UNIT 5

MULTIPLE ANTENNA TECHNIQUES

 MIMO systems
 Multiple Input Multiple Output (MIMO) is an antenna technology for
wireless communications in which multiple antennas are used for single
user at both the source (transmitter) and the destination (receiver) to
exploit the spatial domain for spatial multiplexing and/or spatial diversity
to increase the channel capacity and data rate.
 Basic Structures of MIMO System
Single- Input and Single -Output (SISO)
Single- Input and Multiple -Output (SIMO)
Multiple - Input and Single -Output (MISO)
Multiple - Input and Multiple -Output (MIMO)
 Multiple- Input and Multiple -Output
(MIMO)
 Multiple Antennas used for both Transmission and
Reception.
 Coding Technique used to separate data from
different paths.

Advantages:
 Higher channel capacity
 Better spectral efficiency
 Increased coverage
 Improved user position estimation
 Lower power consumption
 Higher data rate.
 MIMO Implementation
• In MIMO, Two techniques used to transmit
data using MIMO across the given channel.
1)Spatial Diversity – Simple Diversity
2)Spatial Multiplexing
 Spatial Multiplexing
 Spatial Multiplexing increase channel capacity
at higher signal to noise ratio and it is used to
maximize the data rate.
 Spatial Multiplexing
 It is a transmission technique in MIMO wireless
communication to transmit an original high-data
stream is multiplexed into several parallel streams,
each of which is sent from one transmit antenna
element, Therefore, the space dimension is reused,
or multiplexed, more than one time.
 The channel "mixes up" these data streams, so that
each of the receive antenna elements sees a
combination of them. An appropriate signal
processing at the receiver can separate the data
streams.
Difference Between Diversity and Spatial
Multiplexing

(a) MIMO with diversity (b) MIMO with spatial multiplexing

Diversity gain is 3(assuming 3x1 Diversity gain is 0 and the

MISO configuration) and multiplexing gain is 3 (assuming 3x3
multiplexing gain is 0. MIMO configuration).
Diversity gain = NT X NR Multiplexing gain = Ns =min(NT,NR )
MIMO SYSTEM MODEL
Representation of MIMO system model
 MIMO system Model

t1 h11
h21 r1
h31 h12
t2 r2
h13
t3 r3

r1=t1h11+ t2h21 + t3h31

 MIMO system Model
• The channel transfer function h21 represents
that the data travelling from the first transmit
antenna to the second receiving antenna. The
received signals can then be expressed as,

where
r1- Signal received at antenna at 1,
rz- Signal received at antenna at 2
 MIMO system Model
 In matrix format the above expression can be
represented as,
[R] = [H] [T]
 The received signal vector Y can be expressed
using the transmit signal vector S as,
Y=HS +n=X+n
where, 'n' is the additive white Gaussian noise.
 MIMO system Model
 The Transfer function (channel matrix) H vector
which is denoted by the NT x NR matrix of the
channel and it is given as:

where, hij is a complex Gaussian random variable that models fading

gain between the ith transmit and jth receive antenna.
 PRE-CODING
 The main difficulty in MIMO channels is the separation of the
data streams which are sent in parallel. To decrease the
multi-user interference and increase the data rate in MIMO
system, we are using the pre-coding technique.
 It is a preprocessing technique that performs transmits
diversity and it is similar to equalization, but the main
difference is that we are in need to optimize the precoder
with a decoder.
 The Channel equalization aims to minimize channel errors,
but the precoder aims to minimize the error in the receiver
output.
 PRE-CODING
 The precoding is a technique which exploits transmit
diversity by weighting information stream, i.e. the
transmitter sends the coded information to the
receiver in order to get the prior knowledge of the
channel.
 The receiver is a simple detector, such as matched
filter, and does not have to know the channel side
information. This technique will reduce the
corrupted effect of the communication channel.
Block diagram of MIMO pre-coding
 Pre-coding or pre-equalization of the transmitted
signals for MIMO systems is the type of processing at
the transmitter requires the Channel State
Information (CSI).
 In order to obtain CSI at the transmitter, the channel
should be fixed (non mobile) or approximately
constant over a reasonably large time period.
 If CSI is available at the transmitter end then the
transmitted symbols either for a single-user or for
multiple users can be partially separated by means of
pre-equalization at the transmitter.
Vertical Bell Labs Layered Space-Time
Architecture (V-BLAST)
 Vertical Bell Labs Layered Space-
Time Architecture (V-BLAST)
 V-BLAST is a transmitter-receiver architecture which
is mainly used to implement multiplexing in MIMO.
 This architecture can then achieve atmost a diversity
order of NR, since each coded symbol is transmitted
from one antenna and received by NR antennas.
 By coding across the sub-channels, BLAST can
average over the randomness of the individual sub-
channels and get better outage performance.
 Working principle
 The received signal at the receiver front-end will be,
r=sh +n
s-Information, h-Channel, n –Gaussian noise.
 The receiver will have to know the information about
'h' and 'n'. It will suppress the effect of 'n' by increasing
SNR.
 Let us call the predicted channel hest and for a system
with precoder,the information will be coded:The
received signal will be
 Types of Pre-Coding
Linear precoding :
 linear precoding approaches usually achieve a
reasonable performance with much lower
complexity .
TYPES
• Maximum Ratio Transmission (MRT),
• Zero-Forcing (ZF) precoding,
• Transmit Wiener precoding.
 Types of Pre-Coding
Nonlinear precoding:
The Nonlinear precoding is designed based on the
concept of Dirty Paper Coding (DPC), which shows
that any known interference at the transmitter can
usually be subtracted without the penalty of radio
resources if the optimal precoding scheme can be
applied on the transmit signal.
 Beam forming in MIMO
Beam forming is the combination of radio signals from a set of small
non directional antennas in order to simulate a large directional
antenna.

Aligning the transmit signal in the direction of the transmit antenna

array pattern is called transmit beamforming.
 Beam forming in MIMO
 Smart antennas are normally used because it can be
controlled automatically according to the required
performance and the prevailing conditions.
Groups
(i) Phased Array Systems (PAS): Phased array systems
are switched and have a number of pre-defined
patterns - the required one being switched according
to the direction required.
(ii) Adaptive Array Systems (AAS): This type of antenna
uses an infinite number of patterns and can be
adjusted based on the requirements in real time.
Types of beam forming
 BEAM Forming -contd
• MIMO beam forming using phased array systems
requires the overall system to determine the direction of
arrival of the incoming signal and then switch in the most
appropriate beam.
• This is something of a compromise because the fixed
beam is unlikely to exactly match the required direction.
• Adaptive array systems are able to direct the beam in the
exact direction needed, and also move the beam in real
time, This is a particular advantage in mobile
telecommunications.
• However the cost is the considerable extra complexity
required.
 Working Principle
• In MIMO, beam forming sends the same symbol over
each transmit antenna with different scale factor.
• At the receiver, all received signals are coherently
combined using different scale factor.
• This produces a transmit/receiver diversity system,
whose SNR can be maximized by optimizing the scale
factors (MRC).
• Beam forming leads to a much higher SNR than on
the individual channels in the parallel channel
decomposition.
 ADVANTAGES
(i) Increase SINR, and
(ii) Support higher user densities.
 TRANSMIT DIVERSITY
• In transmitter diversity, multiple antenna elements are
required at the transmitter and only one antenna element at
the receiver end provides better performance.
 Data transmission in transmitter diversity
• This method uses multiple base station antennas and make
their signals separated by assigning them different CDMA
spreading codes (or different delay of the same code) or by
using space-time codes.
 Types of Transmit diversity
1.Closed Loop Transmit Diversity :The transmitter knows perfectly
about the channel. This information is obtained by means of
feedback from the receiver.
2.open loop transmit diversity:The transmission of signals from the
different antenna elements has to be done in such a way that it will allow the
receiver to distinguish different transmitted signal components. One such method is
called as delay diversity.
 STB encoder in transmit diversity
• If the selected antennas maximizes the Signal to Interference
Noise Ratio (SINR), then the transmit encoder receives
feedback channel state information from the receiver. This
attempts to fine encoding matrix which also maximizes SNR at
the receiver.
 STB encoder in transmit diversity
• Space-Time Block Coder (STBC) has emerged as an efficient
means of achieving near optimal transmitter diversity gain.
Assume that two transmit antennas and one receive antenna
are using in the transmit diversity.

X1 and X2 are the modulated symbols.

Antenna 1 transmit with X1, - X2*and antenna 2 transmit with
(X2,X1*)
STBC transmission matrix is expressed as
 STB encoder in transmit diversity
 An optimum transmission scheme linearly weights the signals
sent from the various antenna elements with the complex
conjugates of the channel transfer functions from the
transmit antenna elements to the single receive antenna.
 This approach is known as Maximum Ratio Transmission
(MRT). Here, the choice of antenna weights will maximize the
received SNR.
 RECEIVER DIVERSITY
 In receiver diversity, one transmitting antenna and many
receiving antennas are used. Here, the desired message is
transmitted by using single transmitting antenna and received
by multiple antennas.
 NR different antennas appropriately separated are deployed
at the receiver to combine the uncorrelated fading signals, It
is also called as space diversity.
1. Selection Diversity
2. Feedback Diversity
3. Maximum Ratio Combining Diversity
4. Equal gain Diversity
CHANNEL-STATE INFORMATION (CSI)
 CSI simply represents the properties of a communication link
between the transmitter and receiver.
 The CSI describes how a signal propagates from the
transmitter to the receiver and represents the combined
effect of, for example, scattering, fading, and power decay
with distance.
 The CSI at the transmitter is vital in MIMO systems in order to
increase the transmission rate, to enhance coverage, to
improve spectral efficiency and to reduce receiver
complexity.
CHANNEL-STATE INFORMATION (CSI)
 The CSI is usually estimated at the receiving end and then
quantized and fedback to the transmitter side. The
transmitter and receiver can have different CSI.
 Types of CSI
(i)Instantaneous CSI
 Instantaneous CSI is also known as short-term CSI.
Instantaneous CSI means that the current conditions of the
channel are known, which can be viewed as knowing the
impulse response of a digital filter.
 This gives an opportunity to adapt the transmitted signal to
the impulse response and thereby optimize the received
signal for spatial multiplexing or to achieve a low bit error
rates.
(ii) Statistical CSI.
Statistical CSI is also known as long-term CSI. It means that a
statistical characterization of the channel is known. This
description can include the type of fading distribution, the
average channel gain, the line-of-sight component, and the
spatial correlation.
 MIMO CSI Transmission
• Full CSI at Transmitter & Full CSI at
Receiver
• Average CSI at Transmitter & Full CSI at
Receiver
• No CSI at Transmitter & Full CSI at Receiver
• Noisy CSI
• No CSI at Transmitter & No CSI at Receiver
 CAPACITY OF MIMO
Shannon Capacity Theorem
 Channel capacity is the maximum mutual information of a
channel. Its significance comes from Shannon's coding
theorem and converse, which shows that the capacity is the
maximum error-free data rate a channel can support.
 Capacity is a channel characteristic - not dependent on
transmission or reception techniques or limitation.
In AWGN,
 Capacity in Fading (or) Frequency Selective
Channels
 Capacity for time-invariant frequency-selective fading
channels is hard, which results in a "water- filling" of power
over frequency. For time-varying ISI channels, the capacity
will be unknown.
 Approximately it is obtained by dividing up the bandwidth sub
bands of width equal to that of the coherence Bandwidth. We
assume independent fading in each subband.
 The capacity in each subband will be obtained by means of
flat-fading analysis. The power gets optimized over both the
frequencies and time.
• If we assume that ƩPK = P is independent of the number of antennas.
Then the equivalent capacity expression for equation is expressed
as,
 The distribution of power among the different antennas
depends on the amount of CSI at the transmitter and assumes
that the receiver has perfect CSI.
 Then the capacity increases linearly with min(NT,NR,Ns) where
Ns is the number of parallel data stream.
 Capacity in Flat-Fading (or) Non Fading Channels
Types of CSI:
(i) Fading statistics known,
(ii) Fade value known at the receiver- No CSI at TX and perfect CSI at the RX.
(iii) Fade value known at the transmitter and receiver- Perfect CSI
at the TX and RX.
 When only the fading statistics are known, the capacity will be difficult to
compute. Only known results are there for Finite State Markov channels,
Rayleigh fading channels, and block fading.
The two types of capacity possible in flat-fading MIMO systems are:
(i) Ergodic (Shannon) capacity,
(ii) Outage capacity.
Ergodic Capacity:
 It is the expected value of the capacity, taken over all realizations of the
channel. This quality assumes an infinitely long code that extends over all
the different channel realizations.

Outage Capacity:
 This is the minimum transmission rate that is achieved over a certain
fraction of time.
(1) No CSI at TX and perfect CSI at the RX

 By using Jensen's inequality this capacity always less than that of an

AWGN channel. This is the "Average" capacity formula, but transmission
rate is fixed.
 (2) Capacity with Fading Known at the Transmitter and Receiver (Full CSI
at TX and full CSI at the RX):
 For fixed transmit power, the same capacity will be available when only the
receiver knows fading. By Jensen's inequality, fading reduces capacity
w.r.t. AWGN for the fixed transmit power.
 Transmit power as well as transmission rate can be adapted. If the transmit
power S(ɼ) varies with ɼ with respect to an average power constraint 'S',
then the under variable rate and power of the channel capacity will be ,