
=
P
i
=
B
log(2)

N
o

2
i
(37)
with chosen such that

n
min
i=1
P
i
= P. This power allocation method is known as the waterlling
power allocation. The term
B
log(2)
represents the surface of the water and the
No

2
i
term represents
the depth of the water for any singular value.
4.1.2 Rank and Condition Number
Let k be the number of nonzero singular values of H, which is also the rank of H. At high SNR
the waterlling allocation is close to the uniform power allocation, so
C
k

i=1
Blog
2
_
1 +
P
2
i
kN
o
_
k log
2
(SNR) +
k

i=1
log
2
_

2
i
k
_
(38)
k is thus the parameter that controls the number of spatial degrees of freedom and hence the
number of independent streams that can be multiplexed [TV05]. So obviously we want k as
large as possible, which is n
min
at most in the case that H has full rank. That the channel
capacity increases linearly in n
min
at high SNR is one of the most attractive features of MIMO.
Jensens inequality can give more information about behavior of the capacity with respect to
H.
k

i=1
Blog
2
_
1 +
P
2
i
kN
o
_
Blog
2
_
1 +
P
kN
o
k

i=1

2
i
_
(39)
This suggests that the quantity

k
i=1

2
i
should be maximized. This is achieved precisely when
all the singular values are roughly equal. In other words
max

min
1. In matrix theory this quantity
is the condition number, (H), and a matrix with (H) 1 is said to be well-conditioned. Thus
H should be well conditioned to ensure a large capacity.
4.2 Physical Modeling of MIMO Channels
The major goal of this section is to see how MIMOs ability to spatially multiplex depends on
the actual propagation environment. Also, this section will examine what must be true of the
propagation to ensure that the rank and condition number criteria are satised. All antenna
arrays in this section are assumed to be linear and uniformly spaced.
12
4.2.1 LOS SIMO and MISO Channel
Suppose the antennas are uniformly and linearly spaced by
r

c
where
r
represents the spac-
ing as a fraction of the wavelength. This normalization eliminates many s from subsequent
equations.
Figure 3: LOS MISO and SIMO [TV05]
13
The impulse responses between the transmit antenna and each receive antenna are
h
i
() = a( d
i
/c) (40)
a models the path loss of the propagating wave and the d
i
/c term models the time it takes for a
propagating EM wave to reach the ith receive antenna [SMB01]. At baseband the channel gain
is given by
h
i
= a e
j2d
i
/c
(41)
So then the channel can be modeled with AWGN as
y = hx +n (42)
with h = [h
1
, h
2
, . . . , h
nr
] and w (^(0, N
o
I
nr
). For large d
d
i
d + (i 1)
r

c
cos() (43)
Dene = cos(). Dene the following quantity from [Fle00]:
a
r
() =
1

n
r
_

_
1
e
j2r
.
.
.
e
j2(nr1)r
_

_
(44)
Then the following important identity holds:
a

r
()a
r
() =
1
n
r
_
1 e
j2r
e
j2(nr1)r

_

_
1
e
j2r
.
.
.
e
j2(nr1)r
_

_
=
1
n
r
_
(1) (1) +
_
e
j2r
_ _
e
j2r
_
+ +
_
e
j2(nr1)r
_ _
e
j2(nr1)r
__
a

r
()a
r
() = 1 (45)
Then the channel h can be written as
h = a e
j2d/c

n
r
a
r
() (46)
as demonstrated in [SMB01]. The channel capacity is
C = Blog
2
_
1 +
P[[h[[
2
N
o
_
= Blog
2
_
1 +
Pa
2
n
r
N
o
_
(47)
as given in [TV05]. Thus there is a power gain and increased capacity potentially but no degree
of freedom gain and so no spatial multiplexing is possible.
The MISO case is similar and involves the use of
a
t
() =
1

n
t
_

_
1
e
j2t
.
.
.
e
j2(nt1)t
_

_
(48)
14
4.2.2 LOS MIMO
Similarly to the SIMO case the baseband equivalent channel is
h
ij
= ae
j2d
ij
/c
(49)
If d is large then
d
ij
d + (i 1)
r

c
cos(
r
) (j 1)
t

c
cos(
t
) (50)
as shown in [TV05]. Dene
r
= cos(
r
) and
t
= cos(
t
). Then the channel matrix is given
by
H = a

n
t
n
r
e
j2d/c
a
r
(
r
)a

t
(
t
) (51)
In this case H has rank 1 and the only singular value is a

n
t
n
r
. Then the capacity is
C = Blog
2
_
1 +
Pa
2
n
t
n
r
N
o
_
(52)
This is the same result as the SIMO/MISO case: no degree of freedom gain.
4.2.3 Geographically Separated MIMO
Still consider LOS propagation and the narrowband case.
Figure 4: Geographically Distributed Antenna Arrays [TV05]
15
Then the channel between the kth transmit antenna and all the receive antennas is
h
k
= a
k

n
r
e
j2d
k
/c
a
r
(
rk
) (53)
with d
k
the distance between the kth transmit antenna and the rst receive antenna [PNG03,
Her04]. a
r
() is periodic with period 1/
r
. Also, the function a
r
() doesnt take on the same
value twice in one period, so a
r
(
r1
) and a
r
(
r2
) are linearly independent as long as
r1

r2
is
not an integer multiple of 1/
r
. In the 2 n
r
case as long as the two angles are not a multiple
of 1/
r
the two rows of H are linearly independent and thus H has full rank. Thus in this
case spatial multiplexing is possible. Now what remains to be considered is whether H is well-
conditioned. To determine this consider the angle between the two columns of H associated
with the two transmit antennas. This angle satises
[ cos()[ = [a

r
(
r1
)a
r
(
r2
)[ (54)
=

sin(L
r

r
)
n
r
sin(L
r

r
/n
r
)

(55)
with L
r
= n
r

r
. Then the two singular values are

1
=
_
a
2
n
r
(1 +[ cos [),
2
=
_
a
2
n
r
(1 [ cos [) (56)
Thus
(H) =

1 +[ cos [
1 [ cos [
(57)
Thus the matrix is ill conditioned whenever [ cos()[ 1, which occurs when
[
r

m

r
[ <<
1
L
r
(58)
for some integer m. So basically when the dierence between two directional cosines of two
angular paths are within
1
Lr
the receiver cant distinguish between the two paths. This is similar
to the case in frequency selective channels in which the bandwidth of the system controls which
multipath delays can be resolved.
4.2.4 Two-Ray MIMO
Consider the full MIMO case with antenna arrays at both the transmitter and receiver. Let d
(i)
be the distance between transmit antenna 1 and receiver antenna 1 along path i.
Dene
a

i
= a
i

n
t
n
r
e
j2d
i
/c
(59)
Then the channel matrix can be expressed as
H = a

1
a
r
(
r1
)a

t
(
t1
) + a

2
a
r
(
r2
)a

t
(
t2
) (60)
16
Figure 5: Two-Ray MIMO [TV05]
as in [PNG03, Her04]. This expression for the channel can be put in matrix form as
H =
_
a

1
a
r
(
r1
) a

2
a
r
(
r2
)

_
a

t
(
t1
)
a

t
(
t2
)
_
(61)
To ensure H has rank 2 the following two conditions must hold:

t1
,=
t2
mod
1

r
(62)

r1
,=
r2
mod
1

r
(63)
H has rank 2 so spatial multiplexing is possible. To ensure that H is well conditioned it is
necessary that
r2

r1

1
Lr
and
t2

t1

1
Lt
that is to say there must be sucient angular
separation at the transmitter and receiver to ensure that the paths can be resolved.
4.3 Statistical Modeling of MIMO Channels
In the case of a frequency selective channel the channel can be modeled as an FIR lter with
taps h[n]. In this case not all individual multipath components can be resolved but only mul-
tipath components that dier in delay by a sucient amount related to the system bandwidth.
In modeling a MIMO channel the interest is not in time resolution of multipath but angular
resolution at the transmitter and receiver [Par00].
Suppose the transmit and receive antenna lengths are L
t
and L
r
. Paths that have s that dier
by less than
1
Lt
at the transmitter or
1
Lr
at the receiver can not be resolved. The term h
ij
is
the aggregation of all paths of angular spacing
1
Lt
about
j
Lt
and angular spacing
1
Lr
about
i
Lr
.
If there are an arbitrary number of paths then the channel is given by
H =

i
a

i
a
r
(
ri
) a

t
(
ti
) (64)
The received and transmitted signals can always be expressed in terms of the follow pair of
17
basis:
o
r
=
_
a
r
(0), a
r
(
1
L
r
), . . . , a
r
(
n
r
1
L
r
)
_
(65)
o
t
=
_
a
t
(0), a
t
(
1
L
t
), . . . , a
t
(
n
t
1
L
t
)
_
(66)
which represent the angular bins.
Figure 6: Angular Domain MIMO [TV05]
Each basis can be used to represent transmitted and received signals in the angular domain in
terms of the directional cosine . Let U
t
be the n
t
n
t
matrix with columns from o
t
. If x is a
vector transmitted by the antennas, then in the angular domain x
a
are related by
x = U
t
x
a
, x
a
= U

t
x (67)
By examining the matrix U
t
it can be seen that x
a
is the IDFT of x. Then dene y
a
= U

r
y.
In this coordinate system
y
a
= U

r
HU
t
x
a
+v
a
= H
a
x
a
+v
a
(68)
Each element h
a
ij
can be reasonably modeled as independent circularly symmetric complex Gaus-
sian r.v. like the Rayleigh channel. The validity of this assumption rests on two key factors
18
Amount of scattering and reection in the multipath environment - this model needs
several multipath components in each angular bin
The lengths of L
t
and L
r
- Short antenna arrays lump many multipath components into
the same angular bin. A longer antenna array results in better angular resolution of paths
and more non-zero entries in H
a
.
Since U
t
and U
r
are unitary and
H = U
r
H
a
U

t
(69)
H has the same iid Gaussian distribution [CT91]. Thus in the narrowband case the MIMO
channel is basically an extension of the scalar Rayleigh channel where each coecient of the
channel matrix is a complex Gaussian random variable. In addition, results from random matrix
theory show that H with this distribution has full rank with probability 1. Thus the channel in
this model can support spatial multiplexing.
If there is a strong line-of-sight component, then the fading is not Rayleigh but Ricean.
Antenna Spacing The assumption that the coecients of H are independent or at least
uncorrelated depends heavily on the antenna spacing. As a rule of thumb antenna spacing of
at least

2
is desirable and results in uncorrelated coecients [FG98]. As the antenna spacing
increases there is still a diversity gain but it is not quite as large as if the antennas were
spaced further. As the antenna spacing decreases towards

4
the channel coecients become
strongly correlated. The exact amount of correlation depends on the angular spread of the
antennas. For antennas with small angular spread at separations on the order of

4
or smaller
the coecients are highly correlated. Since the coecients are highly correlated the receiver
does not see as many independent copies of the transmitted signal, so the achievable diversity
gain is reduced. In practice the channel coecients are never completely uncorrelated but
as a simplifying assumption to make analysis tractable we assume they are uncorrelated and
independent.
4.3.1 Frequency Selective MIMO Channel
The extension of the preceding at MIMO channel model to the frequency selective MIMO
channel model is fairly straightforward. The channel in this case can be modeled as
y[n] =
N

l=1
H
l
x[n l] +v[n] (70)
as in [TV05]. In this model the channel between any two pairs of antennas is modeled as a
scalar frequency selective channel in which the output is a convolution of the input and the
channel taps. The justication for this model is a straightforward extension of the angular
model outlined in the previous sections.
19
5 Diversity-Multiplexing Tradeo
A MIMO system can transmit one symbol on all the transmit antennas and use the right pro-
cessing to obtain the full diversity gain n
t
n
r
. On the other hand a MIMO system can transmit
n
min
independent streams to provide the maximum possible rate with the minimum error protec-
tion. The diversity-multiplexing tradeo involves investigating what happens between these two
extremes and in particular what constitutes the optimal tradeo. In particular, transmitting at
a given rate what is the maximum possible diversity gain. This kind of analysis leads to a curve
relating the transmit rate and the optimal diversity gain. Of great interest is whether a given
space-time code or modulation can achieve this frontier and thus be optimal.
This tradeo curve is dicult to compute, but some methods have been proposed to simplify
the study of this tradeo. Tse and Zheng proposed in [ZT03] studying this tradeo by making
assumptions on the possible rates of transmission and letting the SNR approach innity. At
high SNR the MIMO capacity is
C n
min
log
2
(SNR) (71)
for a channel with full rank. Tse and Zheng assumed that only rates R = r log(SNR) are
possible with r = 0, 1, . . . , n
min
. The optimal diversity gain, d

(r), is the exponent in the outage

probability, so
p
out
SNR
d

(r)
(72)
Thus it makes sense to dene
d

(r) = lim
SNR
log p
out
(r log SNR)
log SNR
(73)
Alternatively d

(r) can be dened in terms of the probability of error

d

(r) = lim
SNR
log P
e
(r log SNR)
log SNR
(74)
Before tackling the full MIMO channel it is useful to consider the diversity-multiplexing tradeo
in scalar and SIMO/MISO channels.
5.1 Scalar Rayleigh Channel
The scalar channel is in outage if the capacity it supports falls below the rate of transmission.
So p
out
is given by
p
out
= P
_
log
_
1 +[h[
2
SNR
_
< r log SNR

= P
_
[h[
2
<
SNR
r
1
SNR
_
[h[
2
is chi-squared distributed. For suciently large , P[[h[
2
< ] . Thus the outage
probability is approximately
p
out

1
SNR
1r
(75)
Thus d

(r) = 1 r is the optimal tradeo.

20
5.1.1 QAM over the Scalar Rayleigh Channel
It can be demonstrated that for QAM that P
e

2
R
SNR
. Then
d(r) = lim
SNR
log P
e
log SNR
= lim
SNR
log
_
2
r log SNR
/SNR
_
log SNR
= lim
SNR
r log SNR log SNR
log SNR
= 1 r (76)
Thus QAM achieves the optimal diversity-multiplexing tradeo of the scalar Rayleigh channel.
5.2 MISO Rayleigh Channel
In this case the system can be modeled as
y[n] = hx[n] + w[n] (77)
Taking the rate R = r log SNR as usual the outage probability is
p
out
= P
_
log
_
1 +[[h[[
2
SNR
n
t
_
< r log SNR
_
(78)
[[h[[
2
is
2n
distributed so the approximation P[[[h[[
2
< ]
nt
can be used. Then the outage
probability is roughly
p
out
SNR
nt(1r)
(79)
So it is apparent that the optimal tradeo d

(r) = n
t
(1 r).
The Alamouti code eectively decomposes the MISO channel into parallel Rayleigh channel. It
can be easily demonstrated that the optimal tradeo curve for this parallel Rayleigh channel is
d

(r) = 2(1 r). So if QAM is used on each of the scalar channels along with the Alamouti
code, then the resulting system is tradeo optimal for the MISO channel.
5.3 MIMO Rayleigh Channel
The outage probability is given by
p
out
= min
Kx:Tr[Kx]SNR
P [log det (I
nr
+HK
x
H

) < r log SNR] (80)

The matrix K
x
is the covariance matrix of the input and basically represents a power allocation.
The power allocation at the transmitter directly aects the SNR at the receiver. This scheme
21
makes a specic assumption about the rate R at a given SNR, so the input covariance matrix
must be chosen not to exceed the limit. The worst covariance matrix K
x
is approximately
1
nt
I
nr
,
so
p
out
= P
_
log det
_
I
nr
+
SNR
n
t
HH

_
< r log SNR
_
(81)
This outage probability can be written in terms of the singular values of H as
p
out
= P
_
n
min

i=1
log
_
1 +
SNR
n
t

2
i
_
< r log SNR
_
(82)
There are no neat approximations to evaluate this outage probability but there is a neat geo-
metric argument to evaluate the outage probability [TV05, ZT03]. First consider r close to 0.
Outage occurs when H is close to 0. Close can be evaluated in terms of the Froebnius norm
[[H0[[
F
= [[H[[
F
=
n
min

i=1

2
i
=

i,j
[h
ij
[
2
Thus the magnitude of each channel coecient [h
ij
[ must be close to 0 for the channel to be in
outage.
Now if r is an integer greater than 0 the situation becomes considerably more complicated, since
there are more ways to choose bad
i
to put the channel in outage. The situation seems hopeless
but it has been shown by Tse and Zheng that although there are many ways for the channel to
be in outage the most common way is for r eigenchannels to be good and the remained to be
bad. In this case H has rank r and H is in the space 1
r
of rank r matrices in the space C
ntnr
.
So the question of whether H puts the channel in outage is the question of whether H is close
to 1
r
in the appropriate sense.
This question is tractable but also a little tricky, since 1
r
is not a linear space. The following
paragraph is very technical but the fundamental result is simple: 1
r
can be considered to be a
linear space in a suciently small neighborhood. To see that 1
r
is not linear consider that if 1
r
were a linear space, then 0 1
r
. But clearly 0 has rank 0, so 0 / 1
r
. Thus 1
r
is not a linear
subspace of C
ntnr
. However, although it turns out that 1
r
may not be a linear subspace, it is a
manifold embedded in C
ntnr
. A manifold is a space with the property that small neighborhoods
of a point look like linear subspaces of R
k
or C
k
. For example, the surface of Earth is a manifold
since a small neighborhood looks like a portion of R
2
even though the overall space is clearly
not linear. The question of interest is what happens when H is close to 1
r
, so it is sucient to
consider a small neighborhood N of a point of 1
r
containing H. N looks like a linear subspace
of C
ntnr
. For the remainder of this argument restrict our consideration to N.
Since 1
r
can be considered locally linear, the notion of orthogonality can be used. Then H can
be decomposed into a portion in 1
r
and a portion in the space 1

r
, which is orthogonal to 1
r
. If
the portion of H in 1

r
vanishes, then H is basically in 1
r
, H has rank r, and so the channel is
22
in outage as discussed before. The probability that the portion of H in 1

r
vanishes(the outage
probability) is SNR
d
, where d is the dimension of 1

r
. If H is of rank r, then r rows of length
n
t
can be chosen and the remaining n
r
rows can be written as linear combinations of the rst
r rows. From this it follows that dim1
r
= n
t
r + (n
r
r)r. Since V
r
and V

r
decompose the
n
t
n
r
space,
n
t
n
r
= dimC
ntnr
= dim1
r
+ dim1

r
Thus
dim1

r
= n
t
n
r
(n
t
r + (n
r
r)r) = (n
t
r)(n
r
r) (83)
Thus p
out
SNR
(ntr)(nrr)
and so the optimal tradeo is given by d

(r) = (n
t
r)(n
r
r) for
r = 0, 1, . . . , n
min
.
Figure 7: Diversity-Multiplexing Tradeo For MIMO [TV05]
6 Space-Time Coding over Narrowband Channels
There are two major types of space-time codes: block codes and trellis codes. There names
imply their structures, which are derived from the similar structures in the single antenna case.
The basic idea of a space time block code is to map Q symbols into a block of transmitted
symbols of size n
t
T for some integer T. A trellis code is a convolutional code in which the
current output depends on a block of input bits and the previous input bits represented by the
state of the trellis code.
One general assumption on almost all space-time codes is the quasi-static assumption, which
assumes that the channel remains constant over the duration of a code. The rate at which the
23
Figure 8: Space-Time Encoder Structure
channel changes is related to the coherence time, which is in turn related to the Doppler spread.
The system must be designed to ensure that the duration of a codeword is less than the coherence
time. The channel can change between codewords, but not in the middle of codewords.
6.1 Error Motivated Design
It is important and interesting to nd conditions that will guarantee a good error performance
for a space-time code. One approach to nding these conditions for the slow fading MIMO
channel is to consider what factors aect ML decoding of the codewords. The optimal way to
detect a codeword is with ML detection is given by

( = arg min
CC
[[ H([[
2
(84)
The operation of this detector is limited mainly by the closest pair of codewords. If two code-
words are close together, then noise can lead to incorrect estimation of a codeword as another
codeword. Then the error probability of interest is the paired error probability(PEP) that a
codeword C is incorrectly decoded as E. Conditioning on the channel matrix H the PEP is
[Pro01]
P[C E[H] = Q
_
_

_
SNR
2
T

k=0
[[H(c
k
e
k
)[[
2
F
_
_
(85)
Averaging over all channel realization gives the average PEP: P[C E]. In a way similar to
the diversity-multiplexing tradeo the diversity gain, d
g
can be dened in terms of the PEP as
d
g
= lim
SNR
log P[C E]
log SNR
(86)
Generally at high SNR the PEP is of the form (c SNR)
dg
. The quantity c improves per-
formance and is called the coding gain. A good space-time code should then achieve a high
diversity gain and a high coding gain.
The relevant question now is how to achieve diversity and coding gains. The covariance of two
24
codewords C and E is the matrix

E = (EC)(EC)

. Then the PEP is given by [SA00, Sim01],

P[C E] =
1

_
/2
0
_
det
_
I
nt
+
SNR
4 sin
2

E
__
nr
d
=
1

_
/2
0
rank(

E)

i=1
_
1 +
SNR
4 sin
2

i
_
nr
d

rank(

E)

i=1
_
1 +
SNR
4

i
_
nr
with the second expansion due to expressing the determinants in terms of the eigenvalues
i
(

E)
and the last expansion valid at high SNR. This expression can be further bounded to yield
P[C E]
_
SNR
4
_
nrrank(

E)
_
_
rank(

E)

i=1

i
_
_
nr
(87)
Thus the diversity gain is n
r
rank(

E) and the coding gain is

rank(

E)
i=1

i
. Given these two gains
there are two criterion for a good space-time code at high SNR are as follows [TSC98]:
Rank Criterion - Maximize the minimum rank of the codeword dierence matrix to
achieve a good diversity gain always:
max
_
_
min
C,EC
C=E
rank(

E)
_
_
(88)
Determinant Criterion - Maximize the product of the nonzero eigenvalues to achieve
coding gain
d

= min
C,EC
C=E
_
_
rank(

E)

i=1

i
_
_
(89)
In the case where the codeword matrix always has full rank this becomes maximize
d

= min
C,EC
C=E
det

E (90)
These criteria guarantee good codes at high SNR.
6.2 Space-Time Block Codes
A space-time block code(STBC) maps a block of Q input symbols into a block of symbols of
size n
t
T to be transmitted on the antennas. A quantity of interest is the eective symbol rate
of the code:
r
s
=
Q
T
(91)
25
For r
s
= 1 the system eectively transmits one symbol per symbol period. For r
s
< 1 the system
on average transmits less than one symbol per symbol period. Codes with r
s
< 1 eectively
reduce the rate of transmission.
6.2.1 Linear STBCs
There are many dierent classes of space-time block codes, but one of the most common is the
linear block code. The codeword of the linear block matrix can be expressed as a linear function
of complex n
t
T basis matrices
q
and input symbols c
1
, c
2
, . . . , c
Q
as follows [HH01]:
( =
Q

q=1

q
'c
q
+
q+C
c
q
(92)
It may seem a little odd to break up the real and imaginary components of the symbols, but the
advantage of this approach is that conjugation of symbols can be used in linear STBCs. The
following example with the Alamouti code shows that this is possible.
Example: Alamouti code The two complex symbols c
1
and c
2
are mapped into the following
matrix, which represents the Alamouti code:
_
c
1
c

2
c
2
c

1
_
(93)
Then the code can be represented with basis matrices as:

1
=
_
1 0
0 1
_

2
=
_
0 1
1 0
_

3
=
_
1 0
0 1
_

4
=
_
0 1
1 0
_
(94)
Code Design Criteria for Linear STBCs As we saw in the previous section minimizing
the worst PEP is a good strategy to develop a good space-time code. In the case of linear
STBCs if the basis matrices are unitary meaning

= I
nt
if T n
t
(Tall matrix) or

= I
T
if T n
t
(Wide matrix), then the PEP condition is

p
+
p

q
= 0 q ,= p (Wide) (95)

p
+

q
= 0 q ,= p (Tall) (96)
Orthogonal STBCs There are a special class of linear STBCs that have special orthogonality
property that leads to easy decoding [TJC99]. An orthogonal STBC has codewords ( that satisfy
the following key property
((

=
T
Qn
t
_
Q

q=1
[c
q
[
2
_
I
nt
(97)
26
This property is very nice because it implies that easy decoding is possible due to the or-
thogonality. The key example of an O-STBC is the Alamouti code, which works on complex
constellations. It is clear in the case of Alamouti that it takes two symbol times to transmit
two symbols, so the transmit rate r
s
= 1. However, it turns out that the Alamouti code is the
only O-STBC that works on complex symbols that achieves a transmit rate r
s
of one symbol
per second. For more than two transmit antennas, r
s
< 1 always. If r
s
<
1
2
then it is always
possible to nd an O-STBC that achieves good diversity. For a purely real constellation it is
always possible to nd a real O-STBC for an n
t
that achives r
s
= 1. However, this is not very
useful as many constellations such as QAM are complex.
The diversity multiplexing tradeo for O-STBCs is given by [OC06] as
d

(g
s
) = n
t
n
r
(1
g
s
r
s
) g
s
[0, r
s
] (98)
for QAM constellations.
Quasi Orthogonal STBCs O-STBC achieve full diversity but at the expense of any spatial
multiplexing. Quasi Orthogonal STBCs (QO-STBCs) attempt to achieve some of the benets
of O-STBCs while also providing for some spatial multiplexing by using smaller O-STBCs as
building blocks. For example a QO-STBC could be
Q(c
1
, . . . , C
2Q
) =
_
O(c
1
, . . . , c
Q
) O(c
Q+1
, . . . , c
2Q
)
O(c
Q+1
, . . . , c
2Q
) O(c
1
, . . . , c
Q
)
_
(99)
were each O is a codeword matrix for a smaller O-STBC on only Q input symbols [TBH00]. If
the O represent Alamouti codewords, then the codeword matrix is
Q(c
1
, c
2
, c
3
, c
4
) =
1
2
_

_
c
1
c

2
c
3
c

4
c
2
c

1
c
4
c

3
c
3
c

4
c
1
c

2
c
4
c

3
c
2
c

1
_

_
(100)
Then during decoding the codeword matrix is multiplied by its conjugate, which yields
QQ

=
1
4
_

_
a 0 b 0
0 a 0 b
a 0 b 0
0 a 0 b
_

_
(101)
where
a =
4

q=1
[c
q
[
2
b = c
1
c

3
+ c
3
c

1
c
2
c

4
c
4
c

2
27
The codeword matrix doesnt nicely decouple like in the case of O-STBC, but at least the
rst/third and second/fourth columns can be decoded separately, which greatly reduces com-
plexity. Other combinations of O-STBCs have been proposed including the following Alamouti
like scheme [Jaf01]
Q(c
1
, . . . , C
2Q
) =
_
O(c
1
, . . . , c
Q
) O(c
Q+1
, . . . , c
2Q
)

O(c
Q+1
, . . . , c
2Q
) O(c
1
, . . . , c
Q
)

_
(102)
Decoding with this scheme has complexity similar to the previous case of QO-STBCs.
Rotated QO-STBCs Because of the way quasi orthogonal matrices are constructed if two
codewords E and C each contain one point from the constellation, then det(

E) = 0, which means
the QO-STBC fails the rank condition. This implies that in some cases QO-STBCs will have
bad diversity gain. A way to improve on this is to use rotated variations of the base constellation
to prevent rank deciencies and achieve good diversity gain [SP03, SX04, WX05, XL05].
Linear Dispersion Codes The BLAST architecture achieves high multiplexing gain at the
expense of diversity gain. O-STBC in contrast achieve high diversity gain at the expense of
multiplexing gain. Linear dispersion codes(LDC) try to achieve a little of both. LDCs are
derived through numerical optimization to determine, which basis matrices are optimal relative
to some criteria that balances diversity and multiplexing gain. There have been several LDCs
proposed including
1. Hassibi and Hochwald LDCs [HH01]
2. Heath and Sandhu LDCs [Hea01, San02]
Algebraic STBCs The Alamouti code works by transmitting two symbols and then their
conjugates arranged in the appropriate way. Algebraic codes also transmit a symbol twice, but
instead of transmitting a conjugate transmit a rotated version of the rst set of symbols. In
terms of the codeword marix this can be written as
C =
_
u
1

1/2
v
1

1/2
v
2
u
2
_
(103)
with
_
u
1
u
2
_
= M
1
_
c
1
c
2
_ _
v
1
v
2
_
= M
2
_
c
3
c
4
_
(104)
M
1
and M
2
are unitary matrices and the constellation points come from QAM that represent the
rotations. Fundamentally designing an algebraic code comes down to choosing the appropriate
matrices M
1
, M
2
, and .
28
B
2,
code In this code [DTB02]
M
1
= M
2
=
1
2
_
1 e
j
1 e
j
_
(105)
and is chosen by numerical optimization to t the given constellation. Finally, = e
j
.
Threaded Algebraic Space-Time Code(TAST) This code [GD03] is similar to the B
2,
code
M
1
= M
2
=
1
2
_
1 e
j/4
1 e
j/4
_
(106)
Tilted QAM This code [YW03] is given by
M
i
=
1

2
_
cos
i
sin
i
sin
i
cos
i
_
(107)
This choice of M
i
is literally a rotation matrix that rotates points about the origin by
i
radians.
Optimization methods can be used to nd .
Golden Code This code [BRV05] is given by
M
1
=
1

10
_


_
(108)
M
2
=
1

10
_
1 0
0 j
_
(109)
and are chosen in terms of the golden ratio
1+

5
2
and the constellation.
The gure below shows how these space-time codes compare to the optimal diversity-multiplexing
tradeo:
29
Figure 9: Diversity-Multiplexing Tradeo For Several Techniques [OC06]
The gure below shows the error performance of several space-time codes:
Figure 10: Error Performance For Several Techniques [OC06]
6.3 Bell Labs Space Time Architectures
The sections on the MIMO channel have demonstrated that MIMO can provide both a de-
gree of freedom gain (increased capacity) and a diversity gain (better error performance). The
Diagonal and Vertical Bell Labs Space Time Architectures (D-BLAST/V-BLAST) suggest gen-
eral architectures to achieve the gains of MIMO. The general idea of the BLAST architectures
30
is to multiplex several streams of symbols (possibly demultiplexed from one original stream)
onto the multiple antennas and then receive and decode the streams. Historically, G. Foschini
suggested the D-BLAST architecture rst and then V-BLAST was developed later as a simpli-
cation. However, logically it makes more sense to present V-BLAST rst and then discuss how
D-BLAST is logically an extension of V-BLAST.
6.3.1 V-BLAST
The general architecture of V-BLAST is described in the gure below [GFVW99]
Figure 11: VBLAST Architecture
The independent streams are multiplexed by the matrix Q onto the transmit antennas. At the
receiver the streams are decoded jointly or individually. In V-BLAST there is a large degree of
freedom in choosing the exact receiver structure. The choice of receiver structure aects error
rates, capacity, and the complexity of decoding. The design of ecient V-BLAST receivers is
an active area of research.
There are two natural choices for Q depending on whether there is CSIT or not. If there is
CSIT, then the matrix V from the SVD of H can be used. At the receiver the received vector y
is multiplied by the matrix U from the SVD of H. These actions create an equivalent channel
model:
y = x + v (110)
The complex MIMO channel is reduced to several parallel scalar channels with each subchannel
carrying one stream. The action of Q is to rotate the input streams, so that the action of
the channel can be expressed in a simple form. Sometimes a system provides a codebook of
Q matrices that the transmitter can use. The feedback from receiver is just an index into the
codebook that tells the transmitter, which Q to use. This form of feedback massively reduces
the required bandwidth in the feedback channel.
If there is not CSIT, then the situation is considerably more complicated and interesting. In this
case the best choice for Q is simply the identity matrix I
n
t
. In this case the choice of receiver
is an interesting problem and there are many choices all with dierent choices.
V-BLAST Receiver Structures There are two general steps in the V-BLAST receiver. The
rst is demodulation in which the receiver estimates what symbol was sent and hence which bits
were sent. The next step is decoding in which any codes that were applied to individual streams
31
are decoded. Basically any convolutional and block code can be applied to individual stream, so
we are primarily interested in dierent architectures for demodulation. The optimal V-BLAST
receiver is the ML-receiver that jointly decodes the streams. The ML receiver estimates the
transmitted streams by the rule [TV05]
s = arg min
sC
[[y Hs[[
2
(111)
Practically what this method does is pick the closest point to the received vector in the lattice of
points formed by Hs, where s is a point in the original constellation. This problem is known as
the integer least squares problem. Although this method is optimal it is computationally complex
(NP-hard) as it must be performed over all possible transmit vectors. This computational
complexity generally makes it infeasible to use an ML detector.
Sphere Decoding Although the ML detector is basically computationally infeasible in many
practical system there has been considerable interest in algorithms that are similar to ML-
detection in methodology and performance but with considerably less complexity. In addition,
these ML-like algorithms can feed soft decisions to the decoders to improve their performance.
Sphere decoding is one such algorithm [VB99].
The basic idea behind sphere decoding is to look only at points within a sphere of radius d about
the received vector and then choose the closest point inside the sphere [HV05]. If the sphere
actually contains any points, then obviously it must contain the closest point, which is what
ML detection would pick as an estimate of the transmitted lattice point. In this case sphere
decoding agrees with ML detection.
Figure 12: Idea Behind Sphere Decoding [HV05]
This process reduces the search space and necessary number of computations. In addition, since
the transmitted vector is corrupted by AWGN, the actual transmitted lattice point is likely to
be close by the received vector and in the sphere. Then there are two key problems that sphere
decoding has to deal with [HV05].
1. How to nd lattice points inside the sphere?
The detector can not compare the received vector to every point in the lattice to nd
the points inside the sphere or it would be performing an exhaustive search oering no
advantage over normal ML-detection.
32
2. How to choose the sphere radius?
If d is too large, then the detector considers too many points. If d is too small, then the
sphere may contain no points. One way to choose the sphere radius is to compute the
Babai estimate for the transmitted symbol s
B
. This estimate is not actually a point in
the lattice, but the least squares solution (not constrained to the lattice) given by
s
B
= arg min
s
[[y Hs[[
2
(112)
Then choose d = [[y H s
B
. There are other heurestic methods to choose d.
A solution to problem number one above is based on a simple observation: the problem is
dicult in general but easy in one dimension. In one dimension the sphere is simply an interval,
so the problem reduces to nding the lattice points inside this interval. Now the algorithm
proceeds inductively by assuming that all k-dimensional points within the sphere of radius d
have been found. Then the set of k+1-dimensional points that lies within radius d is an interval,
which is the easy one-dimensional problem. This process continues until the full dimension of
the search space is reached. This process is usually visualized as a tree where the kth level of
the tree corresponds to the points of dimension k inside the sphere of radius d.
Figure 13: Tree for Sphere Decoding [HV05]
To see exactly how sphere decoding works suppose the lattice we are working on is the integer
lattice Z
m
[HV05]. Fix a sphere radius d. Suppose the channel matrix H R
nn
and that
n m. The goal is to nd the points s Z
m
such that
[[y Hs[[
2
d
2
(113)
where y is the received vector. The algorithm proceeds rst by calculating the QR factorization
of the matrix H:
H = Q
_
R
0
(nm)m
_
(114)
33
where Q is an n n orthogonal matrix and R is an m m upper triangular matrix. This
decomposition will make later calculations simpler. Expand the orthogonal matrix Q as
Q =
_
Q
1
Q
2

(115)
with Q
1
R
nm
and Q
1
R
n(nm)
. Then the points inside the sphere satisfy:
d
2
[[y
_
Q
1
Q
2

_
R
0
(nm)m
_
s[[
2
= [[
_
Q

1
Q

2
_
y
_
R
0
_
s[[
2
= [[Q

1
y Rs[[
2
+[[Q

2
y[[
2
This expression can be rearranged to the condition:
d
2
[[Q

2
y[[
2
[[Q

2
y Rs[[
2
(116)
Dene

d
2
= d
2
[[Q

2
y[[
2
and y = Q

1
y. Then the condition to be in the sphere is given by

d
2
[[ y Rs[[
2
(117)
=
m

i=1
_
y
i

j=i
R
ij
s
j
_
2
(118)
The sum can be written term by term as

d
2
( y
m
R
mm
s
m
)
2
+ ( y
m1
R
m1,m
s
m
R
m1,m1
s
m1
)
2
+ (119)
We observe that the rst term depends on only s
m
, the second term depends on only
s
m1
, s
m
and so on. Then the following is a necessary condition for any point s to be in
the sphere:

d
2
( y
m
R
mm
s
m
)
2
(120)
Basically the last coordinate of s must be within

d of y. Finding the integers that satisfy this
necessary condition is easy; they are simply the integers

d + y
m
R
mm
| s
m

d + y
m
R
mm
| (121)
The key step in this process is how to proceed from nding the s
m
in the sphere to nding which
s
m1
, s
m
are in the sphere. This is done by ensuring the rst two terms in equation 119 are
less than

d
2
:

d
2
( y
m
R
mm
s
m
)
2
+ ( y
m1
R
m1,m
s
m
R
m1,m1
s
m1
)
2
(122)
To make use of this condition proceed as follows: For each s
m
dene

d
2
m1
=

d
2
(y
m
R
mm
s
m
)
2
(123)
34
Then we can obtain a condition that s
m1
must satisfy to be in the sphere:

d
m1
+y
m1
R
m1,m
s
m
R
m1,m1
| s
m1

d
m1
+y
m1
R
m1,m
s
m
R
m1,m1
| (124)
By applying this method to each s
m
the points s
m1
, s
m
inside the sphere of radius d can be
found. This process can be continued until the full m-dimensional problem has been solved. It
is clear why a tree is an appropriate structure to represent the operation of sphere decoding,
since each leaf gives rise to some number of children (possibly zero) in the next iteration all
of whom are inside the sphere as one more dimension of the problem is solved. It is also clear
that if we choose the radius to be too small one of the conditions like equation 124 may not be
satised by any integer and thus no points are in the sphere. If the sphere radius is too large,
then too many points may satisfy equation 124 making computing the closest point tricky.
Non-Joint Detection Besides joint detection there are a wealth of detectors that work on
detecting individual streams from the received signal and dont attempt to decode all the streams
simultaneously. Consider trying to decode one stream x
k
. The system in this case can be
modeled as
y[n] = h
k
x
k
[n] +

i=k
h
i
x
i
[n] +v[n] (125)
where h
i
is the ith column of the channel matrix H. In this system there is a stream of interest
plus several interfering streams represented by the sum terms plus a noise terms. To successfully
decode the stream of interest the receiver must deal with the interference term and the noise
term.
Zero Forcing Nulling At high SNR performance will be interference limited not noise limited
[GFVW99]. ZF-Nulling attempts to remove all the interfering terms in the sum to leave only the
stream of interest. This can be done linearly with a single vector multiplication. The weighting
vector q
k
to decode the kth stream satises
q
T
k
h
j
=
kj
(126)
where
kj
is the Kronecker delta which is 1 when k = j and 0 otherwise. Then
q
T
k
y[n] = q
T
k
h
k
x
k
[n] +

i=k
q
T
k
h
i
x
i
[n] +q
T
k
v[n]
=
kk
x
k
[n] +

i=k

ki
x
i
[n] +q
T
k
v[n]
= x
k
[n] +q
T
k
v[n]
This weighting vector has an obvious geometric interpretation; the weighting vector projects the
received vector y onto a subspace orthogonal to h
1
, . . . , h
k1
, h
k+1
, . . . , h
nt
.
35
Figure 14: Zero Forcing Nulling MIMO
The weighting vectors are just the columns of the pseudoinverse of Hgiven by H

= (H

H)
1
H

,
so it is not too dicult to compute the appropriate weighting vectors given the channel matrix
H. It is easy to calculate the SNR out for each stream using weighting vectors as
SNR
k
=
P
[[q
k
[[
2
N
o
(127)
ZF-Nulling with Successive Interference Cancellation The SNR has an inverse relation
to [[q
k
[[
2
, so if [[q
k
[[
2
can be reduced the SNR will be increased. Results from linear algebra
indicate that the higher the dimension of the space that q
k
must be orthogonal to the larger
[[q
k
[[
2
is. So if q
k
must be orthogonal to fewer vectors, then [[q
k
[[
2
will be reduced. Successive
interference cancellation(SIC) can reduce the dimension and increase the SNR. The diagram
below shows the operation of SIC.
Figure 15: Successive Interference Cancellation [TV05]
With this scheme as each stream is decoded it is subtracted from the received vector. As a
result the subtracted scheme does not interfere with any subsequent streams. So then q
k
must
be orthogonal to h
k+1
, . . . , h
nt
. The reduced number of vectors means [[q
k
[[
2
is reduced and
SNR
k
is increased.
36
One practical issue when implementing SIC is the order of cancellation. The last decoded stream
has the least interference and achieves the best performance. It has been demonstrated that a
greedy choice of order is optimal relative to the maximin criteria [GFVW99]. This means that
the kth stream to be decoded should be chosen from the reaming streams as the one that will
achieve the highest SNR of the remaining streams if it is decoded now. The maximin criteria
means that the smallest SNR
k
is maximized by choosing the optimal order.
The major drawback to SIC is error propagation. Mistakes at the beginning of the decoding chain
can introduce mistakes later on. So if one stream is inaccurately decoded, then all subsequent
streams will likely be decoded inaccurately.
Matched Filter At very low SNR noise is the problem, so a matched lter can be used to
deal with the noise. In the MIMO case the matched lter for each stream is simply maximum
ratio combining(MRC) performed on the appropriate column of H.
MMSE Receiver The matched lter performs well at low SNR and ZF-nulling performs well
at high SNR. But at high SNR the matched lter has bad performance and at low SNR ZF-
nulling has bad performance. So naturally one may wonder if there is a receiver that operates
well at both low and high SNR. The MMSE receiver is such a receiver [TV05].
To understand how the MMSE receiver works consider the following SIMO system modeled as
y = hx +z (128)
with z colored noise having invertible correlation matrix K
z
. The rst operation is to whiten
the noise by multiplying by K

1
2
z
. Then the system becomes
K

1
2
z
y = K

1
2
z
hx +K

1
2
z
z (129)
Then apply a matched lter (K

1
2
z
h)

to yield the system

h

K
1
z
y = (h

K
1
z
h)x +h

K
1
z
z (130)
Thus the receiver simply multiplies the received signal by h

K
1
z
and performs normal demod-
ulation. This is the MMSE receiver, which maximizes the SNR, while minimizing the MMSE
between the estimate of x and x itself.
For V-BLAST the corrupting non-white noise is the interference terms plus the additive noise.
The covariance matrix for this noise is given by
K
z
k
= N
o
I
nr
+

i=k
P
i
h
i
h

i
(131)
A similar derivation shows that the MMSE receiver in this case the weighting vector is
q
k
=
_
N
o
I
nr
+

i=k
P
i
h
i
h

i
_
1
h
k
(132)
37
It is pretty easy to see that the MMSE receiver is a tradeo between the matched lter and
ZF-Nulling. At low SNR
K
z
k
N
o
I
nr
(133)
so the receiver is given by h
k
, which is a matched lter. At high SNR
K
z
k

i=k
P
i
h
i
h

i
(134)
and it can be seen that q
k
is simply the kth column of the pseudoinverse of H. Thus the MMSE
receiver is like ZF-Nulling at high SNR. In addition, the MMSE receiver has good performance
in the region between high and low SNR. If SIC is used in conjunction with MMSE, then
MMSE-SIC can achieve the channel capacity.
6.3.2 D-BLAST
Consider the kth stream. It is transmitted by one antenna and received by all n
r
receive
antennas. Thus the maximum possible diversity gain for any individual stream is n
r
and there
is a limit to how much MIMO diversity techniques can protect a stream [Fos96]. If a SIC
structure is used with either the MMSE receiver or ZF-nulling, then if one stream is incorrectly
decoded, then subsequent streams will likely be incorrectly decoded. The main reason for this
problem is that no coding is performed spatially across the multiple streams. Coding across
streams is used to ensure each stream is reliably decoded, but in order to decode the spatial
code across the streams each stream must already be decoded in V-BLAST. The solution to this
problem is to alter the way the streams are transmitted.
Consider the case with two transmit antennas. Suppose that there are two separate streams
each consisting of two blocks. Denote this by a
(i)
and b
(i)
for i = 0, 1. Then the D-BLAST
codeword is
( =
_
a
(1)
b
(1)
a
(2)
b
(2)
_
(135)
From this codeword matrix it is obvious where D-BLAST gets its name from, since the layers
are now diagonal. The receiver works as follows:
1. First receive a
(1)
with MRC
2. Next receive a
(2)
with MMSE or ZF-nulling, while ignoring b
(1)
.
3. Next decode the spatial code across the rst layer [a
(1)
a
(2)
].
4. Now a
(2)
has been reliably decoded, so it can be cancelled out and b
(1)
can be received.
5. Finally, b
(2)
can be received with MRC. Then the second layer [b
(1)
b
(2)
] can be decoded.
Now both streams have been decoded reliably. The key observation is that for a single layer
if one of the blocks for one stream is initially decoded incorrectly, there is still a chance to x
38
the error with the code applied across the layer. The major price to pay for using D-BLAST
is the lost capacity during the startup process due to the blank spots in the codeword. For
example, during the rst block the second transmit antenna transmits nothing, and so some
capacity is lost. Finally, there is also the cost in implementation complexity of applying coding
and decoding across streams.
6.4 Space-Time Trellis Codes
A space-time trellis code (STTC) is an extension of normal convolutional codes to multiple
antennas [TSC98]. The key idea behind a STTC is to make the output of the encoder a function
of the input bits and the state of the encoder, which is in turn a function of the previous inputs.
Trellis codes provide better error performance compared to block codes and coding gain at the
expense of implementation complexity.
6.4.1 Trellis Representation
Suppose B bits are input into the encoder, which has 2

states. A trellis diagram is a way of

representing the action of a STTC [OC06]. The diagram below shows a trellis. The number of
nodes is the number of states in the code. The left column represents the current state of the
code and the right column represents the next state. The possible outputs are listed on the left
hand side of the trellis. If the output is 02 for example then the 0
th
is sent on the rst antenna
and the 2
nd
symbol is sent on the second antenna. The transition arrows are driven by the input
bits. There are 2
B
arrows from each state on the left to states on the right for each possible
combination of inputs.
Figure 16: Trellis Coding [OC06]
The decoders job is estimate which sequence, path through the trellis, was sent with. One way
39
to do this is with a Maximum Likelihood Sequence Estimator (MLSE). There is a well known
algorithm - the Viterbi algorithm - to eciently estimate, which sequence was sent.
Trellis Complexity There is a fundamental lower bound to the complexity of a STTC. For a
STTC with B input bits and minimum rank r
min
has at least 2
B(r
min
1)
states. Obviously as the
number of states increases the complexity of decoding increases, so this lower bound on states
puts a lower bound on the possible complexity.
6.4.2 Delay-Diversity Scheme
This is one of the simplest trellis codes to achieve diversity [Wit93, SW94]. The codeword for
T transmitted symbols is given by
( =
1

2
_
c
1
c
2
c
T
0
0 c
1
c
T1
c
T
_
(136)
The trellis diagram below represents this code
The eect of this code is to convert spatial diversity to frequency diversity. Consider a 2 1
MIMO system. When c
1
is transmitted during the rst symbol period, it sees the channel h
1
.
When c
1
is transmitted during the second symbol period, it sees channel h
2
. This is equivalent
to passing c
1
through a frequency selective channel with two taps in the frequency domain: h
1
and h
2
. So spatial diversity becomes frequency diversity by applying this code.
7 Space-Time Coding for Frequency Selective Channels
There are two basic approaches to MIMO over frequency selective channels as in normal SISO
frequency selective channels:
1. Single carrier
2. Multicarrier - OFDM
Many modern wireless standards that use MIMO also use OFDM, so MIMO-OFDM is of par-
ticular interest.
7.1 Single Carrier
In this case the system can be modeled as
y
k
=
L1

l=0
H[l]c
kl
+v
k
(137)
40
This complicated system involving a summation can be expressed as a simple system of the form
y
k
= [H[0] H[L 1]]
_
c
T
k
c
T
kL+1

T
+v
k
(138)
which is similar to the narrowband MIMO case.
7.2 MIMO-OFDM
MIMO-OFDM is an extension of normal OFDM to the MIMO case where there are multiple
antennas.
7.2.1 OFDM
OFDM uses the FFT and IFFT to decompose the wideband frequency selective channel into
several smaller narrowband frequency at channels. The cyclic prex is added to prevent ISI.
Figure 17: OFDM System Model [OC06]
The system model can be expressed in the DFT frequency domain as
Y [k] = H[k]X[k] + V [k] (139)
with V [k] the corrupting noise. H[k]X[k] results in a circular convolution in the time domain,
which can be expressed in matrix form as
_

_
y[0]
y[1]
.
.
.
y[N 1]
_

_
=
_

_
h[0] h[N 1] h[N 2] h[1]
h[1] h[0] h[N 1] [2]
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
h[N 1] h[N 2] h[N 3] h[1]
_

_
_

_
x[0]
x[1]
.
.
.
x[N 1]
_

_
+
_

_
v[0]
v[1]
.
.
.
v[N 1]
_

_
The singular value decomposition of H is TT

. Where T is the matrix that performs the

DFT. The matrix is a diagonal matrix specic to each H
=
_

1
0

2
.
.
.
0
N
_

_
(140)
but T is not specic to each H.
41
7.2.2 Extension to MIMO-OFDM
A MIMO-OFDM system can be modeled like a SISO OFDM system with the channel taps
replaced by channel matrices [OC06]. First, start with the frequency selective MIMO channel
y
k
=
L1

l=0
H[l]x
kl
+v
k
(141)
Then append a cyclic prex, X
g
, to prevent ISI to produce the modied system
y = H
g
[X
g
X] +v (142)
with the channel matrix given by
H
g
=
_

_
H[l 1] H[1] H[0] 0 0
0 H[l 1]
.
.
. H[1] H[0] 0
.
.
.
0 0 H[l 1] H[l 2] H[0]
_

_
(143)
As in SISO OFDM the cyclic prex, which is necessary for practical implementation, can be
removed from the analytical model. A large blockwise circulant matrix can represent the eective
channel seen by the whole MIMO-OFDM codeword.
H
cp
=
_

_
H[0] 0 0 H[l 1] H[1]
.
.
.
0 0 H[l 1] H[1] H[0]
_

_
(144)
Since H
cp
is blockwise circulant, the SVD of H
cp
is given by
H
cp
= T

cp
T (145)
where T is the IDFT matrix as usual. Thus the complicated MIMO-OFDM channel can be
regarded as a diagonal channel with the appropriate coordinate change given by the DFT.
Given
H
k
=
L1

l=0
H[l]e
j2/Tkl
(146)
then ML detection is given by

X = arg min
C
T1

k=0
[[y
k
H
k
c
k
[[
2
(147)
42
Like OFDM, MIMO-OFDM has issues with PAPR and frequency oset estimation. A block
diagram for MIMO-OFDM follows below:
Figure 18: MIMO OFDM [OC06]
7.2.3 Space-Frequency Coded MIMO-OFDM
For normal OFDM the frequency domain channel coecients H[k] can be viewed as the channel
coecients in a narrowband fast fading time channel. The frequency index k can be reinterpreted
as a time domain index. Thus codes designed for fast fading time channels can be applied across
the subcarriers. In MIMO-OFDM the same idea can be used to code across the subcarriers
[TV05].
7.2.4 Space-Time Coded MIMO-OFDM
This is the simplest MIMO-OFDM system with no coding across the subcarriers. Instead the
OFDM part of the system chops the frequency selective channel into frequency at channels on
which normal space time coding techniques can be applied. For example in the 2 n
r
case the
Alamouti code can be used on each subcarrier through the following process:
1. Transmit [c
1
c
2
]
T
on a given tone during the rst OFDM symbol
2. Transmit [c

2
c

1
]
T
on the same tone during the second OFDM symbol
3. Perform normal Alamouti decoding
This idea certainly works, but it limits the system, since the channel has to remain static for the
duration of two OFDM symbols. Depending on system parameters this may not be a reasonable
43
assumption. In general all space-time codes discussed before assume the channel is static over
the duration of a codeword, so this is a general problem in Space-Time Coded MIMO-OFDM.
7.2.5 Space-Time Frequency Coded MIMO-OFDM
In a Space-Time Frequency Coded MIMO-OFDM system coding is performed over all three
available dimensions: space, time, and frequency. Below are several examples of this idea.
Generalized Delay Diversity This code [GSP02] has matrix form
C =
1

2
_

_
c
1
c
2
c
T
0 0
0 c
1
c
2
c
T
0
0 c
1
c
2
c
T
0
0 0 c
1
c
2
c
T
_

_
(148)
This code provides a diversity gain of 3.
Lindskog-Paulraj Scheme This code [LP00] basically extends Alamouti in a natural way
to MIMO-OFDM. The fundamental units of transmission are two blocks of length T: c
1
[k] and
c
2
[k]. The scheme is then
1. Send [c
1
[k] c
2
[k]]
T
2. Send [c

2
[k] c

1
[k]]
T
3. Decode like Alamouti except use two independent MLSE estimators. This can be accom-
plished with two parallel copies of the Viterbi algorithm.
8 Multiuser MIMO
Historically MIMO was developed for use in point to point situations. However, MIMO can also
be used as a multiple access technique to allow multiple users to seamlessly share the spatial
channel. This type of MIMO is called Multiuser MIMO(MU-MIMO). The typical application of
MU-MIMO is in a cellular system with multiple antennas at the base station and only one or two
antennas at each mobile [GKHCS07]. The collection of antennas at all the mobile users in a cell
is regarded as one big antenna array. One of the key advantages of having a distributed array
comprised of all the mobiles is that the channel matrix rarely suers from rank deciencies, so
spatial multiplexing is almost always possible. However, in order to actually get the benets
of MU-MIMO the base station needs CSIT or at least partial CSIT, which entails increased
complexity.
44
For a MU-MIMO system having N transmit antennas at the base station and U users each with
M
k
antenna the downlink, broadcast channel, for each user can be modeled as
y
k
= h
k
N

l=1
x
l
+v
k
(149)
The uplink, MAC channel, can be modeled as
y =
U

i=1
h
k
x
k
+v (150)
8.1 Precoding
Information theoretic results have shown that using a type of coding called dirty paper cod-
ing(DPC) at the transmitter N users streams can be multiplexed and transmitted [SB07, GC80].
Eectively what the coding at the transmitter does is pre-cancel out interference at the receivers
like ZF-nulling does in BLAST.
8.1.1 Linear Precoding
The downlink channel can be written in a simple for making explicit how other users streams
produce interference.
y
k
= H
k
s
k
+H
k
N

l=1,l=k
s
k
+v
k
(151)
The simplest form of precoding is to multiply the transmit symbols by a matrix, W
k
, that will
cancel out the interferers [SSH04].
y
k
= H
k
W
k
s
k
+H
k
N

l=1,l=k
W
l
s
k
+v
k
(152)
In the case when each user has one receive antenna this problem is identical to canceling inter-
ference in BLAST. So the proper choice for W
k
is the kth column of the pseudoinverse of the
eective channel matrix H =
_
h
1
h
1
h
N

.
8.1.2 Nonlinear Precoding
Nonlinear precoding is more like DPC than linear precoding and can produce better results at
the cost of increased complexity. Well known nonlinear precoding methods include perturbation
methods and Tomlinson-Harathisma codes [PHS05, HPS05].
45
8.2 Scheduling
If the number of users U is greater than the number of transmit antennas N, then the base
station cant transmit to all the users simultaneously. So at any given time the base station
must choose some subset of the users to transmit to [GKHCS07]. The optimal scheduling
algorithm is to simply perform an exhaustive search over all possible combinations of users.
This is not computationally feasible though, so heurestic methods must be used to choose a
subset of users. A simple choice is a greedy algorithm, which selects the N users with the best
channels.
8.3 Working with Partial CSIT
To achieve CSIT each user must feedback its channel estimate to the base station, which is tricky
and reduces capacity [GA04]. To combat this problem some research has been performed into
MU-MIMO systems with only partial CSIT. Basic results have demonstrated that the gains of
MU-MIMO can still be achieved with only partial CSIT, which entails less system complexity.
9 MIMO in Wireless Standards
Many emerging wireless standards provide for MIMO to provide both diversity and multiplexing
gain as needed. This section examines three prominent new wireless standards that employ
MIMO.
9.1 3GPP LTE
The Third Generation Partnership Project Long-Term Evolution (3GPP LTE) is the emerging
4G standard that is currently being implemented and tested. The major features of LTE are
outlined below [3GPP07, 3GPPRel8, 3GPPRel9]:
High data rates - 100 Mbps in the downlink using 2 2 MIMO and 50 Mbps in the uplink
using no MIMO
Mobility - Best performance for 0-15 km/hr and good performance of 15-120 km/hr.
Spectrum - No xed spectrum size. Allowed sizes are 1.25, 1.6, 2.5, 5, 10, 15, and 20 MHz.
OFDM - LTE uses OFDM with a variable number of subcarriers.
IP Network - No circuit switched domain but all IP based network.
The downlink in LTE provides several options for using MIMO. The basic option for the downlink
is two antennas at the base station and two at the mobile station. Extensions to LTE allow
4 2 and 4 4 MIMO. If the base station has CSIT, then there are two methods it can apply:
46
1. Pre-coding SDM - Since the base station knows the channel at the receiver, it can pre-code
the transmitted symbols to present interference using the V matrix from the SVD of H.
2. Beamforming - Use some form of beamforming such as TMRC.
Without CSIT the base station can use Space-Frequency Block Coding by using the Alamouti
code for each tone.
In the uplink MU-MIMO can be used with the proper scheduling. The baseline case assumes
1 2 and the extension is 1 4.
9.2 WiMAX
WiMAX was originally developed to address the last mile connection to the internet. It has
evolved to provide high data rate mobile data. The key features of WiMAX are outlined below
[IS04, IS05]:
High data rates - 75 Mbps in 802.16d and 30 Mbps in 802.16e.
Mobility - Introduced in 802.16e. Range up to 30 miles in 802.16e.
Spectrum - No xed spectrum size. Allowed sizes are 1.25, 2.5, 5, 10, and 20 MHz.
OFDM - WiMAX uses OFDM with a variable number of subcarriers.
The general structure of a WiMAX transmitter is demonstrated in the gure below:
Figure 19: WiMAX Transmitter [AGM05]
47
There are several dierent MIMO methods that can be employed in WiMAX. As we have seen
before the methods employed depend on whether the transmitter has channel state information
or not.
Open Loop (No CSIT) The 802.16 standard denes several options for space-time codes
for 2-4 antennas. However, the two most common codes for space-time coding are:
_
S
1
S
2
_ _
S
1
S

2
S
2
S

1
_
(153)
where S
1
and S
2
are OFDM symbols. 802.16 also provides for space-frequency coding called the
Frequency Hopping Diversity Code (FHDC) based on the Alamouti code. The OFDM symbols
are uncoded in time and coded in the frequency domain. The gure below shows how FHDC
works:
Figure 20: WiMAX Frequency Hopping Diversity [AGM05]
Closed Loop (CSIT) With CSIT the transmitter can make better decisions. One of the
common methods used in feedback is codebook based feedback. The codebook is basically a
predetermined set of choices for the Q matrix in BLAST. The feedback is an index into the
codebook that tells the receiver, which matrix to use. Another alternative is to use a feedback
channel and have the receiver transmit a quantized version of the channel. The transmitter can
then design the optimal precoding matrix.
9.3 802.11n
802.11n is the next generation 802.11 LAN that seeks to provide very high data rates. In 802.11
a/b/g high data rates were achieved by using high order modulation like 64-QAM. However,
the cost of this approach is a loss in range because higher SNR is necessary to successfully
demodulate 64-QAM. The way 802.11n seeks to overcome this problem and provide both high
48
data rates and better range is through MIMO-OFDM. 802.11n transmits multiple data streams
from the multiple transmit and receive antennas. Thus 802.11n achieves higher data rates
without using more bandwidth or larger constellations by increasing spectral eciency.
The key features of 802.11n are outlined below [IWG04, ?, ?]:
High Data Rate - 130 Mbps typically
Spectrum - 20 MHz (Optionally 40 MHz)
OFDM - Uses OFDM
The basic case for 802.11n is 2 2 but the 802.11n standard provides for up to 4 4 MIMO. A
block diagram demonstrating the operation of 802.11n follows:
Figure 21: 802.11n Transmitter [OC06]
The 802.11n transmitter sends every other group of bits to each OFDM branch. Each branch
performs normal OFDM with spatial subcarrier mapping. Then each branch transmits on one
antenna. The receiver architecture is symmetric and is manufacturer specic.
10 Conclusion
MIMO has become a popular technology for emerging wireless standards because it can provide
better error performance in the form of diversity gain and better data rates in the form of
multiplexing gain without using more bandwidth. In addition, MIMO works well with OFDM,
which has become a ubiquitous feature of modern wireless standards. MIMO continues to be an
active research area with multiuser-MIMO as a new area of great interest for future development.
MIMO is an exciting eld that looks to be a major part of research and standards in wireless
communications for many years to come.
49
A Math Review
This section reviews a few common mathematical tools used in MIMO. In particular, this section
covers some important linear algebra topics and Lagrange multipliers for optimization [HJ95].
A.1 Rank
Let A C
mn
. Then A can be written in terms of column vectors as A = [a
1
, a
2
, . . . , a
n
]. The
column space of A denoted col(A) is given by
col(A) = span(a
1
, a
2
, . . . , a
n
) (154)
Then the rank of A denoted rank(A) is dened to be dimcol(A). So the rank of A is the largest
number of columns of A that constitute a linearly independent set.
A can be written in terms of rows as [a
T
1
, a
T
2
, . . . , a
T
m
]
T
. Then the row space of A denoted
row(A) is given by
row(A) = span(a

1
, a

2
, . . . , a

n
) (155)
With these denitions it can be demonstrated that rank(A) = dimrow(A). Listed below are
several useful facts about rank:
1. rank(A
T
) = rank(A

) = rank(A)
2. rank(A) minm, n.
3. rank(A

A) = rank(A)
4. If A is square, then A is invertible if and only if rank(A) = n.
A.2 Eigenvalues and Eigenvectors
Let A be a nn matrix over the complex numbers. A complex number and a complex vector
x ,= 0 are said to be an eigenvalue and its associated eigenvector if
Ax = x (156)
By simple rearranging this expression can be written as
(AI) x = 0 (157)
This equations has non-trivial solutions (x ,= 0) only if A I is not invertible. This is true
precisely when det (AI) = 0. When the determinant is expanded and evaluated it becomes
an nth degree polynomial. By the Fundamental Theorem of Algebra this polynomial has n
complex roots counting multiplicity. Thus A has n eigenvalues including multiplicity.
50
A.2.1 Diagonalization
Sometimes A can be related to a diagonal matrix D by A = S
1
DS where S is a n n
invertible matrix. If this is possible, then A is said to be diagonalizable. The matrix S can be
interpreted as a change of basis that allows the matrix A to be described as a diagonal matrix.
This representation is particularly nice in a n n MIMO system, since the channel becomes n
independent parallel channels. This transformation makes capacity calculation much easier.
So the main point of interest is determining when A is diagonalizable. The following two
conditions are sucient to guarantee that a square matrix is diagonalizable:
1. A has n distinct eigenvalues
2. A has n linearly independent eigenvalues
A.2.2 Connection To The Determinant and Trace
The following formula is a useful connection between the eigenvalues of a matrix and its deter-
minant and trace:
det(A) =
1

2

n
(158)
tr(A) =
n

i=1
a
ii
=
1
+
2
+ +
n
(159)
A.3 Inner Product Space
C
n1
is an inner product space with the inner product given by:
< x, y >= y

x (160)
There are two important points of interest in regarding C
n1
as an inner product space. First, it
is possible to perform orthogonal projections of a vector onto a space spanned by several other
vectors. This can be used in V-BLAST for the ZF-Nulling receiver. The second point is the
Cauchy-Schwarz inequality
[ < x, y > [

< x, x >

< y, y > (161)

with equality for y = Kx for any constant K. The Cauchy-Schwarz inequality can be used to
derive the optimal receive combining vector for MRC.
A.4 Singular Value Decomposition
It is only possible to diagonalize a square matrix, but sometimes it is desirable to decompose a
matrix with arbitrary dimensions into another matrix that is almost diagonal. The singular value
51
decomposition achieves this and is dened for all matrices in C
mn
. Specically the singular
value decomposition of a matrix A C
mn
is
A = UV

(162)
where U C
mm
and V C
nn
are unitary matrices, which means
UU

= U

U = I
m
(163)
VV

= V

V = I
n
(164)
C
mn
has non-zero entries only for the entries on the diagonal,
ii
. The entries
ii
are
called the singular values of A. Then it is clear that there are n
min
= minm, n singular values.
Typically the matrix is constructed such that

11

22

n
min
n
min
(165)
Intuitively what the SVD does is use the matrix V to rotate an input vector to a coordinate
system in which the action of the matrix can be described by a simple matrix . Then the
output of this simple matrix is rotated back to the original coordinate system by U to produce
the output of A.
The concept of the SVD can be viewed as a generalization of eigenvalues. For a column of
u C
m
, a corresponding column of v C
n
, and the corresponding singular value C
Av = u (166)
This equation is similar to the equation that denes an eigenvalue and eigenvector, which led to
u being called a left singular vector and v a right singular vector. One of the most important
properties of the SVD is that the number of non-zero singular values is precisely the rank of the
matrix A.
A.4.1 Pseudoinverse
The inverse of a matrix is only dened for square matrices, but there is a way to dene a special
matrix that is like an inverse but dened for arbitrary mn matrices called the pseudoinverse.
Let A C
mn
have a SVD UV

. Then the pseudoinverse is dened to be A

= V

where

is the transpose of with the non-zero singular values inverted. There are four kery
properties of the pseudoinverse that dene its behavior:
1. AA

A = A - Note that AA

is not in general the identity matrix but the combination of

three matrices produces the desired eect.
2. A

AA

= A

3.
_
AA

= AA

4.
_
A

A
_

= A

A
52
A.4.2 Condition Number
Consider solving the linear system Ax = b. The condition number is a measure of how well this
system behaves for small changes in b. Specically the condition number measures how small
changes in b change x. So for the perturbed system Ax = b +e the condition number is given
by
(A) =
[[A
1
e[[/[[A
1
b
[[e[[/[[b[[
(167)
This quantity can be related to the singular values of A by
(A) =

max

min
(168)
A.5 Lagrange Multipliers
Consider the following optimization problem:
Maximize : f(x
1
, x
2
, . . . , x
n
)
Subject to : g(x
1
, x
2
, . . . , x
n
) = C
The optimal solution can be found by solving the following system of equations given by the
gradient
_f = _g
g = C (169)
These equations can be expressed in terms of partial derivatives as
f
x
i
=
g
x
i
i = 1, 2, . . . , n
g = C (170)
Lagrange multipliers can be used to nd the optimal power allocation to maximize capacity.
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