DECLARATION

We hereby declare that the project entitled performance analysis of channel state information
and spectral efficiency optimization on massive MIMO is submitted in partial fulfilment of
the requirement for the award of the degree in BSc Degree in Electrical and Computer
Engineering (Communication Engineering), Ambo University, is a record of our own work
carried out by us during the academic year 2022 under the supervision and guidance of Mr.
Tessema K., Department of Electrical and Computer Engineering, Institute of Technology.
The extent and source of information are derived from the existing literature and have been
indicated through the project at the appropriate places. The matter embodied in this work is
original and has not been submitted for the award of any other degree, either in this or any
other University.

No. NAME OF CANDIDATES ID No Signature

1. Tariku Desta BRT/1013/10 _____________

2. Tariku Taye BRT/1014/10 _____________
3. Wasihun Ersido BRT/1065/10 _____________
4. Taha Awel BRT/1005/10 _____________
5. Gezehagn Terefe BRT/0635/10 _____________

Place: __________
Date:___________
 CERTIFICATION
This is to certify that final Project Report entitled “performance analysis of state channel state
information and spectral efficiency optimization on massive MIMO” that is submitted by this
group members in partial fulfilment of the requirement for the fulfilment of final
project/Thesis in the degree BSC in Electrical and computer engineering (Communication
Engineering) of Ambo University, is a record of the candidate own work carried out by him
under my own supervision. The matter embodies in final project is original and has not been
submitted for the award of any other degree.

_____________________ _____________

Advisor Sign.

_______________________ _______________

Department Head Sign.

Place: _________
Date: _________
ACKNOWLEDGEMENT
 ABSTRACT

Massive multiple-input multiple-output (MIMO) refers to the use of a huge number of

antennas at the base station to transmit and receive signals that fully utilize spatial resources,
improving wireless network spectral efficiency. There are many radio frequency chain
components corresponding to each antenna which results in higher power consumption in
massive MIMO system. Massive multiuser multiple-input multiple-output (MU-MIMO)
systems are being considered for the next generation wireless networks in view of their
ability to increase both the spectral and energy efficiencies. For such systems, linear detectors
such as zero-forcing (ZF) and maximum-ratio combining (MRC) detectors on the uplink
(UL) transmission have been shown to provide near optimal performance. As well, linear
precoders such as ZF and maximum-ratio transmission (MRT) precoders on the downlink
(DL) transmission offer lower complexity along with a near optimal performance in these
systems.
One of the most challenging problems in massive MU-MIMO systems is obtaining the
channel state information (CSI) at the transmitter as well as the receiver. In such systems, the
base station (BS) obtains CSI using pilot sequences, which are transmitted by the users. Due
to the channel reciprocity between the UL and DL channels in the time-division duplex
(TDD) mode, BS employs CSI obtained to precode the data symbols in DL transmission. To
accurately decode the received symbols in the DL transmission, the users also need to acquire
CSI. In view of this, a beam forming training (BT) scheme has been proposed in the literature
to obtain the estimates of CSI at each user. In this scheme, BS transmits a short pilot
sequence to the users in a way such that each user estimates the effective channel gain. The
expected outcome that we will simulate on MATLAB will show the enhanced performance
of massive MIMO system with optimized spectral efficiency and with respective precoding
techniques plot.

Key word: MU-MIMO, Precoding, Multi-user interference, Maximum ratio transmission.

CHAPTER ONE
BACKGROUND HISTORY OF MIMO

1.1 INTRODUCTION
There is a remarkable history behind the phrase “Multiple Input Multiple Output”. Even
though it is used to refer to one of the communication techniques, it was used in the 1950s in
filters theory and electric circuit. The term MIMO was used to indicate circuits with multiple
input and multiple output ports in its original context. During the 90s, however, this term has
been adopted by communication systems researchers and information theorists to denote a
novel signal processing technique that was developed for wireless systems with multiple
antennas. The reference point in this different use of the term was the communication
channel.
The term multiple input was used to denote the signals that were entering the communication
channel from the multiple antennas. Also, the word multiple output implied signals received
at the multiple antennas of the receiver, which were regarded as the output of the
communication channel. It was in the paper published in 1999 by Gerry faschini and Peter
Driessen where the term MIMO used in wireless communications as part of analysing the
theoretical communication capacity of a wireless system with multiple transmit and receive
antennas Although multiple antennas are required in MIMO communications, it is not the
first technique that utilizes multiple antennas to be developed.

In fact, using multiple antenna technology to enhance the performance of radars and other
aspects of communications dates back to the early 1900s. During 1905 Karl Braun showed
the first application of multiple antennas which uses phased array antennas to enable rapidly
steerable radar, and later, in AM radio broadcasting to switch between sky-wave and ground-
wave propagations. Fading has been combated in wireless communications using the multi
antennas technology for more than 70 years through the receive diversity. The idea of receive
diversity showed up in 1931 in a paper published by H. Peterson and H. Beverage. The
receive diversity was used in military applications such as the troops scatter during the 1950s

Because of the ever-increasing number of users with multimedia communications, demand

for wireless services is rising extensively. The design of high data rate and reliable wireless
communication systems is also difficult due to the effects of multipath fading, restricted
transmitter capacity, and scarce spectrum. To conquer the obstacle, Multiple Input Multiple
Output (MIMO) technology is employed, which utilizes multiple antennas for transmission
and reception. MIMO is a physical layer technology that allows more data to be delivered
within the same amount of time and with the same available bandwidth. Signal mixing will
occur at receivers if many streams are transmitted across wireless channels at the same time.
As a result, additional signal processing, either at the receiver or at the transmitter, or both, is
required to separate the data stream, which is referred to as MIMO processing.

In Multiuser MIMO systems a base station with multiple antennas can employ scheduling
techniques to simultaneously serve several spatially separated user equipment’s over the
same time-frequency resource. These systems offer multiple access and broadcast capabilities
where, each user’s equipment in an MU-MIMO system can use a single antenna yet
achieving equivalent performance gain to point-to-point MIMO systems.

In fact, the physical size and cost constraints of UEs limit the performance of point-to-point
MIMO systems, as UEs are often low-cost handheld devices that are unable to support
multiple antennas. Massive MIMO systems are one of very essential technology for fifth
generation mobile networks since they can improve energy efficiency and spectral efficiency
of cellular network. In these systems, hundreds or even thousands of antennas employed at
base.

The more the BS antennas used, the more the data streams can be released to serve more
terminals, reducing the radiated power, while boosting the data rate. This will also improve
link reliability through spatial diversity and, provide more degrees of freedom in the spatial
domain, and improve the performance irrespective of the noisiness of the measurements. In
addition, because massive MIMO systems have a broad range of states of freedom, and
greater selectivity in transmitting and receiving the data streams, interference cancellation is
enhanced.

BSs can relatively easily avert transmission into undesired directions to alleviate harmful
interference which, leads to low latency as well. In addition, massive MIMO makes a proper
use of beam forming techniques to reduce fading drops; this further boosts signal-to noise-
ratio (SNR), bit rate and reduces latency.
Massive MIMO is a newest form of the MIMO technology that has yet to be employed in the
next generation of wireless systems due to its many advantages that will enhance the wireless
communications. The name of this technology refers to the concept of equipping the BS with
a very large number of antennas. It is going to be an important solution to handle the
exponential growth in data traffic.

1.2 Statement of Problem

Wireless communication is a form of unguided media which involves no physical link

established between two or more device, communicate wirelessly and signal are spread over
in the air and are received and interpreted by appropriate antenna. Fading effect is reducing
the quality of wireless Communication. It may vary with time, geographical position or radio
frequency, and is often modelled as a random process. Due to multipath propagation,
spectrum is not efficient and data rate is very slow. In addition to fading higher radiated
power, latency, lesser signal to noise ratio and small value of through put are considered as
barriers for quality of service.
Capacity and energy efficiency are one of the most important performance metrics of any
wireless system. This dissertation investigates the performance of massive MIMO using these
two metrics. The SE performance is also compared under different linear precoding
techniques zero forcing (ZF) and maximum ratio combing (MRC). A massive MIMO with
hundreds of BS antennas can optimize the performance of the spectral efficiency easily.

1.3 Objective
1.3.1 General Objective
The main objective of this project is performance analysis of channel state information and
spectral efficiency optimization on massive MIMO.

1.3.2 Specific Objective

 To analysis the Performance of different Precoding Techniques.

 Average DL sum SE as a function of the number of BS antennas for different
precoding schemes.
1.4 Scope of the Project

Massive MIMO is one of the technologies to facilitate the communication system. We are
going to show how this technology can improve the efficiency and the overall
communication analytically. Our project mainly consider on the uplink spectral efficiency
optimization and down link spectral efficiency optimization by showing different techniques
those are zero forcing, Maximum ratio combing and Minimum mean square error. The other
one out of our scope is not our consideration we went to show only what we say on the
above.

1.5 Significance of the Project

The 5th generation of wireless communication systems (5G) promises much higher capacity
and speeds under limited spectrum and tight power compared to the current systems. Massive
MIMO can be considered as a gold mine of research problems. The huge advantageous that
massive MIMO is bringing to the next generation of wireless communication such as the
ability to accommodate high number of users with very high data rates and reliability with
very low power consumption, a lot of aspects must be addressed before it can be practically
used.

To optimize spectral efficiency in massive MIMO systems, pre-coding is used at the

transmitter in order to reduce the complexity of system, noise effect and optimize stream data
transmission based on channel state information (CSI). Precoding provides two fundamental
advantages, including reduce interference and performing beam forming to the desired users.
In general, there are two types of precoding, non-linear precoding schemes and linear pre-
coding schemes.

Non-linear precoding can achieve both of these two functions, while the linear one can only
reduce inter-users interference. The simulation capabilities of MATLAB are exploited to
inspect the effect of the imperfect channel knowledge and user allocation on UL channel
estimation, capacity and EE using the mathematical model of massive MIMO.
CHAPTER TWO
2. Literature Review
In [1]as technologies are becoming more advanced, it can be taken for granted that more
wireless throughput is always going to be needed. It is expected that, within few years,
millions of users will want to use mobile multimedia applications such as online gaming, e-
healthcare, streaming videos and communicating through holographic videos. Thus, hundreds
of megabits per second will be essential for every user.

In [2]Availability of spectrum which will never increase, fundamentals of information theory

and the electromagnetic laws of propagation are all aspects that impact the amount of
information that can be transferred wirelessly. Hence, the performance of wireless networks
is always limited at the physical layer.

In [3]Improving the efficiency of a wireless networks is typically done by first utilizing the
free or underutilized areas of the spectrum and increasing the density of access points then
improving the spectral efficiency by increasing the number of bits that can be carried in each
Hertz . Millimetre wave and small cells are used to handle the first two respectively. It is
likely that the tradition of using new bands and deploying more access points will continue in
the future, but the necessity to maximize the spectral efficiency is inevitable.

In [3]a thesis titled as “Spectral Efficiency and Energy Efficiency in Massive MIMO
Systems” by Diwei Sun analyses the relationship between signal-to-noise ratio (SNR),
capacity and discuss energy depend on single cell massive MIMO system but his work does
not consider multi-cells massive MIMO system. Based on his thesis, if we do not consider
system complexity, MMSE has the best performance in terms of spectral efficiency and
energy efficiency (perfect CSI is assumed). Compared to ZF, MRC performs better in low
power regime (with SNR ranging from 0 dB to 15 dB).

In [4]On the contrary, the performance of ZF in high power regime (with SNR larger 10 dB)
is better and even approaches to that of MMSE. Moreover, the simulation results demonstrate
that massive MIMO systems cannot enhance spectral efficiency and energy efficiency
infinitely due to the existence of interference among users.

In [4]to optimize system performance and maximize economic benefit, it is significant to find
out the optimal power allocation. Distances between users and BS are not being taken into
account in the thesis. This will be considered in our work for more accurate simulation
results.

In [5]a thesis titled as “Massive MIMO: Fundamentals and System Designs” by Hien Quoc
Ngo focuses on fundamental limits of the system performance under practical constraints
such as low complexity processing, limited length of each coherence interval, inter-cell
interference, and finite- dimensional channels. He studied the potential for power savings of
the Massive MIMO uplink with maximum ratio combining (MRC), zero-forcing (ZF), and
minimum mean square error (MMSE) receivers, under perfect and imperfect channels.

In [3]the energy and spectral efficiency trade-off is investigated. Secondly, he considers a

physical channel model where the angular domain is divided into a finite number of distinct
directions. A lower bound on the capacity is derived, and the effect of pilot contamination in
this finite dimensional channel model is analysed. Finally, some aspects of favourable
propagation in Massive MIMO under Rayleigh fading and line of sight (LoS) channels are
investigated.

In [6]this shows that both Rayleigh fading and LoS environments offer favourable
propagation. The thesis proposes some system designs for Massive MIMO. The acquisition
of channel state information (CSI) is very important in Massive MIMO. Typically, the
channels are estimated at the BS through uplink training. Owing to the limited length of the
coherence interval, the system performance is limited by pilot contamination.

In [3]a paper titled as “Massive MIMO Wireless Networks: An Overview” by Noha Hassan
and Xavier Fernando discussed major elements of massive MIMO networks, namely pilot
usage, precoding, encoding, detection, and beam forming. They observe that fast booming
massive MIMO would be more promising to improve data rates and provide flexibility in
user-BS association. But there are many interconnected design issues that need to be properly
understood and solved before widespread deployment of the massive MIMO technology.
Several open research challenges are still facing the progress and development of this
emerging technology.
In [3]more research is needed to introduce new adaptive beam forming techniques to achieve
higher received symbol power and less interference. As detection becomes harder when the
number of BS antennas increases, more advanced signal processing methods are required for
better detection and are associated with introducing low complexity optimum and nonlinear
detectors, and precoders to improve the performance and reduce the computational
complexity. [3]

In [3]a lower bound on the capacity is derived, and the effect of pilot contamination in this
finite dimensional channel model is analysed. Finally, some aspects of favourable
propagation in Massive MIMO under Rayleigh fading and line of sight (LoS) channels are
investigated.

In [6]as detection becomes harder when the number of BS antennas increases, more advanced
signal processing methods are required for better detection and are associated with
introducing low complexity optimum and nonlinear detectors, and precoders to improve the
performance and reduce the computational complexity.

In [7]The SE performance is also compared under different linear precoding techniques zero
forcing (ZF) and maximum ratio combing (MRC). A massive MIMO with hundreds of BS
antennas can optimize the performance of the spectral efficiency easily.

In [5]our paper we analyse the different techniques to optimize the spectral efficiency (SE) of
a massive MIMO in Time Division Duplex (TDD) architecture. The SE performance is also
compared under different linear precoding techniques zero forcing (ZF) and maximum ratio
combing (MRC). A massive MIMO with hundreds of BS antennas can optimize the
performance of the spectral efficiency easily.

2.1 Different Types of MIMO System

These types of MIMO systems models are:-

 Multiple-input multiple-output systems

 Single-input single-output (SISO) systems
 Single-input multiple-output (SIMO) systems
 Multiple- input single-output (MISO) systems

2.1.1 Single-In Single-Out System

The SISO system model is shown in the figure below. The signal transmitted from the Tx
antenna. The signal received at the Rx antenna passes through the channel with impulse
response in an additive white Gaussian noise (AWGN) environment.
 Figure 2.1 SISO System

2.1.2 Single-In Multiple-Out

A single-input multiple-output (SIMO) system with one transmit antenna and multiple
receive antennas is illustrated in the figure below.

Figure 2.2 SIMO system

2.1.3 Multiple-In Single-Out System

A multiple-input single-output (MISO) system with multiple transmit antennas and one
receive antenna is illustrated in figure below

Figure 2.3 MISO system

2.1.4 Multiple-In-Multiple-Out
In System A multiple-in multiple-out (MIMO) system with multiple transmit antennas and
multiple receive antennas is illustrated in figure below. For a faded channel, it is assumed that
channel responses from each transmit antenna to each receive antenna are independent.
 Figure 2.4 MIMO system

MIMO radio systems develop multiple antennas in order to send and receive multiple data
streams at once. The number of antennas required is defined by the radio manufacturer based
on what they determine will work for optimal transmission and reception with their particular
hardware and software.

There are three main differences that distinguish between massive MIMO and
multiuser MIMO. First, knowledge of the channel is only required at the BS. Second,
the number of antennas M at the BS is usually much larger than the number of users K.
Third, both the DL and the UL use simple linear signal processing. Therefore, scaling
up this technology can be easily done when it comes to the number of antennas at the
BS. As the number of transmitter antenna increases, spectral efficiency also increases
dynamically. Based on the simulation results and their implication it can be make
comparison between traditional MIMO and massive MIMO. Compared to traditional
MIMO, the advantages of massive MIMO include:-

 Enhancement of SE
 Massive amount of degrees of freedom in spatial domain
 Good system performance with only linear (simple) precoding scheme, e.g.
Zero forcing, Maximum Ratio Transmission, Minimum Mean Square Error

 Facilitate resource allocation

 The total time spent for training, however, increases linearly.

Massive MIMO avoid this problem by taking measures to ensure that operations do not
approach Shannon limit, however achieving a performance that overtake any typical
multiuser MIMO system. In massive MIMO, hundreds of terminals can be
simultaneously served with a BS equipped with hundreds of antennas over the same
time/frequency resources. Some key enabling characteristics for this technology are:
2.2 Characteristics of Massive MIMO
Characteristics of massive MIMO are the following: -

 Time Division Duplex

 Frequency Division Duplex
 Linear Processing
 Favourable Propagation
 Antenna Array
 Scalable
2.2.1 Time Division Duplex (TDD)

On the contrary of the frequency division duplex (FDD), the overhead required to
estimate the channel does not depend on the number of BS antennas M under time
division duplex (TDD) protocol. Hence, it is preferred to use TDD protocol in massive
MIMO. Exploiting the channel reciprocity can considerably reduce the overhead
required for CSI acquisition. The advantage of TDD over FDD. It shows that the
possible (M, K) dimensions in TDD is much more than FDD. For example, when the
coherence interval T is 200 symbols, the constraint for the number of users and BS
antennas is M+K < 200 in FDD system, while the constraint for TDD systems is
2k<200 .

In TDD systems, multi-user precoding in the downlink and detection in the uplink
require CSI knowledge at the BS. The resource, time or frequency needed for channel
estimation is proportional to the number of the transmit antennas. TDM separates
uplink and downlink signals by matching full duplex communication over a half-duplex
communication link. This method is highly advantageous in case there is an asymmetry
of uplink and downlink data rates.

TDD systems have the following features: -

The time required to acquire CSI does not depend on the number of BSs or users.

Only the BS needs to know the information about the channels to process
antennas coherently.

2.2.2. Frequency Division Duplex (FDD)

Uplink and downlink use different frequency bands (CSI in both links) in FDD. The
uplink channel estimation at the BS is done by letting all users send different pilot
sequences. To get the CSI for the downlink channel, the BS transmits pilot symbols to
all users. The users respond by the estimated CSI for the downlink channels. CSI can
be estimated at the receiver side only, or at both at the transmitter and the receiver.
Estimation at both sides has some advantages.

As the number of BS antennas goes up, the time required to transmit the downlink pilot
symbols increases. In addition, as the number of BS antennas grows, FDD channel
estimation becomes almost impossible and a TDD approach can resolve this issue. In
TDD systems, due to channel reciprocity, only CSI for the uplink needs to be
estimated. In addition, linear MMSE based channel estimation can provide near-
optimal performance with low complexity.

Figure 2.5 the regions of possible (M, K) in TDD and FDD systems

The figure above shows the regions of feasible (M, K) in FDD and TDD systems. We can see
that the FDD region is much smaller than the TDD region. With TDD, adding more antennas
does not affect the resources needed for the channel estimation.
 Figure 2.6 linear processing of Massive MIMO

2.2.3 Linear Processing

Signal processing at the user terminal ends must handle large dimensional channel matrices
due to the large number of BS antennas and users. As a result, it is preferable to use simple
signal processing. Linear processing which is linear precoding scheme for downlink and
linear combing schemes for uplink are almost optimal in Massive MIMO.
2.2.4 Favourable Propagation
In massive MIMO, Base Station is suited with an excessively large number of antennas
relative to the number of User terminals. Deploying a huge number of antennas at the Base
Station results in favourable propagation, where the wireless channels become nearly
deterministic because the BS-UE channel vectors become near-orthogonal to each other. This
is due to the fact that when the number of antennas at the BS is increased unboundedly the
effects of small-scale fading tend to disappear asymptotically.

2.2.5 Antenna Array

Antenna arrays of Massive MIMO Base Station do not have to be physically big in order to
limit them from occupying large space.

2.2.6 Scalable
Since the BS acquires the channel through UL pilot when operating in TDD protocol, the
time spent on channel estimation does not depend on the number of Base Station antennas.
Thus, the number of Base Station antennas can be increased without adding more time to the
estimation process. Furthermore, because multiplexing and demultiplexing are not needed at
the user ends, signal processing on each terminal is independent of the other users.

2.3 Massive MIMO Advantages

Massive MIMO have many advantages compared to the conventional MIMO system.

Some of them are listed below.

I. High spectral efficiency and communication reliability

Massive MIMO takeover all gains from multiuser MIMO. Having M number of antenna on
the Base station and K users with single antenna, a diversity of order M and multiplexing
gain can be achieved. Very high spectral efficiency and communication reliability can be
obtained by increasing both the number of antenna and number of users.

II. High energy efficiency

Base station focuses the energy on directions where user terminals found in the downlink.
Therefore, huge antenna arrays will minimize the emitted power by an order of magnitude,
allowing us to achieve high energy efficiency. Energy can be concentrated into small regions
in space with a large number of antennas this makes increase in energy efficiency possible.
Enhancement in spatial resolution and the coherent superposition of wave fronts is mainly the
reason for this. The wave fronts are radiated by antennas summed up constructively at users
the locations. Interference among users can be suppressed by using suitable precoding
scheme.
III. Simple signal processing

The use of huge number of base station antenna over the number of user results in favourable
propagation in many of propagation environments where the channel vector between user and
Base Station nearly orthogonal. Under favourable propagation, the effect of inter user
interference and noise can be eliminated with simple linear signal processing or linear
precoding and linear decoding in the downlink and uplink respectively. As a result, simple
linear processing schemes are nearly optimal.
IV. Reduction of latency

Wireless communication systems performance restricted by fading, where the signal strength
minimized drastically. This happens in multi path channels where signals on arrival add up
destructively. Fading results in a difficulty to obtain reduced latency wireless links since
Mobile Subscriber must wait until the propagation channel has sufficiently altered before
receiving any data if it is trapped in a fading dip. Massive MIMO which depends on the use
of huge numbers and beam forming avoid fading, so that fading no longer limits latency.

2.4. Challenges in Massive MIMO

Despite the huge advantages of Massive MIMO, there are issues that needs to be tackled the
main challenges in massive MIMO are listed below;

V. Pilot Contamination

Practical cellular networks consist of many cells. This many cells share the same time
frequency resources due to the limited availability of frequency spectrum. In multicellular
systems, orthogonal pilot sequences for all users in all cells cannot be assigned, due to the
limitation of the channel coherence interval. Orthogonal pilot sequences have to be reused
from cell to cell. So, the channel estimate obtained in a given cell will be contaminated by
pilots transmitted by users in other cells. This is called pilot contamination which reduces the
system performance and it’s the major limitation of Massive MIMO.

VI. Unfavourable propagation

Massive MIMO normally works under favourable propagation environments. But practically
there may be propagation environments where the channels are not favourable. Like in
propagation environments where the numbers of the scatters‟ is small compared to the
numbers of users, or when some common scatters‟ share the channels from different users to
the BS, the channel is not favourable. Distribute the BS antennas over large area can be One
possible solution for this.
VII. High power consumption
In Massive MIMO because of the presence of huge number of antenna and also large number
radiofrequency chain corresponding to each antenna there is more power consumption. Every
components of the radio frequency chain consume more power as they as large in number.
2.5 Features of Massive MIMO

Compared to long term evolution (LTE 4G) the most important feature is to allow users to
enjoy much higher data speed with peak data rate of 10Gbps. However, path loss and fading
is increasingly serious as the frequency increases. Moreover, inter-user interference creates a
performance bottleneck in MIMO systems. To address this issue, massive MIMO (Multiple
inputs and multiple outputs) technology is applied.

Due to application of millimetre wave communication, antennas can be designed smaller than
before, while the distance among two of them will be shortened. As a result, antennas array is
possibly integrated in a small area. In massive MIMO systems, the large number of antennas
can provide with a large amount of degrees of freedom (DoF) to facilitate efficient wireless
communication signals, thus increasing spectral efficiency (SE) and capacity.

2.6 Architectural Model of Massive MIMO Antenna Array

The use of antenna arrays is seen as a promising approach for managing many of the
problems associated with wireless communication. An array of multiple antennas may be
placed at the receiver, transmitter, or at both sides of the communication link. Alternatively,
the polarization may vary among the antennas. The resulting Multi-Input-Multi-Output
(MIMO) channel represents a natural extension of the previously described MISO case. In
sufficiently rich multipath scattering environments, these extra degrees of freedom lead to a
channel capacity substantially higher than when only a single antenna array is used,
regardless of whether the transmitter knows the channel parameters or not. The use of dual
antenna arrays in rich scattering environments gives rise to a multiplicative effect that makes
the channel capacity increase.

The models of the massive MIMO antenna element and array. The antenna element consists
of two cross dipoles which achieve ±45◦ polarizations. Four square metal sheets with slots
added on are designed as the arms of the dipoles. The size of the antenna is 27.2 mm × 27.2
mm × 17 mm, and the gap between the antenna arms is 0.8 mm. The dipoles are fed by two
cross feeding pads, which have the size of 10 mm × 3.2 mm × 0.8 mm.

a) Antenna Element b) Elements Massive Antenna Array

Figure 2.7 Designs of the Antenna Element and the Antenna Array

The antenna array consists of 64 elements which operate at the frequency ranging from 3.6 to
4.8 GHz. The two dipoles with the same polarization of the two adjacent antenna elements
along the vertical direction share one RF channel. So the number of RF channels to be
optimized is 32. Taking the trade-off between beam forming and correlation coefficient into
consideration, the distance between two antenna elements is designed to be 0.9λ, where λ is
the wavelength corresponding to the centre frequency. The gain of the antenna at the centre
frequency is 26.8 dB.
CHAPTER THREE

3. Methodology

The methods that we are going to use to do our project are described below. The first thing is
that we prepare a proper time schedule that specifies the things we will do. Then we gather
different information that is needed for our project from sources such as, books and internet.
We then assemble each information to a meaningful and in supportive way to the project.
Since we have already chosen the software that we are going to use for our project, i.e.
MATLAB, we have to design and analyse the model.

We will also try to analyse and simulate it using Mat-lab. To do so we need to figure out the
code so we will again read different sources about Mat-lab coding which are related to
massive MIMO. We have read through different materials regarding our project and we
collected the data. The next thing we have done is choosing the right procedure of
implementation of the project. That is we are going to do our work based on linear precoding
techniques such as PZF, ZF and MR. Finally, we analyse simulated result in accordance with
the objectives listed and the results that we obtain from simulation are snipped and discussed
briefly based on mathematical equation derived in the process.

We will also try to analyse and simulate it using Mat-lab. To do so we need to figure out the
code so we will again read different sources about Mat-lab coding which are related to
massive MIMO. We have read through different materials regarding our project and we
collected the data. The next thing we have done is choosing the right procedure of
implementation of the project. That is we are going to do our work based on linear precoding
techniques such as PZF, ZF and MR. Finally, we analyse simulated result in accordance with
the objectives listed and the results that we obtain from simulation are snipped and discussed
briefly based on mathematical equation derived in the process.
 start

Input the value of the variables

Channel generation

Imperfect CSI

Calculate the system capacity

Check the reuse frequency

f
a
Calculate the spectral efficiency of the csystem
By taking the average of all realization

Repeat the process of different variables

Result
Result

Figure:-3.1 Flow chart for spectral efficiency simulation

Massive MIMO is a multi-user MIMO (multiple-input multiple-output) technology that can
provide uniformly good service to wireless terminals in high-mobility environments. The key
concept is to equip base stations with arrays of many antennas, which are used to serve many
terminals simultaneously, in the same time-frequency resource. The word “massive” refer to
the number of antennas and not the physical size

Massive MIMO is seen as a key technology to delivering mobile 5G. Massive multiple-

input, multiple-output, or massive MIMO is an extension of MIMO, which essentially
groups together antennas at the transmitter and receiver to provide better throughput and
better spectrum efficiency.

3.1 How Does Massive MIMO Operate

UL and DL operations of massive MIMO might represent a single cell site, or cell taken out
of a network. A large number of UE K inside the cells are served through an array of
antennas in the BS. Each terminal usually have a single antenna. Other cells are served by
different BSs that do not cooperate among each other except for pilot assignment and power
control. All terminals use the full frequency-time resources simultaneously for UL/DL
transmissions. On the UL, individual signal sent by the terminals are recovered at the BS. The
BS, on the DL, makes sure that every UE receives only the signal that was intended for it.

Multiplexing/DE multiplexing processing at the BS are possible because of the available

knowledge of the CSI. The BS creates an arrow beam towards the direction of the terminal
under line of sight (LOS) propagation environment. The concentration of these beams
become more accurate (i.e. they become narrower) as the number of antennas is increased. In
the case of the existence of a local scattering, the signal received at any UE consists of the
superposition of many independent components as a result of scattering and reflections which
can add up destructively or constructively.

These components add up constructively exactly at the location of the user if the transmitted
waveforms are perfectly selected. The precision of the power concentration to a certain
terminal can be increased by adding more antennas to the BS. Therefore, it is very important
to have CSI at the BS that is sufficiently accurate to focus the power.

3.2 Channel Estimation

One of the most essential tasks of the BS is detecting the user’s transmitted signals on the UL
and precoding the DL signals. Hence, the BS requires the CSI which can be obtained using
the UL training. Terminals that are assigned orthogonal pilot signal each, send these pilot to
the BS. The pilot sequences transmitted from all terminals are already known to the BS.
Thus, the BS can estimate the channels using these pilot signals.

Moreover, partial knowledge of CSI might be required at every terminal for coherent
detection of the transmitted signals from the BS. This partial knowledge can be either
obtained using DL training or through some algorithm that can blindly estimate the channel.
To detect its intended signal, the terminal only requires the effective gain of the channel
because the signals performing is conducted using linear precoding techniques at the BS.
 Figure 3.1 TDD Protocol of massive MIMO Transmission

3.3 UL Data Transmission

UL data transmission occupies part of the coherence interval. In the UL, the BS
receives the transmitted data from all K terminals in the same frequency-time resource.
The BS detects the signals transmitted from all terminals exploiting the channel
estimates and the linear combining techniques.

Figure 3.2 Uplink data transmission

The number of orthogonal sequences during the UL pilot signalling to estimate all the
channels at the BS is B=NK . Where N is dimension of channel and K is number of user
equipment. Thus, the matrix that contains the pilots of user k is denoted. T ∈ C N × B
Where tr (T k T Hk )≤ BP is the pilot energy constraint to minimize the MSE of channel
estimation using the pilot matrix.

½ t
T k =V k Lk U k (3.1)

Where Lk =diag {l k 1 … l k , N } is used to distribute the maximum power 𝑃 between the N

dimensions of the channel.U k ∈C M × N Satisfies U HK U tk =B I N and U lH U l =0when k ≠ l
Hence, the received uplink signal at the BS is

Y =∑ k C k T k + N k ∑ k H k D ½k U Tk +¿ (3.2)
k=1 k=1

Where D k = A k L k and H=R ½r , k , C w ,k V k . N denotes the noise at the receiver. It the

statistical information Dk is available at the receiver then the LMMSE estimate of the
channel is

h^ k =( D½k ∗R r ,k ) ( D k∗Rr ,k ) +σ 2 / β I MN ¿ ¿−1 bk (3.3)

⃗ U =⃗¿ if the i th column of H is h then

Whereb k =( 1/ BY k k) k k ,I

φk ,i i= j
E {h^ k ,i h^ k , j }={
H
(3.4)
0 i= j

( )
2
d k ,i R r , k σ
Where φ k ,i=φk ,i =d k ,i Rr , k R r ,k
B IM

3.3.1 UL Channel Capacity

When every user transmitter knows only its channel while the BS has perfect
knowledge of the CSI to all users, every terminal pre-code its transmitted signal to
maximize the capacity.

If the precoding matrix of user k during the transmission of the UL data is denoted

N×N
Tk ϵC , then 𝐓 = 𝐕 𝐏 (3.5)

Where P=diag{ p , G … , p , } denotes the power allocation matrix with tr ( P k ) ≤ P .

Therefore, the received UL signal at the BS can be expressed as
 k k
y=∑ Ck Ť k× k +n=∑ H k A ½k P½k × k + n (3.6)
k=1 k=1

Where the data symbol transmitted for the user k is denoted x ~𝒞𝒩 (0, σ I M ) and the
noise at the receiver noise is donated 𝐧~𝒞𝒩 0, σ I M . The mutual information between
y and x= [x, … x] has the following lower bound.

k
I(y,^
k=1 { |
H ; x ) ≥ ∑ E log 2 I N +Ok H
^ Hk ∑ ^
H
k |} (3.7)

H=| ^
Where ^ ^| is the imperfect base station at the receiver Ok = A k P k
H ……H

UL capacity of the user k can be maximized using the following MMSE detector

t k ,i= √ hk , i pk , i ∑ h k ,i (3.8)

Where ∑ ¿ ( ∑−1
−1
k + H k Ok H K )
H
∑ = (∑-1 k + H kOk HH k) -1 The UL channel capacity
of user k after applying the MMSE detector to the signal in 4.5 is

n
C ul, k =∑ E {log 2 ( 1+ SINRUL
k ,i ) } (3.9)
i=1

Where SINR is

h ( k , i ) p ( k , i )|t (k , i)( k , j)|

SINRUL
k ,i = (3.10)
E { t (k , i)( yy ( H )−⋋ h ( k , i ))t(k ,i)|H }

Uplink process has the following steps:

 Encoding is employed to prepare data for transmission.

 Pilot sequences and uplink data sequences are transmitted at the same time and
over the same frequencies from each user to the BS.
 The BS receives the sum of data streams from all the users, and estimates the
channel.
 Decoding and detection operations produce individual data streams by utilizing
the estimated CSI.
3.4 DL Data Transmission
The BS transmits the DL data to all the terminals on the same frequency/time resource.
In specific, the BS creates M pre-coded signal and feed them to M antennas. This can
be done using the estimated channel and the symbol intended for the Kth user, the
received signal is

k
y k =C H
k ∑ W L Ω½L× L+n k
L=1

(3.11)

Where xℓ ~𝒞𝒩 (0, σ I M ) indicates the DL signal dedicated for xℓ user and nk ~ 𝒞𝒩 (0,
σ I M ) is the additive noise at the receiver. The processed received signal with user’s k
eigenvector of its correlation matrix V kH is

k
H
Z k =V y k = A H
K
½
k
H
k ∑ W L Ω½L × L+V kH n k (3.12)
L=1

The mutual information between X k and Z k has the following lower bound

I ( Z k , X k ) ≥ log 2|I N + ^ H k|
H k ňk ^
H
(3.13)

The DL channel capacity of user k after applying the MMSE detector to the signal is

k
C DL ,K =∑ E { log ( 1+ SINR )k }
DL
(3.14)
i=1

Downlink process has the following steps:

 Beam forming:-Data streams are transmitted from the BSs to only the intended
users by means of beam forming, where the different data streams may occupy
the same frequencies at the same time (space division multiplexing).
 Precoding:-The previous operation is carried out knowing the frequency
response of the propagation channels (or CSI) between each of its elements and
each user and precoding the signals accordingly.
 Figure 3.3 down link data Transmission

3.5 Massive MIMO and Its Parameters

Massive MIMO is a form of MU-MIMO systems where the number of BS antennas
and the numbers of users are large. In Massive MIMO, hundreds or thousands of BS
antennas simultaneously serve tens or hundreds of users in the same frequency
resource. There are a lot of parameters and state of arts in massive MIMO.

Those are:-

Spectral Efficiency
Channel state information
Frequency Reuse
SDMA
Spatial Channel Model
Minimum frequency and etc…. But our project mainly focused on in detail
about Spectral Efficiency and Channel State Information.

3.5.1 Spectrum Efficiency

Spectrum efficiency (bandwidth efficiency) refers to the information rate that can be
transmitted over a given bandwidth in a specific communication system. It is a measure
of how efficiently a limited frequency spectrum is utilized by the physical layer
protocol, and sometimes by the media access control (the channel access protocol). It
also refers to the use of a radio frequency spectrum in more efficient ways.
The wireless spectrum or wireless frequency spectrum is the set of radio frequencies
used for wireless devices. Each specific type of radio frequency use has its own
frequency bands available within a complex set of spectrum allocations, including
allocations for government, amateur, broadcasting and specific private sector uses. As
frequency bands become increasingly crowded, today’s research on smartphones
includes consideration as to how to use radio frequency bands more efficiently.

3.5.2 Channel State Information

Channel state information (CSI) refers to known channel properties of a

communication link. This information describes how a signal propagates from the
transmitter to the receiver and represents the combined effect of scattering, fading, and
power decay with distance. The method is called Channel estimation. The CSI makes it
possible to adapt transmissions to current channel conditions, which is crucial for
achieving reliable communication with high data rates in multi antenna systems.

3.5.3 Frequency Reuse

Providing continuous service and wide service area must be satisfied in design of mobile
radio network, while efficiently using the radio spectrum. Each base station is allocated a set
of radio channels, which are to be used in a geographic area called a cell. Base stations in the
neighbouring cells are allocated radio channel sets, which are entirely different.

The antennas of base station antennas are designed to get the required coverage within the
specific cell. By restricting the coverage area of a base station to within the cell boundaries,
the same set of radio channels can be used in the different cells that are separated from each
other by distances which are large enough in order to maintain interference levels within
limits. The procedure of radio sets selection and allocation to all the base stations present
within a network is called frequency reuse.

3.6 Beam Forming / Precoding Techniques

Beam forming is a technique that enables focusing the signal from multiple antennas into one
strong beam, minimizing energy in side lobes at the transmitter end. At the receiver, beam
forming refers to a kind of spatial multiplexing that combines the received signals to add up
in a certain direction, and rejecting the signals coming from any other direction, and
considering them as interference.Precoding provides two fundamental advantages, including
eliminate interference and performing beam forming to the desired users.

In general, there are two types of precoding, nonlinear precoding schemes and linear
pre-coding schemes. Non-linear precoding can achieve both of these two functions,
while the linear one can only reduce inter-users interference. In wireless
communication system, due to the geographic effect, received signal cannot be
obtained simultaneously. Inter-user interference cannot be eliminated by multi-user
detection as well. Under this circumstance, precoding will play a significant role in
improving system performance.

Beam forming is a technique that enables focusing the signal from multiple antennas
into one strong beam, minimizing energy in side lobes at the transmitter end. At the
receiver, beam forming refers to a kind of spatial multiplexing that combines the
received signals to add up in a certain direction, and rejecting the signals coming from
any other direction, and considering them as interference. Precoding provides two
fundamental advantages, including eliminate interference and performing beam
forming to the desired users.

In general, there are two types of precoding:-

 non-linear precoding schemes and

 linear precoding schemes

Non-linear precoding can achieve both of these two functions, while the linear one can
only reduce inter-users interference. In wireless communication system, due to the
geographic effect, received signal cannot be obtained simultaneously. Inter-user
interference cannot be eliminated by multi-user detection as well. Under this
circumstance, precoding will play a significant role in improving system performance.

Performance Analysis of Massive MIMO for Spectral Efficiency Optimization

Compared to nonlinear precoding schemes, the complexity of linear precoding schemes
is remarkably lower. Moreover, due to a massive amount of DoF in massive MIMO,
linear precoding schemes are enough to satisfy communication requirements.
3.6.1 Linear Precoding Schemes
To optimize spectral efficiency in massive MIMO systems, pre-coding is used at the
transmitter in order to reduce the complexity of system, noise effect and optimize
stream data transmission based on channel state information (CSI).

There are three common linear pre-coding schemes including:-

I. Maximum Ratio Combiner (MRC)

II. Zero Forcing (ZF)

III. Minimum Mean Square Error (MMSE)

I. Maximum Ratio Combiner

In MRC, the multiple antenna transmitters use the channel estimate of a terminal to
maximize the strength of that terminal’s signal by adding the signal components
coherently. MRC precoding maximizes the SNR and works well in the massive MIMO
system, since the base station radiates low signal power to the users on average.

When the BS employs MRC detection, it neglects the effects of inter-user interference
and maximizes the received signal to noise ratio (SNR). Note that MRC detection
experiences performance degradation in interference-limited situations because the
effects of inter user interference are neglected.

II. Zero Forcing

ZF precoding is a method of spatial signal processing by which the transmitter can null
out multi-user interference signals. In general, ZF precoders performs well under high
SNR conditions. System based on ZF precoding scheme has a poor performance in low
power regime since ZF scheme does not take noise into consideration.

Table 3.1 Input Parameters for ZF that are used in the simulation

Parameters Their use

Alpha Proportional the RF power

M Number of BS antennas
K Number of UEs
 Ijl_ pc Vector with average relative channel attenuations from the interfering
cells that use the same pilot sequences in a given system.
Ijl nonpc Vector with average relative channel attenuations from the interfering
cells that use orthogonal pilot sequences in the given system.

TauUL Relative pilot length in the uplink (1, 2, 4 are typical values that
correspond to different pilot reuse patterns
Bsigma2sxeta Defines the total RF power

A Parameter a in the power consumption model

Circuit power Circuit power (i.e., Excluding RF power) for ZF processing with the
numbers of antennas and UEs.

Prelog factor Factor in front of the logarithm in the rate expression

EE Energy efficiency achieved for given processing scheme and SINRs

The performance in high-power regime approaches to peak. When the BS employs ZF

detection, it neglects the effects of noise and maximizes the received signal to
interference ratio (SINR).The resulting signal estimate is free from inter-user
interference in the system. When compared to MRC, computational complexity is
higher in ZF detection because it requires computation of the pseudo-inverse of the
channel matrix.

The performance in high-power regime approaches to peak. When the BS employs ZF

detection, it neglects the effects of noise and maximizes the received signal to
interference ratio (SINR). In general, ZF precoders performs well under high SNR
conditions. System based on ZF precoding scheme has a poor performance in low
power regime since ZF scheme does not take noise into consideration.

III. Minimum Mean Square Error (MMSE)

MMSE scheme seeks to eliminate inter-user interference as well as noise. System

complexity of MMSE is relatively higher compared to MRC and ZF. From mathematical
perspective, MRC has the lowest complexity among these three precoding schemes.
MMSE requires perfect channel state information (CSI). When MMSE detection is
employed, the BS attempts to maximize the received signal to interference plus noise
ratio (SINR).

This can be achieved by minimizing the minimum mean squared error between the
signal estimate ^y and the transmitted symbol vector s. Since MMSE detection
maximizes the received SINR, it performs better than MRC and ZF detection
techniques. However, it experiences higher computational complexity than the other two
methods because it requires an increased number of matrix manipulations. In addition,
similar to the case with ZF detection, MMSE may perform poorly for ill-conditioned
channels because matrix inversion significantly amplifies the noise in the system.

▪ Advantages of MMSE are:-

 Its combining receiver creates one scalar channel per terminal, thus
balancing between amplifying the signals and suppressing the interference.

 The remaining interference is treated as extra additive noise; thus,

conventional single user detection algorithms can be applied.

 Performance improves by adding more BS antennas.

 Small-scale fading averages out over the array.

Table 3.2 Input and Output Parameters of MMSE

PARAMETERS Their use

SINR Scalar SINR value that all UEs should

achieve (equal to 2^ (R bar/B)-1)

H channel Channel realizations for the Monte Carlo

realizations

Circuit power Circuit power (i.e., excluding RF power)

with MMSE processing and fixed number
of antennas/UEs

A Parameter A in the power consumption

model
Prelog Factor Factor in front of the logarithm in the rate
expression

Prefix Power Factor in front of the total RF power.

sigma2B Total noise power (B*sigma2 in W)
lx Average path losses for the UEs in the
Monte
Carlo realizations
Q Number of iterations in power allocation
computation

EE value Energy efficiency achieved for MMSE

processing and given SINRs