MIMO:

Spatial Multiplexing and Channel Modeling

Speaker: Yan-Jyun Ye 葉彥均

2018/09/26

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Outline
• Introduction
• SVD and multiplexing gain
• Physical channel modeling
• Angular domain and statistical model
• Conclusion

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Introduction: Why MIMO?
• Ch3: multiple antenna provide power gain
• Ch6: Opportunistic beamforming provide power gain
• In this chapter:
• Spatial multiplexing ⇒ DoF gain
• Depend on rank and condition number of channel matrix
• Requirement for spatial multiplexing
• Angular domain description
• Statistical model

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MIMO System
• 𝑛𝑡 transmitter antenna, 𝑛𝑟 receiver antenna.
• Narrowband ⇒ single tap ℎ𝑖𝑗 (Tx antenna j to Rx antenna i)
• 𝑦𝑖 = ℎ𝑖1 𝑥1 + ℎ𝑖2 𝑥2 + ⋯ + ℎ𝑖𝑛𝑡 𝑥𝑛𝑡 + 𝑤, 𝑤~𝐶𝑁(0, 𝑁0 𝑰𝒏𝒓 )
• Matrix form: 𝒚 = 𝑯𝐱 + 𝐰, 𝑯 is channel matrix.

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Linear Algebra Review: SVD
• 𝑯 ∈ 𝐶 𝑛𝑟 ×𝑛𝑡 , 𝑡ℎ𝑒𝑛 𝑒𝑥𝑖𝑠𝑡 𝑡𝑤𝑜 𝑢𝑛𝑖𝑡𝑎𝑟𝑦 𝑚𝑎𝑡𝑟𝑖𝑥 𝑼, 𝑽, 𝑎𝑛𝑑 𝚲 ∈ 𝐶 𝑛𝑟 ×𝑛𝑡 :
• 𝑯 = 𝑼𝚲𝑽∗
• and 𝚲 is diagonal matrix with diagonal entry 𝜆1 ≥ 𝜆2 ≥ ⋯ ≥ 𝜆𝑛𝑚𝑖𝑛 ≥ 0
• 𝑛𝑚𝑖𝑛 = min{𝑛𝑟 , 𝑛𝑡 }
• 𝑟𝑎𝑛𝑘 𝚲 = 𝑟𝑎𝑛𝑘 𝑯 = 𝑘
𝑘 2
• 𝜆
𝑖=1 𝑖 = 𝑡𝑟(𝑯𝑯∗ ) = |ℎ
𝑖,𝑗 𝑖,𝑗 | 2

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Spatial Multiplexing
• Tx pre-processing: 𝒙 = 𝑽𝒙
• Rx post-processing: 𝒚 = 𝑼∗ 𝒚
• 𝒚 = 𝚲𝒙 + 𝒘, 𝑤ℎ𝑒𝑟𝑒 𝒘 = 𝑼∗ 𝒘~𝐶𝑁(0, 𝑁0 𝑰𝒏𝒓 )
• That is, 𝑦𝑖 = 𝜆𝑖 𝑥𝑖 + 𝑤𝑖 , 1 ≤ 𝑖 ≤ 𝑘 is k independent AWGN channel

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Spatial Multiplexing Gain
• Power allocation on parallel Gaussian channel: water filling
𝑘 𝑃𝑖∗ 𝜆2𝑖
• 𝐶𝑀𝐼𝑀𝑂 = 𝑖=1 log(1 + )
𝑁0

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Rank: Number of Multiplexing Channels
• At high SNR, equal power is near optimal
𝑃
𝜆2𝑖 𝑃 𝜆2𝑖
𝑘
• Hence, 𝐶 ≅ 𝑖=1 log 1+ 𝑘
≅ 𝑘𝑙𝑜𝑔 + log( )
𝑁0 𝑁0 𝑘

• k: Multiplexing gain ≤ 𝑛𝑚𝑖𝑛

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Condition Number
𝑃 𝜆2𝑖
• 𝐶 ≅ 𝑘𝑙𝑜𝑔 + log( )
𝑁0 𝑘
𝑘 2 2
1 𝜆2𝑖 𝜆 𝑖,𝑗 |ℎ 𝑖,𝑗 |
• 𝑙𝑜𝑔 is concave function ⇒ log( ) ≤ log 𝑖=1 𝑖
= log( )
𝑘 𝑘 𝑘2 𝑘2
max 𝜆𝑖
• Condition number of 𝑯: κ 𝑯 =
min 𝜆𝑖
• Well-conditioned (κ 𝑯 ≈ 𝟏) attain higher capacity.

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Low SNR Regime
• Allocate power mainly to strongest multiplexing channel
𝑃
•𝐶≅ (max 𝜆2𝑖 ) log 2 𝑒
𝑁0
• Hence, no multiplexing gain

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Physical Channel Modeling
• Use idealized example to gain some insight
• uniform linear antenna arrays

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Receive Spatial Signature
• 𝒚 = 𝒉𝒙 + 𝒘
𝑗2𝜋𝑑
•𝒉=𝑎× exp(− ) 𝑛𝑟 𝒆𝑟 (Ω𝑟 )
𝜆𝑐
1
exp(−𝑗2𝜋Δ𝑟 Ω𝑟 )
𝟏
• 𝒆𝑟 Ω𝑟 = exp(−𝑗2𝜋2Δ𝑟 Ω𝑟 ) , Ω𝑟 = 𝑐𝑜𝑠𝜙𝑟
𝑛𝑟
…
exp(−𝑗2𝜋(𝑛𝑟 − 1)Δ𝑟 Ω𝑟 )
| 𝒉 |𝟐 𝑃
• MRC ⇒ 𝐶 = log(1 + )
𝑁0

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Transmit Spatial Signature
• 𝒚 = 𝒉∗ 𝒙 + 𝒘
𝑗2𝜋𝑑
•𝒉=𝑎× exp( ) 𝑛𝑡 𝒆𝑡 (Ω𝑡 )
𝜆𝑐
1
exp(−𝑗2𝜋Δ𝑡 Ω𝑡 )
𝟏
• 𝒆𝑡 Ω𝑡 = exp(−𝑗2𝜋2Δ𝑡 Ω𝑡 ) , Ω𝑡 = 𝑐𝑜𝑠𝜙𝑡
𝑛𝑡
…
exp(−𝑗2𝜋(𝑛𝑡 − 1)Δ𝑡 Ω𝑡 )
| 𝒉 |𝟐 𝑃
• Transmit beamforming ⇒ 𝐶 = log(1 + )
𝑁0

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MIMO: only LoS
• ℎ𝑖,𝑘 = 𝑎𝑏 exp 𝑗2𝜋 𝑘 − 1 Δ𝑡 Ω𝑡 exp −𝑗2𝜋 𝑖 − 1 Δ𝑟 Ω𝑟
• 𝑯 = 𝑎𝑏 𝑛𝑟 𝑛𝑡 𝒆𝑟 Ω𝑟 𝒆𝑡 (Ω𝑡 )∗ has rank 1
𝑃𝑎2 𝑛𝑟 𝑛𝑡
• 𝐶 = log 1 + , MIMO only provide power gain !
𝑁0

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Separated Transmit Antenna Array
𝑗2𝜋𝑑𝑘
• 𝒉𝑘 = 𝑎𝑘 × exp − 𝑛𝑟 𝒆𝑟 Ω𝑟𝑘 , 𝑘 = 1,2
𝜆𝑐
1
• 𝒆𝑟 Ω𝑟𝑘 is of period
Δ𝑟
1
• 𝑯 = [𝒉1 , 𝒉2 ] has rank 2 ⇔ Ω𝑟 ≔ Ω𝑟2 − Ω𝑟1 ≠ 0 𝑚𝑜𝑑
Δ𝑟

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Angular Resolvability
• Condition number measure the closeness to rank deficiency
• 𝑯 = 𝒉1 , 𝒉2
• 𝒉1 , 𝒉2 aligned ⇒ ill-conditioned
• 𝒉1 , 𝒉2 not aligned ⇒ well-conditioned
∗ sin(𝜋𝐿𝑟 Ω𝑟 )
• 𝑐𝑜𝑠𝜃 ≔ 𝒆𝑟 Ω𝑟1 𝒆𝑟 Ω𝑟2 = | |
𝑛𝑟 sin(𝜋𝐿𝑟 Ω𝑟 /𝑛𝑟 )
• 𝐿𝑟 ≔ 𝑛𝑟 Δ𝑟 is normalized size of Rx antenna array
• Period: 1 Δ𝑟
• Peak: Ω𝑟 = 𝑚 Δ𝑟 , 𝑚 ∈ 𝑍 with main lobe width 2 𝐿𝑟 (ill-conditioned!)
• Zero: Ω𝑟 = 𝑚 𝐿𝑟 , 𝑚 ∈ 𝑍

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Summary
• Separated Tx antenna
1
• 𝑯 has rank 2 ⇔ Ω𝑟 ≔ Ω𝑟1 − Ω𝑟1 ≠ 0 𝑚𝑜𝑑
Δ𝑟
1
• ill-conditioned ⇔ Ω𝑟 −𝑚 Δ𝑟 ≤
𝐿𝑟

• Separated Rx antenna
1
• 𝑯 has rank 2 ⇔ Ω𝑡 ≔ Ω𝑡1 − Ω𝑡1 ≠ 0 𝑚𝑜𝑑
Δ𝑡
1
• ill-conditioned ⇔ Ω𝑟 − 𝑚 Δ𝑡 ≤
𝐿𝑡

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Beamforming Pattern
• Same 𝐿𝑟
• Increase 𝑛𝑟 ⇒ # of peak ↓
1
• But resolvability unaffected
𝐿𝑟

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Beamforming Pattern
• Signal arrive 𝜙0
• Plot (𝜙 , |𝒆𝑟 𝑐𝑜𝑠𝜙0 ∗ 𝒆𝑟 𝑐𝑜𝑠𝜙 |)
2
• Main lobe width:
𝐿𝑟

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Reflected Path

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Angular Domain Description
• Channel matrix 𝑯 is spatial domain description
• 𝑯𝑎 : angular domain
1 1
• Group path into bins of size × (unsolvable )
𝐿𝑡 𝐿𝑟
• Each entry in 𝑯𝑎 is aggregation of several physical path (modeled as Gaussian)

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Angular Domain Description

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Transform into Angular Domain
0 1 𝑛𝑟 −1
• 𝐵𝑟 ≔ {𝒆𝑟 , 𝒆𝑟 , … , 𝒆𝑟 } is orthonormal basis of receive
𝐿𝑟 𝐿𝑟 𝐿𝑟
signal space 𝐶 𝑛𝑟 , represent different main lobe on receive pattern.
1
• It is decomposition of receive signal into lobes up to resolvability
𝐿𝑟
• Similarly, for transmit signal space 𝐶 𝑛𝑡 ,
0 1 𝑛𝑡 −1
𝐵𝑡 ≔ {𝒆𝑡 , 𝒆𝑡 , … , 𝒆𝑡 } is orthonormal basis
𝐿𝑡 𝐿𝑡 𝐿𝑡

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Example of Angular Lobes
1
• Critically spaced antenna: Δ𝑟 =
2
𝑘
• Each basis vector 𝒆𝑟 has single pair of main lobes
𝐿𝑟

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Example of Angular Lobes
1
• Sparsely spaced antenna: Δ𝑟 >
2
• Some basis vectors have more than one pair of lobes

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Example of Angular Lobes
1
• Densely spaced antenna: Δ𝑟 <
2
• Some basis vectors have no main lobes

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Transform into Angular Domain (2)
• Change of basis
0 1 𝑛𝑟 −1
• 𝑼𝑟 ≔ 𝒆𝑟 , 𝒆𝑟 , … , 𝒆𝑟 ; 𝒙𝑎 = 𝑼𝑡−1 𝒙
𝐿𝑟 𝐿𝑟 𝐿𝑟
0 1 𝑛 −1
• 𝑼𝑡 ≔ 𝒆𝑟 , 𝒆𝑟 , … , 𝒆𝑟 𝑟 ; 𝒚𝑎 = 𝑼𝑟−1 𝒚
𝐿𝑟 𝐿𝑟 𝐿𝑟

• 𝒚 = 𝑯𝐱 + 𝐰 ⇒ 𝒚𝑎 = 𝑯𝑎 𝒙𝑎 + 𝒘𝑎
• 𝑯𝑎 = 𝑼𝑟∗ 𝑯𝑼𝑡
• 𝒘𝑎 = 𝑼𝑟∗ 𝒘 ~𝐶𝑁(0, 𝑁0 𝑰𝒏𝒓 )

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Statistical Modeling in Angular Domain
• 𝑯𝑎 [𝑚] has random entry contributed from unsolvable paths

𝑎
• ℎ𝑘𝑙 [𝑚] is independent across m (attenuation is independent)
𝑎
• ℎ𝑘𝑙 [𝑚] is independent across 𝑘 and 𝑙 (signal angle move slowly)

𝑎
• If (𝑘, 𝑙) bin has many path ⇒ C.L.T, ℎ𝑘𝑙 [𝑚] is complex Gaussian
𝑎
• If (𝑘, 𝑙) bin contain no path ⇒ ℎ𝑘𝑙 [𝑚] is zero

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Degree of Freedom in Angular Domain
• 𝑟𝑎𝑛𝑘 𝑯𝑎 = min{# 𝑜𝑓 𝑛𝑜𝑛𝑧𝑒𝑟𝑜 𝑟𝑜𝑤𝑠, # 𝑜𝑓 𝑛𝑜𝑛𝑧𝑒𝑟𝑜 𝑐𝑜𝑙𝑢𝑚𝑛𝑠}
• Depends on:
• Scattering and reflection
• Give more physical paths
• Size of antenna array 𝐿𝑟 , 𝐿𝑡
• Larger the size, smaller the width of lobe ⇒ higher resolution of signal

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Effect of Scattering and Reflection

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Effect of Antenna Array Size

critically spaced sparsely spaced densely spaced

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Diversity in Angular Domain
• Slow fading ⇒ deep fade
• # of nonzero entries in 𝑯𝑎 provide diversity

Div=4 Div=8 Div=16

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i.i.d Rayleigh Modeling
• Rich scattering environment
• Critically or sparsely spaced antenna array.
• Each entry of 𝑯𝑎 is i.i.d complex Gaussian
• 𝑯𝑎 = 𝑼𝑟∗ 𝑯𝑼𝑡 ⇒ 𝑯 has also i.i.d complex Gaussian entry

• Note: if signal only comes from certain angle, then we have correlated
angular matrix.

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Reference
• D. Tse and P. Viswanath, Fundamentals of Wireless Communications.
2004.
• Lecture notes on MIMO of Prof. I-Hsiang Wang
(http://homepage.ntu.edu.tw/~ihwang/Teaching/Sp14/Slides/Lectur
e06_handout_v3.pdf)
• A. Goldsmith, Wireless Communications. 2004.

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