Tutorial: Multiple-Input and Multiple-Output (MIMO) System Analysis

R00943129

Outline:
1. Abstract p.2 2. Introduction of MIMO System.p.3 3. Types of MIMO System p.5 4. Function of MIMO System .p.7 5. MIMO Channel Model ..p.11 6. Application of MIMO System p.15 7. Future Work .p.19 8. Conclusion .p.19 9. Reference ..p.20

1. Abstract
Digital communication using multiple-input-multiple-output (MIMO) has been regarded as one of the most significant technical breakthrough modern communications. In this tutorial, the overview of recent progress in the area of MIMO system is introduced. A key feature of MIMO system is the ability to turn multi-path propagation, traditionally a pitfall of wireless transmission, into a benefit for the user. The first part of the tutorial introduced MIMO system and analyzed why MIMO system. Followed, the section 3 used two major classifications to determine types of MIMO. From single user to multi users, open loop to close loop, there are literally descriptions to figure out category of MIMO system. Beside, several different open loop MIMO systems include Space Time Transmit Diversity (STTD) MIMO, Spatial Multiplexing (SM) MIMO and Uplink Collaborative MIMO are introduced. Coming to the function of MIMO system, I separated it to three parts to illustrate. Precoding is a generalization of beamforming to support multi-layer transmission in multi-antenna wireless communications. In spatial multiplexing, a high rate signal is split into multiple lower rate streams and each stream is transmitted from a different transmit antenna in the same frequency channel. Diversity Coding techniques are used when there is no channel knowledge at the transmitter. Then a strict mathematics model of MIMO system is provided. While the MIMO system is regarded as narrow flat fading channel, we modeled the MIMO system by referring to information theory. Then we derived the channel capacity in mathematical description. In section 6, current applications of MIMO technique is written. Under 3GPP mobile radio standard, there are several application included: (1) HSPA+ (2)LTE (3) WiMAXTM (4) WLAN. At last, Future standards with using of MIMO technology is provided include LTE Advanced, 1xEV-DO Rev. C and WiMAXTM 802.16m. At the end of this tutorial report I briefly conclude the content of this report follow the section description. I present the stat of the art in channel modeling and measurement, leading to a better understanding of actual MIMO gains. Although MIMO system does not related to my research topic, I do try my best to survey the MIMO system knowledge and put all of the information to this tutorial. Hoping it can take the reader to understanding how MIMO system work.

2. Introduction of MIMO System

Before the explaining of Why MIMO System, it is necessary to briefly talking about the definition of MIMO. As the communication system included transmitter and receiver with different antenna allocation, there are a simple category of multi-antenna types:

Multi-antenna types
SISO Single-input-single-output means that the transmitter and receiver of the radio
system have only one antenna. Single-input-multiple-output means that

SIMO

the receiver has multiple antennas while the transmitter has one antenna. Multiple-input-single-output means that

MISO

the transmitter has multiple antennas while the receiver has one antenna. Multiple-input-multiple-output means that

MIMO

the both the transmitter and receiver have multiple antennas.

MIMO is the use of multiple antennas at both the transmitter and receiver to improve communication performance. So why need MIMO system? The wireless system before MIMO is been constrained by network capacity which is related with channel quality and coverage. To see how problem occurred, we need to talk about the transmission on a multipath channel. In wireless communication the propagation channel is characterized by multipath propagation due to scattering on different obstacle. The multipath problem is a typical issue in communication system with time variations and time spread. For time variations the channel is fading and caused SNR variations. For time spread, it becomes important for suitable frequency selectivity. In an urban environment, these signals will bounce off trees, buildings, etc. and continue on their way to their destination (the receiver) but in different directions. With MIMO, the receiving end uses an algorithm or special signal processing to sort out the multiple signals to produce one signal that has the originally transmitted data.

The simple overview of MIMO:

Multiple data streams transmitted in a single channel at the same time Multiple radios collect multipath signals Delivers simultaneous speed, coverage, and reliability improvements

MIMO exploits the space dimension to improve wireless systems capacity, range and reliability. It offers significant increases in data throughput and link range without additional bandwidth or increased transmit power. MIMO achieves this goal by spreading the same total transmit power over the antennas to achieve an array gain that improves the spectral efficiency (more bits per second per hertz of bandwidth) or to achieve a diversity gain that improves the link reliability (reduced fading). As the number of antenna element increasing, the channel capacity is increased too. Instead of logarithmic-increasing of channel capacity in SIMO and MISO system, the MIMO system owned linear-increasing of channel capacity as antenna increased. The improving of MIMO from SIMO and MISO is shown below:

3. Types of MIMO System

There are two major classifications to determine types of MIMO: (1) Single User MIMO (SU-MIMO) vs. Multi User MIMO (MU-MIMO) (2) Open loop MIMO vs. Close loop MIMO

3.1 Single User MIMO (SU-MIMO) vs. Multi User MIMO (MU-MIMO) Single User MIMO (SU-MIMO):
When the data rate is to be increased for a single UE, this is called Single User MIMO (SU-MIMO).

Multi User MIMO (MU-MIMO):

When the individual streams are assigned to various users, this is called Multi User MIMO (MU-MIMO). This mode is particularly useful in the uplink because the complexity on the UE side can be kept at a minimum by using only one transmit antenna. This is also called 'collaborative MIMO'.

3.2 Open loop MIMO vs. Close loop MIMO

Textbook MIMO configurations are represented as either "Open Loop" or "Closed Loop". In application, the commonly used MIMO terminology has most often been in reference to Open Loop MIMO techniques. Closed Loop MIMO techniques, also known as Transmitter Adaptive Antenna (TX-AA) techniques, are simply referred to by the industry as "beamforming".

Open loop MIMO:

With Open Loop MIMO, the communications channel does not utilize explicit information regarding the propagation channel. Common Open Loop MIMO techniques include Space Time Transmit Diversity (STTD), Spatial Multiplexing (SM) and Collaborative Uplink MIMO. Space Time Transmit Diversity (STTD) MIMO Space-time block coding based transmit diversity (STTD) is a method of transmit diversity used in UMTSS third-generation cellular systems. STTD is optional in the UTRANN air interface but mandatory for user equipment. STTD utilizes space-time block code (STBC) in order to exploit redundancy in multiply transmitted versions of a signal. The same data is coded and transmitted through different antennas, which effectively doubles the power in the channel. This improves Signal Noise Ratio (SNR) for cell edge performance.

Spatial Multiplexing (SM) MIMO Spatial multiplexing is transmission techniques in MIMO wireless communication to transmit independent and separately encoded data signals, so-called streams, from each of the multiple transmit antennas. Therefore, the space dimension is reused, or multiplexed, more than one time. SM delivers parallel streams of data to CPE by exploiting multi-path. It can double (2x2 MIMO) or quadruple (4x4) capacity and throughput. SM gives higher capacity when RF conditions are favorable and users are closer to the BTS.

Short Summary: STTD vs. SM STTD outperforms SM when SNR is weak whereas when SNR is higher SM is well suited. STTD improves the SNR for cell edge users while SM provided higher capacity when user are in good RF condition and are closer to the radio tower. An ideal wireless system employing MIMO techniques will support both STTD and SM. The system will calculate an optimal switching point and dynamically shift between the two approaches to offer the necessary coverage or capacity gain demanded from the network at any given time or location.

Uplink Collaborative MIMO Collaborative Spatial Multiplexing (Collaborative MIMO) is comparable to regular spatial multiplexing, where multiple data streams are transmitted from multiple antennas on the same device. It is an additional open-loop MIMO technique consider by WiMAX vendors to increase the spectral efficiency and capacity of the uplink communications path. A practical realization of this technique would allow for two separate end-users 'WiMAX' devices, each having a single transmit lineup, to utilize the same frequency allocation to communicate with the dual-antenna WiMAX base station. With this technique two devices (having only transmitted antenna each) can collaboratively transmit on the same sub-channel which can increase the uplink capacity. Spatial Multiplexing MIMO: Uplink Collaborative MIMO:

Close loop MIMO:

Antenna technologies are the key in increasing network capacity. It started with sectorized antennas. These antennas illuminate 60 or 120 degrees and operate as one cell. In GSM, the capacity can be tripled, by 120 degree antennas. Adaptive antenna arrays intensify spatial multiplexing using narrow beams. Smart antennas belong to adaptive antenna arrays but differ in their smart direction of arrival (DoA) estimation. Smart antennas can form a user-specific beam. Optional feedback can reduce complexity of the array system. Beamforming is the method used to create the radiation pattern of an antenna array. It can be applied in all antenna array systems as well as MIMO systems. Smart antennas are divided into two groups:
Phased array systems (switched beamforming) with a finite number of fixed predefined patterns Adaptive array systems (AAS) (adaptive beamforming) with an infinite number of patterns adjusted to the scenario in real time

Switched Beamformer

Adaptive Beamformer

Switched beamformers electrically calculate the DoA and switch on the fixed beam. The user only has the optimum signal strength along the center of the beam. The adaptive beamformer deals with that problem and adjusts the beam in realtime to the moving UE. The complexity and the cost of such a system is higher than the first type.

4. Function of MIMO System

MIMO can be sub-divided into three main categories: (1) Precoding (2) Spatial multiplexing (3) Diversity coding

Precoding:
Precoding is a generalization of beamforming to support multi-layer transmission in multi-antenna wireless communications. In conventional single-layer beamforming, the same signal is emitted from each of the transmit antennas with appropriate weighting such that the signal power is maximized at the receiver output. When the receiver has multiple antennas, single-layer beamforming cannot simultaneously maximize the signal level at all of the receive antennas. Thus, in order to maximize the throughput in multiple receive antenna systems, multi-layer beamforming is required. The benefits of beamforming are to increase the received signal gain, by making signals emitted from different antennas add up constructively, and to reduce the multipath fading effect. The Precoding can be separated by two classifications: Precoding for Single User MIMO Precoding for Multi User MIMO

Precoding for Single User MIMO In single user multiple-input multiple-output (MIMO) systems, a transmitter equipped with multiple antennas communicates with a receiver that has multiple antennas. Most classic precoding results assume narrowband, slowly fading channels, meaning that the channel for a certain period of time can be described by a single channel matrix which does not change faster. In practice, such channels can be achieved, for example, through OFDM. The precoding strategy that maximizes the throughput, called channel capacity, depends on the channel state information available in the system. Precoding for Multi User MIMO In multi-user MIMO, a multi-antenna transmitter communicates simultaneously with multiple receivers (each having one or multiple antennas). This is known as space-division multiple access (SDMA). From an implementation perspective, precoding algorithms for SDMA systems can be sub-divided into linear and nonlinear precoding types. The capacity achieving algorithms are nonlinear, but linear precoding approaches usually achieve reasonable performance with much lower complexity. Linear precoding strategies include MMSE precoding and the simplified zero-forcing (ZF) precoding. There are also precoding strategies tailored for low-rate feedback of channel state information, for example random beamforming. Nonlinear precoding is designed based on the concept of dirty paper coding (DPC), which shows that any known interference at the transmitter can be subtracted without the penalty of radio resources if the optimal precoding scheme can be applied on the transmit signal.

Spatial multiplexing:
Spatial multiplexing requires MIMO antenna configuration. In spatial multiplexing, a high rate signal is split into multiple lower rate streams and each stream is transmitted from a different transmit antenna in the same frequency channel. If these signals arrive at the receiver antenna array with sufficiently different spatial signatures, the receiver can separate these streams into (almost) parallel channels. Spatial multiplexing is a very powerful technique for increasing channel capacity at higher signal-to-noise ratios (SNR). The maximum number of spatial streams is limited by the lesser of the number of antennas at the transmitter or receiver. Spatial multiplexing can be used with or without transmit channel knowledge. Spatial multiplexing can also be used for simultaneous transmission to

multiple receivers, known as space-division multiple accessing. The scheduling of receivers with different spatial signatures allows good separability.

Diversity coding:
Diversity Coding techniques are used when there is no channel knowledge at the transmitter. In diversity methods, a single stream (unlike multiple streams in spatial multiplexing) is transmitted, but the signal is coded using techniques called space-time coding. The signal is emitted from each of the transmit antennas with full or near orthogonal coding. Diversity coding exploits the independent fading in the multiple antenna links to enhance signal diversity. Because there is no channel knowledge, there is no beamforming or array gain from diversity coding.

5. MIMO Channel Model

Diagram of a MIMO wireless transmission system is shown below:

The transmitter and receiver are equipped with multiple antenna elements. The transmit stream go through a matrix channel which consists of multiple receive antennas at the receiver. Then the receiver gets the received signal vectors by the multiple receive antennas and decodes the received signal vectors into the original information. Here is a MIMO system model:

There are detail explains for denoted symbols: r is the Mx1 received signal vector as there are M antennas in receiver. H represented channel matrix s is the Nx1 transmitted signal vector as there are N antennas in transmitter n is an Mx1 vector of additive noise term

Let Q denote the covariance matrix of x, then the capacity of the system described by information theory as below:

This is optimal when is unknown at the transmitter and the input distribution maximizing the mutual information is the Gaussian distribution. With channel feedback may be known at the transmitter and the optimal is not proportional to the identity matrix but is constructed from a water filling argument as discussed later. The form of equation gives rise to two practical questions of key importance. First, what is the effect of Q? If we compare the capacity achieved by and the optimal Q based on perfect channel estimation and feedback, then we can evaluate a maximum capacity gain due to feedback. The second question concerns the effect of the H matrix. For the i.i.d. Rayleigh fading case we have the impressive linear capacity growth discussed above. For a wider range of channel models including, for example, correlated fading and specular components, we must ask whether this behavior still holds. Below we report a variety of work on the effects of feedback and different channel models. It is important to note that can be rewritten as:

Where 1 , 2 , , m are the nonzero eigenvalues of W, m=min(M,N), and

This formulation can be easily obtained from the direct use of eigenvalue properties. Alternatively, we can decompose the MIMO channel into m equivalent parallel SISO channels by performing singular value decomposition (SVD) of H. Let the SVD be given by

Then U and V are unitary and D=diag( , , , MIMO signal model can be rewritten as:

, 0 , , 0). Hence the

The above equation represents the system as m equivalent parallel SISO eigenchannels with signal powers given by the eigenvalues 1 , 2 , , m. Hence, the capacity can be rewritten in terms of the eigenvalues of the sample covariance matrix W. For general W matrices a wide range of limiting results are known as or both tend to infinity. In the particular case of Wishart matrices, many exact results are also available. We now give a brief overview of exact capacity results, broken down into the two main scenarios, where the channel is either known or unknown at the transmitter. We focus on the two key questions posed above; what is the effect of feedback and what is the impact of the channel? When the channel is known at the transmitter (and at the receiver), then H is known in above equation and we optimize the capacity over Q subject to the power constraint tr(Q). Fortunately, the optimal Q in this case is well known and is called a water filling solution. There is a simple algorithm to find the solution and the resulting capacity is given by

Where is chosen to satisfy

+ denotes taking only those terms which are positive. Since is a complicated nonlinear function of 1 , 2 , , m, the distribution of WCF appears intractable, even in the Wishart case when the joint distribution of 1 , 2 , , m is known. If the transmitter has only statistical channel state information, then the ergodic channel capacity will decrease as the signal covariance Q can only be optimized in terms of the average mutual information as

The spatial correlation of the channel has a strong impact on the ergodic channel capacity with statistical information. If the transmitter has no channel state information it can select the signal covariance Q to maximize channel capacity under worst-case statistics, which means Q=(1/Nt )*I and accordingly

Additional information: Fundamental Capacity theorem

For a SISO system the capacity is given by

Where h is the normalized complex gain of a fixed wireless channel or that of a particular realization of a random channel. is the SNR at any RX antenna. As we deploy more RX antennas the statistics of capacity improve and with M RX antennas, we have a SIMO system with capacity given by

Where hi is the gain for RX antenna i. Note the crucial feature of above equation in that increasing the value of M only results in a logarithmic increase in average capacity. Similarly, if we opt for transmit diversity, in the common case, where the transmitter does not have channel knowledge, we have a MIMO system with N TX antennas and the capacity is given by

Where the normalization by N ensures a fix total transmitter power and shows the absence of array gain in that case. Again, note that capacity has a logarithmic relationship with N. Now, we consider the use of diversity at both transmitter and receiver giving rise to a MIMO system. For N TX and M RX antennas, we have the now famous capacity equation:

where (*) means transpose-conjugate and is the channel matrix.

6. Application of MIMO System

The 3GPP mobile radio standard (UMTS) has undergone numerous phases of development. Starting with WCDMA, various data acceleration methods have been introduced, including HSDPA and HSUPA. The newest releases cover HSPA+ and Long Term Evolution (LTE).

HSPA+ (3GPP Release 7/8):

A transmit diversity mode had already been introduced in Release 99 (WCDMA). Release 7 of the 3GPP specification (HSPA+) expanded this approach to MIMO and again increased the data rate with respect to Release 6 (HSDPA). The introduction of 64QAM modulation and MIMO in the downlink makes a peak data rate of 28 Mbps (Rel. 7) possible. In Rel. 7 MIMO and 64QAM can not be used simultaneously. Since Rel. 8 the simultaneous use is possible which leads to peak data rates up to 42 Mbps. Uplink MIMO is not provided. MIMO was introduced in the form of a double transmit antenna array (D-TxAA) for the high speed downlink shared channel (HS-DSCH).

With D-TxAA, two independent data streams can be transmitted simultaneously over the radio channel using the same WCDMA channelization codes. The two data streams are indicated with blue and green color in Figure 11. After spreading and scrambling, precoding based on weight factors is applied to optimize the signal for transmission over the mobile radio channel. Four precoding weights w1 to w4 are available. The first stream is multiplied with w1 and w2, the second stream is multiplied with w3 and w4. The weights can take the following values:

Note that w1 is always fixed, and only w2 can be selected by the base station. Weights w3 and w4 are automatically derived from w1 and w2, because they have to be orthogonal. The base station selects the optimum weight factors based on proposals reported by the UE in the uplink. In addition to the use of MIMO in HS-DSCH, the weight information must be transmitted to the UE via the HS-SCCH control channel. Although MIMO is not provided in the uplink, MIMO-relevant information still does have to be transmitted in the uplink. The UE sends a precoding control indication (PCI) and a channel quality indication (CQI) in the HS-DPCCH, which allows the base station to adapt the modulation, coding scheme, and precoding weight to the channel conditions.

LTE (3GPP Release 8):

UMTS Long Term Evolution (LTE) was introduced in 3GPP Release 8. The objective is a high data rate, low latency and packet optimized radio access technology. LTE is also referred to as E-UTRA (Evolved UMTS Terrestrial Radio Access) or E-UTRAN (Evolved UMTS Terrestrial Radio Access Network). The basic concept for LTE in downlink is OFDMA (Uplink: SC-FDMA), while MIMO technologies are an integral part of LTE. Modulation modes are QPSK, 16QAM, and 64QAM. Peak data rates of up to 300 Mbps (4x4 MIMO) and up to 150 Mbps (2x2 MIMO) in the downlink and up to 75 Mbps in the uplink are specified. Downlink

In LTE, one or two code words are mapped to one to four layers ("layer mapper" block). To achieve multiplexing, a precoding is carried out ("precoding" block). In this process, the layers are multiplied by a precoding matrix W from a defined code book and distributed to the various antennas. This precoding is known to both the transmitter and the receiver. In the specification, code books are defined for one, two, and four antennas, as well as for spatial multiplexing (with and without CDD) and transmit diversity. Table 1 shows the code book for spatial multiplexing with two antennas as an example. Code books for four antennas are also defined. LTE precoding matrix for a maximum of two layers:

Uplink
In order to keep the complexity low at the UE end, MU-MIMO is used in the uplink. To do this, multiple UEs, each with only one Tx antenna, use the same channel.

WiMAXTM (802.16e-2005):
WiMAXTM promises a peak data rate of 74 Mbps at a bandwidth of up to 20 MHz. Modulation types are QPSK, 16QAM, and 64QAM. Downlink The WiMAXTM 802.16e-2005 standard specifies MIMO in WirelessMAN-OFDMA mode. This standard defines a large number of different matrices for coding and distributing to antennas. In principle, two, three or four TX antennas are possible. For all modes, the matrices A, B, and C are available. In the "STC encoder" block, the streams are multiplied by the selected matrix and mapped to the antennas.

Uplink In Uplink-MIMO only different pilot patterns are used. Coding and mapping is the same like in non-MIMO case. In addition to single user MIMO (SU-MIMO) two different user can use the same channel (collaborative MIMO, MU-MIMO).

WLAN (802.11n):
WLAN as defined by the 802.11n standard promises a peak data rate of up to 600 Mbps at a bandwidth of 40 MHz. Modulation types are BPSK, QPSK, 16QAM, and 64QAM. It is backward compatible with the previous standards 802.11 a/b/g. With up to four streams, it supports up to a maximum of four antennas.

WLAN differentiates between spatial streams (SS) and space-time streams (STS). If NSS < NSTS, then a space-time block encoder ("STBC") distributes the SS to the STS and adds transmit diversity by means of coding.

7. Future Work
Future standards will continue to use MIMO technology. At present, the following standards with MIMO are being worked on: LTE Advanced : The goal is to provide 1 Gbps at 100 MHz bandwidth in downlink direction. 1xEV-DO Rev. C: The goal is to provide 18 Mbps at 1.25 MHz bandwidth in forward link. WiMAXTM 802.16m: The goal is to provide 300 Mbps at 20 MHz bandwidth in downlink direction.

8. Conclusion
This tutorial introduces the major feature of MIMO links for use in wireless network. MIMO exploits the space dimension to improve wireless systems capacity, range and reliability. It offers significant increases in data throughput and link range without additional bandwidth or increased transmit power. After introduced why MIMO system, we classified MIMO system into two major

categories: (1) Single User MIMO (SU-MIMO) vs. Multi User MIMO (MU-MIMO) (2)Open loop MIMO vs. Close loop MIMO. Under open loop MIMO, three MIMO system is provided: (1) Space Time Transmit Diversity (STTD) MIMO (2) Spatial Multiplexing (SM) MIMO (3) Uplink Collaborative MIMO. Followed, we introduce the functions of MIMO system included (1) Precoding (2) Spatial multiplexing (3)Diversity coding. Precoding is a generalization of beamforming to support multi-layer transmission in multi-antenna wireless communications. In spatial multiplexing, a high rate signal is split into multiple lower rate streams and each stream is transmitted from a different transmit antenna in the same frequency channel. Diversity Coding techniques are used when there is no channel knowledge at the transmitter. Then a strict mathematics model of MIMO system is provided. While the MIMO system is regarded as narrow flat fading channel, we modeled the MIMO system by referring to information theory. Then we derived the channel capacity in mathematical description. In section 6, current applications of MIMO technique is written. Under 3GPP mobile radio standard, there are several application included: (1) HSPA+ (2)LTE (3) WiMAXTM (4) WLAN. At last, Future standards with using of MIMO technology is provided include LTE Advanced, 1xEV-DO Rev. C and WiMAXTM 802.16m.

9. Reference
[1] Wikipedia: MIMO, Precoding, Spatial multiplexing, Diversity Coding, WiMAX MIMO, information theory, channel capacity. [2] ROHDE&SCHWARZ, Introduction to MIMO: Application Note [3] D. Gesbert, M. Shafi, D. S. Shiu, P. Smith, and A. Naguib, From theory to practice: An overview of MIMO space-tim coded wireless systems, IEEE J. Select. Areas Commun. Special Issue on MIMO Systems, pt. I, vol. 21, pp. 281302, Apr. 2003. [4] A. J. Paulraj et al., An Overview of MIMO Communications a Key to Gigabit Wireless, Proc. IEEE, vol. 92, no. 2, Feb. 2004, pp. 198218.

[5] Q. Li, G. Li, W. Lee, M. il Lee, D. Mazzarese, B. Clerckx, and Z. Li, MIMO techniques in WiMAX and LTE: a feature overview, IEEE Commun. Magazine, vol. 48, no. 5, pp. 8692, May. 2010. [6] G. Bauch, MIMO Technologies for the Wireless Future, Proc. International symposium on Personal Indoor and Mobile Radio Communications, Cannes France, Sept., 2008 [7] PPT slide: Dr. Jacob Sharony, Introduction to Wireless MIMO Theory and Applications, IEEE LI, November 15, 2006