Lecture 5

Antenna Diversity,
MIMO Capacity

Lars Kildehøj
CommTh/EES/KTH

Diversity
Lecture 5: Antenna Diversity and MIMO Capacity
Antenna Diversity Theoretical Foundations of Wireless Communications1
MIMO Capacity

Lars Kildehøj
CommTh/EES/KTH

Friday, April 27, 2018

9:30-12:00, Kansliet plan 3

1
Textbook: D. Tse and P. Viswanath, Fundamentals of Wireless Communication
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 Overview

Lecture 5
Lecture 1-4: Channel capacity
Antenna Diversity,
MIMO Capacity
• Gaussian channels
Lars Kildehøj • Fading Gaussian channels
CommTh/EES/KTH
• Multiuser Gaussian channels
Diversity
• Multiuser diversity
Antenna Diversity

MIMO Capacity

Lecture 5: Antenna diversity and MIMO capacity

1 Diversity
2 Antenna/Spatial Diversity
Receive Diversity (SIMO)
Transmit Diversity (MISO), Space-Time Coding
2 × 2 MIMO Example
3 MIMO Capacity

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 Diversity

Lecture 5 Multiuser diversity (lecture 4)

Antenna Diversity,
MIMO Capacity • Transmissions over independent fading channels.
Lars Kildehøj
CommTh/EES/KTH • Sum capacity increases with the number of users.
Diversity → High probability that at least one user will have a strong channel.
Antenna Diversity

MIMO Capacity

Fading channels (point-to-point links)

• Use diversity to mitigate the effect of (deep) fading.
• Diversity: let symbols pass through multiple paths.
• Time diversity: interleaving and coding, repetition coding.
• Frequency diversity: for example OFDM.
• Antenna Diversity.

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 Antenna/Spatial Diversity
Motivation: For narrowband channels with large coherence time or delay
constraints, time diversity and frequency diversity cannot be exploited!
Lecture 5
Antenna Diversity,
MIMO Capacity

Lars Kildehøj
CommTh/EES/KTH

Diversity

Antenna Diversity
SIMO
MISO (D. Tse and P. Viswanath, Fundamentals of Wireless Communications.)
MIMO
Antenna diversity
MIMO Capacity
• Multiple transmit/receive antennas with sufficiently large spacing:
• Mobiles: rich scattering → 1/2 . . . 1 carrier wavelength.
• Base stations on high towers: tens of carrier wavelength.
• Receive diversity: multiple receive antennas,
→ single-input/multiple-output (SIMO) systems.
• Transmit diversity: multiple transmit antennas,
→ multiple-input/single-output (MISO) systems.
• Multiple transmit and receive antennas,
→ multiple-input/multiple-output (MIMO) systems.

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 Antenna/Spatial Diversity
– Receive Diversity (SIMO)
• Channel model: flat fading channel, 1 transmit antenna, L receive
Lecture 5
antennas:
Antenna Diversity,
MIMO Capacity y[m] = h[m] · x[m] + w[m]
Lars Kildehøj
CommTh/EES/KTH yl [m] = hl [m] · x[m] + wl [m], l = 1, . . . , L

Diversity
with
• additive noise wl [m] ∼ CN (0, N0 ), independent across antennas,
Antenna Diversity
• Rayleigh fading coefficients hl [m].
SIMO
MISO
MIMO • Optimal diversity combining: maximum-ratio combining (MRC)

r [m] = h[m]∗ · y[m] = kh[m]k2 · x[m] + h∗ [m]w[m]

MIMO Capacity

• Error probability for BPSK (conditioned on h)

p
Pr(x[m] 6= sign(r [m])) = Q( 2khk2 SNR)
with the (instantaneous) SNR
1
γ = khk2 SNR = khk2 E{|x|2 }/N0 = LSNR · khk2
L
→ Diversity gain due to L1 khk2 and power/array gain LSNR.
→ 3 dB gain by doubling the number of antennas.
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 Antenna/Spatial Diversity
– Transmit Diversity (MISO), Space-Time Coding

Channel model
Lecture 5
Antenna Diversity, Flat fading channel, L transmit antennas, 1 receive antenna:
MIMO Capacity

Lars Kildehøj
CommTh/EES/KTH
y [m] = hT [m] · x[m] + w [m], with

Diversity • additive noise w [m] ∼ CN (0, N0 ),

Antenna Diversity
SIMO
• vector h[m] of Rayleigh fading coefficients hl [m].
MISO
MIMO
MIMO Capacity
Alamouti scheme
• Rate-1 space-time block code (STBC) for transmitting two data
symbols u1 , u2 over two symbol times with L = 2 transmit antennas.
• Transmitted symbols: x[1] = [u1 , u2 ]T and x[2] = [−u2∗ , u1∗ ]T .
• Channel observations at the receiver (with channel coefficients
h1 , h2 ):

−u2∗
 
u1
[y [1], y [2]] = [h1 , h2 ] + [w [1], w [2]].
u2 u1∗

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 Antenna/Spatial Diversity
– Transmit Diversity (MISO), Space-Time Coding

• Alternative formulation
      
Lecture 5 y [1] h1 h2 u1 w [1]
Antenna Diversity, = +
MIMO Capacity y [2]∗ h2∗ −h1∗ u2 w [2]∗
Lars Kildehøj
| {z }
CommTh/EES/KTH =y
     
Diversity
h1 h2 w [1]
= u1 + u2 +
Antenna Diversity
h2∗ −h1∗ w [2]∗
SIMO
| {z } | {z }
MISO =v1 =v2
MIMO
MIMO Capacity → v1 and v2 are orthogonal; i.e., the AS spreads the information onto
two dimensions of the received signal space.
• Matched-filter receiver2 : correlate with v1 and v2

ri = vi H y = khk2 ui + w̃i , for i = 1, 2,

with independent w̃i ∼ CN (0, khk2 N0 ).
• SNR (under power constraint E{kxk2 } = P0 ):

khk2 P0
SNR = → diversity gain of 2!
2 N0
2
The textbook uses a projection on the orthonormal basis v1 /kv1 k, v2 /kv2 k.
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 Antenna/Spatial Diversity
– Transmit Diversity (MISO), Space-Time Coding
Determinant criterion for space-time code design
Lecture 5
• Model: codewords of a space-time code with L transmit antennas
Antenna Diversity,
MIMO Capacity
and N time slots: Xi , (L × N) matrix.
Lars Kildehøj
 T
CommTh/EES/KTH  y = [ y [1], . . . , y [N] ],
yT = h∗ Xi + wT with h∗ = [ h1 , . . . , hL ],
Diversity  T
w = [ w1 , . . . , wL ].
Antenna Diversity
SIMO
MISO Example: Alamouti scheme: Repetition coding:
MIMO
u1 −u2∗
   
MIMO Capacity
Xi = u 0
u2 u1∗ Xi =
0 u
• Pairwise error probability of confusing XA with XB given h
r !
kh∗ (XA − XB )k2
Pr(XA → XB |h) = Q
2N0
r !
SNR h∗ (XA − XB )(XA − XB )∗ h
= Q
2

(Normalization: unit energy per symbol → SNR = 1/N0 )

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 Antenna/Spatial Diversity
– Transmit Diversity (MISO), Space-Time Coding

• Average pairwise error probability

Lecture 5
Antenna Diversity,
MIMO Capacity
Pr(XA → XB ) = E{Pr(XA → XB |h)}
Lars Kildehøj
CommTh/EES/KTH
• Some useful facts...
Diversity • (XA − XB )(XA − XB )∗ is Hermitian (i.e., Z∗ = Z).
Antenna Diversity
• (XA − XB )(XA − XB )∗ can be diagonalized by an unitary transform,
SIMO
MISO
(XA − XB )(XA − XB )∗ = UΛU∗ ,
MIMO
where U is unitary (i.e., U∗ U = UU∗ = I) and Λ = diag{λ21 , . . . , λ2L },
MIMO Capacity
with the singular values λl of XA − XB .
• And we get (with h̃ = U∗ h)
 s 
PL 2 λ2
 SNR l=1 | h̃l | l 

Pr(XA → XB ) = E Q ,
 2 
L
Y 1
≤
l=1
1 + SNR λ2l /4

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 Antenna/Spatial Diversity
– Transmit Diversity (MISO), Space-Time Coding

Lecture 5
Antenna Diversity,
MIMO Capacity

Lars Kildehøj • If all λ2l > 0 (only possible if N ≥ L), we get

CommTh/EES/KTH

L
Diversity Y 1 4L
Pr(XA → XB ) ≤ 2
≤ L QL
Antenna Diversity
l=1
1 + SNR λl /4 SNR 2
l=1 λl
SIMO
MISO
MIMO 1 4L
= ·
MIMO Capacity SNR det[(XA − XB )(XA − XB )∗ ]
L

→ Diversity gain of L is achieved.

→ Coding gain is determined by the determinant

det[(XA − XB )(XA − XB )∗ ] (determinant criterion).

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 Antenna/Spatial Diversity
– 2 × 2 MIMO Example

Channel Model
Lecture 5
Antenna Diversity, • 2 transmit antennas, 2 receive antennas:
MIMO Capacity
       
Lars Kildehøj y1 h11 h12 x1 w1
CommTh/EES/KTH = · +
y2 h21 h22 x2 w2
Diversity | {z } | {z } | {z } | {z }
y H x w
Antenna Diversity
SIMO
MISO • Rayleigh distributed channel gains hij from transmit antenna j to
MIMO
receive antenna i.
MIMO Capacity
• Additive white complex Gaussian noise wi ∼ CN (0, N0 ).
→ 4 independently faded signal paths, maximum diversity gain of 4.

H11
H12
H11 H12
H21 H= H H22
21

H22

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 Antenna/Spatial Diversity
– 2 × 2 MIMO Example
Degrees of freedom
• Number of dimensions of the received signal space.
Lecture 5
Antenna Diversity,
• MISO: one degree of freedom for every symbol time.
MIMO Capacity → Repetition coding (L = 2): 1 dimension over 2 time slots.
Lars Kildehøj → Alamouti scheme (L = 2): 2 dimension over 2 time slots.
CommTh/EES/KTH
• SIMO: one degree of freedom for every symbol time.
Diversity → Only one vector is used to transmit the data,
Antenna Diversity
y = hx + w.
SIMO
MISO
MIMO
• MIMO: potentially two degrees of freedom for every symbol time.
MIMO Capacity → Two degrees of freedom if h1 and h2 are linearly independent.
y = h1 x1 + h2 x2 + w.

(D. Tse and P. Viswanath, Fundamentals of Wireless Communications.)

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 Antenna/Spatial Diversity
– 2 × 2 MIMO Example

Spatial multiplexing
Lecture 5 • Motivation: Neither repetition coding nor the Alamouti scheme
Antenna Diversity,
MIMO Capacity utilize all degrees of freedom of the channel.
Lars Kildehøj
CommTh/EES/KTH • Spatial multiplexing (V-BLAST) utilizes all degrees of freedom.
→ Transmit independent uncoded symbols over the different
Diversity
antennas and the different symbol times.
Antenna Diversity
SIMO • Pairwise error probability for transmit vectors x1 , x2
MISO
MIMO  2
1 16
MIMO Capacity Pr(x1 → x2 ) ≤ ≤
1 + SNR kx1 − x2 k2 /4 SNR2 kx1 − x2 k4

→ Diversity gain of 2 (not 4) but higher coding gain as compared to

the Alamouti scheme (see example in the book).
→ Spatial multiplexing is more efficient in exploiting the degrees of
freedom.
• Optimal detector, joint ML detection: complexity grows
exponentially with the number of antennas.
• Linear detection, e.g., decorrelator (zero forcing): ỹ = H−1 y

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 MIMO Capacity

• MIMO channel model with nt transmit and nr receive antennas:

Lecture 5
Antenna Diversity,
MIMO Capacity
y = Hx + w, with w ∼ CN (0, N0 I).
Lars Kildehøj
CommTh/EES/KTH
• x ∈ C nt , y ∈ C nr , and H ∈ C nr ×nt .
Diversity • Channel matrix H is known at the transmitter and receiver.
Antenna Diversity • Power constraint E{kxk2 } = P.
MIMO Capacity
• Singular value decomposition (SVD): H = UΛV∗ , where
• U ∈ C nr ×nr and V ∈ C nt ×nt are unitary matrices;
• Λ ∈ Rnr ×nt is a matrix with diagonal elements λ1 , . . . , λnmin and
off-diagonal elements equal to zero;
• λ1 , . . . , λnmin , with nmin = min{nr , nt } are the ordered singular values
of the matrix H;
• λ21 , . . . , λ2n
min
are the eigenvalues of HH∗ and H∗ H.
nP
min
• Alternative formulation: H = λi ui vi∗ .
i=1
→ Sum of rank-1 matrices λi ui vi∗ .
→ H has rank nmin .

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 MIMO Capacity

Lecture 5
Antenna Diversity,
MIMO Capacity

Lars Kildehøj
CommTh/EES/KTH

Diversity (D. Tse and P. Viswanath, Fundamentals of Wireless Communications.)

Antenna Diversity • SVD can be used to decompose the MIMO channel into nmin
MIMO Capacity parallel SISO channels.
V∗ x, 
 
 x̃ =
ỹ = U∗ y, ⇒ ỹ = Λx̃ + w̃
w̃ = U∗ w
 

with w̃ ∼ CN (0, N0 Inr ) and kx̃k2 = kxk2 ; i.e., the energy is

preserved.

• MIMO capacity (with waterfilling)

nmin +
P ∗ λ2
  
X N0
C = log 1 + i i Pi∗ = µ − 2
with
i=1
N0 λi
P ∗
with µ chosen to satisfy the total power constraint Pi = P.
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 MIMO Capacity

Lecture 5
Antenna Diversity,
MIMO Capacity
SVD architecture for MIMO communications
Lars Kildehøj
CommTh/EES/KTH

Diversity

Antenna Diversity

MIMO Capacity

(D. Tse and P. Viswanath, Fundamentals of Wireless Communications.)

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 MIMO Capacity
Capacity at high SNR
Lecture 5 • Uniform power allocation is asymptotically optimal; i.e., Pi = P/k.
Antenna Diversity,
MIMO Capacity k k
Pλ2i
   2
X X λi
Lars Kildehøj
CommTh/EES/KTH
C ≈ log 1 + ≈ k log SNR + log
i=1
kN0 i=1
k
Diversity

Antenna Diversity
→ k spatial degrees of freedom; if H has full rank k = nmin .
MIMO Capacity
• With Jensen’s inequality
k   k
!!
1X P 2 P 1X 2
C ≈k· log 1 + λi ≤ k log 1 + λi
k i=1 kN0 kN0 k i=1

→ Maximum capacity in high SNR if all singular values are equal.

• Condition number: maxi λi / mini λi , H is well conditioned if CN≈ 1.

Capacity at low SNR
• Allocate power only to the strongest eigenmode

P
C ≈ (max λ2i ) log2 e
N0 i
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