MIMO Wireless Communications over Generalized

Fading Channels

MIMO for 5G Mobile Communications

Dr. Brijesh Kumbhani

Prof. Rakhesh Singh Kshetrimayum
 Introduction
• Point-to-point MIMO: Discussed in previous chapters
• Single transmitter single receiver
• Multiple antennas at single location (with sufficient spacing)
• Also known as single user MIMO

• Multiuser MIMO
• Single/Multiple transmitters and single/multiple receivers with
single/multiple antennas at one/both the transmitter and receiver
• May be regarded as virtual MIMO
• Multiple antennas distributed across locations
 Some issues with point-to-point MIMO
• No multiplexing gain for rank deficit channels
• Line-of-sight propagation
• Keyhole channel
• Full potential of MIMO can not be utilized

• Multiple RF chains
• Bulky hardware
• TAS simplifies the hardware
• But at the cost of feedback from receiver to transmitter
 Some issues with point-to-point MIMO
• Size and inter antenna spacing
• Base station: no constraint
• Mobile station: limited size – large number of antennas not possible
• mmWave frequencies may be a solution

• Channel estimation overhead

• Large MIMO systems: 100s of antennas at each terminal
• Large size of pilot signals

• Multi-user MIMO : A Solution?

 Multiuser MIMO (MU-MIMO)
• Overcomes shortcomings of point-to-point MIMO

• Single base station with several antennas

• Multiple users with single antennas

• Let Base station has M antennas

• Usually M is greater than or equal to total number of users/user
antennas

• K number of users with single antennas

• Users may have multiple antennas too
• Single antenna user is a simplified model
MU-MIMO

MU-MIMO system with transmitter employing M=4 antennas serving K=4 users
with single antenna (highly simplified model)
 Multiuser MIMO (MU-MIMO)
• Two types of Communication in this scenario

• Downlink (DL): communication from base station to mobile

user

• Uplink (UL): Communication from mobile user to base

station
 Multiuser MIMO uplink
• Multiple access for K mobile users

• K users transmit signal to base station

• Each user may have single or multiple antenna

• Single antenna: one symbol per transmission

• Multiple antenna: Symbol vector per transmission

 Multiuser MIMO uplink
• Let signal transmitted by ith user is

• For general representation transmitted signal is shown as

vector of symbols for multiple antenna

• Channel matrix for each user can be given as

Multiuser MIMO uplink

MU-MIMO system with transmitter employing M antennas

serving K users with single antenna (uplink)
 Multiuser MIMO uplink
• The signal received at the BS can be given as
yUL  HUL xUL  nUL

• Where the channel matrix is combined channel matrix for

all the users, given as

HUL   H1UL HUL

2  H UL
K 

• Symbol vector is given as

 x1UL 
 UL 
UL  x2 
x 
 
 UL 
 x K 
 Multiuser MIMO uplink
• is the AWGN with zero mean and diagonal covariance
matrix.

• Note: uplink transmission is like spatial multiplexing

But from different locations

• Multiple users regarded as single transmitter with multiple

antennas

• Challenge: synchronization of transmission from multiple

users
 Multiuser MIMO downlink
• Communication from BS to mobile users

• Channel is considered as broadcast channel

• BS broadcast user data at using same time frequency

resources

• Usually, uplink and downlink transmissions are done using

time division duplexing (TDD)
Multiuser MIMO downlink

MU-MIMO system with transmitter employing M antennas

serving K users with single antenna (downlink)
 Multiuser MIMO downlink
• It is assumed that the channel state information is available
only with the BS

• Users do not have CSI

• BS uses the reciprocity property of the channel

• Precoding is done while transmission

• Detection without requiring CSI at the mobile user
 Multiuser MIMO downlink
• The signal received at the mobile terminal can be given as
y DL  (HUL )T x DL  n DL

• Where the channel matrix, used for precoding, is combined

channel matrix for all the users, given as

HUL   H1UL HUL

2  H UL
K 

• Received signal vector containing K users’ data is given as

 y1DL 
 DL 
 y2 
y DL 
 
 DL 
 y K 
 Massive MIMO
• Several antennas at the BS

• Few antennas at the mobile user (usually one or two)

• A special case of MU-MIMO

• Assume, number of antennas at BS tends to infinity

• Total of user antennas is much less than the No. of

antennas available at the base station
 Massive MIMO
• Mobile station small number of antennas (one or two)
• Most signal processing at base station
• Small mobile device
• No/less receive diversity

• Interference management by base station

• Beamforming in downlink – reduction in interference and energy
requirements
• Uplink – separation of user signals at the base station through signal
processing

• TDD massive MIMO

• Scalable system in terms of number of antennas
• Channel estimation time is independent of the number of BS antennas
Massive MIMO

MU-MIMO system for a single base station employing M=14

antennas serving K=3 users with single antenna (downlink
 Massive MIMO

• High spectral efficiency and diversity order*:

Simultaneous transmission/reception from many antennas

• Better energy efficiency*: uplink transmission power

inversely varying with the number of base station
antennas

• * As compared to the base station with single antenna

 Massive MIMO: uplink capacity

• Consider M antenna BS serving K single antenna users

• Channel coefficient between ith user to jth BS antenna

h ji  g ji di
• is small scale fading coefficient and
• is large scale fading coefficient
 Massive MIMO: uplink capacity
• The uplink channel matrix can be given as

H uplink  GD1/2
• with the matrices represented as

 d1   g11 g12 g13  g1K 

 d2  g g 22 g 23  g 2 K 
D   G  21

         
   
 dK   gM 1 gM 2 gM 3  g MK 
 Massive MIMO: uplink capacity
• When the channels are independent/orthogonal

(H uplink ) H H uplink  D1/2G H GD1/2  MD

• Also, known as channel favorable condition

• For , favorable condition is satisfied

• In different channel conditions
• For different antenna array configurations
 Massive MIMO: uplink capacity
• Channel favorable conditions:

• Irrespective of fading distribution

• Classical/generalized fading channels

• Vast spatial diversity small scale randomness dies

 Massive MIMO: uplink capacity
• Let, equal transmission power for uplink to each user

• Uplink capacity can be evaluated as

uplink  PMD 
C M  K  log 2 det  I K  2 
 K n 
• Further, it can be simplified as

K
 PMdi 
C uplink
M  K   log 2 1  2 
i 1  K  n 
 Massive MIMO: uplink capacity
• Capacity: Sum of individual user capacity

• Decoupled signals are obtained through matched filtering

• Matched filter is simple linear processing as follows

(H uplink ) H y uplink  (H uplink ) H (H uplink xuplink  nuplink )

 Massive MIMO: uplink capacity
• Further, use the substitutions

(H uplink H
) y uplink 
y
uplink

(H uplink ) H nuplink  n
uplink

• Decoupled signals are obtained as


y
uplink
 MDx uplink 
n
uplink

• being the diagonal matrix, signals are decoupled

 Massive MIMO: uplink capacity

• After matched filtering

• Signal decoupling is obtained, i. e.

• K parallel independent Gaussian channels

• Each user SNR is obtained as

• Total Capacity is sum of channel capacity of each user

 Massive MIMO: downlink capacity
• BS has CSI. So, Adaptive power allocation is possible

• Let, power allocation matrix is

 p1 
 p2 
 
  
 
 pK 
• with sum of all user power as constant for each
transmission, i.e.
K

p
i 1
i P
 Massive MIMO: downlink capacity

• The channel capacity can be given as

downlink  PMD P D 
C M  K  max log 2 det  I K  2 
Dp
  n 

• Base station knowing CSI, uses precoding as

1 1

downlink uplink * 2 downlink
x prec  (H )D D x 2
p
 Massive MIMO: downlink capacity
• The downlink received signal can be given as

y downlink  (H uplink )T x downlink

prec  n downlink

• For favorable channel conditions

1 1
y downlink  MD D x
2 2
p downlink  n downlink

• Again, signal decoupling is obtained in the downlink too.

 Massive MIMO: downlink capacity
• Linear precoding is used at BS to obtain enhanced capacity
through adaptive power allocation

• Some assumptions for capacity analysis are:

• Orthogonal channles

• Perfect CSI at the BS

• Reciprocal channel
 Massive MIMO: downlink precoding
• CSI is estimated only at the BS

• Assume reciprocal channels

• No CSI is required at the mobile user

• Capacity analysis: presented for single cell

• Practical: many cells near by (Figure in next slide)

• Interference to/from near-by cells
 Massive MIMO: Multicell network

Multi-cell MIMO based cellular network (BS equipped with M=14

antennas and single antenna MS or user, each cell has K=2 users for
illustration purpose)
 Massive MIMO: downlink precoding
• Pilot transmission from users
• Orthogonal pilots from every user
• Limited number of orthogonal pilots

• Pilots may be reused in other cells for multicell networks

• This causes interference of pilot signals

• Received signal: linear combination of pilots from home cell

and neighbour cell
 Massive MIMO: downlink precoding

• Pilot signal power: proportional to distance of user from the

BS

• Cell edge user transmits more power

• This results in interference to the neighbouring cell while

CSI estimation known as pilot contamination
 Massive MIMO: downlink precoding
• Due to pilot contamination, matched filter precoding fails for
downlink transmission

• Other precoding techniques are useful, like

• Zero forcing (ZF)

• Regularized zero forcing (RZF)

• Minimum mean square error (MMSE)

 Massive MIMO: downlink precoding
• Multiplier for downlink precoding can be given by

1  H   H
WRZF  ( H l ) ( H l ( H l )   I K ) 1
l
• where with as the estimated CSI at lth base station, and

 dl l 
 1 
 dl2l 
dll   
  
 
 dlK l 
 Massive MIMO: downlink precoding
• The above precoding multiplier is a general case for RZF.

• Some of the special cases of RZF are:

• for MF

• for ZF

• for MMSE
 Massive MIMO: downlink precoding

• Base station cooperation : to combat pilot contamination,

also known as coordinated multipoint transmission (CoMP)

• Two types : Full or Partial cooperation

• Full cooperation: Network MIMO

• Partial cooperation: coordinated beamforming/scheduling

 Massive MIMO: Challenges
• Loss of reciprocity in uplink and downlink channels

• Limited number of orthogonal pilots: pilot reuse leading to

pilot contamination
• High interference at the cell edge

• No CSI at base station prior to link establishment

• Transmit beamforming not possible
• STBC may be used

• Favourable channel condition may not satisfy all the time

leading to performance degradation
 Massive MIMO: outage probability
• Outage probability: a metric of system performance

• Consider downlink transmission for user outage probability

• Suppose BS use MF precoding and each user has single

antenna

• Transmitted signal at BS can be represented as

P K
x downlink

KM
 i ) xi
(h
i 1
uplink H
 Massive MIMO: outage probability

• Received signal at the ith user is

P uplink uplink H P K
yi 
KM
hi (hi ) xi 
KM

j 1, j  i
hiuplink (h uplink
j ) H
xi  ni

• Received signal comprises of three components

• intended signal (first term),
• interference (second term), i.e. signal for other users
• Noise () – let it be zero mean unit variance
 Massive MIMO: outage probability
• The signal to interference plus noise ratio in this can be
given by
Pu MX i2
SINRi 
1  PuYi

• where is the power per user (equal power allocation),

 Massive MIMO: outage probability
• In general, and may be assumed to be coming from any
distribution depending on the scenario

• Consider they are Gamma distributed for this analysis

• The PDF of can be given as

x M 1e  Mx
f X i ( x)  M
 1 
   M  1!
M 
• So,
 Massive MIMO: outage probability
• The PDF of can be given as

cm 1

y exp( y / c3 )
fYi ( y )  (1  c1 )  c1m

m0 c3cm (cm  1)!

• where ,
 Massive MIMO: outage probability

• The PDF of can be simplified as

n
 K 3
y 
fYi ( y )  c4c1 ( K  2) e  c4 y  e  c3 y  (c3c1 ) 2 
 n0 n! 

• where,
 Massive MIMO: outage probability
• On simplification the above expression reduces to

 M 1 1 
Poutage  Prob   Y 
  th Pu i

• It can be evaluated as

nK 2 c5
c
K 3 1
(n  1, )
c3
Poutage  c1 ( K  2) e  c2c5  (1  c1 ) 
n 0 n!
 Massive MIMO: outage probability
• The outage probability can be given as

 Pu MX i2 
Poutage  Prob    th 
 1  PuYi 
• So, the approximate outage probability can be given as

n K 2 c5
c
K 3 1
(n  1, )
c3
Poutage  c1 ( K 2) e  c2c5  (1  c1 ) 
n 0 n!

• where and
 mmWave Massive MIMO

• To be implemented at mmWave frequency region

• Shorter wavelength – smaller antenna size – allows large

number of antennas at single terminal

• One of the technology candidate for 5G communication

 mmWave Massive MIMO
5G mobile technology requirements and comparison with 4G

Parameter Unit 5G 4G
Area traffic capacity Mbps/m2 10 0.1
Peak data rate Gbps 20 1
User experienced Mbps 100 10
data rate
Spectrum efficiency 3X 1X
Energy efficiency 100X 1X
Connection density devices/km2 106 105
Latency ms 1 10
Mobility km/h 500 350
 mmWave Massive MIMO
Ten pillars for 5G mobile wireless communications

• Small cells

• mmWave

• Massive MIMO

• Multi-radio access technology (RAT)

• Self organizing networks (SON)

 mmWave Massive MIMO
Ten pillars for 5G mobile wireless communications

• Device-to-device (D2D) communications

• Backhaul

• Energy efficiency (EE)

• New spectrum and its sharing

• Radio access network (RAN) virtualization

 mmWave Massive MIMO
Three big pillars for 5G mobile wireless communications

• Small cell networks: femto cells, pico cells

• Enhanced spatial frequency reuse

• Better system capacity

• Reduced propagation loss

• Improved energy efficiency and data rate

• Qualcomm demonstrated almost double network capacity

with doubling the number of small cells
 mmWave Massive MIMO
Three big pillars for 5G mobile wireless communications

• mmWave frequency

• Crowded microwave frequencies

• Huge available bandwidth at mmWave

• Relatively un/less crowded spectrum

• High capacity is expected with larger bandwidth

 mmWave Massive MIMO
Three big pillars for 5G mobile wireless communications

• Large antenna arrays

• Capacity enhancement

• Diversity improvement

• Efficient beamforming

• Reduced power transmission – energy efficiency

• Improved spectrum efficiency

 mmWave Massive MIMO
Major Hurdles to mmWave technology

• Higher pathloss

• High attenuation at high frequencies

• Attenuation due to rainfall, snowfall, fog, foliage,

atmospheric absorption

• Large penetration loss: coverage problems in buildings and

non-LOS areas
 mmWave Massive MIMO
Typical mmWave losses at 200m from transmitter

• Atmospheric absorption due to H2O and O2 : 0.02 dB

• Heavy rainfall @ 110mm/h : 4dB

• Heavy snowfall @ 10mm/h and fog with 50m visibility:

0.1dB

• Path loss coefficient larger than 2.

 mmWave Massive MIMO
mmWave signal propagation

• Tends to be LOS, minimal effect of small scale fading

• Possible to estimate direction of arrival (DOA)

• May overcome pilot contamination

• Low rank channel matrix:

• No multiplexing gain for point to point communication
• Multiplexing gain for multiuser communicaiton
 mmWave Massive MIMO
mmWave signal propagation

• Different cells indoor and outdoor: no penetration through

walls

• Wireless adaptive backhaul by electronic beamsteering

• Beamstearing: Also useful to track mobile users

 mmWave Massive MIMO
Channel model for 60GHz mmWave WPAN

• IEEE 802.15.3c indoor channel impulse response

C R
h(t , )   (t ) ( )    r ,c (t  Tc   r ,c ) (   c  r ,c )
c 0 r 0

where

• is the time of arrival (TOA)

• is the DOA
• is the gain coefficient for the LOS component
 mmWave Massive MIMO
Channel model for 60GHz mmWave WPAN

• is the channel gain for ray in cluster

• is the TOA of the cluster

• is the TOA for ray in cluster

• is the DOA for cluster

• is the DOA for ray in cluster

 Device-to-device communication for IoT
• 5G would be known for applications that connect
machines/devices

• Expected to have 50 billion connected devices by 2020

(projected by Ericsson)

• Some application areas of device-to-device (D2D)/

machine-to-machine (M2M) communication
• Wireless metering

• Mobile payments

• Smart grid
Cont…
 Device-to-device communication for IoT

• Some application areas of device-to-device (D2D)/

machine-to-machine (M2M) communication

• Critical infrastructure monitoring

• Connected home

• Smart transportation

• Telemedicine

• Vehicle-to-vehicle (V2V)/ vehicle-to-infrastructure (V2I) networks

 Device-to-device communication for IoT

• IoT is backed by D2D communication systems

• Usually for communication to nearby devices

• Does not use long radio hops via base stations

 Device-to-device communication for IoT

V2V and V2I channel models

• Usually modelled by Weibull distribution

• Multipath components reaching early are stronger than

Rayleigh fading

• PDF can be given as


  1  r 
fW (r )   r exp     
    
 
 Device-to-device communication for IoT

V2V and V2I channel models

• where is the shape factor and is the scale parameter

• RMS delay spread fits lognormal distribution

• V2V spectrum is smoother than classical Jake spectrum

 Device-to-device communication for IoT

V2V channel characteristics for different environments

Parameter Highway Rural Urban

Path loss
1.8-1.9 1.8-1.9, 4 1.6-1.7
exponent, n
Mean RMS delay
40-400 20-60 40-300
spread (ns)
Mean Doppler
100 782 30-350
spread (Hz)
 Device-to-device communication for IoT

V2I channel characteristics for different environments

Parameter Rural Urban Microcells

Path loss 2.3-2.6 (LOS)
2-2.2 3.5
exponent, n 3.8 (Non LOS)
Delay spread (ns) 5-100 (LOS)
100 100-1000
30-500 (Non LOS)
Angular Spread 1o-5o 5o-10o 20o
Shadowing 6 dB 6-8 dB Varies widely
 Large scale MIMO systems
• Consider hundreds of antennas at both the transmitter and
the receiver

• Point to point MIMO like D2D

• Large antenna arrays channel hardening effect Channel

no longer random

• Marcenko-Pastur law of random matrix theory

• Used to obtain empirical distribution of the eigenvalues of
 Large scale MIMO systems
• Empirical distribution of the eigenvalues of converges to

 
( x  a ) (b  x )
f ( x )  (c)   ( x) 
2 rx
for the channel matrix of dimensions
• ,
 Large scale MIMO systems
Low complexity detection for Large MIMO systems

• Machine learning based algorithms are found to give

performance comparable to maximum likelihood (ML)
detection

• For 5X5 MIMO system with 16-QAM modulation, detection

needs 165 number of metric calculations

• For hundreds of antennas and higher order of modulation

this complexity increases exponentially
 Large scale MIMO systems
Low complexity detection for Large MIMO systems

• Some low complexity algorithms

• Likelihood ascent search

• Reactive Tabu search

• K-neighbourhood search for ZF and MMSE

• Lattice reduction for ZF and MMSE

• Reduced neighbourhood search algorithms

 Large scale MIMO systems
Perfect space time codes

• Implemented at the transmitter

• Such STC achieves full diversity

• Non-vanishing determinant for increased spectral efficiency

• Uniform average transmitted energy per antenna

• Minimum code rate of 1

 Large scale MIMO systems
Perfect space time codes

• For N transmit antennas, perfect STC can be constructed

as
r
1
C PSTC
N  Dk  k 1
k 1 

• where

• is designed to meet energy constraint

• is unit magnitude complex number

• with as ith column of NXN identity matrix

 Large scale MIMO systems
Bounds on capacity

• Instantaneous capacity for point to point MIMO system with

equal power allocation

PQ
C  log 2 I RH  2
bits / s / Hz
n N
• where is the rank of channel matrix and Q is the complex
Wishart channel matrix
 Large scale MIMO systems
Bounds on capacity

• For full rank channel, i.e.

• The instantaneous channel capacity can be given as

m
 Pi 
C   log 2 1  2  bits / s / Hz
i 1  n N 

• Using the relation between trace of Q and its eigenvalues,

the capacity bounds can be obtained as discussed in the
next slide.
 Large scale MIMO systems
Bounds on capacity

• The worst case: channel has only one singular value

 Ptrace(Q) 
C  log 2 1  2  bits / s / Hz
 n N 

• The best case: all singular values are equal

 Ptrace(Q) 
C  mlog 2 1  2  bits / s / Hz
 n N 
 Large scale MIMO systems
Bounds on capacity

• For normalized channel gain coefficients:

• With , the bounds on capacity can be represented as

 PM   nP 
log 2 1  2   C  mlog 2 1  2 
 n   n N 