Multicarrier Modulation & Multiple Antenna Transmission and Reception

MODULE-2
Multicarrier Modulation
OFDM Basics
Block Transmission with Guard Intervals
 Grouping of "L” data symbols into a block is known as OFDM symbol.
 OFDM symbol lasts for duration of T seconds, where T = LT s and Ts is the symbol time.
 To keep each OFDM symbol independent of others after going through a wireless
channel, we introduce a guard time in between each OFDM symbol.

 After receiving a series of OFDM symbols, as long as T g » τ, each symbol will interfere
with only itself.

 OFDM transmissions allow ISI within an OFDM symbol, but by including a sufficiently
large guard band, it is possible to guarantee that there is no interference between
subsequent OFDM symbols.

Circular Convolution and DFT

 Circular Convolution is given by
where
 DFT of channel output is given by

 In Frequency Domain,
 The L-point DFT is given by
 The IDFT is defined as

 The estimate

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

The Cyclic Prefix

 If a cyclic prefix is added to the transmitted signal, then this creates a signal that appears
to be and .

 If the maximum channel delay spread has a duration of v+1 samples, then by adding a
guard band of atleast v samples between OFDM symbols, each OFDM symbol is made
independent of those coming before and after it and so just a single OFDM symbol can be
considered.
 OFDM symbol is represented in Time Domain as a length L vector given by
.
 After applying a cyclic prefix of length v, the actual transmitted signal is

 The output of channel is .

where h is a length v+1 vector describing impulse response of channel.
 has (L+v) + (v+1) – 1 = L + 2v samples.
 The first v samples contain interference from the preceding OFDM symbol and so
discarded.
 The last v samples disperse into the subsequent OFDM symbol and so discarded.

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 Due to cyclic prefix, depends on and the circularly wrapped values .

 That is,

 A cyclic prefix that is atleast as long as the channel duration allows the channel output yto
be decomposed into a simple multiplication of the channel frequency response
and the channel frequency domain input .
 Due to cyclic prefix, the bandwidth increases from B to and hence carries a
power penalty of in addition to the bandwidth penalty.
 Therefore, Rate Loss = Power Loss = .
 Since the cyclic prefix length is fixed, least rate loss is incurred for longest block size and
most rate loss is incurred for shortest block size.
Problem
 Consider a channel where the maximum delay spread has been determined to be τ =
2μsec. What is the minimum and maximum data rate loss due to the cyclic prefix? What
is the minimum theoretical loss if a shorter cyclic prefix could be used?
Solution
 The normal Cyclic Prefix (CP) length / Guard Time T g = 144 * Ts ≈ 4.7μsec which is
clearly longer than delay spread τ = 2μsec and so sufficient for this channel.
 Since CP length is fixed, least overhead (rate loss) will be incurred for the longest block
size and most overhead (rate loss) would be incurred for the shortest block size.
 With maximum block size Lmax= 2048 sub carriers, and block size L=128 sub carriers:
 CP length = v = 144 *Ts = 144 * L / Lmax = 144 * 128 / 2048 = 9 data symbols.
 Rate Loss factor = L / (L+v) = 128 / (128 + 9) = 128 / 137 = 0.934 ≈ 93% and hence
a rate loss of less than 7%.
 With maximum block size Lmax = 2048 sub carriers, and block size L=2048 sub carriers:
 CP length = v = 144 * Ts = 144 * L / Lmax = 144 * 2048 / 2048 = 144 data symbols.
 Rate Loss factor = L / (L + v) = 2048 / (2048 + 144) = 2048 / 2192 = 0.934 ≈ 93%
and hence a rate loss of less than 7%.

 If the Cyclic Prefix was even shorter, the rate loss would be less.
 For block size L = 128 sub carriers, with Tg = 4.7μsec, there are 9data symbols.
 With τ = 2μsec = Tg, there are (2μsec * 9) / 4.7μsec = 3.82 ≈ 4 data symbols = v
 Rate Loss factor = L / (L + v) = 128 / (128 + 4) = 128 / 132 = 0.969 ≈ 97% and
hence a rate loss of less than 3%.
 For block size L = 2048 sub carriers, with Tg = 4.7μsec, there are 144 data symbols.
 With τ = 2μsec = Tg, there are (2μsec * 144) / 4.7μsec = 61.27 ≈ 62 data symbols = v
 Rate Loss factor = L / (L + v) = 2048 / (2048 + 62) = 2048 / 2110 = 0.970 ≈ 97%
and hence a rate loss of less than 3%.

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An OFDM Block Diagram

 A wideband signal of Bandwidth B is broken into L narrowband signals (sub carriers)

each of bandwidth B/L.
 In order to use a single wideband radio instead of L independent narrowband radios, the
sub carriers are created digitally using an IFFT operation.
 In order for the IFFT/FFT to decompose the ISI channel into orthogonal sub carriers, a
cyclic prefix of length v must be appended after the IFFT operation. The resulting L+v
symbols are then sent in serial through the wideband channel.
 At the receiver, cyclic prefix is discarded, and the L received symbols are demodulated
using an FFT operation which results in L data symbols each of the form
for sub carrier l.
 Each sub carrier can then be equalized via an FEQ by simply dividing by the complex
channel gain for that carrier. This results in .

OFDM in LTE

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 The L independent QAM symbols (the vector X) act as input and are treated as separate
sub carriers.
 These L data bearing symbols are created from a bit stream by a symbol mapper and
serial to parallel converter (S/P).
 The L-point IFFT then creates a time domain L vector x that is cyclic extended to have
length L(1+G) where G is fractional overhead.
 The longer vector is then parallel to serial (P/S) converted into a wide digital signal that
can be amplitude modulated with a single radio at a carrier frequency of .
 The raw data rate of LTE system is .

Problem
Find the raw data rate of LTE system, if 16 QAM was used (M=16) with normal cyclic prefix
for the given specifications:
Bandwidth = B=10MHz, Number of sub carriers = L=1024, data sub carriers = Ld =600 and
Guard Fraction = G=0.07.
Solution
= (107 / 1024) * [(600 * log2 (16)) / (1 + 0.07)] = 21.9Mbps.

Timing and Frequency Synchronization

 The timing offset of the symbol and the optimal timing instants needs to be determined
which is referred to as Timing Synchronization.
 The receiver must align its carrier frequency as closely as possible with the transmitted
carrier frequency which is referred to as Frequency Synchronization.

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 The primary and secondarysync signals occupy the 31 tones on either side of the DC
sub carrier in the 5th and 6th OFDM symbols respectively, of the 0th and 10th slots in every
radio frame.
 The 5 adjacent tones on top and bottom of sync signals are not used so 62 tones are used
or a total of 62*15kHz = 930kHz ≈ 1MHz bandwidth.
 Timing Synchronization offset is 0.1/ Bs = 0.1μsec which is less than cyclic prefix length
of 0.5μsec.

Timing Synchronization
 Since the time window is T=1μs and a rectangular window is used, the frequency
response of each sub carrier becomes a sinc function with zero crossings every 1/T =
1MHz.
 This can be confirmed by using Fourier Transform

where
 If the timing window is slid to left or right, a unique phase change will be introduced to
each of the sub carriers.

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 In the frequency domain, if the carrier frequency synchronization is perfect, the receiver
samples at the peak of each sub carrier where the desired sub carrier amplitude is
maximized and ICI is zero.
 In the case, the perfect timing synchronization is not maintained, it is still possible to
tolerate a timing offset of τ sec without any degradation in performance as long as
o .
 As long as , the timing offset simply results in a phase shift per sub
carrier of which is fixed for all sub carriers.
 The acceptable range of τ is referred to as timing synchronization margin.
 The SNR loss is approximated as .
 The SNR decreases quadratically within the timing offset.
 Longer OFDM symbols are increasing immune from timing offset.
 Since , timing synchronization errors are not that critical as long as induced
phase change is corrected.

Frequency Synchronization
 As long as the frequency offset , there is no interference between the sub carriers.
 Frequency offset ≈ .
 The matched filter receiver corresponding to sub carrier l can be simply expressed for the
case of rectangular windows as where .
 Since LTs is the duration of the data portion of the OFDM symbol, .
 An interfering sub carrier m can be written as .
 If the signal is demodulated with a fractional frequency offset of ,, then
o .
 The ICI between sub carriers l and l+m using a matched filter is simply the inner product
between them given as
 and .
 The total average ICI energy per symbol on sub carrier l is given as

 is constant that depends on various assumptions and is the average symbol energy.
 The SNR loss induced by frequency offset is given by

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 SNR decreases quadratically with the frequency offset.

 SNR decreases quadratically with the number of sub carriers.
 The loss in SNR is also proportional to SNR itself.

Peak to Average Ratio (PAR)

 OFDM signals have high PAR since in time domain, a multi carrier signal is the sum of
many narrow band signals.
 High PAR reduces efficiency and hence increases cost of RF power amplifier.
 When a high peak signal is transmitted through a nonlinear device such as a High Power
Amplifier (HPA) or Digital to Analog Converter (DAC), it generates out of band
energy (spectral regrowth) and in band distortion (constellation tilting and scattering)
which cause degradation and affect the system performance.
 The nonlinear behavior of HPA can be characterized by AM/AM and AM/PM responses.
 To avoid undesirable nonlinear effects, a waveform with high peak power must be
transmitted in the linear region of HPA by decreasing the average power of input signal
which is called Input Back Off (IBO) and results in a proportional Output Back Off
(OBO).
 High Back Off reduces the power efficiency of HPA and limits the battery life for mobile
applications.

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 The input back off is defined as

where is the saturation power and is the average input power.
 The power efficiency of an HPA can be increased by reducing the PAR of transmitted
signal.
 The efficiency of class A amplifier is halved when the input PAR is doubled or the
operating point (average power) is halved.
 It is desirable to have average and peak values to be as close as possible in order to
maximize the efficiency of power amplifier.
 A high PAR requires high resolution for both the transmitter’s digital to analog convertor
and receiver’s analog to digital convertor since the dynamic range of signal is
proportional to PAR.
 High resolution D/A and A/D conversions plays an additional complexity, cost and power
burden on system.

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Quantifying the PAR

 The amplitude of the output signal is .
 Since is complex Gaussian, the envelope is Rayleigh distributed with the
parameter .
 The output power is therefore which is exponentially
distributed with mean .
 Since the output amplitude and power are random, PAR is not a deterministic quantity.
 The PAR of the transmitted analog signal can be defined as .
 The discrete time PAR can be defined for IFFT output as
.
 Although the average energy of IFFT outputs x[n] is the same as the average energy of
the inputs X[m] and equal to , the analog PAR is not exactly the same as the PAR of
IFFT samples, due to the interpolation performed by the D/A convertor.
 The analog PAR is usually higher than digital (Nyquist sampled) PAR.
 The analog PAR determines the PA performance.
 An oversampling factor of M can be used to interpolate the digital signal in order to better
approximate its analog PAR, i.e. an OFDM symbol is sampled LM times rather than
simply L.The maximum possible value of PAR is L.
 The Complementary Cumulative Distribution Function (CCDF) of PAR for L ≥ 64 is
given as
where is the peak power level and is a pseudo-approximation of the oversampling
factor which is given empirically as = 2.8.
 PAR is and is the CDF of a single Rayleigh distributed sub carrier with
parameter .
 The CDF of the Nyquist sampled signal power can be obtained by
.

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SC-FDE
 Similar to OFDM, SC-FDE maintains 3 benefits:
a) Low complexity even for severe multipath channels.
b) Excellent BER performance.
c) Decoupling of ISI from other types of interference.
 The only difference between OFDM and SC-FDE system is that the IFFT is moved to the
end of the receive chain rather than operating at the transmitter, to create a multi carrier
waveform.
 The transmitted signal is simply a sequence of QAM symbols which have low PAR on
the order of 4-5dB depending on constellation size.
 Because of the application of cyclic prefix, the received signal appears to be circularly
convolved i.e. .
 Therefore, .

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 SC-FDE has a lower complexity transmitter and higher complexity receiver compared
to OFDM.
 While OFDM has high PAR and more subjected to clipping and cause spectral dispersion,
SC-FDE has low PAR and nominally more dispersive spectrum compared to OFDM.
 In a cellular system like LTE, uplink utilizes SC-FDE whereas downlink utilizes
OFDM.

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OFDMA
 OFDMA systems allocate subscribers time frequency slices consisting of M sub carriers
over some number of consecutive OFDM symbols in time.
 The M sub carriers can be spread out over the band called “distributed”, “comb” or
“diversity” allocation.
 The M sub carriers can be bunched together in M contiguous sub carriers called “band
AMC”, “localized” or “grouped” cluster.
 The distributed allocation achieves frequency diversity over entire band.
 If accurate SINR information can be obtained at the receiver about each band’s SINR,
then band AMC outperforms distributed sub carrier allocation.

OFDMA Working
OFDMA downlink transmitter and receiver
 K users share the L sub carriers with each user being allocated sub carriers.
 and each sub carrier has only one user assigned to it.
 At each receiver, the user cares only about its sub carriers, but still has to apply an L-
point FFT to the received digital waveform in order to extract the desired subset of sub
carriers.
 An OFDMA downlink receiver must demodulate the entire waveform which wastes
power but digital separation of users is simple.

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OFDMA uplink transmitter and receiver

 The transmitter modulates user k’s bits over just the subcarriers.
 All the users signal collide at the receivers antenna and are collectively demodulated
using receivers FFT.
 Assuming each sub carrier has only a single user on it, the demodulated sub carriers can
be de-mapped to the detectors for each of the k served users.
 Uplink is asynchronous i.e. the users signal arrive at the receiver offset slightly in time
and frequency from each other.

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A higher level view of OFDMA

 A base station is transmitting a band AMC type OFDMA waveform to 4 different devices
simultaneously.
 Firstly, the mobiles measure and feedback the quality of their channel or channel state
information to the base station.
 Secondly, the base station would allocate sub carriers to 4 users and send that sub carrier
allocation information to the 4 users in an overhead message.
 Finally, the actual data is transmitted over the sub carriers assigned to each user.

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OFDMA Advantages
 Robust multipath suppression, relatively low complexity and creation of frequency
diversity.
 Dynamic, Flexible and efficient bandwidth allocation.
 Lower data rates and bursty data are handled efficiently.
 Allocation of time frequency resources to users is flexible and adapted dynamically to
meet arbitrary throughput, delay and other QoS constraints.
SC-FDMA
 SC-FDMA closely resembles OFDMA because it still requires an IFFT operation at the
transmitter in order to separate the users.
 SC-FDMA can be called FFT or DFT precoded OFDMA.

SC-FDMA Working
SC-FDMA uplink transmitter and receiver
 The user’s Mk complex symbols are pre-processed with an FFT of size Mk.
 Mk is related to number of resource blocks allocated to the user k for its uplink
transmission.
 The time domain complex symbols are referred to as x[n].
 The FFT operation creates frequency domain version of the signal X[m] = FFT(x[n]) so
that when the L point IFFT is applied later, the time domain outputs of the IFFT
correspond to an over sampled and phase shifted version of the original time domain
signal x[n].
 x[n] is oversampled by a factor of L/M and experiences a phase shift that depends on
which inputs to the IFFT are used.

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 In SCFDMA uplink receiver, for each user’sMk sub carriers, an additional small IFFT
must be applied prior to detection to bring the received data back into the time domain.
 Frequency domain equalization is applied to each user’s signal independently after the
FFT, and user’s signals are de-mapped based on the current sub carrier allocation.

Advantages of SC-FDMA
 Only part of the frequency spectrum is used by any one user at a time where the band is
chosen adaptively for higher throughput and allows for much lower total transmit power.
 The PAR of SC-FDMA is lower than OFDMA.

Disadvantages of SC-FDMA
 SC-FDMA experience more spectral leakage than OFDMA and achieve frequency
diversity differently leading to slight differences in performance.
 SC-FDMA is complex in both transmitter and receiver as an additional FFT of size M k
has to be performed for each user.

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Multiple Antenna Transmission and Reception

Spatial Diversity Overview

 Spatial diversity is exploited through 2 or more antennas which are separated by enough
distance so that fading is approximately decorrelated between them.
 No additional bandwidth or power is required for spatial diversity.
 When multiple antennas are used, 2 forms of gain are available which are referred to as
Array Gain and Diversity Gain.
 Array Gain does not rely on statistical diversity between different channels whereas
Diversity Gain is a product of statistical richness of channels and results from the creation
of multiple independent channels between transmitter and receiver.

Array Gain
 Array gain achieves its performance enhancement by coherently combining the energy of
each of the antenna to gain an advantage versus the noise signal on each antenna which is
uncorrelated and so does not add coherently.
 Even if channels are completely correlated, the SNR increases linearly with the number of
receive antennas.
 In correlated flat fading, each antenna receives a signal that can be characterized
as .
 SNR on a single antenna is where is noise power.
 If all receive antenna paths are added, the resulting signal is

• Assuming noise on each branch is uncorrelated, the combined SNR is

Diversity Gain
 The physical layer reliability is typically measured by the outage probability or average
bit error rate.
 Bit Error Probability (BEP) is given by .
where C1 and C2 are constants that depend on modulation type and is the received
SNR.
 With fading, SNR becomes random variable and so BEP is also a random variable.

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 Without diversity, the average BEP is .

 When Nt transmit antennas and Nr receive antennas are added to the system, the diversity
order is .
 With diversity, the average BEP is .
 If only array gain was possible, the average BEP decreases to .

Increasing the Data Rate with Spatial Diversity

 The Shannon capacity formula gives the maximum achievable data rate of a single
communication link in Additive White Gaussian Noise (AWGN)as

where C is the capacity or maximum error free data rate, B is the bandwidth of channel
and is SNR.
 Since antenna diversity increases the SNR linearly, diversity techniques increase the
capacity only logarithmically with respect to the number of antennas.
 Spatial multiplexing has the ability to achieve a linear increase in the data rate with the
number of antennas.
 The capacity can be increased as a multiple of min i.e. Capacity is limited by
minimum of number of antennas at either transmitter or receiver.

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Increased Coverage or Reduced Transmit Power

 If the increase in coverage range is , the coverage area improvement is .
 The required transmit power reduces to dB while maintaining a diversity gain of
.

Receive Diversity
1) Selection Combining (SC)
 It is the simplest type of combiner which estimates the instantaneous strengths of each
of the streams and selects the highest one.
 Its simplicity and reduced hardware and power requirements make it attractive for
narrowband channels.
 The outage probability is .
 Assuming uncorrelated receptions of the signal,

 For a Rayleigh fading channel where is the average received SNR

at that location.
 The selection combining decreases the outage probability to

 The average received SNR for branch selection combining (SC) can be derived in
Rayleigh fading to be

 The average BEP can be derived by averaging (integrating) the appropriate BER
expression in AWGN against the exponential distribution.

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2) Maximal Ratio Combining (MRC)

 MRC combines the information from all the received branches in order to maximize the
ratio of signal to noise power.
 It works by weighting each branch with a complex factor and then
adding up the branches.
 The received signal on each branch can be written as .
 Assuming the fading is flat with a complex value of on the ith branch, the
combined signal is .
 If the phase of combining coefficient for all branches, then SNR of y(t) is

where is the transmit signal energy.

 Maximizing by taking derivative with respect to gives maximizing combining values
as i.e. each branch is multiplied by its SNR.
 The resulting SNR is .
 MRC ignores interference power.
 Equal Gain Combining (EGC) which only corrects phase uses and for all
combiner branches, achieves a post combining SNR of

 Advantage of MRC in frequency selective fading channels is that all the frequency
diversity can be utilized.
 An RF antenna selection algorithm selects the best average antenna.
 In a wideband channel, different coherence bands will have different SNRs and hence
MRC is used.

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Transmit Diversity
 Signals are sent from different transmit antennas and they interfere with one another at
the receiver.
1) Open Loop Transmit Diversity
 They are systems that do not require knowledge of the channel at the transmitter.
2) Closed Loop Transmit Diversity
 They are systems that require channel knowledge at transmitter.
1) Open-Loop Transmit Diversity

i) 2 X 1 Space-Frequency Block Coding

 The most popular open loop transmit diversity scheme is space-time coding where a
particular code known to receiver is applied at the transmitter.
 The receiver must know the channel to decode the space-time code.
 Space-Time Block Code (STBC) referred to as either Alamouti Code or the Orthogonal
Space-Time Block Code (OSTBC) came into existence in 1990s.
 This simple code is linear at both transmitter and receiver.
 STBCs can easily be adapted to a wide band fading channel using OFDM and they use
consecutive symbols in time.
 Space-Frequency Block Codes (SFBCs) are preferred to STBCs because they prefer less
delay.
 STBCs would require 2 OFDM symbols to be encoded and decoded which significantly
increases delay.
 The simplest SFBC corresponds to 2 transmit antennas and 1 receive antenna.
 If 2 symbols transmitted are S1 and S2, the Alamouti code sends the following over 2 sub
carriers f1 and f2:

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 The 2X1 Alamouti SFBC is referred to as a rate1 code, since the data rate is neither
increased nor decreased; 2 symbols are sent over 2 adjacent sub carriers.
 Assuming a flat fading channel on each sub carrier, is the complex channel gain
from transmit antenna 1 to the receive antenna and is from transmit antenna 2.
 Assuming the channel is constant over 2 adjacent sub carriers i.e. ,the
received signal r(f) is
where n(.) is a sample of white Gaussian noise.
 Assuming the channel is known at the receiver

 Therefore,

 The resulting SNR can be computed as

 The total transmit energy per actual data symbol is .

 For SFBC, .

ii) 2X2 SFBC

 The channel description is represented as 2X2 matrix .
 The resulting signals at sub carriers f1 and f2 on antennas 1 and 2 can be represented as

 Using the combining scheme

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 The resulting SNR is

 The decision statistics are obtained as

where is the interference from the ith transmit due to transmitting 2 simultaneous data
streams.

iii) 4X2 in LTE

 When 4 transmit antennas are available, a combination of SFBC and Frequency Switched
Transmit Diversity (FSTD) is used.
 The combination of SFBC and FSTD is a rate 1 diversity scheme i.e. 4 modulation
symbols are sent over 4 OFDM symbols using space-frequency encoder where the
columns correspond to the sub carrier index and rows to the transmit antenna.

 The 1st and 2nd symbols S1 and S2 are sent over antenna ports 0 and 2 on the first 2
OFDM sub carriers in the block.
 The 3rd and 4th symbols are sent using antenna port 1 and 3 on the other 2 sub carriers.

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2) Closed-Loop Transmit Diversity

i) Transmit Selection Diversity (TSD)

 It is the simplest form of transmit diversity where only a subset of the
available antennas is used at a given time.
 The selected subset typically corresponds to the best channels between the transmitter
and receiver.
 Hardware cost, complexity and spatial interference is reduced since only fewer
transmit signals are sent.
 In spite of maintaining diversity order same i.e. , TSD is not optimal in terms
of diversity gain.
 Wideband channels have multiple coherence bands so the gain from selecting the best
antenna averaged over all the coherence bands is likely to be small.
 The average SNR with single transmit antenna selection in a system with
independent and identically distributed Rayleigh fading is .
 The feedback required for antenna TSD is low since index of the required antenna is
needed rather than the full Channel State Information (CSI).
 In case of single transmit antenna selection, only bits of feedback are needed
for each channel realization.
 The required feedback for transmit antenna selection is about bits per channel
coherence time.
ii) Linear Diversity Pre coding
 Linear Pre coding is a general technique for improving the data rate or link reliability by
exploiting the CSI at the transmitter.
 Linear Pre coder at the transmitter and a linear Post coder at the receiver are applied only
to improve the link reliability.

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 The received data vector z can be written as .

 The size of the transmitted vector x is M x 1 and the received vector y is Nr x 1.
 The post coder matrix G is M x Nr, the channel matrix H is Nr x Nt, the pre coder matrix F
is Nt x M, the noise vector n is Nr x 1 and received data vector z is M x 1.
 M is the number of spatial data “streams” sent in general case.
 For case of pure diversity pre coding only one data symbol is sent at a time where M = 1
and the SNR maximizing pre coder F and post coder G are the right and left singular
vectors of H corresponding to its largest singular value .
 The equivalent channel model after pre coding and post coding for a transmitted data
symbol x becomes y = hx + n.
 The received SNR is where is the noise variance.
 SNR is bounded as .
 denotes the Frobenius norm which is just the total sum of all the powers of each
spatial channel defined as .

 SNR for the case of STBC is given as .

 To employ linear diversity pre coding, CSI is required at the transmitter.

DOA based Beam steering

 Electromagnetic waves can be physically steered to create beam patterns at either
transmitter or receiver.
 At the transmitter, this causes energy to be sent predominantly in a desired direction
while only a small amount of residual energy is leaked in other directions.
 The most common and simple form is static pattern gain beam steering which is known as
Sectoring.
 Each DOA can be estimated using signal processing techniques such as MUSIC, ESPRIT
and MLE algorithms.
 From the acquired Direction of Arrival (DOA), a beam former extracts a weighting vector
for the antenna elements and uses it to transmit or receive the desired signal of a specific
user while suppressing the undesired interference signals.
 When the plane wave arrives at the d-spaced Uniform Linear Array (ULA) with Angle of
Arrival (AOA) θ, the wave at the first antenna element travels an additional distance of
dsinθ to arrive at the second element.

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

 The difference in propagation distance between the adjacent antenna elements can be
formulated as an arrival time delay τ = d/c sinθ.
 The signal arriving at the second antenna can be expressed in terms of the signal at the
first antenna element as

 For an antenna element with Nr elements all spaced by d, the resulting received signal
vector can be expressed as

where a(θ) is the array response vector.

 Considering a 3 element ULA with d=λ/2 spacing between the antenna elements and
assuming that the desired user’s signal is received with an AOA of θ1=0 and 2 interfering
signals are received with AOAs of θ2=π/3 and θ3=-π/6, the array response vectors are
given by

 The beam forming weight vector should increase the antenna gain in
the direction of desired user while simultaneously minimizing the gain in the directions of
interferers.
 The weight vector should satisfy the criterion .
 A unique solution for the weight vector is obtained as

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

 The null steering beam former (DOA based beam former) can be designed to completely
null out interfering signals only if the number of such signals is strictly less than the
number of antenna elements i.e. if the number of receive antennas is Nr, then Nr-1
independent interferers can be cancelled.
 The disadvantage of DOA based beam former is that a null is placed in the direction of
the interferers and so the antenna gain is not maximized at the direction of the desired
user.

Linear Interference Suppression

1) By complete knowledge of Interference Channels
 Considering a single transmitter with Nt antennas trying to communicate to a receiver
with Nr >Nt antennas in the presence of one or more interfering transmitters each with
antennas , the total number of interfering sources is .
 With L = 1, Nt = 1 and Nr = 2, we have a total of 2 transmitted streams to a 2 antenna
receiver.
 The received signal model is y = Hx + n.
 Assuming the receiver knows not only its channel vector but the interfering channel as
well, a ZF receiver would produce .
 If the transmitters are independent rather than co-located, it is known as uplink multiuser
MIMO or uplink SDMA since 2 users are supported simultaneously.

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

2) By statistical knowledge of Interference Channels

 Allowing the transmitter to pre code its signal with a Ntx1 beam forming vector , the
Nr dimensional received signal vector at the receiver is
where x is the desired symbol with energy
is the interference vector
n is the noise vector with covariance matrix
H is Nr x Nt channel gain matrix for the desired user
is the Nr x L channel gain matrix for the interferers
is the eigen vector corresponding to the largest eigen value
and where α is an arbitrary constant
is the interference plus noise covariance matrix
is the largest eigen value of A.
 The maximum output SINR is .
 The transmit power is focused on the largest eigen channel among eigen
channels in order to maximize post beam forming SINR and this beam forming approach
is termed as Optimum eigen beam former, interference aware beam forming and/or
Optimum Combiner (OC).
 If the interference terms are ignored, and and .
 In the absence of interference, the output SNR of optimum beam former with N t> 1 can
be upper and lower bounded as

 To increase the system capacity using the acquired transmits CSI, up to

eigen channels can be used for transmitting multiple data streams.

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

Spatial Multiplexing
 Spatial multiplexing refers to breaking the incoming high rate data stream into M parallel
data streams.
 The standard mathematical model for spatial multiplexing is .
 The size of the received vector y is Nrx1, the channel matrix H is Nr x Nt, the transmit
vector x is Nt x 1 and the noise n is Nr x 1.
 The transmit vector is normalized by Nt so that each symbol in x has average energy
.
 The channel matrix is of the form

 The entries in the channel matrix and noise vector are complex Gaussian and independent
and identically distributed (i.i.d.) with zero mean and diagonal covariance matrices i.e.
the spatial channels all experience uncorrelated Rayleigh fading and Gaussian noise.
 Decoding Nt streams is possible when rank(H) ≥ Nt.

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

Single user MIMO system

 The capacity or maximum data rate grows as
when the SNR is large.
 When SNR is low, the capacity grows linearly with .
 The average SNR of all Nt streams can be maintained without increasing the total
transmit power relative to SISO system.

1) Open Loop MIMO: Spatial Multiplexing

 The open loop techniques for spatial multiplexing attempt to suppress the interference
that results from all Nt streams being received by each of Nr antennas.

i) Optimum Decoding: Maximum Likelihood Detection

 If the channel is unknown at the transmitter, the optimum decoder is the maximum
likelihood decoder which finds the most likely input vector via a minimum distance
criterion:
 To compute this, an exhaustive search must be done over all possible input
vectors where M is the order of modulation.
 When optimum detection is achievable, the gain from transmitter channel knowledge
is fairly small.

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

ii) Linear Detectors

 Zero forcing (ZF) detector sets the receiver equal to the inverse of the channel
o when Nt = Nr or .
 Zero forcing detector completely removes the spatial interference from the transmitted
signal and gives an estimated received vector .
 inverts the eigen values of H because of which the bad spatial sub channels can
severely amplify the noise in n.
 MMSE receiver attempts to strike a balance between spatial interference suppression
and noise enhancement by minimizing the distortion
 It is derived using the well known orthogonality principle as .
 As SNR grows large, the MMSE detector converges to ZF detector.

BLAST
 The earliest known spatial multiplexing receiver was invented and prototyped in Bell
Labs and is called Bell labs Layered Space Time (BLAST).
 BLAST consists of parallel “layers” supporting multiple simultaneous data streams.
 The layers (sub streams) are separated by interference cancellation techniques that that
decouple the overlapping data streams.
 Two types of BLAST are Diagonal BLAST (D-BLAST) and Vertical BLAST
(V-BLAST).

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

1) D-BLAST
 D-BLAST groups the transmitted symbols into “layers” which are then coded in time
independently of the other layers.
 These layers are then cycled to the different transmit antennas in a cyclic manner
resulting in each layer being transmitted in a diagonal of space and time.
 Each symbol achieves diversity in time via coding and in space since it rotates among all
the different antennas.
 The diagonal layered structure of D-BLAST can be detected by decoding one layer at a
time.
 Each layer is detected by nulling the layers the layers that have not been detected and
cancelling the layers that have already been detected.
 The time domain coding helps compensate for errors or imperfections in the cancellation
and nulling process.
 The drawbacks of D-BLAST are that the decoding process is iterative and complex and
the diagonal layering structure wastes space time slots at the beginning and end of D-
BLAST.
2) V-BLAST
 V-BLAST is simpler than D-BLAST and reduces inefficiency and complexity.
 Each antenna simply transmits an independent symbol stream.
 The post detection SNR for the ith stream is
 where is the ith row of ZF or MMSE receiver G.
 The essence of V-BLAST is to combine a linear receiver with ordered successive
interference cancellation.
 Instead of detecting all N t streams in parallel, they are detected iteratively.
 First, the strongest symbol is detected and then subtracted from the composite received
signal.
 Next, the second strongest signal is detected which now sees effectively Nt-2 interfering
streams.
 In general, the ith detected stream experiences interference from only Nt-1 transmit
antennas so that by the time weakest symbol stream is detected, the vast majority of
spatial interference has been removed.
 V-BLAST decreases the required SNR by about 4dB and have spectral efficiencies above
20bps/Hz.

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 Multicarrier Modulation & Multiple Antenna Transmission and Reception

2) Closed Loop MIMO

i) Singular Value Decomposition (SVD) Pre coding and Post coding
 Generalized eigen value decomposition of the channel matrix H is
where U and V are unitary and Σ is a diagonal matrix of singular values.
 The decision vector d should be close to input symbol vector b and can be written
systematically as

 has the same variance as n.

 The singular value approach does not result in noise enhancement.
 The complexity of finding the SVD of an Nt x Nr matrix is on the order of
if .

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ii) Linear Pre coding and Post coding

 The received symbol for the ith sub channel can be expressed as

 are the singular values of H, and are the pre coder and post coder weights
and is the noise per sub channel.
 The number of sub channels is bounded by .

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