Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Part I. Receiver
1. Introduction, Wolfgang Utschick . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2. Spatiotemporal interference rejection combining,
David Ast´ely and Bj¨orn Ottersten . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3. Subspace methods for space-time processing,
M. Nicoli and U. Spagnolini . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
4. Multiuser MIMO channel equalization,
Christoph F. Mecklenbr¨auker, Joachim Wehinger, Thomas Zemen,
Harold Art´es, and Franz Hlawatsch . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
5. Joint antenna combining and multiuser detection,
Ralf M¨uller and Laura Cottatellucci . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
6. Synchronization for MIMO systems,
Frederik Simoens, Henk Wymeersch, Heidi Steendam,
and Marc Moeneclaey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
7. Iterative (turbo) signal processing techniques for MIMO signal
detection and equalization, Tad Matsumoto . . . . . . . . . . . . . . . . . . . 119
8. Architectures for reference-based and blind multilayer
detection, Karl-Dirk Kammeyer, J¨urgen Rinas,
and Dirk W¨ubben . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
9. Uplink robust adaptive beamforming, Alex B. Gershman . . . . . . . 173
10. Robust and reduced-rank space-time decision feedback
equalization, Frank A. Dietrich, Guido Dietl,
Michael Joham, and Wolfgang Utschick . . . . . . . . . . . . . . . . . . . . . . . . 189
Part II. Channel
11. Introduction, J. Bach Andersen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
12. Propagation, P. Vainikainen, J. Kivinen,
X. Zhao, and H. El-Sallabi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
13. Multidimensional high-resolution channel sounding
measurement, Reiner S. Thom¨a, Markus Landmann,
Andreas Richter, and Uwe Trautwein . . . . . . . . . . . . . . . . . . . . . . . . . . 241
14. MIMO channel models, Kai Yu,
Mats Bengtsson, and Bj¨orn Ottersten . . . . . . . . . . . . . . . . . . . . . . . . . . 271
15. Channel estimation, Geert Leus and Alle-Jan van der Veen . . . . . . . 293
16. Direction-of-arrival estimation, Mats Viberg . . . . . . . . . . . . . . . . . . 321
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vi Contents
Part III. Transmitter
17. Introduction, Javier Rodr´ıguez Fonollosa . . . . . . . . . . . . . . . . . . . . . . 345
18. Unified design of linear transceivers for MIMO channels,
Daniel P´erez Palomar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
19. Space-time block coding using channel side information,
George J¨ongren, Mikael Skoglund, and Bj¨orn Ottersten . . . . . . . . . . . 375
20. Ordered spatial Tomlinson-Harashima precoding,
Michael Joham and Wolfgang Utschick . . . . . . . . . . . . . . . . . . . . . . . . 401
21. Transmission strategies for the MIMO MAC,
Eduard A. Jorswieck . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
22. Transmitting over ill-conditioned MIMO channels:
from spatial to constellation multiplexing,
David Gesbert and Jabran Akhtar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
Part IV. Network Theory
23. Introduction, Holger Boche . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
24. MIMO channel capacity and measurements,
Andreas F. Molisch and Fredrik Tufvesson . . . . . . . . . . . . . . . . . . . . . . 467
25. Distributed space-time coding techniques for multihop
networks, Sergio Barbarossa, Gesualdo Scutari,
and Loreto Pescosolido . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491
26. Towards a better understanding of the QoS tradeoff
in multiuser multiple-antenna systems,
Slawomir Stanczak and Holger Boche . . . . . . . . . . . . . . . . . . . . . . . . . . 521
27. Duality theory for uplink and downlink multiuser
beamforming, Holger Boche and Martin Schubert . . . . . . . . . . . . . . 545
28. Scheduling in multiple-antenna multiple-access channel,
Holger Boche, Marcin Wiczanowski, and Thomas Haustein . . . . . . . 577
Part V. Technology
29. Technology, Andr´e Bourdoux . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 615
30. Antenna design for multiantenna systems,
Christian Waldschmidt, Werner S¨orgel, and Werner Wiesbeck . . . . . 617
31. Radio architectures for multiple-antenna systems, D. Evans . . . . . 641
32. Transceiver nonidealities in multiantenna systems,
Andr´e Bourdoux and Jian Liu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 651
33. Multiple antennas for 4G wireless systems,
Franc¸ois Horlin, Frederik Petr´e, Eduardo Lopez-Estraviz,
and Frederik Naessens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 683
34. Demonstrators and testbeds, Andreas Burg and Markus Rupp . . . 705
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Contents vii
Part VI. Applications and Systems
35. Introduction, Thomas Kaiser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 727
36. Smart antenna solutions for UMTS,
Andreas Czylwik, Armin Dekorsy, and Batu Chalise . . . . . . . . . . . . . 729
37. UMTS link-level demonstrations with smart antennas,
Klemens Freudenthaler, Mario Huemer, Linus Maurer,
Steffen Paul, and Markus Rupp . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 759
38. MIMO systems for the HSDPA FDD mode UMTS service,
Alba Pag`es-Zamora and Markku J. Heikkil¨a . . . . . . . . . . . . . . . . . . . . 787
39. A MIMO platform for research and education,
T. Kaiser, A. Wilzeck, M. Berentsen, A. Camargo, X. Peng,
L. H¨aring, S. Bieder, D. Omoke, A. Kani,O. Lazar, R. Tempel,
and F. Ancona . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811
40. Real-time prototyping of broadband MIMOWLAN systems,
Maryse Wouters and Tom Huybrechts . . . . . . . . . . . . . . . . . . . . . . . . . 853
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 871
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Preface
It was in the summer of 2002 when the EuropeanUnion launched the Sixth Framework
Research Programme. One of the expected outcomes of this multibillion
Euro initiative was Structuring, that is, tackling the fragmentation of European
research on a large scale. The concept of the so-called Network of Excellence (NoE)
was born, which was designed to strengthen scientific and technological excellence
on a particular research topic. Without doubt Smart Antennas, which here stands
for any multiantenna technique, is an important research topic in wireless communications
and is characterized by severe fragmentation in Europe. Indeed, after
the first steps were taken to establish a proposal, it quickly turned out that more
than 100 institutions fromacademia and from industry were devotingmuch effort
toward smart antenna research, so not only fragmentation but also a required critical
mass of resources and of expertise were on hand. By the end of 2002, the idea
of a Network of Excellence for Smart Antenna Technology (NESAT) took a rather
concrete shape.
A series of four meetings took place up until spring 2003, where European
smart antenna experts further tightened their personal links. In addition, scientists
from overseas were also invited to encourage discussions of a worldwide scope. Although
the NESAT proposal failed in summer 2003 because of strong competition,
there was immediate commitment among the network partners to demonstrate
the state-of-the-art technology in smart antennas within the framework of a comprehensive
book.
This book is now in the readers’ hands. It consists of six major parts, which
are summarized below, and each part is split into several chapters. Most often a
team of authors joining NESAT took responsibility for a single chapter, so the total
number of authors is hard to count. This has made it difficult to equally thank
all involved people, so we generally apologize for the absence of personal acknowledgments.
Although the first multiantenna-based products have been commercially
available in wireless communications for a few months, there is no doubt that
smart antennas were, are, and especially will remain a hot topic in research, even
beyond this decade. Hence, a book aiming at covering the state of the art of this
technology is to be seen as a snapshot.We hope that this book will serve as a comprehensive
survey reflecting the smart antenna research in the period from 2003
to 2005.
Receiver
In this first part a collection of different receiver processing techniques and paradigms
is presented, which are all based on multielement antennas. The second
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x Preface
chapter of this part introduces a spatiotemporal interference rejection combining
(D. Ast´ely and B. Ottersten) taking into account the spatial and temporal correlation
of random variables at the receiver. The next chapter presents subspace methods
for space-time processing (M. Nicoli and U. Spagnolini) which are based on
the invariance of multipath parameters of the radio channel. In multiuser MIMO
channel equalization (C. F.Mecklenbr¨auker et al.) a space-time matrix modulation
technique is proposed, which is extended to the important cases of rank-deficient
channels and multiple users. The next chapter is devoted to a new paradigm in
joint antenna combining and multiuser detection (R. M¨uller and L. Cottatellucci)
which relies on multistage detection and certain properties of random matrices.
In synchronization for MIMO systems (F. Simoens et al.) the authors consider iterative
algorithms for estimating the required parameters for frame synchronization
and phase ambiguity resolution in MIMO systems. The following chapter deals
with turbo detection and equalization (T. Matsumoto), which rely on an iterative
channel estimation technique and a specific algorithm that takes into account the
presence of unknown interference. In architectures for reference-based and blind
multilayer detection (K.-D. Kammeyer et al.) an iterative combination of a blind
source separation algorithm and a successive interference detection technique together
with a reduced complexity technique for the sorted channel decomposition
is proposed. Meanwhile, uplink robust adaptive beamforming (A. B. Gershman)
presents state-of-the-art robust adaptive beamforming techniques to overcome
spatial signature mismatches and received data nonstationarity in application to
cellular mobile radio systems. Finally, in robust and reduced-rank space-time decision
feedback equalization (F. A. Dietrich et al.) another approach to mitigating the
troublesome effects of unreliable channel state information at the receiver is presented.
At the same time a combination of the two paradigms of robustness and
reduced-rank signal processing is proposed.
Channel
The second part on the radio channel deals with important aspects of the communication
link between the antennas, or rather multiple antennas in a smart antenna
setting. The second chapter on propagation (P. Vainikainen et al.) gives an
update on the present state of knowledge on propagation in indoor and outdoor
environments, while in the third chapter on channel sounding measurement (R.
S. Thom¨a et al.) relevant channel models are described and how to measure the
channel with channel sounders.Modelling the channel can be done in many ways;
in MIMO channel models (K. Yu et al.) an overview of various methods is given.
The fifth chapter channel estimation (G. Leus and A.-J. van der Veen) describes
several ways of estimating the channel. This part concludes by finding the angular
aspects of the channel in direction-of-arrival estimation (M. Viberg).
Transmitter
This part provides several transmitter design perspectives accommodated to different
channel types, statistical variation, and knowledge. It begins with providing
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Preface xi
a unified perspective of the design of linear transceivers for MIMO systems in the
case of availability of channel state information (CSI) at both sides of the link. The
chapter authored by D. P. Palomar elaborates on the design of linear precoders
at the transmit side under different optimisation criteria. The third chapter considers
the situation in which the transmitter has access to some limited or imperfect
channel state information. Conventional space-time codes do not need any
channel knowledge at the transmit side, and this is a clear advantage given the
difficulties of acquiring such knowledge, but it may also be a substantial drawback
since CSI, when available at the transmit side, can be used to improve performance.
This chapter, authored by G. J¨ongren et al., develops the concept of
channel-side information-dependent codes. The fourth chapter, authored by M.
Johan and W. Utschick enters into the area of nonlinear transmit processing and
specifically considers Tomlinson-Harashima precoding. This technique can be understood
as a generalisation in the transmit side of decision feedback equalisation
in the receiver. The fifth chapter considers the optimisation the different transmission
strategies in a multiuser environment.When considering optimisation of
multiuser systems, objective functions can be defined based on either global or individual
performance criteria. This chapter, authored by E. A. Jorswieck,motivates
and analyses important representative problems of both classes. The last chapter
of this part concentrates on the design of the appropriate multiplexing schemes in
the presence of MIMO channel matrix ill conditioning. This chapter, authored by
D. Gesbert and J. Akhtar investigates the use of constellation multiplexing in an
attempt to robustify spatial multiplexing schemes.
Network Theory
In this part new theoretical results of multiantenna systems with special emphasis
on network aspects are presented. In order to introduce the topic, MIMO channel
capacity is examined (A. F. Molisch and F. Tufvesson) and validated by measurements.
In the third chapter distributed space-time coding techniques are analyzed (S.
Barbarossa et al.). In this connection a shift of paradigm in wireless communication
is taking place, because here cooperation between users is not only accepted,
but even favored. Thismakes distributed space-time coding an active research area
with a number of very interesting open problems. In the fourth chapter towards a
better understanding of the quality-of-service tradeoff (S. Stanczak and H. Boche)
the geometry of feasible QoS regions is characterized. In particular, the authors
investigated whether the feasible QoS region is a convex set, which is highly beneficial
for resource allocation optimization. The problem of feasible QoS regions in
the downlink and uplink of multiantenna systems with a given SINR is surveyed
in the fifth chapter duality theory for uplink and downlink multiuser beamforming
(H. Boche and M. Schubert). The duality between uplink and downlink, which
allows to find the downlink optimum by solving an equivalent uplink problem instead,
is stated and an optimization strategy for the problem of jointly optimizing
beamformers and transmit power can be derived. In the sixth chapter scheduling in
multiple-antenna multiple-access channel (H. Boche et al.) a scheduler is developed
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xii Preface
based on network stability as one interesting criterion for optimization. To reach
maximal stability a simple weighted sum of rates has to be optimized, which validates
the results from the fourth chapter. As a result it is shown that the problem
can be reduced to a convex problem, when the optimal successive interference cancellation
(SIC) order is classified. In the appendix of this last chapter (T. Haustein)
the results are implemented and experimental results are presented.
Technology
This part focuses on the real physical elements of a multiantenna transceiver and
their nonidealities. Indeed, these systems operate in real life with physical components
or supercomponents such as antennas, front-ends, modems, and so forth.
Many of the benefits of multiantenna techniques (rate enhancements, more robust
links, etc.) are dependent on the characteristics of these physical components.
The scope of the part is very broad and encompasses antenna (array) design,
parallel transceivers, analog transceiver nonidealities, emerging air interfaces, and
prototyping issues. The second chapter antenna design for multiantenna systems
(C. Waldschmidt et al.) addresses the impact of the antenna array on the spatial
channel, the link budget, and the capacity. Modelling and design for small profile
antennas are also addressed. The next chapter radio architectures for multipleantenna
systems (D. Evans) discusses how multiplexing techniques can be used to
share a single transceiver between several antenna branches and, hence, reduce the
complexity of the MIMO transceiver. In the fourth chapter transceiver nonidealities
in multiantenna systems (A. Bourdoux and J. Liu) we look at the impact of
analog transceiver nonidealities on MIMO communications. Effects such as phase
noise, saturation, I-Q imbalance are addressed, and their impact is assessed, taking
MIMO-OFDM as a test case. The fifth chapter multiple antennas for 4G wireless
systems (F. Horlin et al.) considers a broader class of waveforms, combining
multicarrier and direct-sequence CDMA, and analyzes the combination of these
modulation/multiple access techniques with multiple antenna techniques. Finally,
the last chapter demonstrators and testbeds (A. Burg and M. Rupp) concentrates
on prototyping and provides a classification and overview of MIMO prototypes.
Digital hardware issues, design methodology, and tools are discussed in detail.
Applications and Systems
This last part takes on board two aspects. On the one hand, future applications
of multiantenna techniques in cellular communication systems are discussed. On
the other hand, two examples for multiantenna testbeds, facilitating and validating
the comprehensive design of MIMO-WLAN- and MIMO-UMTS-based systems,
are explained in detail. The second chapter smart antenna solutions for UMTS
(A. Czylwik et al.) addresses downlink beamforming with respect to system-level
aspects; for example, system capacity, system coverage, and electromagnetic emission.
As an extension of the second chapter, the third chapter UMTS link-level
demonstrations with smart antennas (K. Freudenthaler et al.) shows that constraints
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Preface xiii
imposed by standardization complicate the successful exploitation of multiantenna
benefits. The purpose of this chapter is to point out several low-complexity
algorithmical approaches aiming for integrated circuit solutions. The fourth chapter
MIMO systems for the HSDPA FDD mode UMTS service (A. Pag`es-Zamora and
M. J. Heikkil¨a) continues with MIMO algorithms for the high-speed downlink
packet access (HSDPA) mode of UMTS. After summarizing HSDPA features relevant
for applying multiantenna techniques, various MIMO-HSDPA transceiver
architectures (e.g., space-time transmit diversity, vertical BLAST), and linear dispersion
codes on the transmitter side and RAKE, reduced maximum likelihood
and turbo space-time decoder typed receivers are discussed and evaluated by simulations
with respect to fading and mobility. The next chapter a MIMO platform
for research and education (T. Kaiser et al.) is focused on enabling the reader to
set up a complete MIMO testbed of his own; it covers the basic testbed concept,
an offline, hybrid, and online processing mode as well as selected network topologies.
Moreover, hardware and software for BB and RF processing are highlighted;
for example, module interfacing, digital signal processor (DSP) programming and
field programmable gate array (FPGA) synthesis, and project and revision control
software. In the final chapter real-time prototyping of broadband MIMO WLAN
systems (M. Wouters and T. Huybrechts) a sophisticated testbed is presented with
special emphasis on analog front-end impairments; for example, phase noise and
amplifier nonlinearity and their cancellation. Calibration architectures and higher
layer issues are addressed as well; the contribution winds up with an outlook on
further developments.
Thomas Kaiser, Andr´e Bourdoux, Holger Boche, Javier Rodr´ıguez Fonollosa,
Jørgen Bach Andersen, and Wolfgang Utschick
June 2005
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IReceiver
Contents
1. Introduction, Wolfgang Utschick . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2. Spatiotemporal interference rejection combining,
David Ast´ely and Bj¨orn Ottersten . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3. Subspace methods for space-time processing,
M. Nicoli and U. Spagnolini . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
4. Multiuser MIMO channel equalization,
Christoph F. Mecklenbr¨auker, Joachim Wehinger, Thomas Zemen,
Harold Art´es, and Franz Hlawatsch . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
5. Joint antenna combining and multiuser detection,
Ralf M¨uller and Laura Cottatellucci . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
6. Synchronization for MIMO systems,
Frederik Simoens, Henk Wymeersch, Heidi Steendam,
and Marc Moeneclaey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
7. Iterative (turbo) signal processing techniques for MIMO signal
detection and equalization, Tad Matsumoto . . . . . . . . . . . . . . . . . . . 119
8. Architectures for reference-based and blind multilayer
detection, Karl-Dirk Kammeyer, J¨urgen Rinas,
and Dirk W¨ubben . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
9. Uplink robust adaptive beamforming, Alex B. Gershman . . . . . . . 173
10. Robust and reduced-rank space-time decision feedback
equalization, Frank A. Dietrich, Guido Dietl,
Michael Joham, and Wolfgang Utschick . . . . . . . . . . . . . . . . . . . . . . . . 189
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