CHAPTER- 5

INTRODUCTIONN TO
MIMO & OFDM
MULTIPLE INPUT MULTIPLE
OUTPUT SYSTEMS (MIMO)
 Aspirations

• High data rate wireless communications links with transmission

rates nearing 1 Gigabit/second (will quantify a “bit” shortly)

• Provide high speed links that still offer good Quality of Service
(QoS) (will be quantified mathematically)
 Aspirations (Mathematical) of a
System Designer
Achieve
High data rate “Channel Capacity (C)”

Quality
Minimize Probability of Error
(Pe)

Minimize complexity/cost of
implementation of proposed
Real-life Issues System
Minimize transmission power
required (translates into SNR)
Minimize Bandwidth (frequency
spectrum) Used
 Antenna Configurations
• Single-Input-Single-Output (SISO) antenna system
User data stream
channel
User data stream

 Theoretically, the 1Gbps barrier can be achieved using this

configuration if you are allowed to use much power and as
much BW as you so please!
 Extensive research has been done on SISO under power and
BW constraints. A combination a smart modulation, coding
and multiplexing techniques have yielded good results but far
from the 1Gbps barrier
 MIMO Systems:
 Use multiple transmit and multiple receive antennas
for a single user
 use multiple inputs and multiple outputs from a
single channel
 are defined by Spatial Diversity and Spatial
Multiplexing
 Spatial Diversity and Spatial Multiplexing

• Spatial Diversity
– Signal copies are transferred from multiple antennas
or received at more than one antenna
– redundancy is provided by employing an array of
antennas, with a minimum separation of λ/2 between
neighbouring antennas

• Spatial Multiplexing
– the system is able to carry more than one data stream
over one frequency, simultaneously
 MIMO Design Criterion

• MIMO Systems can provide two types of gain

Spatial Multiplexing Gain Diversity Gain

• Maximize transmission rate • Minimize Pe (conservative

(optimistic approach) approach)
• Use rich scattering/fading to • Go for Reliability / QoS etc
advantage
• Counter fading

 As expected, there is a tradeoff

 System designs are carried out to achieve a little bit of both.

MIMO-8
 Why MIMO?
• There is always a need for increase in performance in
wireless systems
– Significant increase in spectral efficiency and data
rates
– High Quality of Service (QoS)
– Wide coverage, etc.
• Wireless channel that we are using is very unfriendly
– Suffers from Co–channel interference and signal level
fading
– It provides a limited bandwidth
– power falls off with distance
 MIMO System solutions

• By using Multiple Output Multiple Input (MIMO) systems

– Diversity gain mitigates the fading and increases
coverage and improves QoS
– Multiplexing gain increases capacity and spectral
efficiency with no additional power or bandwidth
expenditure
– Array gain results in an increase in average receive
SNR.
• Spatial Diversity and Spatial Multiplexing can be
conflicting goals
 Spatial Multiplexing
• MIMO channels can be decomposed into a number of R parallel
independent channels → Multiplexing Gain
– Principle: Transmit independent data signals from different antennas to
increase the throughput, capacity.

Source: An Overview of MIMO Systems in Wireless Communications

www.iet.ntnu.no/projects/beats/Documents/mimo.pdf
 MIMO capacity on fading channels

• The capacity increase can be seen by comparing MIMO

systems with SISO, SIMO, and MISO systems
– SISO:capacity is given by Shannon’s classical formula:
2
C  B log (1  snr  h )
2

Where B is the BW and h is the fading gain

– SIMO (with M transmitting antennas), the capacity is given by [2]
m 2
C  B log (1  snr   h )
2 n
n 1
– MISO (with M transmitting antennas), the capacity is given by [2]

 snr  N 2
C  B log (1      h )
2  N  n 1 n
 MIMO capacity on fading channels

• The capacity for MIMO systems can have the following forms
(Assuming Tx antennas = Rx antennas = N):
A) If the channel is not known at the transmitter:

 Es  2
C  N log (1    h )
2  N 2  n
 
– Where Es is the total power, σ2 is noise level of AWGN
– Hence the power is equally shared by each channel
– The capacity grows linearly with the number of antennas
B) If the channel is known at the transmitter

N  En  2 
C   log (1     h )
n1  2  2  n 
  
Average capacity of a MIMO Rayleigh fading
channel []
60

55

50

45

40
Average Capacity [bits/sec/Hz]

35

30

25

20

15

10

0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
SNR [dB]

N=1 M=1 N=2 M=1 N=1 M=2 N=2 M=2 N=2 M=4 N=2 M=6 N=4 M=4 N=8 M=8

Source: Space-time Diversity Codes for Fading Channels, [3]

 Spatial Diversity
• Improves the signal quality and achieves a higher SNR at the
receiver-side
• Principle of diversity relies on the transmission of structured
redundancy

xi yi
 MIMO Diversity and Reliability

• The performance improvement in SNR and error probability for

MIMO can be compared with SISO, SIMO, and MISO
• The detailed calculation for SNR and Pe is shown in [1]
– SISO: y  hx  n
2 1
E hx Pe 
SNR(h)   SNR h
2
and SNR
En
2 1
2
– Receive Diversity (SIMO): yi  hi x  ni , i  1,2, N
1
N
Pe 
SNR(h)  SNR h
2
 SNR 
N
and
i 1  
 2 
 MIMO Diversity and Reliability

• The values for SNR and Pe for: M

– Transmit Diversity (MISO): y   hjx j  n
j 1

M 1
Pe 
SNR(h)  SNR  hj
2 and M
 SNR 
j 1 1  
 2 
– Transmit/Receive Diversity (MIMO): M
• The received signal at antenna i will be: yi   hijxj  ni
• H is the channel fading matrix j 1

2 1
SNR H 2 Pe 
 SNR( H )  SNR H and  SNR 
MN
min{N , M } 1  
 2 min{N , M } 
 MIMO Diversity Gain : Beamforming
• Beamforming takes advantage of interference to change the directionality of
the array.

• Beamformer controls the phase and relative amplitude of the signal at TX

• At the Rx side, information from different sensors are combined to a
preferentially observed radiation pattern
• Beam formers are usually smart antennas:
– Phased Array Systems (Switched Beamforming) with a finite number of fixed
predefined patterns.
– Adaptive Array Systems (AAS) (Adaptive Beamforming) with an infinite number of
patterns adjusted to the scenario in real time.
 MIMO Diversity Gain : Beamforming
• Beamforming provides diversity gain by coherent combining of the multiple
signal paths.

y=u*Hvx + u*n

• If H is known, the received SNR is optimized by choosing u and v as the

principal left and right singular vectors of the channel matrix H.

• Capacity for with beamforming is given as

 Diversity in MIMO

• Each pair of transmit-receive antennas provides a signal path from

transmitter to receiver. By sending the SAME information through
different paths, multiple independently-faded replicas of the data
symbol can be obtained at the receiver end.

• A diversity gain d implies that in the high SNR region, Pe decays at a

rate of 1/SNRd as opposed to 1/SNR for a SISO system

• The maximal diversity gain dmax is the total number of independent

signal paths that exist between the transmitter and receiver

• For an (MR,MT) system, the total number of signal paths is MRMT

1 ≤ d ≤ dmax= MRM

The higher the diversity gain, the lower the Pe

 Conclusion

• The capacity of Receive or Transmit Diversity grows logarithmically

with the number of antennas
• Capacity of MIMO increases linearly with the number of antennas
• Using Spatial Diversity:
– The SNR increases and Pe decreases when using MIMO
• Spatial Multiplexing and Spatial Diversity are conflicting objectives
• Capacity grows linearly with M for large M [3]
• As SNR increases the capacity grows linearly with M
• Thus even without CSIT there is a linear growth in capacity
• Capacity scales with number of Rx antennas and not Tx antennas
[2]
• Cost of linear growth of capacity: Demodulation complexity
 References

[1] MIMO Architecture for Wireless Communication: Intel Technology Journal,

vol. 10, Issue 02, May 2006
[2] MIMO Systems and Transmit Diversity,
www.comm.utoronto.ca/~rsadve/Notes/DiversityTransmit.pdf
[3] R.A. Carrasco, Space-time Diversity Codes for fading Channel,
Staffordshire University
[4] D. Gesbert, M.Shafi, D. Shiu, P. Smith, and A. Naguib, “From Theory to
Practice: An Overview of MIMO Space–Time Coded Wireless Systems”
IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 21,
NO. 3, APRIL 2003
[5] Introduction to MIMO Systems: Application Note 1MA102, Rohde & schwarz
 Orthogonal Frequency
Division Multiplexing (OFDM)
 OFDM Basic Concept
• Orthogonal Frequency Division Multiplexing (OFDM) is a multi-carrier
modulation scheme
– First break the data into small portions
– Then use a number of parallel orthogonal sub-carriers to transmit the data
• Conventional transmission uses a single carrier, which is modulated with all
the data to be sent

Single Carrier Company

Multi Carrier Company

Alternative representation
(OFDM)…….

• As the data rate increases in a multipath environment,

the interference goes from flat fading to frequency
selective (last reflected component arrives after symbol
period). This results in heavy degradation

• Most popular solution to compensate for ISI: equalizers

• As we move to higher data rates (i.e.> 1 Mbps),

equalizer complexity grows to level of complexity where
the channel changes before you can compensate for it!

• Alternate solution: Multi-carrier Modulation (MCM) where

channel is broken up into subbands such that the fading
over each subchannel becomes flat thus eliminating the
problem of ISI

Multi-carrier Modulation

FDMA OFDM
 OFDM Basic Concept
• OFDM is a special case of
Frequency Division Multiplexing
(FDM)
• For FDM
– No special relationship between the
carrier frequencies
– Guard bands have to be inserted to
avoid Adjacent Channel Interference
(ACI)
• For OFDM
– Strict relation between carriers: fk =
k·Df where Df = 1/TU
(TU - symbol period)
– Carriers are orthogonal to each other
and can be packed tight
 OFDM Spectrum

0.8
Normalized Amplitude --->

0.6

0.4

0.2

-0.2

-6 -4 -2 0 2 4 6
Normalized Frequency (fT) --->

• Spectra of Individual Sub-Carriers.

• Sub-Carrier Spacing = 1/(Symbol Duration)
• Slow-Roll off avoided using Raised Cosine (RC) Windowing.

28
OFDM Transmission model cont…

Channel, h(t)

Wireless channel
Modulator
and transmitter
Receiver and demodulator

23 Jan 2008 OFDM Competence Development 31

 Orthogonality – the essential property

• Example: Receiver branch k

– Ideal channel: No noise and no multipath

1   j 2  q  k  a k , k  q
TU N c 1 N c 1 TU 1
aq t

  aq  e j2 qDft
e  j2 kDft
dt   e
TU
dt  
 
TU 0  q 0  q 0 TU 0  0, k  q
Received signal, r(t)

Tu = 1/Df gives subcarrier orthogonality over one Tu

=> possible to separate subcarriers in receiver
Cont…
 OFDM Applications…
• Digital Video Broadcasting

• Digital Audio Broadcasting

• ADSL

• Wireless LANs

• OFDMA -Multiple Access.

36
 OFDM ADVANTAGES
• OFDM is spectrally efficient
– IFFT/FFT operation ensures that sub-carriers do not interfere
with each other.

• OFDM has an inherent robustness against narrowband

interference.
– Narrowband interference will affect at most a couple
of subchannels.
– Information from the affected subchannels can be
erased and recovered via the forward error
correction (FEC) codes.

• Equalization is very simple compared to Single-Carrier systems

37
 OFDM ADVANTAGES
• OFDM has excellent robustness in multi-path environments.
– Cyclic prefix preserves orthogonality between sub-
carriers.
– Cyclic prefix allows the receiver to capture multi-
path energy more efficiently.

• Ability to comply with world-wide regulations:

– Bands and tones can be dynamically turned on/off
to comply with changing regulations.

• Coexistence with current and future systems:

– Bands and tones can be dynamically turned on/off
for enhanced coexistence with the other devices.

38
 OFDM DRAWBACKS
• High sensitivity inter-channel interference, ICI

• OFDM is sensitive to frequency, clock and phase offset

• The OFDM time-domain signal has a relatively large peak-to-average

ratio
– tends to reduce the power efficiency of the RF amplifier
– non-linear amplification destroys the orthogonality of the OFDM
signal and introduced out-of-band radiation

39
 Conclusions
• OFDM and Adaptive Modulation allow for increased
performance in a time-varying channel

• Complicated communications system between three

software applications on two different processors

• Root-finding and Linear methods handle allocations with

clear tradeoffs.

40
Thank you for listening

Any Questions?