Lecture 9

DMT

Ragnar Thobaben
ISE/EECS/KTH

Formulation
Lecture 9: Diversity-Multiplexing Tradeoff
Theoretical Foundations of Wireless Communications1
Scalar Rayleigh
Channel

Parallel Rayleigh
Channel

MISO Rayleigh
Channel Ragnar Thobaben
2×2 MIMO Rayleigh ISE/EECS/KTH
Channel

General MIMO i.i.d.

Rayleigh Channel

Friday, May 25, 2018

09:00-11:30, ”Kansliet”

1
Textbook: D. Tse and P. Viswanath, Fundamentals of Wireless Communication
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 Overview
Lecture 7+8: MIMO Architectures
Lecture 9
• Transmitter architectures: V-BLAST and D-BLAST.
DMT • Receiver architectures
Ragnar Thobaben
ISE/EECS/KTH • Linear decorrelator
• Linear MMSE
Formulation • Successive cancellation (decorrelator and MMSE)
Scalar Rayleigh
Channel
• Capacity and outage probability
Parallel Rayleigh
Channel Lecture 9: Diversity-Multiplexing Tradeoff (Ch. 9.1)
MISO Rayleigh
Channel 1 Formulation
2×2 MIMO Rayleigh 2 Scalar Rayleigh Channel
Channel
PAM and QAM
General MIMO i.i.d.
Rayleigh Channel Optimal Tradeoff
3 Parallel Rayleigh Channel
4 MISO Rayleigh Channel
5 2×2 MIMO Rayleigh Channel
6 General MIMO i.i.d. Rayleigh Channel
Optimal Tradeoff
Geometric Interpretation

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 Formulation: Diversity-Multiplexing Tradeoff (DMT)

Lecture 9 Diversity gain d ∗

DMT

Ragnar Thobaben • Important performance measure for slow fading channels.

ISE/EECS/KTH
(Fixed rate R; highest achievable rate depends on channel
Formulation realization and is a RV; outage probability.)
Scalar Rayleigh
Channel
• Example: i.i.d. MIMO, d ∗ = nt · nr .
∗
Parallel Rayleigh • Outage probability: pout (R) ∼ 1/SNRd
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh Multiplexing gain r

Channel
• Fast fading MIMO channels: multiplexing capability.
General MIMO i.i.d.
Rayleigh Channel (Coding over many channel realizations; average capacity.)
• Example: i.i.d. MIMO, C = nmin log SNR + K , with
nmin = min(nr , nt ), i.e., r = nmin .

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 Formulation: Diversity-Multiplexing Tradeoff (DMT)
• To maximize the diversity gain, the rate R has to be fixed.
Lecture 9 • If we want to communicate at a rate R = r log SNR (i.e., a fraction
DMT
of the fast fading capacity), which diversity gain can we get?
Ragnar Thobaben
ISE/EECS/KTH

Formulation Diversity-Multiplexing Tradeoff (DMT)

Scalar Rayleigh
Channel A diversity gain d ∗ (r ) is achieved at multiplexing gain r if
Parallel Rayleigh
Channel R = r log SNR
MISO Rayleigh
Channel and ∗
2×2 MIMO Rayleigh
Channel
pout ≈ SNR−d (r )
,
General MIMO i.i.d. or more precisely
Rayleigh Channel

log pout (r log SNR)

lim = −d ∗ (r ).
SNR→∞ log SNR
The curve d ∗ (r ) is the diversity-multiplexing tradeoff of the slow fading
channel.

DMT for (space-time) coding schemes: replace pout by pe (and d ∗ by d).

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 Scalar Rayleigh Channel
– PAM and QAM
• Scalar channel model: y [m] = hx[m] + w [m], with
Lecture 9 • Additive white Gaussian noise, i.i.d., w ∼ CN (0, 1);
DMT • Fading coefficient h ∼ CN (0, 1);
Ragnar Thobaben • Power constraint SNR.
ISE/EECS/KTH
• PAM error probability
Formulation
s !
Scalar Rayleigh
Channel 1 2
Dmin 1 22R
PAM and QAM pe ≈ 1− 2
≈ 2
≈ ,
Optimal Tradeoff
2 4 + Dmin Dmin SNR
Parallel Rayleigh
Channel for high SNR, where
MISO Rayleigh
√ √
• We assumed that the constellation ranges from − SNR to + SNR;
Channel √
• The minimum distance is given by Dmin ≈ SNR/2R .
2×2 MIMO Rayleigh
Channel
• With R = r log SNR, we get
General MIMO i.i.d.
Rayleigh Channel
1
pe ≈ .
SNR1−2r
• Diversity-multiplexing tradeoff for PAM:

dpam (r ) = 1 − 2r , r ∈ [0, 1/2].

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 Scalar Rayleigh Channel
– PAM and QAM
• QAM: 2R/2 constellation points per real/imaginary dimension.
Lecture 9
DMT • Minimum distance and QAM error probability (high SNR)
Ragnar Thobaben √
ISE/EECS/KTH
SNR 2R
Dmin ≈ and pe ≈ .
Formulation 2R/2 SNR
Scalar Rayleigh
Channel
• Diversity-multiplexing tradeoff for QAM:
PAM and QAM
Optimal Tradeoff dqam (r ) = 1 − r , r ∈ [0, 1].
Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d.

Rayleigh Channel

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 Scalar Rayleigh Channel
– PAM and QAM

Lecture 9 Analysis, Case 1: dmax := d(0)

DMT
• Classical diversity gain for a scheme with fixed rate.
Ragnar Thobaben
ISE/EECS/KTH
• Describes how fast the error probability pe can be decreased with
Formulation SNR for a fixed rate R = const.
Scalar Rayleigh
Channel
• Example: Increasing the SNR by 6 dB for fixed rate.
PAM and QAM
Optimal Tradeoff
Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d.

Rayleigh Channel

→ pe decreases due to increasing Dmin with increasing SNR.

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 Scalar Rayleigh Channel
– PAM and QAM

Analysis, Case 2: rmax = arg d(r ) = 0

Lecture 9
DMT • Number of degrees of freedom.
Ragnar Thobaben
ISE/EECS/KTH • Describes how fast the rate R can be increased with SNR for a fixed
Formulation
error probability pe = const.
Scalar Rayleigh • Example: Increasing the SNR by 6 dB.
Channel
PAM and QAM
Optimal Tradeoff
Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d.

Rayleigh Channel

→ For pe = const (i.e., Dmin = const), the gain in SNR can be

utilized for increasing the number of bits.

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 Scalar Rayleigh Channel
– Optimal Tradeoff

• Outage probability and high-SNR approximation,

Lecture 9 n o
DMT

Ragnar Thobaben
pout = Pr log(1 + |h|2 SNR) < r log SNR
ISE/EECS/KTH
SNRr − 1
 
Formulation = Pr |h|2 <
SNR
Scalar Rayleigh
Channel 1
≈ .
PAM and QAM
Optimal Tradeoff
SNR1−r
Parallel Rayleigh
Channel
(Last step: for Rayleigh fading and small , Pr{|h|2 < } ≈ .)
MISO Rayleigh → Uncoded QAM is DMT optimal.
Channel

2×2 MIMO Rayleigh

Channel
Comment
General MIMO i.i.d. • Assume pe = a · pout , with a constant a, with 0 ≤ log(a)  log SNR
Rayleigh Channel for high SNR. Then
 
log pe log a log pout log pout
lim = lim + = lim .
SNR→∞ log SNR SNR→∞ log SNR log SNR SNR→∞ log SNR

• That a scheme is DMT optimal does not mean that it achieves the
outage probability. But it has the same exponential decay.

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 Parallel Rayleigh Channel

Lecture 9
• Channel Model: L parallel channels, yl [m] = hl xl [m] + wl [m], with
DMT • Additive noise wl ∼ CN (0, 1);
Ragnar Thobaben • Transmit power constraint SNR per sub-channel.
ISE/EECS/KTH
→ Maximum diversity gain of d ∗ (0) = L.
Formulation
• Assume target rate R = r log SNR bit/s/Hz per sub-channel.
Scalar Rayleigh
Channel • Outage probability,
Parallel Rayleigh ( L )
Channel X 2
MISO Rayleigh pout = Pr log(1 + |hl | SNR) < Lr log SNR .
Channel
l=1
2×2 MIMO Rayleigh
Channel
• Outage occurs if each of the sub-channels is in outage, accordingly
General MIMO i.i.d.
Rayleigh Channel  n oL 1
pout ≈ Pr log(1 + |hl |2 SNR) < r log SNR ≈ .
SNRL(1−r )
• Optimal DMT,

d ∗ (r ) = L(1 − r ), r ∈ [0, 1].

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 Parallel Rayleigh Channel
• Repetition coding: transmit identical QAM symbols over the
Lecture 9 parallel channels:
DMT

Ragnar Thobaben
ISE/EECS/KTH
drep (r ) = L(1 − Lr ), with r ∈ [0, 1/L].

Formulation • Repetition coding achieves full diversity d ∗ (0) = L.

Scalar Rayleigh
Channel
• Rate is reduced by a factor 1/L.
Parallel Rayleigh • Comparison
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d.

Rayleigh Channel

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 MISO Rayleigh Channel
• Channel Model: nt transmit antennas,
Lecture 9
DMT y [m] = h∗ x[m] + w [m],
Ragnar Thobaben
ISE/EECS/KTH with
• Additive noise w ∼ CN (0, 1);
Formulation • Overall transmit power constraint SNR.
Scalar Rayleigh → Maximum diversity gain of d ∗ (0) = nt .
Channel
• Assume target rate R = r log SNR bit/s/Hz.
Parallel Rayleigh
Channel • Outage probability,
MISO Rayleigh    
2 SNR
Channel

2×2 MIMO Rayleigh pout = Pr log 1 + khk < r log SNR .

Channel nt
General MIMO i.i.d.
Rayleigh Channel • khk2 is a χ2 random variable with 2nt degrees of freedom, and we
have Pr{khk2 < } ≈ nt such that
. 1
pout = nt (1−r )
.
SNR
• Optimal DMT

d ∗ (r ) = nt (1 − r ), r ∈ [0, 1].
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 MISO Rayleigh Channel
• Alamouti converts a MISO channel into a scalar channel with the
Lecture 9 same outage behavior.
DMT

Ragnar Thobaben
→ Alamouti plus QAM is DMT optimal.
ISE/EECS/KTH
• Repetition coding: transmitting the same symbol over the two
Formulation antennas, one at a time; DMT for nt = 2,
Scalar Rayleigh
Channel drep (r ) = nt (1 − 2r ).
Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d.

Rayleigh Channel

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 2×2 MIMO Rayleigh Channel
Comparison of four schemes (uncoded QAM)
• Repetition coding, Alamouti, and V-BLAST with nulling
Lecture 9
DMT
(decorrelator).
• The schemes convert the channel into scalar channels.
Ragnar Thobaben
ISE/EECS/KTH → DMT can be obtained as in the scalar case.
Formulation • V-BLAST with maximum likelihood (ML) decoding
Scalar Rayleigh • Pairwise error probability (PEP) between two codewords
Channel
(averaged over the channel realizations and with average transmit
Parallel Rayleigh energy normalize to one)
Channel
16
MISO Rayleigh Pr{xA → xB } ≤ (see as well (3.92)).
Channel
SNR2 kxA − xB k4
2×2 MIMO Rayleigh
Channel • Worst-case PEP is of the order (XA and XB differ only in one
General MIMO i.i.d.
dimension by the minimum distance of the QAM constellation)
Rayleigh Channel
16 · 2R
= 16 · SNR−(2−r ) .
SNR2
√ √
(with DAB = SNRkxA − xB k, Dmin ≈ SNR/2R/4 , R = r log SNR)

→ DMT: d(r ) = 2 − r .

• Optimal DMT: piecewise linear joining the points (0, 4), (1, 1), and
(2, 0).
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 2×2 MIMO Rayleigh Channel
Comparison of the four schemes
Lecture 9
DMT

Ragnar Thobaben
ISE/EECS/KTH

Formulation

Scalar Rayleigh
Channel

Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d.

Rayleigh Channel

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 General MIMO i.i.d. Rayleigh Channel
– Optimal Tradeoff

Lecture 9
DMT • Channel model: (nt × nr ) MIMO channel with i.i.d. Rayleigh fading.
Ragnar Thobaben
ISE/EECS/KTH • Outage probability (for R = r log SNR),

Formulation
mimo
pout (r log SNR) = min Pr{log det(Int + HKx H∗ ) < r log SNR}.
Kx :Tr[Kx ]≤SNR
Scalar Rayleigh
Channel → Transmit strategy Kx depends on the SNR.
Parallel Rayleigh
Channel • Assumption: Kx = SNR/nt Int .
MISO Rayleigh (Suboptimal but leads to the same decay rate as the optimal Kx ).
Channel
   
2×2 MIMO Rayleigh SNR
Channel
iid
pout (r log SNR) = Pr log det Int + HH∗ < r log SNR .
General MIMO i.i.d.
nt
Rayleigh Channel
Optimal Tradeoff • DMT for the MIMO channel with i.i.d. Rayleigh fading can be
Geometric
Interpretation shown to be a piecewise linear curve joining the points

(k, (nt − k)(nr − k)), for k = 0, . . . , nmin .

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 General MIMO i.i.d. Rayleigh Channel
– Optimal Tradeoff

Lecture 9
DMT

Ragnar Thobaben
ISE/EECS/KTH

Formulation

Scalar Rayleigh
Channel

Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel

General MIMO i.i.d. • Left: optimal DMT for the MIMO channel with i.i.d. Rayleigh
Rayleigh Channel
Optimal Tradeoff
fading.
Geometric
Interpretation • Right: adding one transmit and receive antenna moves the entire
DMT curve by 1 (and not only the extreme point rmax ).
• Optimal DMT can be achieved by space-time codes with length
l = nt + nr − 1.

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 General MIMO i.i.d. Rayleigh Channel
– Geometric Interpretation
• Outage probability
   
SNR
Lecture 9
DMT
pout (r log SNR) = Pr log det Int + HH∗ < r log SNR
nt
Ragnar Thobaben (n )
ISE/EECS/KTH min  
X SNR 2
= Pr log 1 + λi < r log SNR .
Formulation
i=1
nt
Scalar Rayleigh
Channel
with
• Random singular values λi of the matrix H;
Parallel Rayleigh
Channel
• nmin eigenmodes with effective SNR, SNRλ2i /nt .

MISO Rayleigh • Modes are ...

Channel
• active if SNRλ2i /nt is in the order of SNR;
2×2 MIMO Rayleigh
Channel
• inactive if SNRλ2i /nt is in the order of 1 or smaller;
General MIMO i.i.d.
Rayleigh Channel • Case 1, r → 0: Outage happens if all modes are inacative (i.e.,
Optimal Tradeoff SNRλ2i /nt ≤ 1); happens if H is close to the zero matrix.
Geometric
Interpretation

→ Outage probability is in the order 1/SNRnr nt . 18 / 19

 General MIMO i.i.d. Rayleigh Channel
– Geometric Interpretation
Case 2, r is a positive integer.
• For high SNR, it can be shown that a typical outage event is
Lecture 9
DMT characterized by r modes being fully effective and the remaining
Ragnar Thobaben modes being fully ineffective.
ISE/EECS/KTH
• Outage happens if H is close to the “space” Vr of all rank-r
Formulation matrices.
Scalar Rayleigh
Channel

Parallel Rayleigh
Channel

MISO Rayleigh
Channel

2×2 MIMO Rayleigh

Channel • A rank-r matrix H is described by rnt + (nr − r )r parameters:
General MIMO i.i.d. • rnt parameters to specify nr linearly independent row vectors.
Rayleigh Channel • (nr − r )r parameters to specify the remaining row vectors as linear
Optimal Tradeoff
Geometric
combinations.
Interpretation • Vr is rnt + (nr − r )r dimensional, and the “orthogonal” space is
nt nr − (rnt + (nr − r )r ) = (nt − r )(nr − r )
dimensional, which is precisely the SNR exponent of the outage
probability.
• The outage probability is proportional to the probability that
(nt − r )(nr − r ) parameters collapse (i.e., |hi,j |2 < 1/SNR).
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