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# MIMO systems and

Spatial Diversity.
Dmitriy Shutin
dshutin@tugraz.at.

## Signal Processing and Speech Communication Laboratory

www.spsc.tugraz.at
Graz University of Technology

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Content of the talk
PART I.
Wireless communication and MIMO systems.
Wireless channels.
Part II.
Spatial Diversity

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Outline PART I.
PART I.
What is MIMO
Multiple antennas in communication
Channel and channel models.
Channel and signal models.

PART II.

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Outline PART II.
What is diversity?
Diversity schemes.
What do we actually win.
Implementing diversity IID channels
RX diversity(SIMO).
Alamouti scheme and TX diversity (MISO).
RX-TX diversity (MIMO).
Extended channels.

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What is diversity?
Diversity Multiple independent look at the same transmitted
signal.

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What is diversity?
Fading impairs wireless link.
Use multiple antennas to create alternative transmission
branches.

60
1st receiver antenna
2nd receiver antenna

80
Power variations, dB

100

120

140

160

distance,

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What is diversity?
If p = P (signal is in fade)
Having M independent branches results

## P (all M branches are in fade) = pM  p

There are
Frequency diversity
Time diversity
Space diversity

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Diversity schemes.
Space diversity: RX/TX has multiple antennas, spaced d
meters apart such that

d > Dc

## Frequency diversity: signal is transmitted over two carrier

frequencies, spaced f , such that
1
f > Bc
RMS delay spread

## Time diversity: the same signal is re-transmitted with a

delay t such that
1
t > Tc =
BD
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Diversity Gain
To exploit diversity we need:
Combine multiple branches in some way.
Make sure branches are independent. Separation
> B c , T c , Dc
Signal model for each branch:
r
Es
yi = hi s + n i , n = 1, . . . , M
M
hi flat-fading channel coefficient;
Es symbol energy;
ni additive noise.

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Diversity Gain, contd
To combine branches Maximum Ratio Combining:
M
X
z= hi yi
i=1

## Each branch increases SNR

M
!
1 X
2 Es
= |hi | =
M N0
i=1
M
!
1 X Es
= |hi |2 branches gain, = Single-branch SNR
M N0
i=1

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Diversity Gain, contd
Assuming ML detection, averaged probability of the symbol
error can be upper-bounded as
!M
d2min
P e Ne
4M

## Ne - number of nearest neighbors

d2min minimum separation of the symbol constellation.
Es
= N0 averaged SNR at the receiver antenna.

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Diversity Gain, contd
Effect of diversity on the SER performance in fading channels.

## Diversity affects the slope of the SER-SNR curve.

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Coding gain vs diversity gain
Approximate P e can be
expressed
c
Pe
(c )M

c modulation/channel constant
c 1 coding gain
M diversity order

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Spatial vs Time/Frequency diversity
Spatial diversity
No additional bandwidth required
Increase of average SNR is possible
Additional array gain is possible
Time/Frequency diversity
Time/frequency is sacrificed
No array gain.
Averaged receive SNR remains as that for AWGN
channel.

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Implementing Spacial diversity
Receiver diversity SIMO
Transmit diversity MISO
RX/TX diversity MIMO

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Receive antenna diversity
Let us assume flat fading

y = E s hs + n, h = [h1 , . . . , hMR ]T

## Maximum Ratio Combining at the receiver

z = h y = E s hH hs + hH n
H

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Receive antenna diversity, contd
Averaged probability of symbol error is given as (at high
SNR regime and rich scattering)
!MR
d2min
P e Ne
4

= MR

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Receive antenna diversity - performance
Can be better than AWGN
due to array gain
For BER> 105
outperforms AWGN due
to array gain.

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Transmit antenna diversity
Straightforward approach is useless:
Signal model (for MT = 2); h1 , h2 N (0, 1)
r
Es
y= (h1 + h2 )s + n
2

Equivalently, h (h1 + h2 )/ 2, and h N (0, 1)
p
y = Es hs + n

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TX diversity Alamouti(MISO)
Preprocessing without channel knowledge.

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Alamouti scheme, contd
Channel is constant over two symbols intervals and
flat-fading
h = [h1 , h2 ]
Two received symbols are:
r r
Es Es
y1 = h1 s 1 + h2 s 2 + n 1
2 2
r r
Es Es
y2 = h1 s 2 + h2 s1 + n2
2 2

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Alamouti scheme, contd
Now, received vector is formed as y = [y1 , y2 ]T
r " #" # " # r
E s h1 h2 s1 n1 Es
y=
+ = Heff s + n
2 h2 h1 s2 n2 2

## MRC gives ( using HH H

eff eff = khk 2 I)

r
H Es
z = Heff y = khk2 Is + n
2
q
which simplifies to zi = E2s khk2 si + n i.

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Alamouti scheme Performance
High SNR regime gives
!2
d2min
Pe Ne
42

No array gain: =
Full transmit diversity for
MR = 2

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MISO with known channel
Flat-fading channel is given as h = [h1 , . . . , hMT ]T
Signal at the receiver
s
ES H
y= h ws + n
MT
h
where w = MT khk

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Transmit MRC Performance
High SNR regime gives
!MT
d2min
P e Ne
4

## Array gain in rich

scattering = MT
Equivalent to RX diversity.

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Alamouti scheme & MIMO
Transmit symbols like MISO Alamouti
Flat-fading channel matrix
" #
h1,1 h1,2
H=
h2,1 h2,2

## Receive symbols (MR = 2)

r " # r " #
Es s1 Es s2
y1 = H + n1 , y 2 = H
+ n2 ,
2 s2 2 s1

equivalently...

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Alamouti scheme & MIMO, contd
By defining y = [y 1 , y 2 ]T

r h1,1 h1,2 " # " #
Es h
2,1 h s
2,2 1 n1
y=
+
2 h1,2 h1,1 s2

n2
h2,2 h2,1

## MRC is formed (using HHeff H eff = kHk 2 I)

F
r
Es
z= kHk2F Is + n,
or,
2
r
Es
zi = kHk2F si + ni
2
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Alamouti scheme & MIMO, contd
High SNR regime gives and rich scattering
!MR MT
d2min
Pe Ne
4MT

Diversity order MR MT
Array gain = MR

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MIMO with channel knowledge
If channel known transmit MRC is used
s
Es H
y= H ws + n
MT

## Receiver forms weighted sum z = g H y

Vectors w and g are singular vectors from SVD
decomposition of H

H = UVH ; w U, g V
2
w and g correspond to the max singular value max of H

## This is known as dominant eigenmode transmission DET

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MIMO with DET Performance
Diversity order MR MT
2
SNR = E{max }
2
max(MT , MR ) E{max }
2
E{max } M T MR

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Summary
Configuration Array gain Diversity gain
SIMO (Ch.Un.) MR MR
SIMO (Ch.Kn.) MR MR
MISO (Ch.Un.) 1 MT
MISO (Ch.Kn.) MT MT
MIMO (Ch.Un.) MR MR MT
2
MIMO (Ch.Kn.) max(MT , MR ) E{max }, MR MT
2
E{max } M T MR

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Diversity order and channel variability
Can be quantified as
1
var =
M R MT

Link stabilizes as
var

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Diversity order for extended channels
Elements in channel matrix H are
Correlated
Have gain imbalances
Fade with Ricean statistics
Highest possible diversity rich scattering (IID elements
in H)
Let as consider Alamouti scheme with MT = MR = 2

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Correlations in H
Diversity order decreases
to r(R), where R is (4 4)
covariance Matrix:
R = E{vec(H)vec(H)H }

## Rank r(R) = 1 full

correlation.
No spatial diversity.
Array gain is present.

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Ricean fading of H
Ricean fading occurs
when LOS is present.
As K link stabilizes.
K -factor is given as

A2LOS
K= 2
diffuse