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MIMO Quadrature-OFDMA Systems


Lin Luo

, Jian (Andrew) Zhang

and Zhenning Shi

Institute for Telecommunications Research, University of South Australia, Mawson Lakes, SA 5095, Australia
Email: Lin.Luo@unisa.edu.au

Canberra Research Laboratory, National ICT Australia, Canberra, ACT 2601, Australia
Email: Andrew.Zhang@nicta.com.au

Alcatel-Lucent Shanghai Bell, Shanghai 201206, P.R.China


Email: Zhenning.Shi@alcatel-sbell.com.cn
AbstractTo alleviate the high peak-to-average power ratio
(PAPR), high complexity in user terminal and sensitivity to
carrier frequency offset (CFO) problems in current OFDMA
systems, a Quadrature OFDM (Q-OFDMA) system has been re-
cently proposed in the single-input single-output environment.
In this paper we investigate the realization of multi-input multi-
output (MIMO) diversity- and capacity- oriented methods in
Q-OFDMA systems. We construct an Alamouti-like space-
time block code (STBC) for Q-OFDMA signal symbols, and
investigate the ZF and MMSE equalizers to realize the simple
detection for spatial multiplexing (SM) Q-OFDMA systems.
I. INTRODUCTION
As an effective anti-multipath multiple access scheme,
orthogonal frequency division multiple access (OFDMA)
is endorsed by leading standards such as HIPERLAN/2,
IEEE802.16 and downlink in the 3GPP Long Term Evolution
(LTE). Nevertheless, to support a number of users access,
the number of subcarriers, N, in OFDMA systems is usually
very large, which provides exibility and high spectrum
efciency, at the expense of high complexity, severe PAPR,
and sensitivity to CFO in general. Alternatively, single car-
rier transmission with cyclic prex (CP) is a closely related
transmission scheme, which signicantly reduces PAPR and
CFO sensitivity, with the same multipath interference miti-
gation property as OFDM [1]. As an extension of the single
carrier with frequency domain equalization (SC-FDE) [1]
to accommodate multiuser access, single carrier frequency
division multiple access (SC-FDMA) [2] is adopted as the
uplink multiple access scheme in 3GPP LTE. However, noise
enhancement and higher complexity introduced by discrete
Fourier transform (DFT) spreading and inverse DFT (IDFT)
despreading limited the applications of SC-FDMA. More
importantly, from the viewpoint of user end (UE), usable
and legal resource blocks of subcarriers are limited, therefore
the complete FFT/IFFT computation for OFDMA and SC-
FDMA demodulations is not necessary especially under the
low-power consideration of the battery-driven handsets.
The Quadrature OFDMA (Q-OFDMA) systems [3] over-
come the aforementioned problems with improved perfor-
mance and reduced complexity. Based on the concept of
layered fast Fourier transform (FFT) structure [3], the in-
termediate domain is introduced and a Q-OFDMA system
has multiple small-size inverses (IFFTs) in the transmitter,
which results in a loss of the subcarrier orthogonality. While
at receiver, the orthogonality is recovered by FFT operations.
MIMO techniques have been recently gathered much at-
tention as a way to signicantly improve the performance of
wireless communications, comparing with traditional single-
antenna systems [4], [5]. By employing multiple antennas at
the transmitter and/or receiver, a MIMO system can provide
more reliable reception performance obtained through spa-
tial diversity and/or the achievable larger capacity through
spatial multiplexing (SM) [6][8]. The diversity gain and
spatial multiplexing gain are key advantages of utilizing
MIMO techniques, however, maximizing one type of the
gain may not necessarily maximize the other. It is shown
that both diversity and multiplexing gains can be achieved
simultaneously for a given MIMO channel, but there is a
fundamental trade-off between them [9].
Recent developments in MIMO techniques promise a
signicant boost in performance for OFDM systems [4], the
combination of MIMO and OFDM has the potential of meet-
ing the requirement of high data rate and high performance
over very challenging channels that may be time-selective
and frequency-selective. As a counterpart, in this paper,
we illustrate the realization of MIMO STBC and spatial
multiplexing in Q-OFDMA systems. Section II proposed a
suitable STBC for Q-OFDMA based on the signal relation-
ship between frequency-domain and intermediate-domain. In
Section III we investigate the spatial multiplexing application
in Q-OFDMA and proposed the ZF and MMSE criteria
to perform equalization. Simulation results are presented in
Section IV.
Notations: In the sequel of this paper, x stands for a
frequency-domain symbol, x stands for an intermediate-
domain symbol, and x stands for a time-domain symbol.
II. SPACE-TIME BLOCK CODING IN Q-OFDMA
Spatial diversity can be obtained by transmitting each
symbol from spatially separated antennas and energy of
radio signals spread in the space and time. The Alamouti
scheme is historically the rst STBC to provide full transmit
diversity for systems with two transmit antennas [10]. Delay
diversity schemes [11] can also achieve a full diversity, but
they introduce interference between symbols and complex
978-1-4244-5213-4/09/ $26.00 2009 IEEE 2739
2
TABLE I: The Alamouti coding scheme for at fading
channels.
Time 1 Time 2
Tx antenna 1 x
1
x

2
Tx antenna 2 x
2
x

1
TABLE II: The Alamouti coding scheme for frequency
selective fading channels.
Time 1 Time 2
Tx antenna 1 Fx
1
Fx

2
Tx antenna 2 Fx
2
Fx

1
detectors are required at the receiver [6]. Alamouti scheme
is originally formulated for at fading channels, the encoding
is done in space and time, which is shown in Table I. By
employing block transmission and the pre-multiplying DFT
matrix, F, the Alamouti scheme can be extended to combat
frequency selective fading channels with OFDM [12], which
is shown in Table II.
In this section, we analyze an Alamouti-like STBC in Q-
OFDMA systems, the system diagram is shown in Fig. 1.
Recall the system model of Q-OFDMA system:
y = F
P
y = F
P

Hx + F
P
n (1)
= DF
P
x + n, (2)
where the subscripts are neglected, the factor

N is
absorbed in D, and the relationship between signals in
frequency-domain and intermediate-domain is showed as
x = F
P
x. From Equation (2) we discover that Q-OFDMA
system actually resembles to the results obtained in precoded
OFDM systems, with a precoding DFT matrix F
P
. Thus the
modied Alamouti scheme for frequency selective fading
channels, shown in Table II, is suitable for Q-OFDMA
system without introducing any complexity relating to DFT
precoder in the transmitter. However, we should notice that
Equation (2) is an equivalent system model via a few
algebraic manipulations from its actual system model in
Equation (1), there is not an actual pre-multiplying DFT
matrix F
P
at the transmitter. Therefore, the key challenge of
realizing Alamouti scheme in Q-OFDMA system is nding
the encoding and transmission sequence scheme in the
intermediate domain, letting F
P
x has the Alamouti format.
In the following we will investigate the Alamouti-like STBC
in Q-OFDMA system with two transmit antennas and n
R
receive antennas, whose encoding is in the intermediate
domain and decoding is in the frequency domain.
Denote at subchannel q, the p-th intermediate-domain
symbol of l-th transmitted block from transmit antenna j by
_
x
(l)
q
(p)
_
j
, where q = 0, 1, . . . , Q1, p = 0, 1, . . . , P 1
and l = 0, 1, . . .. At times 2l = 0, 2, 4, . . ., STBC per-
forms a precoding operation between two blocks (x
(2l)
q
,
User k
Output
Coding
Inter-
leaving
Modu-
lation
Interleaving
& P/S
Add
CP
Remove
CP
S/P
P Q-point
FFTs
Equali-
zation
Demodu-
lation
Deinter-
leaving
De-
coding
P Q-point
IFFTs
Coding
Inter-
leaving
Modu-
lation
Coding
Inter-
leaving
Modu-
lation
Subchannel
Assignment
Subchannel
Collection
User k Input
User 1 Input
Spatical
Mapping
User K Input
Weighting
Subchannel
Assignment
Weighting
Add
CP
P Q-point
IFFTs
Weighting
P-point
FFTs
Spatical
Demapping
Remove
CP
S/P
P Q-point
FFTs
Subchannel
Collection
Weighting
P-point
FFTs
Spatical
Demapping
P-point
IFFTs
Interleaving
& P/S
MIMO
Channel
Fig. 1: STBC for Q-OFDMA System
x
(2l+1)
q
) onto two antennas over two successive time inter-
vals, where x
(2l)
q
= [ x
(2l)
q
(0), x
(2l)
q
(1), . . . , x
(2l)
q
(P 1)]
T
and x
(2l+1)
q
= [ x
(2l+1)
q
(0), x
(2l+1)
q
(1), . . . , x
(2l+1)
q
(P 1)]
T
.
If we let x
(2l)
q
= F
P
x
(2l)
q
and x
(2l+1)
q
= F
P
x
(2l+1)
q
, each
element in x
(2l)
q
and x
(2l+1)
q
can be solved jointly at a similar
behavior to STBC Q-OFDMA.
According to the Fourier transform theorem for complex
conjugation operation [13]
x

(n) x

(), (3)
we dene
_
x
(l)
q
(p)
_
#

_
x
(l)
q
((p)modP)
_

, (4)
and get
_
x
(l)
q
_
#
=
_
_
x
(l)
q
(0)
_
#
,
_
x
(l)
q
(1)
_
#
, . . . ,
_
x
(l)
q
(P 1)
_
#
_
T
, (5)
where ()

and ()modP denote complex conjugation and


modulo-P operations, respectively. From Equation (5) and
(4) we get
_
x
(l)
q
_
#
=
__
x
(l)
q
(0)
_

,
_
x
(l)
q
(P 1)
_

, . . . ,
_
x
(l)
q
(1)
_

_
T
, (6)
_
x
(l)
q
_

=F
P
_
x
(l)
q
_
#
=
__
x
(l)
q
(0)
_

,
_
x
(l)
q
(1)
_

, . . . ,
_
x
(l)
q
(P 1)
_

_
T
, (7)
which applying the Alamouti-like STBC rule to encode the
two consecutive intermediate-domain blocks in Q-OFDMA
shown in Table III.
Denote at subchannel q,
_
y
(m)
q
_
i
is the m-th received
block in the intermediate-domain on receiver antenna i,
which is given by
_
y
(m)
q
_
i
=
_

H
(m)
q
_
i1
_
x
(m)
q
_
1
+
_

H
(m)
q
_
i2
_
x
(m)
q
_
2
+
_
n
(m)
q
_
i1
+
_
n
(m)
q
_
i2
,
(8)
for q = 0, 1, . . . , Q1; m = 2l, 2l + 1; i = 1, 2, . . . , n
R
where
_

H
(m)
q
_
i1
and
_

H
(m)
q
_
i2
represent the circulant chan-
nel matrices from transmit antenna 1 and 2, respectively,
over block m, to the i-th received antenna, and
_
n
(m)
q
_
ij
is the noise symbols between the j-th transmit antenna and
the i-th received antenna. Analogous to the single-transmit
case, by applying the normalized P-point DFT matrix F
P
2740
3
TABLE III: The STBC and transmission intermediate-
domain sequence for the two-branch transmit diversity
scheme of Q-OFDMA systems.
On q-th subchannel Time 2l Time 2l + 1
Tx antenna 1 x
(2l)
q

_
x
(2l+1)
q
_
#
Tx antenna 2 x
(2l+1)
q
_
x
(2l)
q
_
#
TABLE IV: The STBC and transmission frequency-domain
sequence for the two-branch transmit diversity scheme of
Q-OFDMA systems.
On q-th subchannel Time 2l Time 2l + 1
Tx antenna 1 x
(2l)
q

_
x
(2l+1)
q
_

Tx antenna 2 x
(2l+1)
q
_
x
(2l)
q
_

to
_
y
(m)
q
_
i
, we get
_
y
(m)
q
_
i
=
_
D
(m)
q
_
i1
_
x
(m)
q
_
1
+
_
D
(m)
q
_
i2
_
x
(m)
q
_
2
+
_
n
(m)
q
_
i1
+
_
n
(m)
q
_
i2
, (9)
for i = 1, 2; m = 2l, 2l + 1; l = 0, 1, . . .
where
_
y
(m)
q
_
i
= F
P
_
y
(m)
q
_
i
,
_
x
(m)
q
_
j
= F
P
_
x
(m)
q
_
j
,
_
n
(m)
q
_
i
= F
P
_
n
(m)
q
_
i
, and
_
D
(m)
q
_
ij
= F
P
_

H
(m)
q
_
ij
F
H
P
is a diagonal channel matrix in frequency domain between
transmitter antenna j and receiver antenna i, whose diagonal
elements equal to the DFT coefcient of the rst column
vector in
_

H
(m)
q
_
ij
.
Based on Table III and the signals relationship between
the intermediate domain and frequency domain, the STBC
encoding rule for Q-OFDMAs frequency symbols can be
expressed as in Table IV.
We assume that
_

H
(m)
q
_
ij
is time invariant over two
consecutive blocks, i.e.,
_
D
(m)
q
_
ij
=
_
D
(m+1)
q
_
ij
(D
q
)
ij
, (10)
Based on Table IV, combine equations (9) and (10), and
subsume two received consecutive blocks to
_
y
q
_
i

_
(D
q
)
i1
(D
q
)
i2
(D
q
)

i2
(D
q
)

i1
_
. .
(q)
i

_
x
(2l)
q
_
1 _
x
(2l)
q
_
2

_
n
(2l)
q
_
i1
+
_
n
(2l)
q
_
i2
_
n
(2l+1)
q
_

i1
+
_
n
(2l+1)
q
_

i2

, (11)
where
_
x
(2l)
q
_
1
= x
(2l)
q
and
_
x
(2l)
q
_
2
= x
(2l+1)
q
dened in
Table IV.
Since (
q
)
i
is an orthogonal matrix, the blocks can be
decoupled by multiplying both sides of (11) by (
q
)
H
i
. This
yields
_
y
q
_

i
(
q
)
H
i
_
y
q
_
i
= (
q
)
H
i
(
q
)
i
_
x
(2l)
q
x
(2l+1)
q
_
+ (
q
)
H
i

_
n
(2l)
q
_
i1
+
_
n
(2l)
q
_
i2
_
n
(2l+1)
q
_

i1
+
_
n
(2l+1)
q
_

i2

, (12)
(
q
)
H
i
(
q
)
i
=
_
|(D
q
)
i1
|
2
+|(D
q
)
i2
|
2
0
0 |(D
q
)
i1
|
2
+|(D
q
)
i2
|
2
_
(13)
Combining the received symbols from all of the receiver
antennas, we can express the received 2l-th block as
y
(2l)
q
=
nR

i=1
2

j=1
|(D
q
)
ij
|
2
x
(2l)
q
+
nR

i=1
(D
q
)
i1
__
n
(2l)
q
_
i1
+
_
n
(2l)
q
_
i2
_
+
nR

i=1
(D
q
)

i2
__
n
(2l+1)
q
_

i1
+
_
n
(2l+1)
q
_

i2
_
,
y
(2l+1)
q
=
nR

i=1
2

j=1
|(D
q
)
ij
|
2
x
(2l+1)
q
+
nR

i=1
(D
q
)
i2
__
n
(2l)
q
_
i1
+
_
n
(2l)
q
_
i2
_

nR

i=1
(D
q
)

i1
__
n
(2l+1)
q
_

i1
+
_
n
(2l+1)
q
_

i2
_
, (14)
for l = 0, 1, 2, . . .
Similar to the orthogonal space time coded OFDM, the
proposed STBC Q-OFDMA can exploit the space diversity,
which equals to 2n
R
for two transmit antennas and n
R
receive antennas. However, the potential multipath diver-
sity offered by frequency-selective fading channels is not
exploited. We also note there is a one-to-one relationship
between x and x = F
P
x, hence the proposed receiver
is suboptimum with low complexity, and the maximum-
likelihood sequence estimation (MLSE) receiver would give
the optimum symbol estimates with high complexity.
III. SPATIAL MULTIPLEXING IN Q-OFDMA
Recall the intermediate-domain signal relationship in the
single -input single-output (SISO) Q-OFDMA systems:
y
q
=

H
q
x
q
+ n
q
, (15)
where y
q
= ( y
0,q
, y
1,q
, . . . , y
P1,q
)
T
is the qth users
received intermediate-domain signal,

H
q
is a circulant ma-
trix [3], x
q
= ( x
0,q
, x
1,q
, . . . , x
P1,q
)
T
is the qth users
transmitted intermediate-domain signal with variance
2
x
,
and n
q
contains AWGN samples, each having zero mean
and variance
2
n
. Frequency domain equalization (FDE),
promising low complexity, is associated with single carrier
2741
4
User 1 Output
Coding
Inter-
leaving
Modu-
lation
Interleaving
& P/S
Add
CP
Remove
CP
S/P
P Q-point
FFTs
Equalization
&
Decounpling
Demodu-
lation
Deinter-
leaving
De-
coding
P Q-point
IFFTs
Coding
Inter-
leaving
Modu-
lation
Coding
Inter-
leaving
Modu-
lation
Subchannel
Assignment
Subchannel
Collection
User k Input
User 1 Input
Spatical
Mapping
User K Input
Weighting
Subchannel
Assignment
Weighting
Add
CP
P Q-point
IFFTs
Weighting
P-point
FFTs
Remove
CP
S/P
P Q-point
FFTs
Subchannel
Collection
Weighting
P-point
FFTs
P-point
IFFTs
Interleaving
& P/S
MIMO
Channel
User k Output
Demodu-
lation
Deinter-
leaving
De-
coding
P-point
IFFTs
User K Output
Demodu-
lation
Deinter-
leaving
De-
coding
P-point
IFFTs
Fig. 2: Spatial multiplexing in Q-OFDMA system
transmission but it can easily be adapted to Q-OFDMA
systems as
y

q
= F
H
P
WF
P

H
q
x
q
+ F
H
P
WF
P
n
q
, (16)
where F
P
is the normalized P-point DFT matrix, the su-
perscript
H
denotes the Hermitian conjugate, and W is the
equalizer matrix.
In the MIMO case, spatial diversity is a means to combat
fading, while SM is a way to exploit fading to increase the
capacity. Fig. 2 shows the SM in the Q-OFDMA systems,
which speeds the communication by transmitting multiple
data symbols from multiple antennas, and the received
signal from all receive antenna are detected and equalized
simultaneously by the equalizer in one step. Consider the
system in Fig. 2 with n
T
transmit- and n
R
receive-antennas,
and it is assumed that n
T
= n
R
= M. Consider all M
blocks of transmitted symbols given by
x = (x
0
, x
1
, . . . , x
M1
)
T
, (17)
where each block contains P symbols transmitted from one
of n
T
transmit antennas. In the MIMO scenario, if the
path gains among individual transmit-receive antenna pairs
fade independently such that the channel matrix is well-
conditioned, multiple parallel spatial channels can be created
as

H =

H
0,0

H
0,1
. . .

H
0,M1

H
1,0

H
1,1
. . .

H
1,M1
.
.
.
.
.
.
.
.
.
.
.
.

H
M1,0

H
M1,1
. . .

H
M1,M1

, (18)
where each element

H
i,j
, which is a circulant matrix,
indicates the channel transmitted from j-th transmit antenna
to i-th receive antenna.
The received signal can equivalently to the SISO case,
Equation (16), be expressed as
y

= D
H
F
WD
F

Hx + D
H
F
WD
F
n, (19)
where D
F
= I
M
F
P
and D
H
F
= I
M
F
H
P
are block-
diagonal matrices, I
M
is a M-by-M identity matrix,
stands for the Kronecker product, and n is an MP-by-1
vector of complex Gaussian noise terms.
Similar to the SISO case of Q-OFDMA systems, we can
diagonalize each submatrix of

H by

H
D
= D
F

HD
H
F
(20)
=

D
0,0
D
0,1
. . . D
0,M1
D
1,0
D
1,1
. . . D
1,M1
.
.
.
.
.
.
.
.
.
.
.
.
D
M1,0
D
M1,1
. . . D
M1,M1

, (21)
where D
j
= F
P

H
i,j
F
H
P
is a P-by-P diagonal channel matrix
in frequency domain between the jth transmit antenna and
the ith receive antenna. Equation (19) can be rewritten as
y

= D
H
F
W

H
D
D
F
x + D
H
F
WD
F
n. (22)
Thus the simplest ZF equalizer can be expressed as
W
ZF
=

H
1
D
. (23)
ZF equalizer in MIMO Q-OFDMA is prone to the noise
enhancement and error propagation if the frequency channel
response has deep fades, similar to those in SISO Q-OFDMA
systems. MMSE equalizer can decrease noise amplication
by minimize the squared Euclidean distance between the
equalized received signal and the corresponding transmitted
signal. The MMSE equalizer matrix W
MMSE
can be dened
by [14]
W
MMSE
= arg min
W
E|x y

|
2
,
where E| | denotes the expectation operation. Based on
Equation (22), the performance index for the MSE criterion,
denoted by J, is dened as
J E|x y

|
2
= E|x D
H
F
W

H
D
D
F
x D
H
F
WD
F
n|
2
=
2
x
I
MP
+
2
x
D
H
F
W

H
D

H
H
F
W
H
D
F

2
x
D
H
F
W

H
D
D
F

2
x
D
H
F

H
H
D
W
H
D
F
+
2
n
D
H
F
WW
H
D
F
, (24)
where I
MP
is the MP-by-MP identity matrix.
In order to get W that minimizes Equation (24), we let the
partial derivative of function J with respect to W
H
equate
to the MP-by-MP zero matrix,
J
W
H
0 =
2
x
W

H
D

H
H
D

2
x

H
H
D
+
2
n
W = 0, (25)
which provides the MMSE equalizer is
W
MMSE
=

H
H
D
_

H
H
D

H
D
+

2
n

2
x
I
MP
_
1
. (26)
From Equation (23) and (26) we nd that SM-QOFDMA
has the same equalization complexity with that of SM-
OFDMA. With n
T
= n
R
= M, the complexity of the
receiver is about Mg(M), where g(M) is the complexity of
spatial processing. Furthermore, the channel matrix inversion
for MIMO-QOFDMA receivers can be efciently done by
interpolation-based methods [15].
IV. SIMULATION RESULTS
In this section, we present the simulation results of the
BER performance of MIMO Q-OFDMA systems, including
2742
5
10 15 20 25 30
10
4
10
3
10
2
10
1
10
0
SNR (dB)
B
E
R
coderate:1 det:1 ,mod:3


SISO, P=64, with channel coding
SISO, P=16, with channel coding
SISO, P=64, without channel coding
SISO, P=16, without channel coding
STBC, 2X1, P=16, with channel coding
STBC, 2X1, P=64, with channel coding
Fig. 3: BER performance comparison between Q-OFDMA
systems without channel coding, with 1/2 convolutional
channel coding, with STBC, in CM2 channel model, with
16QAM modulation and ZF equalizer.
5 10 15 20 25
10
4
10
3
10
2
10
1
10
0
SNR (dB)
B
E
R


1x1
2x2
4x4
Fig. 4: BER performance of SM Q-OFDMA systems for
different antenna constellations, in CM2 channel model, with
16QAM modulation and MMSE equalizer.
STBC nd SM. The parameter N is xed to 256. The HIPER-
LAN/2 channel model E from ETSI is adopted. This is a
dense indoor multipath channel model with non-line-of-sight
conditions. Channel estimation is assumed to be perfect.
System imperfections such as CFO and PAPR distortions are
not considered in the numerical computation and simulation.
We assume that each transmit antenna radiates proportion of
the energy in order to ensure the same total radiated power
as with one transmit antenna.
Fig. 3 shows the BER performance of the STBC with
two transmitters and one single receiver. The STBC achieves
spatial diversity gain comparing with the SISO Q-OFDMA,
and 2 1 STBC Q-OFDMA have diversity gain about 3dB
at a BER of 10
4
. We also nd that larger P offers higher
diversity in Q-OFDMA systems. For example, STBC Q-
OFDMA with P = 16 achieves around 3dB diversity gain
than coded SISO Q-OFDMA with P = 16, while coded
SISO Q-OFDMA with P = 64 has another 3dB than STBC
Q-OFDMA with P = 16. Fig. 4 shows the BER per-
formance of SM Q-OFDMA systems for different antenna
constellations. Although the power of the transmitted signal
per transmit antenna decreases as the numbers of transmit
and receive antennas increase, the MMSE equalizer reduces
the gaps between different transceiver pairs.
V. CONCLUSIONS
In this paper, we give an overview of the realization
of MIMO spatial diversity and multiplexing in Q-OFDMA
systems. Based on the relationship between frequency-
domain signal and intermediate-domain one, we proposed an
Alamouti-like STBC for the Q-OFDMA systems to collect
the transmit- and receive- diversity. We also investigate
the ZF and MMSE equalizer to realize the simple MIMO
detector for spatial-multiplexing Q-OFDMA systems, the
complexity basically linearly increases with the number of
the transmitter antennas.
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