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Beginning of MIMO PDF
Beginning of MIMO PDF
Introduction
This paper describes a new point-to-point com- processing higher dimensional signals with the aim of
munication architecture employing an equal number leveraging the already highly developed one-dimen-
of antenna array elements at both the transmitter and sional (1-D) codec technology. Note that in this con-
receiver. The architecture is designed for a Rayleigh text, “higher dimensional” refers to space. (Generally, a
fading environment in circumstances in which the bandwidth-efficient 1-D code involves many dimen-
transmitter does not have knowledge of the channel sions over the temporal domain. 1-D refers to a complex
characteristic. This new communication structure, alphabet which is, of course, 2-D in terms of reals.)
termed the layered space-time architecture, targets appli- As the paper points out, the capacity that this
cation in future generations of fixed wireless systems, architecture enables is enormous. At first, the number
bringing high bit rates to the office and home. The of bits per cycle might seem too great to be meaning-
architecture might also be used in future wireless local ful. The capacity is achieved, however, in terms of n
area network (LAN) applications for which it promises equal lower component capacities, one for each
extraordinarily high bit rates. antenna at the receiver (or transmitter). A form of the
The architecture is a method of presenting and new architecture attains a capacity equal to a tight
(9, 12)
ssor
Proce
Figure 1.
Shorthand notation (nT , nR ) for the number of transmit antennas nT and receive antennas nR (dipole antennas shown).
and this limit can only be approached in practice with that is nearly always available.
the advance of technology: any working system can In a given system, not all communication bursts
only achieve a bit rate (at some desired small bit error are successful. As explained below, for some small per-
rate [BER]) that is only a fraction of capacity. In what centage of instances of H, the transmitter’s assumed
follows, the term “capacity” will often be used as an capacity value may be too optimistic. In such cases,
indicator of some smaller deliverable bit rate. delivering the bit rate at the desired BER required of a
Long-Burst Perspective successful burst may be impossible. When it is impossi-
Communication in long bursts means bursts hav- ble, a channel outage is said to have occurred and the
ing many symbols—so many that an infinite time channel is considered to be in the OUT state.
horizon information-theoretic description of commu- Outage is dealt with probabilistically because H is
nication portrays a meaningful idealization. Yet bursts random; thus, capacity is a random variable. The
are assumed to be of short enough duration that a channel is random even though the base and user in
channel is essentially unchanged during a burst. The an office LAN environment or the communication
channel is assumed to be unknown to the transmitter sites in fixed wireless applications may be “fixed.” In
but learned (tracked) by the receiver. The channel actuality, the reason for this is that such sites are only
might change considerably from one burst to the next. nominally fixed because perturbations of the commu-
By a channel being unknown to the transmitter, nicators and the communication medium are possible.
we mean that the realization of H during a burst is For indoor LANs—even for a user at a desk—
unknown. Actually, the average SNR value and even some motion in and around the workspace is likely.
n R might not be known to the transmitter. Not only people but various (especially metal) objects
Nonetheless, for purposes of this discussion, these two could be moving in the propagation path. For pre-
parameters are considered to be known. The reason dominately outdoor fixed wireless links, weather-
for this is that at the transmitter, one assumes that related motion of antenna structures occurs, as well as
communication is taking place with a user for which significant channel changes due to, say, vehicles and
at least a certain nR and average SNR are available. foliage. Half-wavelength movements can be impor-
These minimum values represent what the transmit- tant. Thus, assuming that the channel is fixed during
ter conservatively uses to determine a capacity value a burst, the channel may vary from burst to burst,
Dielectric
surface
λ/2
Section of available
surface of a base
or laptop λ/2
λ/4
Metal
λ/2 surface
Dielectric
λ/2 layer
Figure 2.
Section of casing paved with half-wavelength lattice.
and one might be interested in the capacity that can the end of the “Conclusion” section). In very severe
be attained in nearly all transmissions (for example, situations, provision for movement of the receive
95 to 99% or even higher). antenna may be desirable to avoid the risk of being
Complementary capacity distributions, discussed stuck with an undesirable H for excessive time.
below, focus on the high-probability tail. (In special Deployment of a relay site is yet another alternative.
applications like very large file transfers, however, Fading correlation time and its incorporation into
maximum attainable throughput over long time dura- more refined performance criteria is an interesting
tions may be a preferable figure of merit.) A compan- subject for future investigation in measurement and
ion article1 mentions that based on the results of analytical studies.)
research,2,3 the transmitter can use a single code even Key Capacity Expressions
though the specific value of the H matrix is unknown. A generalized capacity formula and a capacity
The distribution of capacity is derived from an lower-bound formula are referred to below.1 The gen-
ensemble of statistically independent Gaussian nR nT eralized formula is derived from other basic formu-
H matrices (the aforementioned Rayleigh model). In las.4-6 Additionally, the capacity formula for optimum
this paper, the system is considered to be either OUT ratio combining is needed.
or NOT OUT for each realization of H. As mentioned The generalized capacity formula for the general
earlier, the OUT state corresponds to the event that a (nT, nR) case is
prespecified capacity level (for example, X) cannot be
met. For instance, given a 1% outage level, one would
say a certain capacity can be assured at that level. R
( )
C = log 2 det I n + ρ / n T ⋅ HH † b/s/Hz . (2)
By employing MEAs, capacity tail probabilities can In this equation, “det” means determinant, In is the
R
be significantly improved. The subsection nR nR identity matrix and “†“ means transpose
“Opportunity for Enormous Bit Rates” below discusses conjugate.
the great capacity available and how the tail probabil- The capacity lower bound for the (n, n) case in
ity improves with larger and larger n. terms of n independent chi-squared variates is
(For cases in which the time constant of channel n
∑ log
2
change is very large, extra receive antenna elements C> 2
1 + (ρ / n) ⋅ χ 2k b/s /Hz . (3)
may be needed to ensure that outage is minimal (see k= 1
Capacity (b/s/Hz)
200 18 dB
6
150
12 dB 4
100 –12 dB
50 6 dB 2
–18 dB
0 dB –24 dB
0 0
0 10 20 30 40 50 60 0 10 20 30 40 50 60
(a)
(c)
0.25
Capacity (b/s/Hz/dimension)
Capacity (b/s/Hz/dimension)
8
24 dB –6 dB
0.20
6
18 dB 0.15
4
12 dB 0.10
2 6 dB –12 dB
0.05
0 dB
–24 dB –18 dB
0 0
0 10 20 30 40 50 60 0 10 20 30 40 50 60
(b) (d)
Figure 3(a).
Capacity in b/s/Hz versus the number of antenna elements at each site.
Figure 3(b).
Capacity in b/s/Hz/dimension versus the number of antenna elements at each site.
Figure 3(c).
Capacity in b/s/Hz versus the number of antenna elements at each site.
Figure 3(d).
Capacity in b/s/Hz/dimension versus the number of antenna elements at each site.
Notice that some nonstandard notations have been later in an asymptotic sense, the bound in (3) for large
used—for example, χ22k to denote directly a chi- ρ and n is quite tight. While (3) was initially derived
squared variate with 2k degrees of freedom. Because elsewhere,1 the subsection “A (6, 6) Example of
the entries of H are zero mean unit variance complex Processing at the Receiver” below includes a rederiva-
Gaussians, the mean of this variate is k. As discussed tion of (3) that is constructive. That is, the right-hand
0 τ 2τ 3τ 4τ 5τ 6τ 7τ 8τ
Each of the above rectangles corresponds to a
finite sequence of noisy received 6-D vectors as
illustrated by the right-hand figure for the eighth
rectangle. Six identical copies of these rectangles
Space are stacked on top of each other as shown below.
6
Associated transmitter element
5
Rectangles in
4 the same column
are distinguished
by how the
3 6-D vectors are
processed.
Time
2
7τ τ
Nominal processing timeline through
space-time (shown as thin solid directed line)
Figure 5.
Flow of nominal processing time for a received signal.
6 f a b c d e f a b c
Nulled
5 e f a b c d e f a b
Space
(associated 4 d e f a b c d e f a
transmitter 3 c d e f a b c d e f
element) 2 b a b c d e
1 a Canceled a b c d
0 τ 2τ 3τ 4τ 5τ 6τ 7τ 8τ 9τ 10τ
Time
Figure 6.
Space-time layering in reception.
being those spanning H⋅[ j+1,n] —the first j components primitive data stream is demultiplexed into n data
of ηj are iid complex Gaussians while the remaining streams of equal rate. Each data stream is encoded in
components are all zero. Looking at these projections some unspecified way except to say that the encoders
in the order ηn, ηn–1, ... η1 shows that the totality of can proceed without sharing any information with
the n (n+1)/2 nonzero components are all iid stan- each other. Rather than committing each of the n-
dard complex Gaussians. Consequently, the ordered encoded streams to an antenna, the bit-
sequence of squared lengths are statistically indepen- stream/antenna association is periodically cycled. The
dent chi-squared variates having 2n, 2(n – 1), ... 2 dwelling time on any association is τ seconds so that a
degrees of freedom, respectively. With the choice of full cycle takes n τ seconds. The n-encoded sub-
normalization presented in this paper, the mean of the streams, then, share a balanced presence over all n
squared length of ηj is j. paths to the receiver. Therefore, none of the individual
Transmission substreams is hostage to the worst of the n paths.
In a spectrally economical system, the layered With communication structured in this balanced
space-time architecture described here would be way, each subchannel has the same capacity. This
employed in conjunction with an efficient 1-D code. setup serves to “uniformize” the multiplexing/demulti-
The form of the code employed in a specific instance of plexing and coding/decoding processes—that is, all n
the architecture is not within the scope of this paper. constituents are rendered virtually identical in struc-
For expositional simplicity, however, it is best to begin ture. Of course, because the balance makes it possible
the description by considering some nonspecific block to use the same constellation for each subchannel, the
code rather than a convolutional code implementa- lowest maximum number of constellation points per
tion. subchannel is obtained. Each channel is essentially the
Figure 4 illustrates the transmission process. A same regarding the opportunity for coding.
Sum of Sum of
n–1 unavoided n–2 unavoided
interferences interferences
– –
+ +
n scalar signals for
further processing
Figure 8.
Spatial view of receiver processing.
secutive space-time layers (diagonals), moving left to that need not be nulled are those that will be sub-
right as indicated by the thin solid directed line (really tracted out. Of course, when nulling interferers, any
an ordered sequence of directed lines). The time flow possible enhancement of the noise caused by the inter-
in Figure 5 is only nominal for two reasons. First, with ference nulling process must be carefully assessed. As
block coding where we assume that a layer is synony- explained later in reference to the mathematical setup
mous with a code block, no time arrow need be associ- that has been carefully tailored for capacity analysis,
ated with the processing of the symbols of a block. the noise assessment will be easy to do.
Second, for convolutional coding, which has a definite Figure 6 illustrates additional details of the steps
time direction, a significant modification of the obvi- required for proceeding along iterated diagonal layers.
ous time progression within each full layer might have For expositional convenience, a repetitive abcdef label-
an advantage as explained later. ing on the stack is included. Detection of the first com-
The central theme of the architecture is interference plete diagonal a layer through which is drawn a
avoidance, and this discussion assumes that interfering dashed diagonal line is described. Other layers, includ-
signals will be nulled out. (As discussed later, instead ing boundary layers, are handled similarly. Boundary
of nulling, SNR could be maximized. In such a case, layers are those layers involved with where a burst
“noise” means including not just AWGN but all inter- starts or ends (those having fewer than six rectangles).
ferers not yet subtracted out.) Fewer interferers must The first complete a layer comprises six parts,
be nulled at the higher stack levels. The interferences ajτ(t) (j = 1, 2, ... 6), in which the subscript indicates at
1:n Symbol
DEMUX stream
Encoder x + +
n–1 detected
substreams
Periodic t-varying
Compose vector Memory of
vector to avoid <., .> of interfering previously
interference from
detected symbols detected symbols
detected bits*
Periodic t-varying
vector to avoid
interference from Detected
undetected bits* bitstream
Interference-free
n:1
– encoded stream
MUX
<., .> + Decoder*
Figure 9.
System diagram of the processing involved at the receiver (discrete time baseband perspective).
what point in time the part that lasts for τ time units simultaneously transmitted from antennas other than
begins. All layers relatively disposed to be located par- the kth. The interference stemming from signals that
tially underneath this a layer are assumed already suc- were simultaneously transmitted from antennas
cessfully detected while all layers disposed to be 1, 2, ..., k–1 are inconsequential because these signals
partially above the a layer are yet to be detected. The are assumed to have been already perfectly detected
capacity associated with this case will also be found, and subtracted out. What is necessary is to null out the
and then the capacity associated with the (n, n) case interference from yet undetected signals—namely,
will be apparent. (With block coding, a full layer could those simultaneously transmitted from antennas
correspond to exactly one block, although as pointed k+1, k+2, ... n. This is exactly what is accomplished by
out later, associating more than one block within a projecting a received signal vector into H⋅⊥[ k+1,n]
layer can sometimes be advantageous). because that space is the maximal subspace orthogonal
Next, before computing capacity, a connection is to the subspace spanned by the signals received from
made to the earlier “Mathematical Background” sub- transmitters k+1, ... n.
section by pointing out the relevance of projecting a This discussion has stressed that on each of the six
⊥
received signal vector into H⋅[ k+1,n] . Assume that one time intervals for the a layer, a different number of
received signal vector within a rectangle of ordinate k interferers to be nulled must be addressed. For each of
is being preprocessed. The purpose of the preprocess- the six intervals in turn, the capacity of a correspond-
ing stage is to help later determine the signal sent from ing hypothetical system is expressed in which the
antenna k. The aim of the preprocessing is to yield a additive interference situation holds for all time. For
vector free of interference from all signals that were the first time interval, the five layers below have
Space
No processing is done above and to the right
6 of the layer currently being processed. The
corresponding interferences do impair the
layer currently being processed.
5
Figure 10.
Blocks and sub-blocks in a space-time layer show how parallel processing can be used to advantage.
C = log2 1 + (ρ / 6) ⋅ χ10
2
b/s/Hz. occurring in each one. The capacity would then be six
times that given by the previous sixfold sum, or
The process of nulling one interferer is what 6
until finally encountering the sixth interval. In this In the limit of infinitely many symbols in a layer
case, all five signals from the other antennas interfere. and because every sixth layer is an a layer, this last
Therefore, they must be nulled out so that the corre- expression gives the capacity of the layered architec-
sponding capacity would be ture for the (6, 6) case. Obviously then, in the large
Periodic
Code time-varying Decode
channel
Bit rate x/18
Periodic
time-varying To
Code Decode
channel sub-multiplexer
Bit rate x/18
Periodic
Code time-varying Decode
channel
Bit rate x/18
Subsystem at the top is replaced by three subsystems of one-third the bit rate.
Figure 11.
In parallel receiver processing, three time-varying channels run in parallel.
number of symbols limit, the capacity for an (n, n) sys- the major steps in the iterative detection of the n lay-
tem is given by ers. In providing a spatial view, Figure 8 highlights
n
how interferences are handled differently at the dis-
C= ∑ log 2
1 + (ρ / n) ⋅ χ22k b/s/Hz . (6) tinct vertical levels for the same received vectors.
k =1 Figure 9 is a system diagram of the processing
Figure 7 provides a high-level temporal view of involved. The way past and future decisions are han-
each scalar transmit signal component to keep the The large ρ asymptote is anticipated to be of inter-
transmitter’s total radiated power constant at P$ inde- est in some applications. However, the following is
pendent of n. This n − 2 multiplier has been moved off
1
worth mentioning: One can derive that the advantage
the transmit signal components and onto the Hijs. This of knowing the channel for large n but vanishingly
action fixes the limiting set of eigenvalue support of small ρ is a factor of two in capacity
HH†/n to [0, 4]. C ch _ knwn / n
Consider that for each n, the matrix representa- → ρ / l n 2 b/s/Hz /signal dimension (9b)
tion for each random channel stems from an infinite
= 2C / n (as n → ∞, ρ → 0).
random matrix with indices ij (i ≥ 1, j ≥ 1), where for
each n the infinite matrix is projected into its north- The next subsection provides additional information
west n n corner submatrix to obtain the random about the small-ρ realm.
n n channel matrix. For any fixed x on [0, 4] and a The following question, related to the subject of
corresponding integer η(n) on [0, n], it can be written this subsection, is left for possible future research: Does
that, with probability one, the lack of channel knowledge significantly diminish
the per-dimension capacity if x is allowed dependence
Lim n→ ∞ in the power distribution at the transmitter (optimal
Number of Channel Eigenvalues≤ η ρ(x) in place of constant ρ)? So far, the constraint of
(7) equal power out of all nT transmit elements has been
n η 1 1
~ ⋅
π ∫0
− dξ .
ξ 4
tacitly imposed. It would be worthwhile to explore the
aforementioned question while relaxing this restriction
even when H is unknown to the transmitter.
Obviously, the per-dimension capacity Cch_knwn/n is Despite the distributional spherical symmetry of
now expressed by the elements of H, the receiver can break from sym-
2 1 1− x metry in the reception process in an H-independent
π ∫ log (1 + 4ρx) ⋅
0
2
x
dx
manner that is known to the transmitter. Indeed, the
= log2 (1 + 4 ρ) layered space-time reception process involves a sym-
(8) metry breaking. The example associated with Figure 6
8ρ 1 x (1 − x) + sin −1 x
−
π ln 2
⋅ ∫ 0 1 + 4 ρx
dx . shows that the signal from transmit antenna six is
attended to first, then the signal from five, and so on.
The capacity advantage that comes from using infor-
The right-hand side of (8) follows from integration
mation on reception asymmetry to distribute power
by parts. In the limit of large ρ, the last integral simpli-
judiciously among the transmit antennas is an area
fies, enabling one to conclude that
currently being researched.
Slowing Processing With Parallelism
C ch _ knwn / n → log 2 (ρ / e) b/s/Hz/signal
(9a) Parallel processing can be used to advantage as
dimension (n, ρ both large). shown in Figure 10. The example involves slowing
This is the same asymptotic behavior as that for processors by a factor of three. (In theory, one could
the layered space-time architecture for which the slow processing by any factor). To do so, each of the six
assumption was that the transmitter does not know the streams is further demultiplexed at the transmitter into
channel. In the large-ρ large-n asymptote, capacity three demultiplexed substreams. At the receiver and
per dimension is not lost by lack of channel knowl- for each of the six streams, three separate processors
edge. Furthermore, in light of (9a), one can now con- operate in parallel on the three distinctly encoded sub-
clude that the equation’s right-hand side also streams. For block codes, each of the three sublayers
expresses the limiting behavior of C/n for the capacity could constitute separate blocks. In effect, Figure 11