OFDM Based Systems 170610

Ben Gurion University
OFDM-based Communication
Systems: Lecture Notes
Dr. Doron Ezri, Dr. Michael Erlihson
i
Preface
MIMO and OFDM technologies are gaining ever growing interest in modern com-
munications systems. These technologies provide a powerful tool for enhancing the
wireless link with an emphasis on increased spectral eciency. MIMO and OFDM
have already been incorporated as major building blocks into existing standards and
are considered the bridge to fourth generation (4G) broadband wireless access systems
and technologies.
The course is made of two parts. In the rst part the basic concepts of dierent
MIMO modes are presented together with an analysis of their performance. The
second part discusses OFDM and concludes with the fusion of OFDM and MIMO in
practical systems and standards (with an emphasis on WiMAX). This course targets
graduate students in Electrical Engineering and communications engineers who need
an ecient introduction to these all important subjects.
The course is devised to be self-contained. However, some of the material in
the MIMO part is covered in [17], while some of the OFDM part is covered in [24].
Additional references for further reading are listed in the Bibliography section.
OFDM-based Communication Systems
ii
Contents
I Basic MIMO Concepts 1
1 The SISO Case 2
1.1 System Model and ML Receiver . . . . . . . . . . . . . . . . . . . . . 2
1.2 Evaluation of the Error Probability . . . . . . . . . . . . . . . . . . . 3
2 Transmit and Receive Diversity 7
2.1 Receive Diversity - MRC . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.1.1 System Model and ML Receiver . . . . . . . . . . . . . . . . . 7
2.1.2 Evaluation of the Error Probability . . . . . . . . . . . . . . . 9
2.2 Transmit Diversity - STC . . . . . . . . . . . . . . . . . . . . . . . . 11
2.3 Transmit and Receive Diversity - STC+MRC . . . . . . . . . . . . . 14
3 Transmit Beamforming 19
3.1 System Model and Optimal Transmission . . . . . . . . . . . . . . . . 19
3.3 Maximal Ratio Transmission . . . . . . . . . . . . . . . . . . . . . . . 24
Contents iii
4 Spatial Multiplexing 25
4.1 System Model and ML Receiver . . . . . . . . . . . . . . . . . . . . . 25
4.3 The Sphere Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
4.4 Linear MIMO Decoder . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.5 Successive Interference Cancelation . . . . . . . . . . . . . . . . . . . 33
4.6 The Diversity-Multiplexing Tradeo . . . . . . . . . . . . . . . . . . . 34
5 Closed Loop MIMO 37
5.1 System Model and Optimal Transmission . . . . . . . . . . . . . . . . 37
5.2 Implications of Closed Loop MIMO . . . . . . . . . . . . . . . . . . . 39
6 Space Division Multiple Access 42
6.1 System Model and Basic Solution . . . . . . . . . . . . . . . . . . . . 42
6.2 More Advanced Solutions and Considerations . . . . . . . . . . . . . 44
7 Receive Beamforming Techniques 47
7.1 Basic Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
7.2 Receive Beamforming Insight . . . . . . . . . . . . . . . . . . . . . . 49
7.3 Rx BF Based on Total Spatial Correlation Matrix . . . . . . . . . . . 50
7.4 Finite Sample Size Beamforming . . . . . . . . . . . . . . . . . . . . . 51
II Practical OFDM-MIMO 54
8 MIMO Channel Modeling 55
8.1 Path Loss and Shadowing . . . . . . . . . . . . . . . . . . . . . . . . 55
8.2 Static Frequency Selective Channels . . . . . . . . . . . . . . . . . . . 57
8.3 Dynamic Frequency Selective Channels . . . . . . . . . . . . . . . . . 60
OFDM-based communication systems
Contents iv
8.4 Extension to the MIMO Case . . . . . . . . . . . . . . . . . . . . . . 63
9 OFDM Basics 66
9.1 The Basic Concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
9.2 Pilots and Channel Estimation . . . . . . . . . . . . . . . . . . . . . . 71
9.3 Guards in Time and Frequency . . . . . . . . . . . . . . . . . . . . . 72
9.4 The Eects of Time and Frequency Osets . . . . . . . . . . . . . . . 74
9.5 The OFDM Parameters Tradeo . . . . . . . . . . . . . . . . . . . . 76
9.6 The PAPR Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
10 OFDMA, WiMAX and SC-FDMA 79
10.1 From OFDM to OFDMA . . . . . . . . . . . . . . . . . . . . . . . . . 79
10.2 OFDMA Characteristics in the IEEE802.16e - WiMAX . . . . . . . 81
10.3 Primitive IEEE802.16e OFDM parameters and Maximal Performance 83
10.4 SC-FDMA as a Variant of OFDMA . . . . . . . . . . . . . . . . . . . 85
11 Link Adaptation in MIMO-OFDM systems 88
11.1 Basic Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
11.2 Eective CINR concept . . . . . . . . . . . . . . . . . . . . . . . . . . 89
11.2.1 Flat Fading Scenarios . . . . . . . . . . . . . . . . . . . . . . . 90
11.2.2 Selective Fading Scenarios and Eective CINR . . . . . . . . . 91
11.3 EESM-based Link Adaptation Procedure . . . . . . . . . . . . . . . . 93
12 Practical MIMO OFDM 95
12.1 The Fusion of OFDM and MIMO . . . . . . . . . . . . . . . . . . . . 95
12.2 Pilots Patterns in MIMO OFDM . . . . . . . . . . . . . . . . . . . . 96
12.3 Obtaining Channel Knowledge at the Transmitter . . . . . . . . . . . 98
12.3.1 Reciprocity Methods . . . . . . . . . . . . . . . . . . . . . . . 99
Contents v
12.3.2 Feedback Methods . . . . . . . . . . . . . . . . . . . . . . . . 101
12.4 Future Directions in MIMO-OFDM . . . . . . . . . . . . . . . . . . . 103
Bibliography 103
A Complex Normal Multivariate Distribution 108
B Derivatives w.r.t a Vector and LS 110
C Some Results For Chapter 4 112
C.1 Lemma 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
C.2 Lemma 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
D The Impact of Correlation on MRC 115
1
Part I
Basic MIMO Concepts
2
Chapter 1
The SISO Case
1.1 System Model and ML Receiver
We begin with the simplest case of single input single output system (SISO) endowed
with single Tx and Rx antennas, depicted in Fig. 1.1. The received signal y satises
y = hs + n, (1.1)
where the channel h is a zero mean complex Normal
1
random variable (RV) with unit
variance (Eh
h = E[h[
2
= 1), s is a QPSK symbol bearing 2 bits (see Fig. 1.2),
is the noise intensity, and n is a zero mean complex Normal RV with unit variance.
Thus, the signal to noise ratio (SNR) in this case is 1/
2
.
Figure 1.1: SISO communications system.
The aim of the receiver is to estimate the transmitted bits using the measurement
y. We also assume h is known at the receiver. The Maximum Likelihood (ML)
1
For the denition of complex Normal distribution see Appendix A.
1. The SISO Case 3
receiver computes the log-likelihood ratio (LLR)
LLR(b) = log
e
Pr b = 1[y
Pr b = 0[y
, (1.2)
and sets the estimated bit

b to the bit value with greater conditional probability
b =
_
1 LLR(b) > 0
0 LLR(b) < 0.
(1.3)
Using Bayes rule and (1.1) , the likelihood ratio becomes
2
log
e
s:b=1
p(y[s)
s:b=0
p(y[s)
= log
e
s:b=1
exp
_
[y hs[
2
2
_
s:b=0
exp
_
[y hs[
2
2
_. (1.4)
Applying the max-log approximation we get
LLR(b) log
e
exp
_
min
s:b=1
[y hs[
2
2
_
exp
_
min
s:b=0
[y hs[
2
2
_ =
1
2
_
min
s:b=1
[y hs[
2
+ min
s:b=0
[y hs[
2
_
.(1.5)
We note that the LLR may be rewritten as
[h[
2
2
_
min
s:b=1
[ s s[
2
+ min
s:b=0
[ s s[
2
_
, (1.6)
where s =
y
h
. The LLR (1.6) implies that we estimate each bit according to the
constellation point which is nearest to s.
1.2 Evaluation of the Error Probability
We turn now to the evaluation of the error probability. We note that
s = s +

h
n, (1.7)
2
Note that conditioned on h and s, y is complex Normal with mean hs and variance
2
. For the p.d.f. of a complex Normal distribution see Appendix A.
1. The SISO Case 4
Figure 1.2: QPSK, 16QAM and 64QAM modulations. Note that in a nor-
malized QAM, with n bits/symbol, d
min
=
1
2
n
1
6
.
so the probability of error given h is bounded by
Pr error[ h Pr
_
h
n
>
d
min
2
h
_
= Pr
_
[n[ >
[h[ d
min
2
h
_
=
_

|h|d
min
/2
2z exp
_
z
2
_
dz,
(1.8)
where z = [n[ is Rayleigh distributed
3
with
2
=
1
2
, and d
min
=
2 in QPSK (see
Fig. 1.2). The integral in (1.8) may be evaluated analytically, so the error probability
given h reads
Pr error[h exp
_
[h[
2
2
2
_
= exp
_
SNR(h)
2
_
, (1.9)
3
The absolute value z of a complex Normal RV x+jy where x and y are zero mean real
valued i.i.d. Gaussian RVs each with variance
2
is Rayleigh distributed with parameter
and pdf p(z) =
1
2
z exp
_
z
2
2
2
_
for z 0.
1. The SISO Case 5
where SNR(h) is the instantaneous SNR. Note further that SNR(h) is the factor in
the LLR (1.6).
In order to obtain Pr error we average (1.9) w.r.t the complex Normal distribu-
tion of h, which gives
Pr error =
_
hC
Pr error[h p(h) dh
_
hC
exp
_
[h[
2
2
2
_
1
exp
_
[h[
2
_
dh
=
1
_
hC
exp
_
_
1 +
1
2
2
_
[h[
2
_
.
(1.10)
Using the equality (A.7), the bound (1.10) simplies to
Pr error
1
1 +
1
2
2
=
1
1 +
SNR
2
. (1.11)
The error probability (1.10) in the case of Rayleigh fading reveals how signicantly
the Rayleigh channel aects the performance. For means of comparison, we note that
in the case of white channel, h = 1, the error probability may be evaluated through
(1.9) as
Pr error exp
_
1
2
2
_
= exp
_
SNR
2
_
. (1.12)
The symbol error rate (SER) curves for SISO in AWGN and Rayleigh are given in
Fig. 1.3.
1. The SISO Case 6
Figure 1.3: SER curves of SISO with AWGN and Rayleigh channels.
7
Chapter 2
Transmit and Receive Diversity
2.1 Receive Diversity - MRC
2.1.1 System Model and ML Receiver
We begin with the single input multiple output (SIMO) case, in which the receiver
is endowed with N receive antennas, as depicted in Fig. 2.1. In this case, the
mathematical model for the measurements vector y is
y = hs + n, (2.1)
where the elements h
i
of the channel vector h, are independent complex Normal
RVs with unit variance, and the elements n
i
of the noise vector n, are independent
complex Normal RVs with unit variance.
We proceed as in the SISO case to obtain the LLR, assuming the receiver possesses
h. The expression for the LLR in this case becomes
LLR(b) = log
e
Pr b = 1[y
Pr b = 0[y
= log
e
s:b=1
exp
_
|y hs|
2
2
_
s:b=0
exp
_
|y hs|
2
2
_
2
_
min
s:b=1
|y hs|
2
+ min
s:b=0
|y hs|
2
_
. (2.2)
2. Transmit and Receive Diversity 8
Figure 2.1: MRC conguration.
We note that the functional |y hs|
2
in (2.2) attains its global minimum at the
least squares (LS) solution (see Appendix B)
s = (h
h)
1
h
y =
h
y
|h|
2
, (2.3)
and that the quadratic cost |y hs|
2
may be rewritten as
|y hs|
2
= |y h s +h s hs|
2
= |(y h s) + (h s hs)|
2
= |y h s|
2
+|h( s s)|
2
+ 21(y h s)
h( s s) . (2.4)
Using the fact that about s the last term on the r.h.s of (2.4) vanishes
(y h s)
h = y
h s
|h|
2
= y
h
y
h
|h|
2
|h|
2
= 0, (2.5)
the cost functional is written in the convenient form
|y hs|
2
= |y h s|
2
+|h( s s)|
2
= C +|h|
2
[ s s[
2
. (2.6)
Thus, in the case of Rx diversity, the LLR expression (2.2) is simplied to (note that
C is canceled out)
LLR(b)
|h|
2
2
_
min
s:b=1
[ s s[
2
+ min
s:b=0
[ s s[
2
_
. (2.7)
The above result implies that the optimal decoding in case of Rx diversity begins with
the calculation of the LS estimate s for s, and the rest of the processing is identical
to SISO.
The LS solution in the case of Rx diversity is also known as maximal-ratio-
combining (MRC)[19, 20]. In the case of 2 Rx antennas, Eq. (2.3) reads
s =
h
0
y
0
+ h
1
y
1
[h
0
[
2
+[h
1
[
2
, (2.8)
which means that the signal from each antenna is de-rotated according to the phase
of the corresponding channel. Then, the de-rotated signals are weighted according to
the strength of the channel and summed.
2.1.2 Evaluation of the Error Probability
Substituting (2.1) in the MRC expression (2.3) we get
s =
h
(hs + n)
|h|
2
= s +
h
n
|h|
2
. (2.9)
Note that the variance of the noise term is

2
|h|
2
so the post-processing SNR is
|h|
2
2
, which is the factor in the LLR (2.7). Thus, the probability of error given h,
similarly to (1.8), is
Pr error[h
_

hd
min
/2
2z exp
_
z
2
_
dz
= exp
_
|h|
2
2
2
_
. (2.10)
The error probability is obtained by averaging (2.10) w.r.t. the complex Normal
distribution of h, which gives
Pr error =
_
hC
N
Pr error[h p(h) dh
_
hC
N
exp
_
|h|
2
2
2
_
1
N
exp
_
|h|
2
_
dh
=
1
N
_
hC
N
exp
_
h
__
1 +
1
2
2
_
I
_
h
_
dh.
(2.11)
Using the equality (A.7), the bound (2.11) simplies to
1
Pr error
1
_
1 +
1
2
2
_
N
=
1
_
1 +
SNR
2
_
N
. (2.12)
It is evident that Rx diversity decreases the error probability considerably. Intuitively,
this conclusion may be derived from the expression for E[ s s[
2
=
2
/|h|
2
implied
from (2.9). The estimation error variance depends on the absolute value of all channels
and not just one as in the SISO case. Moreover, in the case of white channels, MRC
simply means averaging the signals from the antennas, reducing the estimation error
variance by a factor of N.
At this point we introduce two important concepts in MIMO. These are the di-
versity order dened as
diversity order = lim
SNR
log
e
Pr error
log
e
SNR
, (2.13)
and the array gain, dened as
array gain =
Epost processing SNR
SNR
. (2.14)
Note that in the case of Rx diversity, the diversity order and array gain are equal to
N. The SER curves of MRC with 2 Rx and 4 Rx antennas are given in Fig. 2.2.
1
We use here the identity det A =
N
det A, where A is an N N matrix.
Figure 2.2: SER curves of MRC 1 2 and 1 4.
2.2 Transmit Diversity - STC
In many cases placing many Rx antennas at the receiver is impractical. In these
cases it is possible to obtain diversity gain by employing multiple Tx antennas (Tx
diversity). One of the most prominent methods for Tx diversity is Alamoutis space
time coding (STC) [6], which is applicable for two Tx antennas. Besides the use of
the spatial domain (as done in MRC), STC makes further use of the time domain.
In Alamoutis scheme, the transmission is done from two Tx antennas and in pairs
of time slots, as depicted in Fig. 2.3. Beginning with the case of single Rx antenna,
the mathematical model corresponding to the ith time slot is
y(i) = [ h
0
h
1
]
_
x
0
(i)
x
1
(i)
_
+ n, (2.15)
where y(i) is the measurement at the Rx antenna at time i, x
0
(i) is the transmitted
signal from Tx antenna 0 at time i, and x
1
(i) is the transmitted signal from Tx
antenna 1 at time i. The transmission scheme is
_
x
0
(0) x
0
(1)
x
1
(0) x
1
(1)
_
=
1
2
_
s
0
s
1
s
1
s
0
_
, (2.16)
which means that only one data stream is transmitted from the Tx antennas and
the transmission rate is identical to that in SISO. The factor
1
2
, makes sure that
the total transmission power remains identical to the SISO case. Assuming that the
channel vector is identical at both time slots, the aggregated received signal is
_
y(0)
y
(1)
_
. .
y
=
1
2
_
h
0
h
1
h
1
h
0
_
. .
H
_
s
0
s
1
_
. .
s
+ n. (2.17)
We denote the linear transformation operating on s by H and not simply H, to
emphasize that it is not the physical channel, but rather the eective channel created
by the STC transmission scheme. Note that the columns of H are orthogonal
2
_
h
0
h
1
_
_
h
1
h
0
_
= [h
0
, h
1
]
_
h
1
h
0
_
= 0. (2.18)
Figure 2.3: STC 2 1 conguration.
We proceed as before to obtain the LLR, assuming the receiver possesses H. The
2
This means in AWGN each of the symbols may be decoded individually (in MRC
fashion) regardless to the other symbol, simlilarly I and Q components modulated with
orthogonal Sine and Cosine.
expression for the LLR in this case becomes
LLR(b) = log
e
Pr b = 1[y
Pr b = 0[y
= log
e
s:b=1
exp
_
|y Hs|
2
2
_
s:b=0
exp
_
|y Hs|
2
2
_
2
_
min
s:b=1
|y Hs|
2
+ min
s:b=0
|y Hs|
2
_
. (2.19)
We note that the term |y Hs|
2
in (2.19) may be rewritten as
[ s s]
(H
H)[ s s], (2.20)

where s is the least squares (LS) estimator of s given the measurements y, satisfying
s = H
+
y, (2.21)
where H
+
is the pseudo-inverse of H dened as (H
H)
1
H
. We further note that

in Alamoutis STC, H is a scaled unitary matrix. That is
H
H=
[h
0
[
2
+[h
1
[
2
2
I. (2.22)
This property of H is perhaps the most crucial part of the Alamouti scheme. Using
(2.22), turns (2.20) to the form
[h
0
[
2
+[h
1
[
2
2
| s s|
2
, (2.23)
so the expression for the LLR (2.19) becomes
LLR(b)
[h
0
[
2
+[h
1
[
2
2
2
_
min
s:b=1
| s s|
2
+ min
s:b=0
| s s|
2
_
. (2.24)
This implies that in STC, the ML receiver sums up to LS estimation followed by
regular SISO processing for each of the symbols s
0
, s
1
independently (this conclusion
is left for the reader to verify).
Proceeding as in the previous sections, we substitute (2.17) in the LS equation (2.21)
for s and obtain
s = (H
H)
1
H
[Hs + n]
= s +
2
[h
0
[
2
+[h
1
[
2
H
n, (2.25)
which means that the covariance matrix of the noisy term is
2
2
[h
0
[
2
+[h
1
[
2
I, (2.26)
which is identical to that in the MRC case ((2.9) and line under), except for the factor
2 which means a 3dB decrease in the array gain. In STC the array gain is 1.
Since the expression for the variance of the noisy part after the LS is identical to
that in MRC, up to the constant 2, the error probability takes the form
Pr error
1
_
1 +
1
4
2
_
2
=
1
_
1 +
SNR
4
_
2
, (2.27)
which implies second order diversity, as in the case of MRC with 2 Rx antenna, but
array gain of 1, which means no array gain. The SER curve of STC 2 1 is given
in Fig. 2.4. The SER curve of MRC 1 2 is also given to show the 3dB dierence
between the curves, and the identical diversity order.
2.3 Transmit and Receive Diversity - STC+MRC
The previous sections show that STC with 2 Tx antennas, provides diversity order
of 2 and no array gain. They also show that MRC with N Rx antennas provides
diversity order N and array gain N. A natural expansion of the ideas above would
Figure 2.4: SER curves of STC 2 1 and MRC 1 2.
be the fusion of STC transmission and Rx diversity. We consider here a MIMO array
with 2 Tx antennas transmitting STC and N Rx antennas. This MIMO system is
given in Fig. 2.5.
Figure 2.5: STC with Rx diversity conguration.
The model for the received signal at the nth Rx antenna aggregated over two
time slots is identical to (2.17)
_
y
n
(0)
y
n
(1)
_
. .
y
n
=
1
2
_
h
0,n
h
1,n
h
1,n
h
0,n
_
. .
Hn
_
s
0
s
1
_
. .
s
+ n
n
. (2.28)
Thus, the whole system model is
_
_
y
0
y
1
.
.
.
y
N1
_
_
. .
y
=
_
_
H
0
H
1
.
.
.
H
N1
_
_
. .
H
_
s
0
s
1
_
. .
s
+ n. (2.29)
Here y and n are vectors of length 2N. We note that here too the columns of H are
orthogonal
H
H =
_
H
0
H
1
H
N1
_
H
0
H
1
.
.
.
H
N1
_
_
=
N1
n=0
H
n
H
n
=
1
2
N1
n=0
([h
0,n
[
2
+[h
1,n
[
2
)I, (2.30)
so the ML receiver implies SISO processing on the output of the LS solution. We
further note that using the LS solutions s
n
at each of the antennas, the LS solution
takes the form
s = (H
H )
1
H
y
=
1
1
2
N1
n=0
([h
0,n
[
2
+[h
1,n
[
2
)
_
H
0
H
1
H
N1
_
y
0
y
1
.
.
.
y
N1
_
_
=
N1
n=0
([h
0,n
[
2
+[h
1,n
[
2
) s
n
N1
n=0
([h
0,n
[
2
+[h
1,n
[
2
)
, (2.31)
which means combining the LS solutions at the antennas in an MRC fashion. The
weight assigned to the LS solution of the n th antenna is [h
0,n
[
2
+ [h
1,n
[
2
, which is
proportional to its post processing SNR.
The LS solution s takes the form
s = (H
H )
1
H
[H s + n]
= s +
2
N1
n=0
([h
0,n
[
2
+[h
1,n
[
2
)
H
n (2.32)
which means that the covariance matrix of the noisy term is
2
2
N1
n=0
([h
0,n
[
2
+[h
1,n
[
2
)
I, (2.33)
implying an array gain of value N. The error probability is evaluated as in previous
sections and reads
Pr error
1
_
1 +
1
4
2
_
2N
=
1
_
1 +
SNR
4
_
2N
, (2.34)
which means diversity order 2N. Intuitively, the STC provided diversity order 2 and
the MRC provided diversity order N, so the total diversity order is 2N. The SER
curve of STC 22 is given in Fig. 2.6. Note the dierence in diversity order compared
with STC 2 1.
Figure 2.6: SER curves of STC 2 2 and STC 2 1.
19
Chapter 3
Transmit Beamforming
In the previous chapters, we assumed perfect channel knowledge at the receiver,
but no channel knowledge at the transmitter. In this chapter we concentrate on
methods for transmission and reception assuming perfect channel knowledge at both
sides. Practical methods for obtaining channel knowledge at the transmitter will be
discussed in Chapter 12.
3.1 System Model and Optimal Transmission
We consider a MIMO array endowed with M transmit and N receive antennas, de-
picted in Fig. 3.1. We assume that the transmitter possesses perfect knowledge of
the channels matrix. The question at hand is how to exploit the channel knowledge
at the transmitter to transmit the information symbol s using the M transmit anten-
nas, in a manner that optimizes the link performance. Hereafter we restrict ourselves
to linear precoding, where the transmitted signal x satises x = ws and w is the
precoding weight vector. This method of precoding in also known as beamforming,
and w is dubbed the beamformer. The mathematical model for the received signal
when beamforming is applied is
y = Hx + n = Hws + n. (3.1)
3. Transmit Beamforming 20
Note that when the beamformer w is applied, Hw may be viewed as the equivalent
channel. We further note that the post-processing SNR at the receiver (after applying
MRC with the N Rx antennas) is |Hw|
2
/
2
.
Figure 3.1: Tx beamforming conguration with M Tx and N Rx antennas.
When the optimization criterion is maximal SNR at the receiver, the optimal
beamforming problem may be written as
w = argmax
:
2
=1
|H|
2
. (3.2)
The unity magnitude constraint || = 1 is used to make sure that the transmission
power remains equal to that in the SISO case. The optimization problem (3.2) may
be solved using Lagrange multipliers. We dene the Lagrangian
L = |H|
2
(||
2
1), (3.3)
dierentiate w.r.t (assuming the real-valued case, see Appendix B), and equate to
zero
L
H (
1)]
= 2
H 2
= 0. (3.4)
Applying conjugate transposition and returning to w leads to
(H
H) w = w. (3.5)
This means that w is an eigenvector of the rectangular matrix H
H. Bearing in mind
that we are seeking the solution that maximizes |Hw|
2
, we reach the conclusion that
w is the eigenvector of H
H corresponding its the largest eigenvalue (the result holds

in the complex-valued case).
The eigenvectors of H
H may also be found by the singular value decomposition

(SVD) of the (not necessarily rectangular) matrix H. The SVD decomposes H into
a product of three matrices
H = UDV
, (3.6)
where U and V are unitary matrices satisfying U
U = I, V
V = I, and D is a
diagonal matrix with real positive singular values on its diagonal. The entries of D
are the square roots of the eigenvalues of H
H or HH
. The columns of V are the

singular vectors of H which are the eigenvectors of H
H, and the columns of U are

the eigenvectors of HH
.
As noted above, the receiver applies MRC to the signals at the N Rx antennas, so
the post processing SNR is
post processing SNR =
|Hw|
2
2
=
d
2
2
, (3.7)
where d is the largest singular value of H. Using the fact that rotation matrices do
not change the Frobenius norm
1
of a matrix, we get
|H|
2
F
= |UDV
|
2
F
= |D|
2
F
=
d
2
i
, (3.8)
1
The Frobenius norm |A|
F
of an N M matrix A is dened as the square root of
the sum of the absolute squares of its elements, |A|
F
=
_
n
m
[A
n,m
[
2
. Thus, |A|
2
F
measures the energy of the matrix.
where d
i
is the ith singular value of H. Obviously, d
2
= d
2
0
is upper bounded by
d
2
i
= |H|
2
F
. Moreover, since d is the largest singular value, d
2
is lower bounded
by
d
2
i
divided by the number of singular values. Thus, we have
|H|
2
F
minM, N
d
2
|H|
2
F
. (3.9)
The post processing SNR =
d
2
2
is bounded by
|H|
2
F
minM, N
2
post processing SNR
|H|
2
F
2
, (3.10)
which leads to bounds on the array gain by applying an expectation and dividing by
the average SNR =
1
2
MN
minM, N
array gain MN. (3.11)
This means that in the case of 2 2, the array gain is up to 3dB better than that in
STC+MRC.
An upper bound for the error probability is given by
Pr error
1
_
1 +
1
2 minM, N
2
_
MN
=
1
_
1 +
SNR
2 minM, N
_
MN
, (3.12)
which implies that in the case of 2 2, the diversity order is identical to that in
STC+MRC. The SER curves of eigen beamforming 2 2 and 4 2 are given in Fig.
3.2. Note that the diversity order in the 2 2 case is identical to STC 2 2 and the
array gain is better by less than 3dB.
We note that in the case of M Tx and 2 Rx antennas, the joint distribution of the
eigenvalues
1
,
2
of HH
is known explicitly [21]. Thus, in this case, the bounds

may be replaced with an explicit expression for the array gain and error probability
as follows. Focusing on the 2 2 case, the joint distribution of the eigen values of
HH
is
p(
1
,
2
) = exp (
1
2
) (
1
2
)
2
,
1
>
2
0, (3.13)
where
1
= d
2
. Thus, the array gain is calculated explicitly as
array gain =
E
_
d
2
2
_
SNR
= E
_
d
2
_
=
_

2
=0
_

1
=
2
1
p(
1
,
2
) d
1
d
2
(3.14)
=
_

2
=0
_

1
=
2
1
exp (
1
2
) (
1
2
)
2
d
1
d
2
= 3.5,
which implies 10 log
10
_
3.5
2
_
= 2.4dB advantage over the 2 2 STC+MRC scheme
(due to channel knowledge at the transmitter).
Figure 3.2: SER curves for eigen beamforming 2 2 and 4 2.
3.3 Maximal Ratio Transmission
A special case of Tx beamforming is the case of a single Rx antenna, N = 1. This is a
common case since in many systems the receiver is to be low cost. Here the channels
matrix H reduces to a row vector h
= [h
0
. . . , h
M1
], and the matrix H
H in (3.5)
turns to hh
, which has rank 1.

In this simplied case the computation of the SVD reads
h
= 1 |h|
_
h
|h|
_
. (3.15)
Thus, the optimal beamformer in the case of single Rx antenna reads (remember
H = h
)
w =
h
|h|
w
i
=
h
i
|h|
. (3.16)
This method is known as maximal ratio transmission (MRT) [12]. Note that the SER
curve of MRT with M Tx antennas and one Rx antenna is identical to that in MRC
with one Tx antenna and M Rx antennas.
25
Chapter 4
Spatial Multiplexing
In the previous chapters, we exploited the MIMO conguration to enhance the link
properties, with the underlying assumption that a better link (higher SNR, less fad-
ing) means the ability to transmit more information by using less robust modulation
schemes (say switching from QPSK to 16QAM) conveying more information. In this
chapter we consider a dierent approach to exploit the MIMO conguration, in which
dierent information streams are transmitted from the Tx antennas. This approach
is known as spatial multiplexing.
4.1 System Model and ML Receiver
In spatial multiplexing (SM), independent information streams are transmitted through
the Tx antennas. We consider a MIMO array with M transmit and N receive an-
tennas where N M, depicted in Fig. 4.1. The transmitted vector is
1
M
s where
s = [s
0
, s
1
, . . . , s
M1
]
T
is a vector of M independent symbols. The factor
1
M
is in-
troduced in order to maintain unity transmission power. The mathematical model
for the received signal is
y =
1
M
H
PHY
. .
H
s + n. (4.1)
4. Spatial Multiplexing 26
Thus, in SM we increase the throughput explicitly (assuming that the receiver is
capable of decoding the information).
Figure 4.1: Spatial multiplexing conguration with M Tx and N Rx anten-
nas.
In order to obtain the ML receiver, we begin with the expression for the LLR,
which in SM takes the form
LLR(b) = log
e
Pr b = 1[y
Pr b = 0[y
= log
e
s:b=1
exp
_
|y Hs|
2
2
_
s:b=0
exp
_
|y Hs|
2
2
_
2
_
min
s:b=1
|y Hs|
2
+ min
s:b=0
|y Hs|
2
_
. (4.2)
Note that in SM, in contrast to all diversity schemes we discussed before, H
H is not
a diagonal matrix. This means that the LS solution followed by SISO processing is no
longer optimal. Actually, no further simplication of the LLR (4.2) exists. Moreover,
Eq. (4.2) implies that optimal ML decoding in SM requires exhaustive search in
multiple dimensions. The problem becomes more severe when high modulations (say
64QAM) or large number of Tx antennas are employed. For instance, in M=4 and
64QAM, the computation of the LLR requires exhaustive search over 64
4
16 10
6
options.
The fact that ML reception in SM requires exhaustive search is troublesome,
so suboptimal schemes have to be devised when either the number of constellation
points or number of Tx antennas is high. In the sequel we consider some of the more
prominent suboptimal solutions.
In order to evaluate the error probability we assume that the symbol s was transmitted
and dene the minimizing vector
s = argmin
QAM
M
J(), (4.3)
where J() = |y H|
2
. The error probability may be interpreted as
Pr error = Pr s ,= s . (4.4)
We begin by conditioning the error event on H and s, to get
Pr error[H, s = Pr
_
_
_
_
s=s
J( s) J(s)
H, s
_
_
_
, (4.5)
which may be bounded by the union bound
Pr error[H, s
s=s
Pr J( s) J(s)[ H, s . (4.6)
The conditional probability on the r.h.s. of (4.6) is calculated in Section C.1 as
Pr J( s) J(s)[ H, s = Q
_
|H( s s)|
2
_
, (4.7)
so Equation (4.6) turns to
Pr error[H, s
s=s
Q
_
|H( s s)|
2
_
, (4.8)
which may be further simplied using the bound Q(x)
1
2
exp
_
x
2
2
_
to yield
Pr error[H, s
1
2
s=s
exp
_
|H( s s)|
2
4
2
_
. (4.9)
Averaging w.r.t s gives
Pr error[H
1
2 L
M
sQAM
M
eA(s)
exp
_
|He|
2
4
2
_
, (4.10)
where L is the number of points in the QAM constellation, and A(s) is the set of
error vectors s s corresponding to the transmitted vector s.
The unconditional error probability is obtained by averaging (4.10) w.r.t to the
Rayleigh distribution of H. Specically, the expectation of the term exp
_
|He|
2
4
2
_
w.r.t H is calculated in Section C.2 as
E
H
_
exp
_
|He|
2
4
2
__
=
1
_
1 +
|e|
2
4M
2
_
N
, (4.11)
which leads to the unconditional error probability
Pr error
1
2 L
M
sQAM
M
eA(s)
1
_
1 +
|e|
2
4M
2
_
N
. (4.12)
The expression (4.12) is dominated by the error vectors with minimal norm. Focusing
on QPSK, each symbol s has the same number of dominant vectors e satisfying
|e|
2
= 2, so (4.12) may be approximated by
Pr error
C
2
1
_
1 +
2
4M
2
_
N
=
C
2
1
_
1 +
SNR
2M
_
N
. (4.13)
As is usual with the union bound, the best approximation is obtained at C = 1, which
means diversity order N and array gain N/M. We emphasize here that in SM the
throughput is M times that in SISO.
4.3 The Sphere Decoder
The exponential complexity of the exhaustive search ML suggests that other methods
are ought to be sought. Sphere decoding [8] is an iterative method for the computation
of the ML solution. The method provides the optimal ML solution with signicantly
smaller complexity.
The building block of the optimal LLR is the minimizer of the functional
min
sA
|y Hs|
2
, (4.14)
over some set of points (2-dimensional QAM) A. Denoting the LS solution as s, the
cost functional in (4.14) may be rewritten as
|H( s s)|
2
= ( s s)
H( s s). (4.15)
Note that since H
H is a positive denite symmetric matrix, it can be decomposed

into U
U = H
H where U is an upper triangular matrix with real diagonal (The

matrix U may be obtained through the QR decomposition of H). Thus, the cost
functional (4.15) turns to
( s s)
U( s s). (4.16)
To simplify matters, we continue with the case of M = 2. The special structure of U
allows writing (4.16) explicitly as
2
i=1
u
2
ii
s
i
s
i
+
2
j=i+1
u
ij
u
ii
(s
j
s
j
)
2
= u
2
22
[s
2
s
2
[
2
+ u
2
11
s
1
s
1
+
u
12
u
11
(s
2
s
2
)
2
.
(4.17)
We begin with searching for points s for which the cost functional (4.17) is smaller
than an arbitrary r
2
. Taking only the rst term in the sum (4.17) we obtain a
necessary (but not sucient) condition for a point s to have a cost smaller than r
2
as
u
2
22
[s
2
s
2
[
2
< r
2
[s
2
s
2
[
2
<
r
2
u
2
22
, (4.18)
which implies that a necessary condition is that s
2
lies within a circle about the LS
solution s
2
. If there are no points in the set A satisfying (4.18), the magnitude of
r is increased and the algorithm starts all over. In the case there are points which
satisfy the condition, we choose one of them and use it to produce a similar condition
on s
1
(for the specic s
2
chosen) through (4.17) as
u
2
22
[s
2
s
2
[
2
+ u
2
11
s
1
s
1
+
u
12
u
11
(s
2
s
2
)
2
< r
2
(4.19)
or
s
1
_
s
1
u
12
u
11
(s
2
s
2
)
_
2
<
r
2
u
2
22
[s
2
s
2
[
2
u
2
11
, (4.20)
which means that s
1
should lie within a circle that depends on the s
2
chosen. If
there are no points s
1
satisfying the condition, we turn to the next point s
2
satisfying
(4.18). Otherwise we have a point s with cost smaller than r
2
, dubbed candidate.
We compute the cost of this point say r
2
< r
2
and repeat the algorithm with r
2
.
Eventually, r
2
will be small enough such that no points with smaller cost exist
and the minimizer is the candidate of the last iteration. Surely, if no points exist for
a certain r
2
and no candidates have been found in previous iterations, r
2
should be
increased. The advantage of the sphere decoding method stems from its optimality
and the fact that all searches are in one complex dimension leading to signicantly
lower computational burden.
4.4 Linear MIMO Decoder
A much simpler method to decode SM MIMO is zero forcing (ZF) which implies linear
decoding. In ZF, we do not follow the ML optimality criterion (4.2) but rather apply
SISO processing to the LS estimator for s
s = (H
H)
1
H
y, (4.21)
which in the case of 2 2 reduces to
s = H
1
y
= H
1
(Hs + n)
= s + H
1
n
= s +
1
h
00
h
11
h
10
h
01
_
h
11
h
10
h
01
h
00
_
n, (4.22)
which means that in the case det(H) is small, the post processing SNR becomes small,
regardless of the magnitudes of h
i,j
. In ZF, the post processing SNR experienced by
each stream is
1
2M
2
2
2(NM+1)
1
[9, 27]. This post processing SNR distribution is
similar to that in MRC N M +1 with a reduced mean (by a factor of M). Thus, in
this suboptimal method, the diversity order is N M + 1 and the array gain reads
N M + 1
M
. Specically, in the 2 2 case we get the diversity order of SISO with
array gain
1
2
.
Another approach which is very similar to ZF is best linear estimation (BLE or
MMSE). In BLE we construct the best linear estimator of s conditioned on y. We
emphasize that since s and y are not jointly Gaussian, the BLE in not optimal in
any way. Considering the MIMO model (4.1), the BLE s
BLE
for s is dened as
s
BLE
Es +
sy
1
yy
[y Ey]. (4.23)
1
The sum Q =
K
j=1
x
2
j
, where x
j
are i.i.d standard real valued Gaussian RVs, is
chi-square distributed with K degrees of freedom, denoted Q
2
K
.
Using the fact that Es = Ey = 0, and
ss
= I, the rest of the elements on the
r.h.s of (4.23) are easily calculated as follows
sy
Es(Hs + n)
=
ss
H
= H
yy
E(Hs + n)(Hs + n)
= H
ss
H
+
2
I = HH
+
2
I. (4.24)
Substituting (4.24) in (4.23) leads to the expression for the BLE
s
BLE
= H
(HH
+
2
I)
1
y. (4.25)
Note that in the limit of high SNR (small )
lim
0
s
BLE
= s
ZF
. (4.26)
Thus, the diversity order in the BLE is identical to that in ZF and reads N M +1.
The SER curves for ML 2 2 and ZF 2 2 are given in Fig. 4.2. Note that the
diversity order in ML is twice that in ZF.
Figure 4.2: SER curves for ML 2 2 and ZF 2 2. Note that the diversity
order in the ML is twice that in the ZF.
4.5 Successive Interference Cancelation
Any discussion concerning SM decoding algorithms would not be complete without
V-Blast, the original decoding method proposed by the authors of [28], that is con-
sidered the seminal paper presenting SM. This method, also known as successive
interference cancelation (SIC), borrows concepts from decision feedback equalization
and synchronization.
The SIC algorithm begins with linear processing, similarly to (4.21)
s
ini
= Gy = s + Gn, (4.27)
where G in this case is the pseudo inverse of H (similar version exists for MMSE). At
this point, we look for the index k
1
featuring the largest per stream post processing
SNR associated with (4.27)
k
1
= argmin
j0...M1
|G(j, :)|
2
. (4.28)
The symbol s
k
1
which is the most robust, is decoded linearly, as implied by (4.27)
s
k
1
= G(k
1
, :)y, (4.29)
and then sliced to obtain s
k
1
| QAM.
Equipped with the (hopefully correct) estimate s
k
1
| of s
k
1
, the algorithm proceeds
to cancel out the estimated contribution of s
k
1
in the original received vector y
y
2
= y h
k
1
s
k
1
|, (4.30)
such that in case s
k
1
is decoded correctly, we are left with a problem identical to (4.1),
but with M 1 symbols
y
2
= H
k
1
s
k
1
+ n, (4.31)
where H
k
1
is H with the k
1
th column eliminated, and s
k
1
is s with the k
1
th
element eliminated. The algorithm continues recursively with the computation of the
pseudo inverse G
2
of H
k
1
, the determination of
k
2
= argmin
j0...M1,j=k
1
|G
2
(j, :)|
2
. (4.32)
and so on, until all symbols are decoded.
Obviously, the main problem with the SIC algorithm is error propagation resulting
from the assumption that previous symbols have been decoded correctly (e.g. (4.31)
does not hold when s
k
1
is decoded incorrectly). In the 2 2 case, the performance is
very much similar to ZF, however, in the case of M > 2, the SIC algorithm exhibits
somewhat superior performance [14].
4.6 The Diversity-Multiplexing Tradeo
Equipped with the understanding of diversity and multiplexing, we reach the con-
clusion that in many cases there exists a tradeo between the two. Considering a
physical conguration of 2 2 without channel knowledge at the transmitter, we
have 2 prominent approaches, STC and SM. In this case SM will deliver twice the
throughput with 2nd order diversity, while STC gives 4th order diversity.
A natural question that arises is which is better? In order to answer this question,
we need to compare equal throughput schemes (apples to apples), so we construct the
SER curve of STC 22 employing 16QAM modulation (this curve is identical to that
of QPSK, except an approx. 7dB shift in SNR due to the decrease in d
min
). The SER
curves of STC 22 16QAM and SM 22 QPSK, featuring identical throughput, are
given in Fig. 4.3. Note that the STC curve is superior to that of the SM (assuming
we are targeting SER of 10
4
).
However, when comparing the SER curves of SM 2 2 16QAM with the equal
Figure 4.3: SER curves for SM 2 2 QPSK and STC 2 2 16QAM.
throughput competitor STC 2 2 256QAM as shown in Fig. 4.4, the situation
reverses, and the SM is superior. This means that there is no simple answer to the
question above, and there is a strong dependency on channel condition. As a rule
of thumb, we say that diversity methods are superior in the regime of small SNR,
whereas multiplexing is superior in high SNR [32, 16]. Bearing in mind that as the
SNR increases more SNR is needed to double the rate (3dB to move from BPSK to
QPSK, but 7dB to move from QPSK to 16QAM etc.), it is clear that at large SNR
schemes that explicitly double the rate become more attractive.
Another important factor which we have not addressed yet is correlation between
the spatial channels. In order to demonstrate the eect of correlation we turn to the
limit of fully correlated channels, so all entries in the channels matrix H are identical
(but yet random). In this case the diversity order of all diversity schemes decreases
to 1. However, in SM the schemes collapse and decoding is impossible (e.g. in the ZF
decoder, the matrix is not invertible). As a rule of thumb, we say that SM methods
are more sensitive to spatial correlation than diversity methods [7]. The impact of
Figure 4.4: SER curves for SM 2 2 16QAM and STC 2 2 256QAM.
spatial correlation on MRC is given in Appendix D.
37
Chapter 5
Closed Loop MIMO
In the previous chapter we considered SM and assumed no channel knowledge at the
transmitter. In this chapter we consider SM with perfect channel knowledge at the
transmitter, a technique that is known as closed loop (CL) MIMO. This technique may
be viewed as fusion between SM and beamforming. Practical methods for obtaining
channel knowledge at the transmitter will be discussed in Chapter 12.
5.1 System Model and Optimal Transmission
We consider here an array with M transmit and N receive antennas, and assume
perfect channel knowledge at the transmitter and receiver. We already saw that
using this system it is possible to transmit a single precoded stream and obtain MN-
th order diversity. The question at hand here, is how to exploit the channel knowledge
at the transmitter in order to concurrently transmit K min(M, N) streams.
One solution to this problem is closely related to the concept of single stream
beamforming and SVD. We consider the following transmitted signal which may be
viewed as an extension of single stream beamforming
x =
K1
i=0
a
i
v
i
s
i
, (5.1)
where v
i
is the i-th singular vector of H and a
i
is a positive power allocation coecient
5. Closed Loop MIMO 38
with
a
2
i,i
= 1 to maintain unity transmission power. This precoding scheme is
attractive since the singular vectors are orthogonal (in contrast to eigenvectors) and
remain orthogonal after multiplication with H
(Hv
i
)
(Hv
j
) = v
i
(H
Hv
j
) = v
i
(v
j
) = 0 for i ,= j. (5.2)
which means orthogonal at the receiver.
In order to further investigate the scheme we rewrite the transmitted signal as
x = VAs, (5.3)
where V is the right hand unitary matrix in the SVD of channels matrix H and
A
MK
is a diagonal matrix with the entries a
i
on its diagonal. The resulting received
signal is
y = HVAs + n. (5.4)
Note that now, the equivalent channel matrix HVA satises
(HVA)
HVA = A
HVA
= A
V D
. .
H
UDV
. .
H
VA
= (DA)
DA, (5.5)
where (DA)
DAis a diagonal matrix. Thus, in this transmission mode ZF is optimal

(orthogonal transmission). An equivalent reception method decodes the received
signal with the matrix U
so we arrive at the signal

z = U
y = U
HVAs + U
n. (5.6)
Using the expression the SVD and the fact that U is unitary, Eq. (5.6) turns to
z = DAs + n, (5.7)
where DA is a diagonal matrix.
5.2 Implications of Closed Loop MIMO
Equation (5.7) for the decoded signal z leads to the following important implications.
The MIMO link is transformed into K parallel SISO links. This means
that ZF decoding is optimal, and receiver complexity is signicantly
reduced.
No noise amplication occurs since U is a unitary matrix that does not
introduce gain. This is in contrast to the noise amplication in ZF due
to the multiplication with the pseudo-inverse of H.
The singular values on the diagonal of D may signicantly dier in
magnitude, so (unless compensated by A, and usually A does not
compensate for this eect, as discussed in the sequel) we have streams
with dierent SNR. The pdf of the singular values in an uncorrelated
4 4 Rayleigh channels matrix is given in Fig. 5.1.
Figure 5.1: The singular values pdf in an uncorrelated 44 Rayleigh channels
matrix.
The matrix A determines the number K min(M, N) of spatial
streams transmitted according to the number of nonzero entries on
its diagonal. In particular, when A is set to
A =
_
_
1 0 . . . 0
0 0
.
.
.
.
.
.
0 0
_
_
, (5.8)
the transmission is reduced to single stream transmit beamforming dis-
cussed in Chapter 3.
The diversity order in the various streams is also dierent (as well as
the array gain). In fact recent results show that the diversity order
of the kth stream (k = 0 . . . , K 1) is (M k)(N k) [30]. This
means that in the M M case, while the rst stream enjoys diversity
order of M
2
, the last experiences diversity order one (this asymmetry
is dicult to balance).
We note that we do not have a complete solution yet, since the matrix A has not
been determined. The intuition of some would lead them to the conclusion that A
should be proportional to D
1
, so that DA in (5.7) renders a scaled identity matrix
leading to parallel streams with equal SNR.
In order to investigate this issue an optimality criterion for the case of multiple
streams is required. Moreover, it is obvious that the maximal SNR criterion we used
this far does not suce for this matter. For this case, the sum capacity criterion [17]
a = argmax
a
2
=1
log (1 + SNR of stream i)

= argmax
a
2
=1
log
_
1 + a
2
i
d
2
i
2
_
, (5.9)
is more suitable. In the case of two stream the optimization problem (5.9) has an
analytical solution and the optimal value of the power allocated to the rst stream, a
2
1
,
is given in Fig. 5.2. Several SNRs of the two streams (corresponding to
d
2
i
2
, i = 1, 2)
are considered.
Figure 5.2: The optimal power allocation in the sense of sum capacity.
The gure shows that the stream featuring higher SNR is allocated with more
(or all) power, and as the SNR increases the allocation is more equal. Thus, in the
sense of sum capacity the intuition pointing at allocating more power to the weaker
streams is misleading.
42
Chapter 6
Space Division Multiple Access
6.1 System Model and Basic Solution
Space division multiple access (SDMA) is a technique very similar to CL MIMO,
since in both techniques, multiple beamformed streams are transmitted concurrently,
and perfect channel knowledge at the transmitter is assumed. The dierence between
the two techniques lies in the fact that in SDMA the Rx antennas belong to dierent
receivers/users. To simplify matters, we assume that every receiver is endowed with
a single Rx antenna. An SDMA conguration is given in Fig. 6.1.
The model for the received signals in an SDMA system with M transmit antennas
and N M receive antennas is
_
_
y
0
.
.
.
y
N1
_
_
. .
y
= HW
_
_
s
0
.
.
.
s
N1
_
_
. .
s
+ n, (6.1)
where y
i
is the signal received at the antenna of the ith user, and s
i
is the information
signal transmitted to the ith user. The main dierence between CL MIMO and
SDMA is now evident. In CL MIMO, the Rx antennas belong to a single receiver, and
it uses all of them to reconstruct the multiple information streams (the ith stream
is decoded with u
i
y). In SDMA the situation is dierent and each receiver uses its
6. Space Division Multiple Access 43
Figure 6.1: SDMA Conguration in which each receiver is endows with a
single Rx antenna.
single antenna to reconstruct the single information stream addressing it. Thus, in
SDMA, the precoding matrix W has to be devised such that HW is diagonal or
nearly diagonal. Otherwise, multi-user interference (MUI) is introduced.
Assuming that the SNR is high and MUI is the main concern, the beamforming
matrix W should satisfy
HW = D, (6.2)
where D is a diagonal matrix, and is a scaling factor. The precoding matrix should
also meet the unity power constraint
E|Ws|
2
= 1 |W|
F
= 1. (6.3)
Thus, a straight-forward solution meeting both requirements is the ZF beamformer
W =
H
+
D
|H
+
D|
F
. (6.4)
The physical interpretation of SDMA is the following. For the ith receiver,
SDMA uses w
i
to create a beam that amplies s
i
at the direction of that receiver,
and attenuates s
i
at the directions of all other N 1 receivers (spatial nulls). This
interpretation is given in Fig. 6.2. The equation for the SDMA beamforming matrix
(6.4) also implies that an array of M Tx antennas can create up to M 1 nulls.
Figure 6.2: The beams shape in SDMA is such that the beam for the nth
UT nulls out at the directions of all other users.
The matrix D which actually determines the power allocation to each stream
is determined according to the multi-user transmission strategy. If the strategy is
to maximize the sum capacity, the entries of D will be determined by a procedure
similar to (5.9). Note that the SNR of ith stream (when each stream is allocated
with identical power) is proportional to
1
|q
i
|
2
where Q = H
+
.
6.2 More Advanced Solutions and Considerations
In the common case, the SDMA transmitter is a base station (BS). The BS endowed
with M antennas communicates with N
u
user terminals (UTs). Usually, N
u
>> M,
so the BS cannot transmit simultaneously in an SDMA fashion to all UTs. Thus,
when SDMA transmission is employed, the BS needs to divide the UTs into sets of
up to N M users, to which it will transmit simultaneously.
A natural algorithm to divide UTs into sets would be the grouping of UTs with
orthogonal channel vectors into the same set. In this case, MRT may be applied to
each UT independently, and no MUI is introduced. In this case, MRT would also be
the optimal solution. Obviously, in real scenarios perfect orthogonality is not to be
found, so sets with minimal correlation are desirable.
In the previous section, we assumed that the SNR is high and MUI is the main
concern. However, SDMA is also applied in medium and low SNR, so another criterion
such as maximal signal to noise and interference ratio (SINR) should replace the zero
MUI criterion we adopted [10, 22].
Another extension of the ideas demonstrated above is the application of SDMA
to the case where each receiver is endowed with multiple receive antennas [23, 29]. In
this case, the received signal takes the form
_
_
y
0
.
.
.
y
N1
_
_
. .
y
= HW
_
_
s
0
.
.
.
s
N1
_
_
. .
s
+ n, (6.5)
where y
i
= [y
i,0
, . . . , y
i,N
i
1
]
T
is the signal vector arriving at the N
i
antennas of the
i th UT, and s
i
= [s
i,0
, . . . , s
i,N
i
1
]
T
is the information vector addressing the i-
th UT. Assuming that M

i
N
i
, it is possible to transmit up to N
i
information
streams to the ith UT in an SDMA fashion. This means up to
i
N
i
concurrent
information stream to all UTs. In this case, the zero MUI approach requires that
HW is not diagonal, but block diagonal.
HW =
_
_
[B
0
] 0 . . . 0
0 [B
1
]
.
.
.
.
.
.
0 [B
N
i
1
]
_
_
. (6.6)
This approach leads to superior performance over the case of
i
N
i
UTs with a single
Rx antenna.
The main problem with all of the approaches discussed above is the sensitivity of
the scheme to channel state information. In fact, when the channel state information
is not perfect (and this is always the case in practical systems), the near zero MUI
approach fails. The LTE and 802.16m standards are considering a dierent SDMA
concept, in which each UT is equipped with N
e
> 1 antennas, and K N
e
streams are
transmitted concurrently (say one for each UT). This way each UT performs regular
SM processing and disregards the streams addressing other UTs. In this approach
precoding is optional, but obviously leads to superior performance.
47
Chapter 7
Receive Beamforming Techniques
7.1 Basic Principles
In this chapter we present overview of most prominent receive beamforming tech-
niques applicable for OFDMA-MIMO communication systems.
Consider wireless communication system, where transmitter is endowed with a
single transmit antenna while the receiver has M > 1 receiver antennas. In this
mathematical model of the received signal y = (y
1
, . . . , y
M
)
T
reads:
y = hs +v, (7.1)
where h is M 1 channel vector, s denotes the transmitted information symbol with
unity power and v stands for the noise plus interference vector. We assume that v is
gaussian vector zero mean and known covariance matrix C (not necessarily diagonal).
Suppose also that the channel vector is known to the receiver. Our objective is to
obtain ML estimator of the transmitted symbol s.
Note that compared to the SIMO model discussed earlier, the components of the
noise plus interference vector are correlated which leads to the following expression
for the ML estimator:
7. Receive Beamforming Techniques 48
s = argmin
sQAM
_
(y hs)
C
1
(y hs)
_
. (7.2)
As C
1
is symmetric matrix, it can be represented as C
1
= Q
Q that implies that

the functional in Eq. (7.2) may be rewritten as
s = argmin
sQAM
(y hs)
Q(y hs) (7.3)

= argmin
sQAM
|Q(y hs)|
2
= argmin
sQAM
|( y

hs)|
2
, (7.4)
where y = Qy and

h = Qh. Looking closely at the last expression, one realizes
that the minimization problem to be solved here coincides with the one for the SIMO
system with uncorrelated noise. It means the solution of the problem can be obtained
by the classical MRC scheme, namely:
s =
h
C
1
y
h
C
1
h
. (7.5)
The last equation actually determines an optimal beamforming vector (=spatial
lter) w
Opt
has the following form:
w
Opt
=
h
C
1
h
C
1
h
(7.6)
This solution is generally referred to as Minimum Variance Distortionless Re-
sponse (MVDR) beamformer. Generally the main objective of the beamforming is to
suppress the noise plus interference component of the received signal while enhancing
the reception of the signal from the desired direction. In fact the optimal beamformer
(7.6) maximizes the post-processing CINR (ppCINR) subject to a distortionless re-
sponse towards h:
w
h = 1. (7.7)
If the MVDR beamformer is applied by the receiver, it yields the following ppCINR:
ppCINR
opt
= ppCINR
opt
= h
C
1
h (7.8)
It is evident that any weight vector dierent from zero and proportional to h
C
1
will achieve the same ppCINR.
7.2 Receive Beamforming Insight
In this subsection we provide some insight behind the receive beamforming (Rx BF)
technique presented in the previous section. Suppose that there is a single source of
interference. In this case the received signal may be represented as:
y = hs +gs
i
+n, (7.9)
where the transmitted signal and the channel are dened by (7.1), n is gaussian
vector with zero mean and covariance matrix
2
I. s
i
is a signal transmitted by the
interference source and g denotes the channel it undergoes. We assume that s
i
is a
standard normal variable and g is a known vector. In this case the joint covariance
matrix of the noise and interference is given by C = gg
+
2
I. Chas N1 eigenvalues
equal
2
and the remaining one equal to |g|
2
+
2
. It can be shown that Singular
Value Decomposition (SVD) of C has the following form:
C = [g, G]
_
_
|g|
2
+
2
0 0 . . . 0
0
2
0 . . . 0
0 0
2
. . . 0
... ... .... ... ...
0 0 . . . 0
2
_
_
[g, G]
, (7.10)
where G spans a null space N
g
= n
g
C :< n
g
, g >= 0.
In case of high interference-to-noise ratio(INR), i.e.
g
2
2
1 the matrix C
1
tends to
1
2
GG
.
This means that factoring the measurements by Q =
C
1
(obtained from the
SVD of C) and then performing the ML detection is equivalent to projecting of the
received signal onto the null space of the interference followed by MRC decoding. The
above procedure can be also viewed as whitening the interference plus noise together
and then performing standard MRC detection.
The above discussion can be extended to the scenarios with more interferers. One
of the conclusions is that for the scenarios with R sources of interference at least
M R + 1 Rx antennas is required for full interference suppression. The main idea
is to construct the beamforming vector which will create spatial nulls in the direction
of interference. In other words, the beamformer should belong to the null space of
the interference. Note also that the diversity order in this case is M R (decrease
by R due to the beamforming procedure).
7.3 Rx BF Based on Total Spatial Correlation Ma-
trix
If the spatial correlation matrix of the noise plus interference is not available, the
total spatial correlation matrix R = E(yy
) of the received signal can be used for the

beamformer construction. Let w
tot
be the beamformer obtained using the matrix R:
w
tot
=
h
R
1
h
R
1
h
. (7.11)
Next we show that w
tot
equals to the optimal beamformer:
w
tot
= w
Opt
. (7.12)
First we observe that
R = hh
+C. (7.13)
Next it follows that
w
tot
=
h
(hh
+C)
1
h
R
1
h
(7.14)
To continue we need the matrix inversion lemma (simplied form). It states that
(A+ buv
)
1
= A
1
b
1 + bv
A
1
u
A
1
uv
A
1
. (7.15)
where A is a matrix, u and v are row vectors and b is a scalar. Applying matrix
inversion lemma to (7.11) and after making some simple algebra we derive:
w
tot
= h
_
C
1
C
1
hh
C
1
1 +h
C
1
h
_
1
h
R
1
h
=
h
C
1
h
R
1
h
_
I
h
C
1
h
1 +h
C
1
h
_
=
h
C
1
h
C
1
h
h
C
1
h
_
1
h
R
1
h
_
I
h
C
1
h
1 +h
C
1
h
__
(7.16)
Combining (7.16) with (7.6), we get
w
tot
= w
Opt
_
h
C
1
h
h
R
1
h
_
I
h
C
1
h
1 +h
C
1
h
__
= w
Opt
_
h
C
1
h
h
R
1
h
_
1
1 +h
C
1
h
__
(7.17)
We apply again the matrix inversion lemma to the above expression to obtain:
h
R
1
h = h
_
C
1
C
1
hh
C
1
1 +h
C
1
h
_
h
= h
C
1
h
(h
C
1
h)
2
1 +h
C
1
h
=
h
C
1
h
1 +h
C
1
h
.
(7.18)
Finally substituting (7.18) into (7.17) proves (7.12).
7.4 Finite Sample Size Beamforming
In previous sections we assumed that the receiver is aware of the spatial correlation
matrices of the channels of the user and the interference as well. However, in practice,
these quantities are not known for the receiver and it has to estimate them to construct
the beamforming vector. This process is called Finite Sample Size Beamforming
(FSSB).
Suppose that we have N measurements of the received signal. Denote by y
n
, n =
1, . . . , N the M 1 vector corresponding to the n-th measurement and denote by Y
the M N matrix that contains measurement vector y
n
in the n-th column:
Y = (y
1
, . . . , y
N
) (7.19)
As the information regarding spatial channel corresponding to the signal of in-
terest is not available to the receiver, the known training sequence (pilots) may be
transmitted to enable channel estimation at the receiver. Suppose that the training
sequence p
i
, i = 1, ..., N
p
, where P < N was transmitted. Note that the environment
(spatial signatures) is assumed to be static over the transmission interval. The most
natural way to estimate the channel from the desired direction is to perform derota-
tion (multiply by
p
i
||p
i
||
2
) of the measurements corresponding to the pilot subcarriers
and followed by simple averaging:
h
N
=
1
N
Np
i=1
p
i
[[p
i
[[
2
y
i
(7.20)
We continue with the estimation of the spatial correlation matrix of the noise plus
interference. The most natural way to do it is to use the so-called sample spatial
correlation matrix

R
N
:
R
N
=
1
N
YY
=
1
N
N
i=1
y
i
y
i
. (7.21)
Then the optimal nite sample size (FSS) beamformer has the following form:
w
FSS
opt
=
R
1
N
h
N
R
1
N
h
N
(7.22)
It is noteworthy that this direct inversion of the sample correlation matrix required for
the implementation of the MVDR beamformer is usually referred to as the Sample
Matrix Inversion (SMI) technique, and it is only implementable if the number of
measurements is higher than or equal to the number of Rx antennas (N M);
otherwise the sample correlation matrix is not invertible.
It can be proved that the estimated covariance matrix

R
N
converges to covariance
matrix R and the estimated channel

h
N
converges the channel corresponding to the
desired signal, when the number of pilots goes to innity (according to the strong law
of large numbers). The last observation proves the following relationship:
lim
N
w
FSS
opt
= w
MMSE
= w
Opt
. (7.23)
The performance of the SMI technique was rst analyzed in [15] and [5] under the
assumption that the signal of interest was not present in the observations. It was early
recognized that the performance of the SMI technique is severely aected when the
signal of interest is present in the observed data (see [26]). The main reason is that
sample correlation matrix contains a polluted version of the useful spatial signature,
which does not completely match the true one h. As a consequence, the beamformer
treats the desired signal as another interference source, and tries to null it out instead
of enhancing it.
54
Part II
Practical OFDM-MIMO
55
Chapter 8
MIMO Channel Modeling
In previous chapters we assumed that each entry of the channels matrix H was a
single RV, independent of the frequency axis. This corresponds to the assumption
of at fading. In this chapter we describe channel models that are more suitable for
wireless propagation.
8.1 Path Loss and Shadowing
The propagation eects are usually divided into three distinct types of models as
illustrated in Fig. 8.1 . These are mean path loss, slow variation about the mean due
to shadowing and scattering, and the rapid variation in the signal due to multipath
eects. The rst two, which are also known as large scale fading, are usually consid-
ered frequency independent (about the carrier), while the last, known as small scale
fading, is frequency dependent.
The path loss L describes the mean attenuation in the radio channel primarily
due to physical separation between the transmitter and receiver. The free space path
loss, which lower bounds any practical path loss, is given by
FSPL(dB) = 20 log
10
(R) + 20 log
10
(f) + 32.5, (8.1)
where R is the transmitter-receiver separation (km) and f is the carrier frequency
8. MIMO Channel Modeling 56
Figure 8.1: Propagation eects.
(MHz).
However, the free space path loss is not suitable for real life scenarios, so path loss
models are usually based on empirical evidence (measurement campaigns in dierent
physical scenarios) and are mostly described by a few physical parameters. For in-
stance the ITU-R [1] adopts the following model for the outdoor to indoor and the
pedestrian environments
L(dB) = 40 log
10
R + 30 log
10
f + 49, (8.2)
where f is the carrier frequency (MHz) in the vicinity of 2000MHz. Note that this
model is usually not valid for other scenarios (e.g vehicular), or other frequency bands
(e.g. 5.8GHz).
Obstacles between the transmitter and receiver also attenuate the signal. The
randomness of the environment is captured by modeling the density of obstacles and
their absorption behavior as random numbers. The overall phenomenon is known as
shadowing. The eect of showing is usually slow (seconds to minutes). For instance,
The ITU-R augments the path loss model (8.2) with a log-normally distributed ran-
dom variable with standard deviation of 10dB.
The large scale fading components given above do not include the important
impact of multipath (small scale fading) which is considered in the next sections.
8.2 Static Frequency Selective Channels
In wireless communications, the transmitter modulates a base-band complex valued
signal s(t) with a high frequency carrier f
c
, such that the transmitted signal is
s(t) = 1s(t) exp [j2f
c
t] . (8.3)
In the case of perfect line-of-sight (LOS) between the transmitter and receiver, the
noiseless version of the signal arriving at the receiver y(t), is simply a scaled delayed
version of s(t), reading
y(t) = a s(t ), (8.4)
where a is the real attenuation factor and is the delay. However, when perfect LOS
does not exist, the transmitted signal is reected from numerous scatterers creating
multiple paths of propagation to the receiver (the multipath phenomenon). Each
path results in a dierent attenuation a
i
and a dierent delay
i
(due to a dierent
length). This scenario, known as non line-of-sight (NLOS) is depicted in Fig. 8.2.
When multipath is present, the received signal is a superposition of the contribu-
tions of the K dierent paths
y(t) =
K1
i=0
a
i
s(t
i
). (8.5)
Figure 8.2: A multipath scenario.
Using (8.3) and the fact that a
i
are real valued, the received signal may be rewritten
as
y(t) =
K1
i=0
a
i
1s(t
i
) exp [j2f
c
(t
i
)]
= 1
_
K1
i=0
a
i
exp [j2f
c
(t
i
)] s(t
i
)
_
= 1
_
exp [j2f
c
t]
K1
i=0
a
i
exp [j2f
c
i
] s(t
i
)
_
, (8.6)
which means that the received base band signal y(t) is
y(t) =
K1
i=0
a
i
exp [j2f
c
i
] s(t
i
), (8.7)
and the base band channel h() takes the form
h() =
K1
i=0
a
i
(
i
), (8.8)
where a
i
= a
i
exp [j2f
c
i
] is the complex valued gain of the ith path.
In many physical scenarios, each path is composed of numerous sub-paths with
similar (but not identical) delay. Thus, the central limit theorem suggests that a
i
may be modeled as complex Gaussian RVs. This implies that a stochastic channel
model may be dened by the number of paths K, the delays
i
of the paths, and the
variance
2
i
= E[a
i
[
2
of the paths gain. Moreover, it is usually assumed that the
paths gains are independent and have zero mean (the last assumption is respective to
NLOS scenarios
1
). Note that a channel with impulse response of the form (8.8), has
a frequency response H(f) that may signicantly vary in frequency, so such channels
are dubbed frequency selective. An example for the frequency response of a frequency
selective channel is given in Fig. 8.3
Figure 8.3: An example for the frequency response of a selective fading chan-
nel.
For frequency selective channels we dene the root-mean-square (RMS) delay
spread
which is the standard deviation (or RMS) value of the delay of reections,
weighted proportionally to the energy in the reected waves
=
_
2
, (8.9)
1
In LOS scenarios we usually assume non-zero mean (respective to the pure LOS com-
ponent) for some of the paths. The ratio between the power of the LOS component and
the multipath component is the Racian K-Factor.
where
=
K1
i=0
2
i
i
K1
i=0
2
i
;
2
=
K1
i=0
2
i
2
i
K1
i=0
2
i
. (8.10)
An important measure for the selectivity of the channel is coherence bandwidth B
c
.
The coherence bandwidth is dened as the frequency interval over which the chan-
nel magnitude is highly correlated. A common method of dening the coherence
bandwidth is by setting the correlation to 0.5 which gives
B
c
=
1
2
. (8.11)
The fact that B
c
is inversely proportional to
arises from Fourier theory.

8.3 Dynamic Frequency Selective Channels
Equipped with the basic principles of static frequency selective channels, we turn
to channels that vary in time. We denote the impulse response of a time varying
channel by h(; t) to allow the impulse response to be time dependent. Thus, the
impulse response may be written as
h(; t) =
K1
i=0
a
i
(t)[
i
(t)], (8.12)
where both the paths gains and delays may vary in time. However, in most wireless
channels, the delays change much slower than the gains, so they are assumed constant
in time. Thus, following this assumption, (8.12) reduces to
h(; t) =
K1
i=0
a
i
(t)(
i
). (8.13)
This means that here, the gain of each path is no longer a Gaussian RV, but a
stochastic Gaussian process. The power spectral density (PSD) of the process, that
determines its temporal characteristics, depends strongly on the scenario.
In wireless communications, the channel usually changes in time due to the Doppler
eect, when either the transmitter, receiver, or scatterers are in motion. The motion
results in a Doppler spread, i.e., a pure tone (frequency f
c
) spreads over a nite
spectral band [f
c
f
m
, f
c
+ f
m
], where f
m
is the maximal Doppler shift
f
m
=
v
=
vf
c
C
, (8.14)
the parameter v is the velocity of motion, is the wavelength, and C is the speed of
light.
In this case, we dene the Doppler PSD which is the PSD of the channel response
to a single tone. In the case of uniformly distributed scatterers, the Doppler PSD
has the classical U-shaped form
2
given in Fig. 8.4, and is approximated by the Jakes
model [11], which in base band gives
S(f) =
_
_
P
1
_
f
f
m
_
2
[f[ < f
m
0 otherwise,
(8.15)
where P is a positive scalar determining the variance of the process. A measure for
the time selectivity of a channel is the coherence time T
c
. The coherence time is
dened as the time interval over which the channel is highly correlated. Setting the
correlation to 0.5, gives
T
c
=
9
16f
m
1
5f
m
. (8.16)
This means that wireless mobile channel may be dened with the number of
paths K, the paths delays
i
, the paths average power
2
i
, the paths PSD type,
2
Note that constant frequency shift in direction translates to h(; t) =
() exp(2jf
m
t cos ) so the autocorrelation function given is exp(2jf
m
t cos ).
This way the unconditioned autocorrelation leads to a zero order Bessel function of the
form
_
2
0
exp(jxsin )d, with U shaped Fourier transform.
Figure 8.4: The classical Doppler PSD
and the maximal Doppler frequency f
m
(implied from the carrier frequency f
c
and
the velocity). An example for a table of parameters dening a benchmark mobile
channel, taken from [1] is given in Fig. 8.5
Simulating Mobile Channels
The simulation of mobile channels consists of the generation of the independent
stochastic processes a
i
(t) for the dierent paths. Bearing in mind that each pro-
cess is Gaussian with known variance and normalized PSD, the process a
i
(t) may
be generated by passing a complex white Gaussian sequence w
i
(t) through the lter
G(f) =
_
S(f). The output of the lter is a stochastic process with PSD equal
to [G(f)[
2
= S(f). The output of the lter is then multiplied by
i
to adjust the
variance. The procedure of creating the stochastic processes a
i
(t) is depicted in Fig.
8.6.
Figure 8.5: An example for mobile channel parameters [1].
8.4 Extension to the MIMO Case
In MIMO there are MN physical channels. If these channels are independent, then
each of them may be viewed as a SISO channel depicted in the previous section.
Moreover, it is usually assumed that the channels are identically distributed, so the
procedure in Fig. 8.6 should simply be performed for each channel independently.
However, in many cases, MIMO channels are assumed identically distributed but
correlated.
We begin by stating that the cross correlation between MN channels is dened
by an MN MN matrix R. This way it is possible to dene dierent correlation
values between dierent pairs of channels. Another common extension of this idea
is assigning a dierent correlation matrix to each path. The physical incentive mo-
tivating this approach is that usually the shorter paths, which are near LOS, are
more correlative than longer paths that are assumed to encounter multiple scatterers.
In this approach the MIMO channel is dened with R
0
, . . . , R
K1
, where R
i
is the
Figure 8.6: A procedure for creating a dynamic channel.
MN MN correlation matrix associated with the ith path.
Assuming we have the per path correlation matrices, the question that needs to be
answered is how to create correlated stochastic processes that correspond to the paths
gains. We argue that correlated processes may be created by linear transformation
over independent processes. To illustrate this we assume x is a vector of i.i.d Gaussian
RVs, such that
Exx
= I, (8.17)
Note that the covariance of the product Cx is
E(Cx)(Cx)
= CC
. (8.18)
This means that if we want to create a vector with covariance R we simply need to
nd a matrix C such that CC
= R. The matrix C may be easily found using the

SVD of R, which for symmetric matrices takes the form
R = V DV
=
_
V
D
__
V
D
_
, (8.19)
where
D is the per element square root of D. Thus, it is readily seen that C =

V
D.
Simulating MIMO Channels
The simulation of mobile MIMO channels may be achieved by the generation of MN
SISO channels and the introduction of correlation between their paths processes via
linear manipulations. To set ideas straight, we consider the 2 2 dynamic MIMO
channel
H(; t) =
_
h
0
(, t) h
1
(, t)
h
2
(, t) h
3
(, t)
_
, (8.20)
where each entry is a SISO channel satisfying
h
m
(, t) =
K1
i=0
b
m,i
(t)(
i
), (8.21)
where b
m,i
(t) is the process of the ith path in the mth channel. We focus on
the 4 processes b
0
(t) = [b
0,0
(t), . . . , b
3,0
(t)]
T
corresponding to the rst path. These
processes satisfy
Eb
0
(t)b
0
(t) = R
0
. (8.22)
Thus, the processes are generated by the product
_
_
b
0,0
(t)
b
1,0
(t)
b
2,0
(t)
b
3,0
(t)
_
_
= C
0
_
_
a
0,0
(t)
a
1,0
(t)
a
2,0
(t)
a
3,0
(t)
_
_
(8.23)
where C
0
satises C
0
C
0
= R
0
, and a
0,0
(t), . . . , a
3,0
(t) are the gain processes of the
rst path generated by the 4 independent SISO channel generators depicted in Fig.
8.6.
66
Chapter 9
OFDM Basics
9.1 The Basic Concept
In the previous chapter we discussed wireless channels that are selective both in
frequency and time. In this chapter we present orthogonal frequency division multi-
plexing (OFDM) which is a technology devised to mitigate such channels. OFDM is a
multi-carrier technique, in which a single high data rate stream is transmitted across
a large number of lower data rate subcarriers. One of the main reasons to use OFDM
is its ability to eectively deal with frequency selective channels or a narrow-band
interference.
Classical multi-carrier techniques divide the available bandwidth into a set of
non-overlapping, equally spaced subcarriers, onto which the modulated data is then
multiplexed. The spacing between subcarriers would be chosen so as to eliminate
the inter-channel interference; guard bands between subcarriers could be used as
an example. These techniques, however, do not use the available bandwidth very
eciently. A more ecient technique would create an overlap between the used
subcarriers without increasing the inter-channel interference, which implies creating
orthogonality between the subcarriers.
Let us design such an orthogonal multi-carrier technique. We begin by choosing
9. OFDM Basics 67
Figure 9.1: The pulse and the frequency shifted pulse in the frequency
domain.
a rectangular pulse g(t) that is time-limited to the interval [0, T]
g(t) =
_
1 0 t T
0 otherwise,
(9.1)
with frequency response G(f). Obviously G(f) will take the form of a sinc() function
with the rst null at 1/T as depicted in Fig. 9.1. We can devise a simple single carrier
transmission scheme using the base band signal
s(t) =
m
a
m
g(t mT), (9.2)
where a
m
is a series of information bearing QAM symbols. Thus, for T = 100s and
QPSK modulation, we transmit 2 10, 000 bits per second. We note that if we have
a second carrier that has a frequency exactly f
k
= k/T higher than the rst, and
modulate it with the same symbol rate, it turns out that both signals are orthogonal,
as depicted in Fig. 9.1. To illustrate this we shift the frequency response G(f) by
k/T
G
k
(f) = G(f k/T), (9.3)
9. OFDM Basics 68
which implies that in the time domain pulse g
k
(t) satises
g
k
(t) = exp
_
j
2kt
T
_
g(t). (9.4)
This means that g
k
(t) has the same support as g(t), and they are orthogonal as given
by
_
T
0
g(t)g
k
(t) dt =
_
T
0
g(t)g
(t) exp
_
j
2kt
T
_
dt
=
_
T
0
exp
_
j
2kt
T
_
dt = 0. (9.5)
The orthogonality in the frequency domain is evident about the peaks of the sinc()
functions. Using this approach we can simultaneously transmit over N carriers spaced
exactly 1/T away from each other and achieve very high spectral eciency. The
problem with the simple-minded approach is that it takes lots of local oscillators,
each locked to the others, such that frequencies at exact multiples are attained. This
dicult and expensive scheme is given in Fig. 9.2.
Figure 9.2: Simple multicarrier scheme.
The above mentioned multicarrier approach may be realized eciently by means
of digital signal processing (DSP). Concentrating on the rst symbol in the interval
9. OFDM Basics 69
[0, T], time domain multicarrier symbol takes the form
s(t) =
N1
k=0
a
k
g
k
(t)
=
N1
k=0
a
k
exp
_
j
2kt
T
_
g(t)
=
N1
k=0
a
k
exp
_
j
2kt
T
_
, (9.6)
where a
k
is the QAM symbol to be sent on the kth subcarrier. We further note
that sampling s(t) with period T/N leads to
s
n
= s
_
n
T
N
_
=
N1
k=0
a
k
exp
_
j
2kn
N
_
, (9.7)
which is simply the inverse fast Fourier transform (IFFT) of the sequence a
k
, k =
0, . . . , N 1. OFDM takes exactly this approach. In OFDM, N QAM symbols
are transmitted simultaneously over N subcarriers in an orthogonal manner. The
transmitted OFDM symbol in the time domain is constructed by applying IFFT to
the sequence of QAM symbols followed by digital to analog converter (DAC). At the
receiver, the received signal in the time domain is sampled, and divided into blocks
of length N, such that each block corresponds to a single OFDM symbol. Then the
samples undergo an FFT operation. The structure of the transmitter and receiver is
given in Fig. 9.3. A two dimensional plot of the OFDM signal is given in Fig. 9.4. The
gure shows that all subcarriers are orthogonal. Although there is an overlap between
subcarriers, when the sampling point is chosen to be the peak of each subcarrier, then
all other subcarriers give no contribution at that point.
The special structure of the OFDM symbol in the frequency domain, transforms
the frequency selective channel into multiple at fading channels. This is since in
principle, the transmitted signal S(f) in the frequency domain, is multiplied with the
9. OFDM Basics 70
Figure 9.3: Simplied OFDM transceiver structure.
channel H(f)
1
so the received signal Y (f) satises
Y (f) = S(f)H(f). (9.8)
In particular, at the subcarrier frequencies f = k
1
T
= kf
sc
, the received signal
b
k
= Y (kf
sc
) is
b
k
= S(kf
sc
)H(kf
sc
)
= a
k
H(kf
sc
). (9.9)
Thus, it is evident that every QAM symbol a
k
is multiplied with a complex valued
number H(kf
sc
), which is the frequency response of the channel at the frequency
of the subcarrier on which a
k
is modulated. This means that on a subcarrier level,
OFDM may be viewed as a at fading system and the analysis of Chapter 1 is valid.
1
We will address this issue in more detail in Section 9.3
9. OFDM Basics 71
Figure 9.4: Two dimensional plot of the OFDM signal.
9.2 Pilots and Channel Estimation
As a result of the last section, equalization in OFDM is rather easy. The equalizer
only has to compensate for a simple constant complex number. Some of the used
subcarriers could be used for transmitting known pilots, which will be used for chan-
nel estimation. The estimated channel, in turn, is used as the equalizer gain and
phase values. Fig. 9.5 shows an OFDM symbol in the frequency domain, which
has undergone frequency selective fading. It is easy to see that using only few pi-
lots, spread across the frequency axis, the entire frequency selective channel could be
approximated (using linear interpolation, for example).
The pilots are spread in a two-dimensional array, both along the frequency and
time axes. The density of pilots in each dimension should be set so as to be able
to track the channel changes. Specically, when the delay spread of the channel
is large, implying small coherence bandwidth, the number of the pilots along the
frequency axis should be high enough to track the channel. In a similar way, when
9. OFDM Basics 72
Figure 9.5: An OFDM symbol in the frequency domain, aected by a selec-
tive fading channel.
the coherence time is small, denser pilots in the time domain are needed. An example
of two dimensional pilots grid, with 3 subcarriers separation along the frequency axis
and 4 symbols separation along the time axis is given in Fig. 9.6.
9.3 Guards in Time and Frequency
In OFDM there are two guards - the guard band (GB) and the guard interval (GI).
The GBs are two frequency bands at the left most and right most parts of the occupied
bandwidth. In these bands the subcarriers are set to zero, in order to ensure that the
out-of-band emission is small enough to prevent interference to neighboring frequency
bands. The GBs force the sinc() functions to decay to such an extent that the out-
of-band emission requirements (usually about -40dB) are met. The size of the bands
is usually 10% of the subcarriers on each side. An OFDM symbol endowed with GBs
is given in Fig. 9.7.
9. OFDM Basics 73
Figure 9.6: An example of a two dimensional pilots grid.
The GI is a temporal guard that is applied to eliminate inter symbol interference
(ISI). When an OFDM symbol with duration T propagates through a multipath
channel with maximal delay spread of
max
, the duration of the symbol at the output
of the channel is increased to T +
max
(a basic property of convolution). Thus, if this
eect is not accounted for, the symbols at the output of the channel overlap and ISI is
introduced. At rst glance, it seems that a trivial solution to this problem would be
the insertion of a quiet GI (in which no transmission is made) between consecutive
symbols. As long as the length of the GI is larger than the maximal delay spread, no
ISI is introduced.
In OFDM, instead of inserting a quiet GI, the GI contains a cyclic extension
of the OFDM symbol, also known as cyclic prex (CP). This means that if the GIs
duration is 1/8 of the symbol duration, then the last 1/8 portion of the symbol is
copied into the GI. At the receiver, the GI is removed prior to the FFT operation.
The process of GI insertion and removal is depicted in Fig. 9.8, and the correspond-
ing transceiver structure is given in 9.9. The CP ensures that the OFDM symbol is
9. OFDM Basics 74
Figure 9.7: An OFDM symbol with guard bands.
cyclicly convolved with the impulse response of the channel, maintaining orthogonal-
ity between subcarriers and making sure that for suciently long CP (longer than
the delay spread of the channel) Eq. (9.9) holds.
9.4 The Eects of Time and Frequency Osets
The eect of uncompensated frequency oset in an OFDM receiver is simple and
dramatic. As noted above, the orthogonality of the OFDM subcarriers relies on ac-
curately sampling the frequency domain exactly at the subcarriers frequencies. Thus,
since frequency oset f actually means that the reference points in the frequency
domain are shifted, the receiver samples the frequency domain away from the optimal
sampling points. The shifted sampling points are kf
sc
+f, so the orthogonality of
the subcarriers is compromised. Usually, the receiver would tolerate frequency oset
of no more than a few percents of the subcarrier spacing f
sc
.
The CP converts timing osets, due to synchronization errors, to cyclic shifts of
the symbol in the time domain (actually, this is true only in one direction). Thus,
9. OFDM Basics 75
Figure 9.8: The GI insertion and removal process.
after the FFT operation at the receiver, this shift is transformed into the introduction
of linear phase in the frequency domain. Specically, an oset of n samples in the
time domain, turns the original symbol b
k
in the frequency domain into
b
k
= b
k
exp(j
2nk
N
). (9.10)
Note that using the expression for b
k
(9.9), Eq. (9.10) may be rewritten as
b
k
= a
k
H(kf
sc
) exp(j
2nk
N
)
. .
Heq(kfsc)
, (9.11)
where H
eq
(kf
sc
) is the equivalent channel including the eect of the temporal oset.
Thus, for small enough values of n, temporal shift is transparent to the receiver,
the equivalent channel is estimated at the receiver and compensated for.
9. OFDM Basics 76
Figure 9.9: Transceiver structure with CP insertion and removal.
9.5 The OFDM Parameters Tradeo
We review here some of the primitive OFDM parameters and discuss the related
tradeos. We begin with noting that the sampling frequency f
s
in OFDM is N/T =
Nf
sc
which is approximately the occupied bandwidth (including GBs). Assuming
we set the GI duration xed in terms of the OFDM symbol duration (say 10%), the
question that remains to be answered concerns the number of subcarriers to be used
(the length of the FFT).
The answer to this question reveals the following interesting tradeo. The larger
the value of N (more subcarriers, smaller subcarrier spacing), the larger the duration
of the symbol T = N/f
s
. This means that the GI is longer and the transmission can
mitigate larger delay spreads without ISI. However, this also means that the trans-
mission is more sensitive to frequency shifts, since the subcarrier spacing is smaller.
9. OFDM Basics 77
We further note that the throughput is independent of N. Thus, in actual systems,
the number of subcarriers is determined according to the deployment scenario, taking
both the expected delay spread and frequency shift into account.
9.6 The PAPR Problem
Being a multi-carrier technique, OFDM suers from high peak to average power ratio
(PAPR). The use of a large number of subcarriers creates a highly varying envelope,
and high temporal peaks, due to occasional constructive combining of subcarriers.
Thus, OFDM imposes some dicult requirements on the front end power amplier
(PA), in terms of linearity over a large range. An example of a time domain OFDM
symbol is given in Fig. 9.10. Note the large temporal peak about the sample number
250.
Figure 9.10: An example of a time domain OFDM symbol.
9. OFDM Basics 78
When the temporal peaks exceed the linearity range of the PA, loss of orthogonal-
ity of the subcarriers is introduced, leading to the degradation of bit error rate (BER).
Another eect of the nonlinear amplier is the spectral spreading and out-of-band
interference, aecting adjacent frequency bands. High power eciency is of utmost
importance in mobile radios; however, operating near the saturation point of the PA
will result in the unwanted nonlinear interference and may outweigh the advantages
of the OFDM system. Thus, PAPR reduction is an important issue in OFDM system,
especially on the UT side, where the PA is to remain low in cost. A good survey of
prominent PAPR reduction techniques is given in [24].
79
Chapter 10
OFDMA, WiMAX and SC-FDMA
In the previous chapter we discussed OFDM technology. In this chapter we consider
a generalization of OFDM known as orthogonal frequency division multiple access
(OFDMA) and its incorporation into the IEEE802.16e standard [4] (WiMAX). We
conclude with single carrier frequency division multiplexing (SC-FDMA) which is a
variant of OFDMA adopted for the LTE uplink.
10.1 From OFDM to OFDMA
In most modern communications systems, the link between the BS and the UTs
is bidirectional. The BS transmission towards the UTs is dubbed downlink (DL),
and the UT transmission towards the BS is dubbed uplink (UL). The DL and UL
transmissions must be separated in some domain. In time division duplex (TDD)
the DL and UL are transmitted in the same frequency band, but at dierent time
instances. In frequency division duplex (FDD) the DL and UL are transmitted in
disjoint frequency band.
In TDD OFDM, transmission is often done in sets of symbols known as frames.
The frame is composed of DL symbols (DL subframe) followed by UL symbols (UL
subframe). Each DL symbol may address multiple UTs (in a broadcast fashion), and
10. OFDMA, WiMAX and SC-FDMA 80
each UL symbol is transmitted by a single UT. An example for a TDD OFDM frame
structure is given in Fig. 10.1.
Figure 10.1: TDD OFDM frame structure. In the DL each colored column
represents an OFDM symbol. In the UL each colored column represents an
OFDM symbol transmitted by a dierent UT.
OFDMA may be viewed as a generalization of OFDM, in the sense that in the DL
and UL, allocations are not made of entire symbols. In OFDMA, the allocations are
rectangular in time and frequency. On top of the fact that this approach allows more
exibility in the process of allocating resources to dierent UTs (known as schedul-
ing), OFDMA holds another prominent advantage for distant UTs. In OFDMA,
distant UTs that need more power to arrive at the BS with sucient signal to noise
ratio (SNR), may transmit via allocations that use a small number of subcarriers
spread over a large number of symbols. This way the distant user concentrates all its
energy on a small frequency band, and the BS receives the users transmission with
signicantly enhanced SNR. We emphasize the signicance of this result by the fol-
lowing example. Considering an OFDMA system with FFT size of 1024, and minimal
allocation size of 4 subcarriers (in the frequency domain), the SNR gain following the
OFDMA approach is up to 10 log
10
(1024/4) 24dB! An example for an OFDMA
frame structure with an allocation of a distant UT is given in Fig. 10.2.
1
Figure 10.2: TDD OFDMA frame structure.
10.2 OFDMA Characteristics in the IEEE802.16e
- WiMAX
The TDD OFDMA frame in the IEEE802.16e is similar to that depicted in Fig.
10.2, with the following augmentations. The rst DL symbol is made solely of pilots
(each third subcarrier), modulated with a pseudo random binary sequence (PRBS),
and dubbed the preamble symbol. Each BS transmits its preamble with a distinct
PRBS to facilitate its identication by the UTs. The preamble symbol is depicted in
Fig. 10.3. The high pilots density in the preamble allows initial high quality channel
estimation. In case the coherence time of channel is larger than the frame duration,
1
Note that in some of the IEEE802.16e transmission schemes, the subcarriers are per-
mutated in a pseudo-random fashion to obtain frequency diversity. In these schemes Fig.
10.2 would depict the logical allocations prior to permutation.
this channel estimate may be used throughout the frame (As in the IEEE802.11 -
WiFi). Moreover, the preamble is used for temporal synchronization.
Figure 10.3: The IEEE802.16e preamble symbol.
However, the IEEE802.16e is devised for mobility (mobile WiMAX). Thus, fur-
ther pilots are incorporated within the allocations (that retain mostly data bearing
subcarriers). The density of the pilots in the frequency and time domain should
accommodate the coherence bandwidth and coherence time of typical channels. In
the 802.16e, the DL allocations are composed of clusters (in one of the transmission
modes known as PUSC). A cluster is a small rectangle made of two symbols and
14 subcarriers. Within each cluster 4 subcarriers are pilots. The UL allocations are
composed of tiles. A tile is a small rectangle made of 3 symbols and 4 subcarriers.
Within each tile 4 subcarriers are pilots. The structure of the PUSC DL cluster and
the PUSC UL tile is given in Fig. 10.4.
Similarly to the preamble pilots, the pilots within the DL clusters and UL tiles are
modulated with a PRBS. At the receiver, these pilots are used (among other tasks) to
estimate the channel. Thus, the rst step of channel estimation is the multiplication
of the received pilots with the PRBS. This straightens the pilots and makes sure
any other interference source is whitened.
Figure 10.4: The PUSC DL cluster and UL tile.
10.3 Primitive IEEE802.16e OFDM parameters and
Maximal Performance
In this section we give the typical primitive OFDM parameters in the IEEE802.16e
and the maximal performance derived from them.
Bandwidth, BW=10MHz.
Sampling frequency, F
s
= BW = 10MHz. Actually the sampling fre-
quency is a little higher, but we neglect that here for simplicity.
FFT size, N
FFT
= 1024.
Carrier spacing =
F
s
N
FFT
=
10MHz
1024
= 10KHz.
Number of used subcarriers (without guard band)=840.
Number of DL data subcarriers =840
number of data subcarriers in cluster
total number of subcarriers in cluster
=
840
24
28
= 720.
Number of UL data subcarriers =840
number of data subcarriers in tile
total number of subcarriers in tile
=
840
8
12
= 560.
Useful OFDM symbol duration, T
b
= N
FFT
1
F
s
=
1024
10MHz
= 100s.
CP to useful symbol duration=
1
8
. This means that the GI duration is
T
b
1
8
= 12.5s, and the OFDM symbol duration (with GI)=112.5s.
Frame duration =5ms
Typical number of DL symbols (without preamble) =28.
Typical number of UL symbols =15.
In the IEEE802.16e, as in other practical communications standards, the informa-
tion bits are coded prior to modulation. The possible code rates in the IEEE802.16e
range from
1
12
to
5
6
. Small code rate means robust transmission at the expense of
small throughput (more parity). Some additional IEEE802.16e transmission param-
eters are the following.
DL modulations: QPSK, 16QAM, 64QAM.
UL modulations: QPSK, 16QAM.
DL code rates:
1
12
to
5
6
.
UL code rates:
1
12
to
3
4
.
Thus, for DL transmission with 64QAM modulation and
5
6
code rate (which imply
5 data bits per data subcarrier), the maximal DL throughput is 720 28 5 = 100kb
per frame meaning 100kb 200 = 20Mbs. Similarly, the maximal UL throughput is
obtained with 16QAM modulation and
3
4
code rate, which gives 560153200 = 5Mbs.
10.4 SC-FDMA as a Variant of OFDMA
While the 802.16e adopted OFDMA as its transmission methods for both DL and UL,
the LTE chose SC-FDMA, a variant of OFDMA for the UL. In SC-FDMA, at each
OFDM symbol the N active subcarriers (containing N QAM constellation points)
undergo an N < M point DFT operation prior to the regular M point IFFT of
OFDM. The DFT operation may be viewed as precoding. The transceiver structure
in SC-FDMA is given in Fig. 10.5. Note that besides the short DFT operation at
the transmitter and the dual short IDFT at the receiver, the transceiver remains the
same (IFFT, CP, FFT etc).
In case the N active subcarriers are consecutive at some frequency band (localized
mode), the concatenation of the shorter DFT and IFFT results in interpolation, so
the time domain signal at the output of the IFFT block is simply Sinc() interpolation
(of factor M/N) of the QAM symbols as depicted in Fig. 10.6.
Fig. 10.6 explains why this transmission method is called single carrier. Moreover,
the gure hints about the most important advantage of SC-FDMA, which is lower
PAPR. It is intuitive that an interpolation of QAM symbols would result in relatively
low PAPR. In fact SC-FDMA usually exhibits an advantage of 2-4dB over OFDMA
Figure 10.5: SC-FDMA transceiver.
in terms of PAPR. The name includes FDMA since choosing the location of the band
acts as frequency hoping.
The most serious drawback of SC-FDMA lies in the fact the even in the SISO case,
simple linear decoding is not optimal (in fact the scheme depicted in Fig. 10.5 is not
optimal). To illustrate this we consider a certain symbol with N active subcarriers,
so the N 1 vector s is to be transmitted. The N point DFT operation may be
viewed as multiplication with the unitary Fourier matrix F, so the received signal at
the receiver after FFT (before the IDFT) is
y = HFs + n, (10.1)
where H is a diagonal matrix with the channel response at the subcarrier frequencies
on its diagonal.
Note that unless H is a scaled identity (implying that the channel response at
all subcarriers is identical, which means very large coherence bandwidth), the matrix
(HF)
HF is not diagonal, so the ZF solution

s = (HF)
1
y = F
(H)
1
y, (10.2)
Figure 10.6: The time domain signal in SC FDMA. The red bins are the
QAM symbols and the blue bins are the IFFT output.
is not optimal. Observe that the suboptimal ZF solution (10.2) is actually the stan-
dard frequency domain equalization (H
1
is diagonal) followed by the IDFT (repre-
sented by F
).
Another restriction implied by SC-FDMA, is that pilot subcarriers should be
located at special symbols (data and pilot subcarriers cannot be mixed at the same
symbol as in OFDMA). This restriction limits the exibility in the types of allocation
blocks used.
88
Chapter 11
Link Adaptation in MIMO-OFDM
systems
11.1 Basic Principles
The term link adaptation (LA) covers a variety of dierent techniques for choosing
transmission parameters according to the channel condition and with respect to the
QoS requirements. Key characteristic of mobile OFDMA-MIMO systems is typically
rapid and signicant variations in the instantaneous channel conditions. There are
several reasons for that:
Frequency-selective fading may result in rapid and random variations
in the channel power;
Shadow fading and distance-dependent path loss may also aect the
average received signal strength signicantly.
Interference level at the receiver may uctuate signicantly due to the
time-varying nature of the neighboring cells.
Therefore OFDMA-MIMO communication systems should adapt the transmission
(and reception) parameters according to the radio channel conditions. The eective-
11. Link Adaptation in MIMO-OFDM systems 89
ness of a LA scheme depends on how fast and eciently it can respond to the wireless
channel variation.
Link adaptation techniques can be divided into 2 main categories with strong
interconnections between them. First one is called Channel-Dependent Scheduling
(CDS) which deals with the question of how to share, between dierent users, the
radio resource(s) available in the system to achieve as ecient resource utilization and
to optimize system performance. Typically, this implies to minimize the amount of
resources needed per user and thus allow for as many users as possible in the system,
while still satisfying Quality-of-Service (QoS) requirements. CDS problems can be
tackled with multidimensional optimization methods and usually implemented at the
MAC layer, are beyond the scope of the course. The second category, closely related to
CDS, is mode selection (MS), which deals with how to set the transmission parameters
of a radio link to handle variations of the radio link quality. In this chapter we discuss
MS technique based of the Eective CINR (ECINR) concept. It enables to determine
the optimal, in the sense of throughput, MIMO mode, modulation-coding scheme
(MCS) and forward error correction (FEC) block size according to the instantaneous
channel conditions and meeting the QoS requirements.
11.2 Eective CINR concept
A key issue in the performance evaluation of the communication network is the capa-
bility to extract BER, (coding) block error rate (BLER) or frame error rate (FER)
from an instantaneous channel state, such as the instantaneous CINR for each pilot
subcarrier for the OFDMA-MIMO systems.
11.2.1 Flat Fading Scenarios
It turns out that in any at fading scenario the corresponding BER is well dened by
the instantaneous CINR at the antennas. Let us start from the SISO case. We have:
CINR(h) =
h
2
2
, (11.1)
where h denotes the channel state and is the noise intensity. Evidently ppCINR(h)
coincides with the CINR(h), which implies that the error probability depends solely
on the CINR(h)) at any modulation (see [20], Sec. 5.2 for more details) meaning that
the SNR constitutes excellent metrics for the assessment of link-level performance for
at fading SISO channels.
Next consider at SIMO system. It is easy to see (see Sec. 2) that the BER perfor-
mance in this case is fully determined by the ppCINR on the constellation point after
the equalization. It means ppCINR can be exploited for the mode selection purposes
also in this scenario. Moreover note that in all linearly decoded MIMO schemes the
ppCINR constitutes a good metrics for the link-level performance estimation. Indeed,
if the channel state is of the at MIMO system given by matrix H, the LS estimator
of the transmitted symbol is:
s = Ry = s + Rn (11.2)
where R
.
= H
+
stands for the Moore-Penrose pseudoinverse of matrix H. The
last relationship yields the following expression for the ppCINR for each stream:
ppCINR
i
(H) =
1
j
[R
ij
[
2
(11.3)
The situation complicates for nonlinear decoded MIMO schemes as there are no
clear denition for ppCINR. For example, for the ML detection at no point of the
decoding process there exists an estimate of the transmitted symbols. In the absence
of an estimate of the transmitted symbol, ppCINR may be computed by using the
following metrics arising from information theory:
ppCINR
i
(H) = exp
_
1
K
log det
_
I +
HH
K
2
__
1 (11.4)
The ppCINR computed by means of the last formula can be used for the evaluation
of the error probability in the same fashion as we do for the linear-decoded systems.
11.2.2 Selective Fading Scenarios and Eective CINR
For frequency selective channels, CINR varies from subcarrier to subcarrier. In the
contrary to the at fading channel, two channel realizations of the frequency-
selective channel with the same average CINR may lead to substantially
dierent BER performances depending on the instantaneous channel vari-
ation. For better understand of this phenomenon, let us look at Fig. 11.1.
Figure 11.1: Channel with equal average power
Both channels have the same average power (and consequently the same CINRs)
but will obviously lead to very dierent BERs. It means that the average CINR
provides a loose link error prediction for selective fading channels. The main reason
for this phenomenon lies in the fact that in selective fading the performance is more
sensitive to deep channel fades, so these should be weighted more. Therefore we
need another metric to convert the per-tone CINRs into the link performance for
accurate mode selection. To overcome this diculty, the eective CINR concept
was introduced. Eective CINR is dened as equivalent CINR in a at fading channel
(with h 1) that results in the same error rate.
There exist several techniques for the ECINR calculation. Here we focus on the
method based on so-called Exponential Eective SINR Mapping (EESM) method,
which is dened as a function that maps the per-tone CINRs, MCS level and coding
block size (CBS) into an ECINR value that corresponds to the same BLER in the
at fading channel. EESM estimates the ECINR according to the following formula:
e
= EESM(, )
.
= ln
_
1
N
N
i=1
e
_
(11.5)
where = (
1
, . . . ,
N
) is a vector of per-tone CINR (for example computed on
pilots). Parameter is function of MCS and CBS. EESM was initially derived from
the Cherno union bound for bit error rates for uncoded BPSK transmissions . Later
it was shown that EESM can be extended to dierent codes and higher modulations
by adjusting the parameter . Furthermore, EESM exhibits good results for block
error rates as well as bit error rates (see [25] and [3] for more details). Finally EESM
was adopted by the IEEE802.16e Working Group as the method for the eective CINR
computation which underlying mode selection (see [2]). The value of the parameter
for each MCS and CBS can be determined through a calibration procedure.
It is noteworthy that in contrast to the at fading scenarios, 1dB increase in trans-
mit power does not translate to 1dB increase in eective SINR. Indeed for boosting
factor B > 0 we have:
e
(B , ) = ln
_
1
N
N
i=1
e
B
i
_
,= B
e
(, ) (11.6)
EESM can be naturally extended for any MIMO scenario. For each MIMO scheme
the corresponding per-tone CINRs are used (see Section 11.2.1).
11.3 EESM-based Link Adaptation Procedure
In this section we elaborate on how to perform link adaptation using the EESM
technique.
First we explain how to select the MCS and the CBS for a given transmis-
sion/reception scheme (TRS) by means of the EESM method. Suppose that the
per-tone CINRs corresponding to the considered TRS are given by = (
1
, . . . ,
N
).
Assume that in order to meet the QoS requirements, maximum BLER of a% is re-
quired. As ECINR computed by the EESM technique is an equivalent CINR of the
the at fading channel, the rst step is to nd the minimum CINR guarantee
BLER of a% for each MCS (and coding block length) under at fading
channel assumption. This operation can be performed o-line (for BLER values
corresponding to each level of QoS). At the next stage the ECINRs corresponding to
each level of MCS and CBS are computed according to (11.5) (we assume the param-
eter values were already determined during the calibration). Finally we choose the
highest MCS level and CBS capable of achieving the target BLER for the computed
ECINR value.
If, in addition to the MCS and CBS, an optimal MIMO mode should be selected,
the ECINR should be computed for each MIMO scheme. Next for each MIMO mode,
highest MCS and CBS is chosen subject to the BLER requirement. Finally the
MIMO scheme capable of delivering maximal throughput (bits per subcarrier) should
be chosen (see Fig. 11.2)
Figure 11.2: EESM-based mode selection
95
Chapter 12
Practical MIMO OFDM
In the previous chapters we considered the OFDM technology with SISO congura-
tion. In this chapter we introduce the fusion of OFDM and MIMO. We note that
the fusion of these two technologies is natural, since MIMO relies on spatial diversity
resulting from multipath and OFDM is devised to handle the multipath scenario.
Moreover, both technologies are aimed at increased spectral eciency. Thus, MIMO
OFDM has become one of the major building blocks for the fourth generation (4G)
broadband wireless access.
12.1 The Fusion of OFDM and MIMO
In Chapter 9 we reached the conclusion that post FFT, the received signal b
k
on the
kth subcarrier (in the SISO case) takes the form
b
k
= H(kf
sc
)a
k
. (12.1)
Extending this understanding to the MIMO case, and introducing additive white
noise, leads to the conclusion that the received signal vector y
k
on the kth subcarrier
12. Practical MIMO OFDM 96
satises
y
k
=
_
_
H
0,0
(kf
sc
) H
0,1
(kf
sc
) . . . H
0,M1
(kf
sc
)
H
1,0
(kf
sc
)
.
.
.
.
.
.
H
N1,0
(kf
sc
) H
N1,M1
(kf
sc
)
_
_
. .
H
k
a
k
+ v
k
, (12.2)
which is the very same model we considered in Part I. This means that all of the MIMO
methods and analysis given in Part I apply to MIMO OFDM on the subcarrier level.
To keep notations simple, we assume hereafter that the mathematical models are on
a subcarrier level and neglect the subscript for the subcarrier number k.
Moreover, since all MIMO methods involve some kind of mathematical manip-
ulation on the channel matrix H (for instance, the computation of H
+
and the
computation of the beamforming vectors), these manipulations may be conducted
once for a set of subcarriers within the coherence bandwidth of the channel. A simi-
lar argument applies to the time domain, so these manipulations may be conducted
once for a set of symbols within the coherence time of the channel.
12.2 Pilots Patterns in MIMO OFDM
The MIMO conguration imposes new restrictions of the manner pilots are transmit-
ted and processed to obtain an adequate channel estimate. These restrictions vary
and generally depend on the MIMO transmission method implemented. We speci-
cally consider the following MIMO modes and their corresponding restrictions on the
pilots pattern.
1 N conguration, MRC at the receiver. Here the pilots pattern is
identical to that in SISO, since each antenna may perform independent
channel estimation.
N M conguration, STC or SM transmission modes. Here the re-
ceiver should estimate the whole N M channel matrix. One of the
most prominent solutions is to create orthogonality between the pilots
transmitted from dierent Tx antennas. A common method is to divide
the pilot subcarriers between Tx antennas, such that when a certain
antenna transmits a pilot, all the other M 1 Tx antennas transmit
nulls. This way, at the transmission of the rst antennas pilot, the
received signal gives
y = H
_
_
1
0
.
.
.
0
_
_
+ v
(12.3)
=
_
_
h
0,0
h
1,0
.
.
.
h
N1,0
_
_
+ v. (12.4)
Thus, following this procedure for all M Tx antennas allows the channel
estimation of the whole matrix H. This concept is depicted in Fig.
12.1. An example for pilots pattern for the case of 2 Tx antennas is
given in Fig. 12.2.
N M conguration, eigen beamforming transmission mode. In this
case, the pilots pattern is identical to SISO with the following important
dierence. The received pilots here are aected by the beamformer v
so they may not be used for channel estimation of non beamformed
transmissions (in the vicinity of the beamformed allocation). These
pilots are dubbed dedicated pilots.
NM conguration, closed-loop MIMO transmission mode, with SVD
computation at the receiver. When the receiver is to compute the SVD
of the channel matrix H (see Section 12.3.2), it should be able to
estimate the whole channel matrix. Thus, here the pilots pattern is
similar to STC and SM.
Figure 12.1: Pilots transmission method that allows the estimation of the
whole channel matrix H.
12.3 Obtaining Channel Knowledge at the Trans-
mitter
Some of the more ecient MIMO schemes require channel knowledge at the trans-
mitter. This knowledge in turn allows the employment of beamformed transmission.
Thus, a key issue in OFDM MIMO is the means to acquire that information. In
this regard there are two prominent approaches. The rst is based on the concept of
channel reciprocity, and the other on feedback from the receiver. In this section we
address these methods.
Figure 12.2: An example for the pilots structure in the case of 2 Tx antennas.
12.3.1 Reciprocity Methods
We begin with the SISO case depicted in Fig. 12.3. The channel H
f
(f; t) is the
forward SISO channel from the BS antenna to the UT antenna, and H
r
(f; t) is the
reverse channel. Here, the channels are time dependent so they are also functions of
time.
The reciprocity principle states that if the time, frequency and antennas for chan-
nel use are the same, then the channels in the forward and reverse links are identical
H
f
(f; t) = H
r
(f; t). (12.5)
Obviously the reciprocity principle may be extended to antenna arrays, where reci-
procity applies to each pair of Tx and Rx antennas. Thus, a simple way to allow
channel knowledge at the transmitter (usually the BS), would be the incorporation
of a special signal transmitted by the UT at the UL, that allows adequate channel
estimation at the BS.
Figure 12.3: The forward and reverse channels.
This signal usually takes a form similar to that of the preamble symbol transmitted
by the BS, and is known as a sounding symbol. The sounding symbol includes
pilot subcarriers spread in frequency over some predened frequency band. The
beamformed transmission is restricted to the same frequency band as well. In many
cases, the BS wishes to transmit beamformed signals to multiple users. Thus, the BS
needs to acquire channel knowledge concerning several users. We note that when the
pilots transmitted by each UT are decimated in the frequency domain (say, each UT
transmits a pilot once every k subcarriers), one sounding symbol may accommodate k
UTs. The transmission of decimated pilots allows the BS to approximate the channel
to each UT by means of interpolation or ltering. A sounding symbol accommodating
several users through decimation is given in Fig. 12.4.
We note here that reciprocity methods usually do not apply to FDD communi-
cations systems, since the DL and UL are transmitted in disjoint frequency bands.
Moreover, in TDD systems, reciprocity methods set stringent requirements on the co-
herence time of the channel. This is due to the fact that the UL and DL are separated
in time, so the channel may change between the instance of sounding transmission
and the beamformed DL. Thus, reciprocity methods are usually applicable in slowly
varying channels where the coherence time of the channel is large enough.
Figure 12.4: A sounding symbol accommodating several users through dec-
imation.
12.3.2 Feedback Methods
Another method, devised to obtain channel knowledge at the transmitter, is based on
channel information feedback from the UT. In this approach, the receiver estimates
the channel (as in the usual way), and feedbacks information regarding the channel.
The feedback (in bits) usually consists of some quantized version of the estimated
channel matrix or some other matrix derived from it.
Following this idea, in CL-MIMO the UT may feedback a quantized version of the
estimated channel matrix, or a quantized version of the right-hand unitary matrix
V in the SVD of the channel matrix H, followed by the quantized singular values.
Obviously a feedback of V is more ecient than the feedback of H, due to the fact
that V may be a smaller matrix than H, and the fact that V is a unitary matrix
with less degrees of freedom. To illustrate this idea we recall that a 2 2 real valued
unitary matrix V may be written as
V =
_
cos sin
sin cos
_
, (12.6)
so V is dened by one real number , rather than the four real numbers needed to
dene a general real valued 2 2 matrix.
In the 802.16e standard, the quantization of V is done by selecting the most
suitable unitary matrix out of predened codebook. The codebook usually retains 8-
64 unitary matrices. Thus, a feedback of 36 bits denes the unitary matrix selected
out of the codebook. An example of a 802.16e codebook for the 2 2 case is given in
Fig. 12.5. Moreover, the UT may feedback only one singular vector to accommodate
single stream Tx beamforming [13, 18, 31].
An important dierence between reciprocity and feedback methods lies in the fact
that feedback methods also apply to FDD systems. The methods are similar in the
sense that they both set similar requirements on the coherence time of the channel.
Thus, similarly, feedback methods are applicable in slowly varying channels.
Figure 12.5: An example of a 802.16e codebook for the 2 2 case.
12.4 Future Directions in MIMO-OFDM
MIMO-OFDM technology has advanced considerably in current communications stan-
dards (WiMAX, WiFi, etc.), and is considered the bridge to fourth generation (4G)
broadband wireless access (BWA). However, in order to achieve the stringent require-
ments of 4G BWA, in terms of spectral eciency, power consumption and cost (this
list is not exhaustive), MIMO-OFDM is to further evolve.
Some future directions in MIMO-OFDM reected in standards that are in process
of consolidation (IEEE802.16m, LTE) are given below.
Larger number of antennas (mostly on the BS side). More antennas
imply more hardware and more complex algorithms. Thus, the employ-
ment of large number of antennas is contingent on the development of
eective hardware and algorithms to accommodate it. An example for
that is low complexity SM decoding algorithms for large number of Tx
antennas.
Combined diversity-multiplexing methods. In particular, low complex-
ity open-loop methods with high diversity and multiplexing gains.
Smart mode selection methods that allow selection of the optimal MIMO
scheme based on the channel conditions.
Fast feedback channels (to accommodate higher mobility implying shorter
coherence time) and low capacity feedback methods.
Low complexity SDMA algorithms with emphasis on user selection.
There is still much work to be done...
104
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Appendix A
Complex Normal Multivariate
Distribution
We begin with two i.i.d Gaussian variables x and y with zero mean and variance
2
.
The joint pdf of x and y is
p(x, y) = p(x)p(y) =
1
2
2
exp
_
x
2
+ y
2
2
2
_
. (A.1)
We dene the complex valued random variable z = x + jy. Note that the moments
of z are
Ez = 0
E
_
[z[
2
_
= 2
2
=
2
z
. (A.2)
The density of z takes the form
p(z) = p(x, y) =
1
2
2
exp
_
x
2
+ y
2
2
2
_
=
1
2
z
exp
_
[z[
2
2
z
_
, (A.3)
and z is denoted complex normal distributed with mean 0 and variance
2
z
.
In general, while the pdf of an N 1 real valued Gaussian vector x with mean
and covariance matrix = E
_
(x )(x )
T
_
is
p(x) =
1
(2)
N/2
(det )
1/2
exp
_
1
2
[x ]
T
1
[x ]
_
, (A.4)
A. Complex Normal Multivariate Distribution 109
the pdf of an N 1 complex valued Gaussian vector z with with mean
z
and
covariance matrix
z
= E(z
z
)(z
z
)
is
p(z) =
1
N
det
z
exp
_
[z
z
]
1
z
[z
z
]
_
. (A.5)
Since p(z) is a probability density function, it follows that
_
zC
N
p(z)d z = 1, (A.6)
which leads to the useful equality
1
_
zC
N
exp
_
z
1
z
z
_
d z =

N
det
1
z
. (A.7)
1
We use here the identity det
_
A
1
_
=
1
det A
.
110
Appendix B
Derivatives w.r.t a Vector and LS
We begin with some useful rules regarding dierentiation w.r.t a vector (the real-
valued case).
_
a
T
x
_
x
= a
T
. (B.1)
(Ax)
x
= A. (B.2)
_
x
T
Ax
_
x
= x
T
_
A+A
T
_
. (B.3)
The above rules are employed to obtain the solution to the least squares (LS) problem
s = argmin
s
|y Hs|
2
. (B.4)
The LS solution is obtained by dierentiating the functional |y Hs|
2
w.r.t s
(|y Hs|
2
)
s
=
_
[y Hs]
T
[y Hs]
_
s
=
_
y
T
y 2y
T
Hs +s
T
H
T
Hs
_
s
= 2y
T
H + 2s
T
_
H
T
H
_
, (B.5)
B. Derivatives w.r.t a Vector and LS 111
and equating to zero, which gives
y
T
H + s
T
_
H
T
H
_
= 0 s =
_
H
T
H
_
1
H
T
y. (B.6)
Note that the term
_
H
T
H
_
1
H
T
is also known as the pseudo-inverse of H and
denoted H
+
. In the complex-valued case, the derivation is a little dierent, but leads
to the similar result H
+
= (H
H)
1
H
.
112
Appendix C
Some Results For Chapter 4
C.1 Lemma 1
Here we show that
Pr J( s) J(s)[ H, s = Q
_
|H( s s)|
2
_
, (C.1)
where J() is dened in Chapter 4.
We note that the probability on the l.h.s of (C.1) may be written explicitly as
Pr J( s) J(s) 0[ H, s
= Pr
_
|y H s|
2
|y Hs|
2
0
H, s
_
= Pr
_
|Hs + n H s|
2
| n|
2
0
H, s
_
= Pr
_
|H(s s)|
2
+ 2 1[H(s s)]
n 0
H, s
_
. (C.2)
Since conditioned on H and s, J( s) J(s) is a Gaussian RV with
EJ( s) J(s)[H, s = |H( s s)|
2
Var J( s) J(s)[H, s = 2
2
|H( s s)|
2
, (C.3)
and bearing in mind that
1
2
2
_

m
exp
_
x
2
2
2
_
dx = Q
_
m
_
, (C.4)
Equation (C.1) holds.
C. Some Results For Chapter 4 113
C.2 Lemma 2
Here we show that
E
H
_
exp
_
|He|
2
4
2
__
=
1
_
1 +
|e|
2
4M
2
_
N
, (C.5)
where H =
1
M
H
PHY
, and H
PHY
is a standard NM uncorrelated Rayleigh matrix.
We denote W = H
PHY
for convenience.
Using W, the expectation on the l.h.s of (C.5) takes the form
_
exp
_
|We|
2
4M
2
_
p (W) dW. (C.6)
The term |We|
2
may be rewritten as
|We|
2
= |
M
m=1
w
m
e
m
|
2
, (C.7)
where w
m
is the m-th column of W, or alternatively as
|
M
m=1
w
m
e
m
|
2
= |Aw|
2
, (C.8)
where
w
NM1
=
_
_
w
1
.
.
.
w
M
_
_
, and A
NNM
= [e
1
I, . . . , e
m
I] . (C.9)
Using these denitions, (C.6) becomes
_
wC
MN
exp
_
|Aw|
2
4M
2
_
p (w) dw
=
1
MN
_
exp
_
Aw
4M
2
_
exp (w
w) dw
=
1
MN
_
exp
_
w
_
I +
A
A
4M
2
_
w
_
dw. (C.10)
C. Some Results For Chapter 4 114
Using the equality (A.7) and the identity det(I + AB) = det(I + BA) for A
MN
and B
NM
, the expectation (C.10) gives
1
_
det
_
I
N
+
AA
4M
2
__. (C.11)
Since AA
= |e|
2
I
N
, we obtain
1
_
det
_
I
N
+
|e|
2
I
N
4M
2
__ =
1
_
1 +
|e|
2
4M
2
_
N
, (C.12)
so Eq. (C.5) holds.
115
Appendix D
The Impact of Correlation on MRC
In order to further illustrate the impact of spatial correlation we consider a 1 N
Rx diversity system where channels are correlated. The system is similar to that
discussed in Section 2.1, only here the channels are dened with a covariance matrix
Ehh
= C. (D.1)
Regardless to the channel model, in MRC, the error probability conditioned on h is
bounded by
Pr error[h exp
_
|h|
2
2
2
_
. (D.2)
The unconditional error probability is obtained through integration over the joint
probability density of h, so it is bounded by
_
hC
N
exp
_
|h|
2
2
2
_
p(h) dh. (D.3)
Using the joint density of h (See Appendix A), Eq. (D.3) is given by
1
N
det C
_
hC
N
exp
_
|h|
2
2
2
_
exp
_
h
C
1
h
_
dh
=
1
N
det C
_
hC
N
exp
_
h
_
I
2
2
+C
1
_
h
_
dh. (D.4)
D. The Impact of Correlation on MRC 116
Using the equality (A.7), Eq. (D.4) turns to
1
det Cdet
_
I
2
2
+C
1
_ =
1
det
_
C
2
2
+I
_. (D.5)
Sanity check: In the case of uncorrelated components (C = I), the expression (D.5)
coincides with the standard MRC bound (2.11).
We focus on the case of 2 Rx antennas with real valued spatial correlation . Here
the covariance matrix takes the form
C =
_
1
1
_
, (D.6)
and bound (D.5) becomes
1
1 +
1
2
+
(1 r
2
)
(2
2
)
2
. (D.7)
This means that for r ,= 1 the diversity order is 2, and only the array gain is inicted
by the correlation. In contrast, in the limit case of full correlation r = 1 the highest
power term cancels out and the diversity order is 1. The performance of 2 antenna
MRC in the case of spatial correlation ( = 0.8) is given in Fig. D.1.
D. The Impact of Correlation on MRC 117
Figure D.1: Perfomance of 2 antenna MRC with spatial correlation.

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H)[ s s], (2.20)

. We further note that

H corresponding its the largest eigenvalue (the result holds

H may also be found by the singular value decomposition

. The columns of V are the

H, and the columns of U are

is known explicitly [21]. Thus, in this case, the bounds

, which has rank 1.

H is a positive denite symmetric matrix, it can be decomposed

H where U is an upper triangular matrix with real diagonal (The

DAis a diagonal matrix. Thus, in this transmission mode ZF is optimal

so we arrive at the signal

log (1 + SNR of stream i)

Q that implies that

Q(y hs) (7.3)

) of the received signal can be used for the

arises from Fourier theory.

= R. The matrix C may be easily found using the

D is the per element square root of D. Thus, it is readily seen that C =

HF is not diagonal, so the ZF solution

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