Tutorial ─ MIMO Communications with Applications to (B)3G and 4G Systems

Spatial Diversity
Markku Juntti, Tadashi Matsumoto & Juha Ylitalo

Contents
1. 2. 3. 4. 5. Introduction to diversity techniques Receive diversity Transmit diversity and space–time coding Transmit diversity in 3G systems Summary and Conclusions References

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 1

1. Introduction to Diversity Techniques
• “Diversity” = “state of being varied, variety” [Oxford Advanced Learner’s Dictionary]. • The basic concept of diversity: transmit the signal via several independent diversity branches to get independent signal replicas via
– – – – time diversity frequency diversity space diversity polarization diversity.

High probability: all signals not fade simultaneously. High probability: the deepest fades can be avoided. Protection against fading.
MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 2

Diversity Domains
• Time diversity • Frequency diversity
– multicarrier communications – multipath diversity in spread spectrum communications.

• Spatial diversity
– antenna diversity – macroscopic diversity via soft handovers

• Polarization diversity

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 3

Time Diversity
• Repetition after time delays. • Usually achieved by coding and interleaving.

Signal to be transmitted Delay TX

Scatterer(s) RX Time Bandwidth expansion required.
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 4

T

bi T

bi

Delay

Combiner

Output

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

Frequency Diversity
Signal to be transmitted Bandwidth expansion required. TX (f1 )

+

Scatterer(s)

Rx (f1 ) Combiner

TX (fN)

Rx (fN)
Path 1
(Delay t1)

Multipath diversity
Signal to be transmitted TX No explicit bandwidth expansion.
Amplitude t=0

Output Path combiner - Equalizer - Rake Output

Scatterer(s)
(Delay tN)

Path N

t1

Frequency Selective Fading

t2
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 5

MIMO Communications with Applications to (B)3G N t and 4G Systems ─ Spatial Diversity

Space Diversity
Receive antenna diversity
Signal to be transmitted Scatterer(s) Transmitter (TX) Soft handover Receiver/ Output combiner

Macroscopic diversity
Cell 1

BS1

BS2
Cell 2

Combiner/ splitter
MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

Output/input

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 6

Capacity Implications
• Does diversity increase capacity? • Ergodic capacity: C = max I (X ;Y ), Pe,max → 0, as n → ∞.
p (x )
– Codeword length ∞ infinite time-diversity. Diversity cannot increase the ergodic capacity. – However, it can improve the error performance or error exponent.

• Outage capacity is improved by diversity, since the diversity decreases the probability of outage.

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 7

2. Receive Diversity
• Receive diversity: several independent observations of the signal (one data bit) are combined at the receiver.
– Applicable to all diversity domains: • time • frequency • space.

• Combining techniques:
– selection combining (SC) – equal gain combining (EGC) – maximum ratio combining (MRC).

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 8

Receive Antenna Diversity
Signal to be transmitted Scatterer(s) Transmitter (TX)

Combiner

• Collects more energy

antenna gain.

– Independent noise and/or interference processes in different antennae signal–to–noise ratio (SNR) and/or signal–to–interference–plus–noise ratio (SINR) gain.

• Observes several independent fading processes diversity gain.
MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 9

Selection Combining
r1=zF1s + AWGN1 s = transmitted signal ri = received signal on the i-th branch zFi = fading complex envelope on the i-th branch

rN=zFNs + AWGNN

Output
Control

Max (|zF1|,|zF2|, ...,|zFN|)

Sniffer

PDF of instantaneuos SNR: Select the best availabale signal.

M γ γ M- 1 p (γ ) = exp ( − ){ 1- exp ( − )} . Γ Γ Γ

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 10

Equal Gain Combining
r1=zF1s + AWGN1 * zF1/|zF1| * zFN/|zFN| s = transmitted signal ri = received signal on the i-th branch zFi = fading complex envelope on the i-th branch

rN=zFNs + AWGNN

S

Output
i

r = Σ|zFi|s + Σ *Fi/|zFi|AWGNi z
i

Phase rotation (carrier synchronization) and summing.

PDF of instantaneuos SNR
(closed form not known, approximation):

2M- 1M M γ M- 1 p (γ ) = ( 2M- 1)! Γ M

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 11

Maximum Ratio Combining
r1=zF1s + AWGN1 z* F1 z* FN s = transmitted signal ri = received signal on the i-th branch zFi = fading complex envelope on the i-th branch

rN=zFNs + AWGNN

S

r = Σ|zFi|s + Σ *FiAWGNi z
2 i i

Phase rotation and weighting before SNR summing maximization optimal in Gaussian noise.

PDF of instantaneuos SNR:
1 γ M- 1 γ p (γ ) = exp ( − ) M (M- 1)! Γ Γ

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 12

3. Transmit Diversity and Space– Time Coding
• Transmit diversity: one data bit is transmitted via several independent (spatial) channels.
– The conventional diversity techniques in time and frequency domains could be classified also to this class.

• No bandwidth expansion.
zF1s
s(n)

z* F1 z* FN

zFNs

Rx

Output

Signal to be transmitted

Feedback: zF1 , ... , zFN
MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

Open-loop TX TX Closed-loop diversity diversity no CSI at CSI at the the transmitter transmitter

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 13

Early Solutions: Delay and Waveform Diversity
Delay diversity
• No BW expansion. • Frequency–flat frequency–selective. Spatial diversity into ”path” diversity . s(n) zF1s(n-1) Delay zF2s(n) Equalizer

Waveform diversity
• BW expansion. • slow fast. Spatial diversity into ”path” diversity. Encoder

s(n) s(n)

zF1s(n) Decoder

Waveform×zF2 s(n)

Narrowband waveform
MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 14

Trellis Representation of Delay Diversity
Sj Si: X0Y0 X1Y1 X2Y2 X3Y3 If current state is Si, the input symbol is ”j”, (j = 0 ... 3) Antenna #1 transmits Xj and antenna #2 transmits Yj, and the next state is Sj.

S0

00 01 02 03

S1 10 11 12 13 S2 20 21 22 23 1 2

S3 30 31 32 33

Example: The current state is S0, and the input sequence is (10, 01, 11, 00, 01, ...). The corresponding QPSK symbol sequence is (2, 1, 3, 0, 1, ...). The transmitted symbol sequences in delay diversity: Antenna 1: 0, 2, 1, 3, 0, 1, ... Antenna 2: 2, 1, 3, 0, 1, ... 0

3
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 15

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

Space–Time Trellis Codes
Allow more general and flexibe allocation of transmitted sequences space–time trellis codes (STTrC).
S0 00 01 02 03
Example: The input sequence is (10, 01, QPSK symbol sequence 11, 00, 01, ...) (2, 1, 3, 0, 1, ...). The transmitted symbol sequences in delay diversity: Antenna 1: 0, 1, 2, 3, 0, 1, ... Antenna 2: 2, 1, 3, 0, 1, ...

S1 20 21 22 23 S2 10 11 12 13

S3 30 31 32 33

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 16

Alamouti scheme (2×2 Space–Time Block Coding)
S1 S2 S1 S2 STTD encoder -S* 2 S* 1

r j =a j S1 - a j S +n j r j2 =a 1j S2 +a 2 S1* +n2 j j
1 1 2 * 2 1

S1 =∑rj1a 1 +rj2 a 2 j j
* *

L

S2 =∑- rj1 a 2 +rj2a 1 j j
*

1 j= L

*

1 j=

2×2 space–time block coding (STBC) = Alamouti scheme
• No BW expansion. • Simple MRC at the receiver. • Open–loop method.

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 17

Space–Time Block Coding
STBC can be generalized to arbitrary numbers of TX and RX antennae.
• No optimal unique code design exists. • Both real and complex designs exist. • An example code: (s1, -s2 , -s3, -s4 , s1*, -s2* , -s3*, -s4 *) (s2, s1 , s4, -s3 , s2*, s1* , s4*, -s3 *) (s3, -s4 , s1, s2 , s3*, -s4* , s1*, s2 *) (s4, s3 , -s2, s1 , s4*, s3* , -s2*, s1 *)

(s1, s2 , s3, s4 )

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 18

Closed–Loop Schemes
• Use transmitter channel state information (CSI) to weigh the transmission to optimize performance.
– Typically SINR maximization in the receiver.

• Usually imperfect TX-CSI.
– Often quantized feedback from RX to TX.

TX

W2

RX

W1
MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 19

4. Transmit diversity in 3G systems

• Applied due to the fact that UE has only 1 antenna
– Robustness against fading

• Open loop mode, STTD (Alamouti scheme) • Closed loop modes 1 & 2 • Time-switched TX diversity applied to sync. channel

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 20

Open Loop Transmit Diversity, STTD Open Loop Transmit Diversity, STTD
• Space-Time (Block Coded) Transmit Diversity (STTD) for WCDMA
– space-time coding over two symbols simple detection at the terminal

Can be used in all physical channels except in SCH
S1 S2 STTD encoder -S* S* 2 1
Spreading & scrambling

Rx signals for time Rx signals for time instants 11& 2, instants & 2, jj= path index = path index α = channel coeff. α = channel coeff.
* rj1 = α1S1 −α 2S2 + n1j j j rj2 = α1j S2 + α 2 S1* + n2 j j

S1 S2

Pilot TPC TFCI Data Channel encoder Interleaver

STTD encoder STTD encoder STTD encoder STTD encoder M U X Ant. 1 Ant. 2

S1 =

L Detection Detection 1 2 2 2 j j j at terminal, j =1 at terminal, integration © M. Juntti et MIMO Communications with Applications to (B)3G integrational., University of Oulu, Dept. Electrical and Inform. and 4G Systems ─ Spatial Diversity overEng., Centre for Wireless Communications (CWC) 21 overL paths L paths
*

∑ S = ∑− r α + r α
L j=1

rj1α1 + rj2 α2 j j
* *

1* j

Closed Loop Transmit Diversity Modes Closed Loop Transmit Diversity Modes
• UE measures relative phase (and power) of two pilot (Primary CPICH) signals • UE sends adjustment command to BS, feedback signaling message (FSM)

) ,P 1,P 2 f(∆φ SM= F
pl(t)) P CH ( a m D

pl(t)) (φ(t),am DP C H
P-CPICH 1

• FSM applied on DPCH to antenna signal #2 phasing, and (mode2 only) Terminal Terminal Phase (and Phase (and amplitude measurement ampl.) adj. measurement ampl.) adj. weighting for antenna for antenna (0.2/0.8) for both © M. Juntti et al., University of Oulu, Dept. Electrical and Inform. signal #2 MIMO Communications with Applications to (B)3G signal #2 Eng., Centre for Wireless Communications (CWC) 22signals antenna and 4G Systems ─ Spatial Diversity
P-CPICH 2

Link performance: Average Tx diversity Link performance: Average Tx diversity gain gain
Average Ic/Ior gain in single link performance
4.0

Gain [dB]

3.0 2.0 1.0 0.0 3km/h Ped.A 3km/h 50km/h Veh.A 120km/h

STTD
CL mode1

Channel type and UE speed

Gain in relative Tx power (Ic/Ior) Gain in relative Tx power (Ic/Ior) = user/total Tx power, G = 3dB = user/total Tx power, G = 3dB

Average = through different Average = through different data rates (12.2 --144kbps) data rates (12.2 144kbps)
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 23

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

5. Summary and Conclusions
• • • • Diversity has to be applied in one form or another Receive diversity desirable vs. TX diversity Channel state information (CSI) very beneficial Multi-user diversity employing CSI can be achieved through scheduling (e.g. HSDPA in 3GPP)

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity

© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 24

References
1. 2. T. M. Cover & J. A. Thomas, Elements of Information Theory. John Wiley & Sons, 1991. ISBN: 0-471-06259-6 S. M. Alamouti, “A simple transmit diversity technique for wireless communications,” IEEE J. Select. Areas Commun., vol. 16, no. 8, pp. 1451–1458, Oct. 1998. J.G. Proakis, Digital Communications, 3rd edition. McGraw-Hill, New York, 1995. ISBN 0-07-051726-6 M. Shwartz, W. Bennett and S. Stein, Communication Systems and Techniques. McGraw Hill, New York, 1966 V. Tarokh, H. Jafarkhani, and A. R. Calderbank, “Space-time block codes from orthogonal designs,” IEEE Trans. Inform. Theory, vol. 45, no. 5, pp. 1456–1467, 1999. V. Tarokh, N. Seshadri, and A. R. Calderbank, “Space-time codes for high data rate wireless communication:Performance criterion and code construction,” IEEE Trans. Inform. Theory, vol. 44, no. 2, pp. 744–765, Mar. 1998. A. Wittneben, New bandwidth efficient transmit antenna modulation diversity scheme for linear digital modulation. In: Proceedings of the IEEE International Conference on Communications ICC'93, May 23-26, 1993, Geneva, Switzerland, pp. 1630-1634.
© M. Juntti et al., University of Oulu, Dept. Electrical and Inform. Eng., Centre for Wireless Communications (CWC) 25

3. 4. 5.

6.

7.

MIMO Communications with Applications to (B)3G and 4G Systems ─ Spatial Diversity