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Adaptive Antenna Tutorial: Spectral Efficiency and

Spatial Processing

Project MESA Meeting 30 October 2 November 2006

Joanne Wilson VP, Standards ArrayComm, LLC.

ArrayComm: Industry Leadership

ArrayComm background
World leader in adaptive antenna technology (also referred to as Adaptive Multi-Antenna Signal processing (A-MAS) or smart antenna technology)
Founded 1992 Over 300,000 base stations deployed Extensive patent portfolio in A-MAS Technology $250M invested in technology development & commercialization

Technology and end-to-end systems

IntelliCell A-MAS technology for PHS, GSM, W-CDMA, 802.16 End-to-end wireless systems including HC-SDMA, WLL Consistently reducing costs of coverage and capacity

Business model
Software products, services Technology development, transfer Chipsets

The spectral efficiency bottleneck

Todays principal spectral inefficiency
omnidirectional radiation and reception

tiny fraction of power used for communication the rest: interference for co-channel users

What is spectral efficiency?

bits/seconds/Hz/cell Measures how well a wireless network utilizes radio spectrum

Exploit spatial properties of RF signals Provide gain and interference mitigation Improve capacity/quality tradeoff And

Determines the total throughput each base station (cell) can support in a network in a given amount of spectrum

New air interfaces should be built from the ground up to be optimized for spatial processing

The Capacity/Coverage Tradeoff

Throughput/cell (Mbps) 802.11b A-MAS Benefit 2/2.5/3G

Interference Limited Technical Interpretation

Noise Limited

range (km)

Gain vs. noise, fading, ... expands envelope to right Interference mitigation (+ gain) expands it upwards
Economic Interpretation

Coverage improvements reduce CapEx, OpEx (esp. backhaul, sites) Capacity improvements reduce delivery cost, spectrum requirements

Wireless system design is a trade-off of competing
service definition service quality capacity capital and operating costs resource requirements including spectrum end-user pricing/affordability coexistence with other radio technologies

A-MAS technology fundamentally changes the nature of

this trade-off and achievable system performance

Adaptive Antennas in All New Broadband Systems

ITU Recommendation M.1678 (2004): This Recommendation considers the ability of adaptive antenna systems to improve the spectral efficiency of land mobile networks and recommends their use in the deployment of new and the further enhancement of existing mobile networks. It also recommends the integration of this new technology into the development of new radio interfaces.
802.11n 802.11 ANSI/ATIS HC-SDMA (iBurst) 802.20

User Data Rate



MMDS/FWA Cable/DSL Satellite

802.16d 802.16e


LTE CL/OL Diversity, MIMO



3G 3G


Spectral Efficiency and System Economics Adaptive Antenna Basics Adaptive Antenna Technologies Adaptive Antenna Performance Determinants Summary Backup Slides

Spectral Efficiency Defined

A measure of the amount of information billable services
that carried by a wireless system per unit of spectrum
multiple access method modulation methods channel organization resource reuse (code, timeslot, carrier, )

Measured in bits/second/Hertz/cell, includes effects of

Per-Cell is critical
fundamental spectral efficiency limitation in most systems is self-generated interference
results for isolated base stations are not representative of real-world performance

Why Is Spectral Efficiency Important?

Spectral efficiency directly affects an operators cost

For a given service and grade of service, it determines

required amount of spectrum (CapEx)

required number of base stations (CapEx, OpEx)

required number of sites and associated site maintenance (OpEx) and, ultimately, consumer pricing and affordability

Quick calculation
number of cells/km2 = offered load (bits/s/km2) available spectrum (Hz) x spectral efficiency (bits/s/Hz/cell)

Increased Spectral Efficiency

Increased spectral efficiency leads to

improved operator costs reduced equipment CapEx/OpEx per subscriber reduced numbers of sites in capacity limited areas

reduced barriers to new operators

better use of available spectrum especially important for limited mobility spectrum improved end-user affordability, especially for broadband services

Spectral efficiency will become even more important

as subscriber penetration increases as per-user data rates increase as quality of service (esp. data) requirements increase

Spectral Efficiency Design Elements

Spectral/Temporal elements
multiple access method: TDMA, FDMA, OFDMA
optimize efficiency based on traffic types modulation, channel coding, equalization: QPSK, QAM, OFDM, optimize efficiency based on link quality

Spatial elements (all to minimize interference)

cellularization mitigate co-channel interference by separating co-channel users sectorization mitigate co-channel interference by more selective downlink patterns and increased uplink sensitivity power control use minimum power necessary for successful communications

Increasing Spectral Efficiency

Temporal/Spectral issues are mature, well understood,
well exploited
no significant future improvements in spectral efficiency here proper application is important

Least spectrally efficient aspect of most systems

omnidirectional/sectorized distribution and collection of radio energy Why?

Most of the energy is wasted.

Worse, it creates interference in the system and limits reuse.

Sectorized Transmission/Reception


cells serving sector sectors

Sectorized, spatially nonselective, transmission causes interference in adjacent cells Similarly, increases sensitivity to interference from adjacent cells

Cellular reuse mitigates this effect by separating cochannel users

Cost: decreased resources per sector and reduced spectral efficiency


How Do Adaptive Antennas Help?

Adaptive antennas are spatial processing systems Combination of
antenna arrays sophisticated signal processing

Adapt the effective pattern to the radio environment

users interferers


Provide spatially selective transmit and receive patterns

Adaptive Transmission/Reception

cells serving sector sectors

Spatially selective transmission reduces required power for communication Decreases sensitivity to interference from adjacent cells

Allows reuse distances to be decreased

interference user

possible to reuse resources within a cell in some cases

Benefits: increased resources per sector, increased spectral efficiency

Spectral Efficiency and System Economics Adaptive Antenna Basics Adaptive Antenna Technologies Adaptive Antenna Performance Determinants Summary Backup Slides

Adaptive Antennas Defined

Systems comprising
multiple antenna elements (antenna arrays) coherent processing signal processing strategies (algorithms) that vary the way in which those elements are used as a function of operational scenario

gain and interference mitigation

leading to improved signal quality and spectral efficiency

Adaptive Antenna Fundamentals

Solution elements
multiple antenna elements and transceiver chains scenario-dependent signal processing air interface support for highest performance, e.g., training

Link-level performance benefits

diversity gain

interference mitigation


Single Input, Single Output
MISO Multiple Input, Single Output SIMO Single Input, Multiple Output


Multiple Input, Multiple Output

Adaptive Antenna Gains (transmit or receive)


differently fading paths fading margin reduction no gain when noise-limited

Coherent Gain

energy focusing improved link budget reduced radiation

Interference Mitigation

energy reduction enhanced capacity improved link budget

Enhanced Rate/Throughput
co-channel streams increased capacity increased data rate

Slope of error curve proportional to diversity order (# antennas) Transmit/receive channel knowledge not required Reduces required fading margin
Selection diversity Single Tx antenna
1 antenna

Independent fading

8x: 12 dB reduction

2x: 7 dB reduction

8 antennas

Going Further: Gain, Capacity, QoS, Data Rate

(Multi)Channel state information (CSI) required to go further
coherent gain, interference mitigation, capacity/rate increases

Theoretical SNR gain with M antennas: M or 10log10M dB

achievable in practice with good design, esp. for receive processing Rx and Tx

Theoretical interference rejection is infinite

limited in practice by scenario, protocol, equipment. 20 dB for significant interferers readily achievable

New protocols include training/feedback for spatial processing

analogous to training for equalizers

Adaptive Antenna Concept

User 1, s1(t)ejt

User 2, s2(t)ejt



+1 +1 +1




Users signals arrive with different relative phases and amplitudes at Processing provides gain and interference mitigation

Protocol Independence
Fundamental concepts applicable to all access methods
and modulation methods





Channelizer (TDMA, FDMA, CDMA)

Channelizer (TDMA, FDMA, CDMA)

Spatial and Temporal Processing

baseband signals/user data

Interference Mitigation
Gain and interference mitigation performance are actually
statistical quantities

Theoretical gain performance closely approached (within 1 dB) in Theoretical interference mitigation, , harder to achieve
limited by calibration, environment, number of interferers

Practically, active mitigation in excess of 20 dB can be achieved

for significant interferers gain

Active interference mitigation independent of and in addition to Directive gain term generally results in some passive
interference mitigation

Fundamental concept is coherent processing Generally applicable to all air interfaces Processing is done in parallel on all traffic resources Line-of-sight is not required

Many important issues that cant be addressed here

estimation of radio environment (algorithms) processing requirements (easily > 1Gbps of data from the array) performance validation equipment calibration effects of air interface specifics (will comment on this later) reliability benefits of redundant radio chains intrinsic diversity of an array

Antenna Arrays
Wide variety of geometries and element types possible
arrangements of off-the-shelf single elements

custom arrays

Array size
vertical extent determined by element gain/pattern as usual

horizontal extent, typically 3-5 lambda

Array of eight 10 dBi elements at 2 GHz is about 0.5 x 0.75 m


conformal arrays for aesthetics

Processing At The User Terminal

This presentation focuses on adaptive antennas at the base


Adaptive antennas can also be incorporated at the user

base station and user terminal can perform independent adaptive antenna processing

base station and user terminal can perform joint adaptive antenna processing, so called MIMO systems, with additional benefits

Fundamental issue is an economic one

incremental costs at base station are amortized over many subscribers incremental costs at user terminal are amortized over one user, solutions must be inexpensive for consumer electronics applications

Spectral Efficiency and System Economics Adaptive Antenna Basics Adaptive Antenna Technologies Adaptive Antenna Performance Determinants Summary Backup Slides

Adaptive Antenna Potential

Processing Gain
Selective Uplink Gain

Operational Significance
Increased Range & Coverage Increased Data Rates Reduced System Wide Uplink Noise Improved Uplink Multipath Immunity Improved Signal Quality Maintained Quality with Tightened Reuse

Uplink Interference Mitigation

Selective Downlink Gain

Increased Range & Coverage Increased Data Rates Reduced SystemWide Downlink Interference Improved Coexistence Behavior Reduced Downlink Multipath
Maintained Quality with Tightened Reuse

Downlink Interference Mitigation

Adaptive Antenna Technologies (1)

Actual level of benefits depends on details of the

implementation, little variation in general hardware architecture across implementations

Basis for comparison

predictability and consistency of performance balance of uplink and downlink performance (key for capacity improvements) downlink is generally most challenging aspect of adaptive antennas base station directly samples environment on uplink; must infer the environment on the downlink robustness of performance across variations in propagation and interference scenarios

Adaptive Antenna Technologies (2)

Switched Beam
selects from one of several patterns based on power can be thought of as micro-sectorization predictable gain and scenario-dependent interference mitigation in positive C/I environments peak gain typically traded off for in-sector gain uniformity variant: cell sculpting, select from several patterns for load balancing

Adaptive Energy Extraction

attempts to extract maximum energy from radio channel

maximal ratio and combined diversity are examples

scenario-dependent gain and interference mitigation in positive C/I environments gain near theoretical maximum in high SINR environments

Adaptive Antenna Technologies (3)

Model-Based or fully adaptive
continuous adaptation based on model including users and interferers simultaneous gain and active interference rejection possible, even at low SINRs manageable increase in computation as compared to other methods availability of channel assignments and other high-level protocol information improve performance

Spectral Efficiency and System Economics Adaptive Antenna Basics Adaptive Antenna Technologies Adaptive Antenna Performance Determinants Summary Backup Slides

Adaptive Antenna Performance

Primary determinants
environmental complexity

degree of mobility
duplexing: frequency-division or time-division (FDD vs. TDD) issue is correlation of uplink and downlink propagation environments

Capacity increases in operational systems

Application FWA, TDD Low Mobility PHS, TDD High Mobility AMPS & GSM (900, 1800, 1900), FDD Capacity Increase 20x 5x >2x Deployments 1996-present 1996-present 1993-present

Comparing TDD and FDD

Advantages and disadvantages to both

Advantages FDD


No need for synchronized network Requires paired allocations Suited to extended range, 10s of km Relatively hard to support asymmetry Good adaptive antenna performance Expensive for small duplex distances


Operates in unpaired allocations Best adaptive antenna performance Cost-reduced user terminals Simple to support asymmetry

Requires synchronized network 50% duty cycle for radio electronics

Spectral Efficiency and System Economics Adaptive Antenna Basics Adaptive Antenna Technologies Adaptive Antenna Performance Determinants Summary Backup Slides

Increased spectral efficiency leads to
better spectrum conservation diversity of services affordability of services

A-MAS is the single best technology for increasing spectral


Wide range of A-MAS technologies

same basic principles

wide variations in goals and performances

intracell reuse (reuse < 1) possible for certain applications

Proven technology
more than 300,000 deployments worldwide

Spectral Efficiency and System Economics Adaptive Antenna Basics Adaptive Antenna Technologies Adaptive Antenna Performance Determinants Summary Backup Slides

End-User Affordability
A wireless operator charges $60/mo. for 450 minutes of 10 kbps speech over system A, about $0.22/Mbit Another wireless operator charges about $500/mo. for 1 Gbyte/yr over system B, about $0.75/Mbit

similar spectral efficiency for systems A and B, similar operating costs, similar price/bit
advanced, high-speed, services are not affordable for most end-users at this spectral efficiency

Important point, although oversimplified example

data and voice network and service costs differ new equipment cost must be recaptured 1 Gbyte/yr is casual primary internet access, operators may be trying to discourage this use of their network

Basic Uplink Gain Calculation

Signal s, M antennas, M receivers with i.i.d. noise ni
received signal noise s + ... + s n1 + + n M
(Ms)2 Ms2 = M s2 s2

therefore, Uplink SNR = =

M x single antenna SNR

Adaptive antennas provide uplink gain of M or 10log10M dB

M=10, 10x SNR improvement, examples

double data rate if single antenna SNR is 10 dB reduce required subscriber transmit power by 10 dB increase range by 93% with R3.5 loss

Basic Downlink Gain Calculation

Similar to uplink calculation, except dominant noise is due to (single)
receiver at user terminal

With same total radiated power P in both cases

Received Power (AA) Received Power (SA)

(P/M s + + P/M s)2 ( Ps)2


Again, factor of M or 10log10M dB M=10, 10 dB gain examples

10 element array with 1 W PAs, has same EIRP as single element with 100 W PA For given EIRP can reduce total radiated power by 10 dB, 90% interference reduction

Spatial processing creates unique advantage

System Capacity
Mobile Wireless System Capacity in Mature Networks, Mbps aggregate BTS capacity per MHz available

System Range


(proprietary variant)

4.0 1.7 1.2 0.7 0.6 With A-MAS (i.e smart antennas)



0.4 0.4 0.3 0.2 0.2 0.1 0.04 Without

*Standard protocol with base station enhanced by A-MAS technology

Sources: Vendor claims for maximum BTS throughput, ArrayComm field experience in Korea and Australia, various analysts.

Some Comparisons


System Spectral Efficiency

4.0 3.5 Spectral Efficiency in bits/sec/Hz/cell 3.0 2.5 2.0 1.5 1.0 0.5 0 Cdma2000 IS-95 HDR IntelliCell WLL HC-SDMA IS-95C GSM GSM HSCSD IS-95 A IS-95B PHS

Cell Capacity
Throughput in 10 MHz (Mbps)







Network Capacity
Number of cells to deliver the same information density, Mbps per KM2





Adaptive Antenna Performance

Performance Determinant Duplexing Method Import GSM/ GPRS Downlink environment generally estimated from uplink Up/down highly correlated with TDD Up/down less correlated with FDD Protocol Choices affect AA performance Spatial broadcast channels limit reuse Downlink performance highest with recent uplink training data Service Definition Degree of mobility limits capacity Nulling performance degrades with high mobility High mobilitylower capacity High mobility High mobility Broadcast Limited training Broadcast Limited training Broadcast (all channels) Limited training Portable Mobile AA optimized protocol FDD CDMA2000/ WCDMA FDD TDD TDD WLAN HC-SDMA

Adaptive antennas benefit all systems, but HC-SDMA extracts maximum benefits by design

Co-Channel Regulatory Issues

Recall adaptive antennas high ratio of EIRP to total
radiated power (TRP)
factor of M higher than comparable conventional system result of directivity of adaptive antennas

Average power radiated in any direction is then TRP plus

gain of individual array elements (worst case directive power remains EIRP)

Relevant in setting EIRP limits for coordination of cochannel systems in different markets

Very relevant in RF exposure considerations

Adjacent Channel/Out-Of-Band Regulatory Issues

Recall that adaptive antenna gains result from coherent

Out-of-band radiation due to intermodulation, phase noise, spurs

nonlinear processes reduce/eliminate coherency of signals among PAs out-of-bands

ratio of in-band EIRP to out-of-band radiated power is up to a factor of M less than for comparable conventional system

Rules may want to anticipate adaptive antennas

A per-PA 43+10logP-10logM rule would result in comparable operational out-of-bands as single antenna 43+10logP rule significant positive effect on adaptive antenna power amplifier economics

may help to foster adoption

iBurst (HC-SDMA) Highlights

Time division duplex (TDD) Packet switched TDMA/SDMA multiple access scheme Adaptive modulation & coding Fast ARQ for reliability, low latency

Peak per-user rate 16 Mbps (initial products support 1 Mbps peak)

40 Mbps throughput in 10 MHz (DSLAM equivalent) Centralized resource allocation for efficiency, QoS Inter-cell and inter-system (e.g., 802.11) handover Standardized by American National Standards Institute (ANSI)
ANSI ATIS 0700004-2005, High Capacity-Spatial Division Multiple Access (HCSDMA)

Soon to be officially recommended by the ITU-R

Included in Draft New Recommendation ITU-R M.[8A-BWA]

iBurst Frame and Traffic Bursts

iBurst uplink/downlink traffic slots paired

spatial+temporal training

Cross Layer Design: Spatial Processing MAC

Multiple logical channels per physical resource

paging and/or traffic and/or access
Traffic Traffic








Spatial collision resolution

enables low latency/low jitter designs

Spectral Efficiency Evaluation

Major city trial to assess reuse < 1 performance Most challenging case: colocated terminals, LOS Reuse of at peak data rate

Base Case: 8 Terminals, 8 Carriers

Throughput [kbps]

1100 1000 900 800 700 600 0 10 20

Average Data Rate [kbps]

Uplink 328 329 325 331 332 328 328 328 2,629

1,023 964 1,027 892 1,026 982 1,027 1,025 7,966







Elasped Time [sec]


340 320 300 280 260 240 220 0 10 20 30 40 Elasped Time [sec] 50 60
Throughput [kbps]






Reuse 1/2: 8 Terminals, 4 Carriers

Data rates unchanged
Throughput [kbps]

1100 1000 900 800 700 600 0 10 20 30 40 50 60 Elasped Time [sec]

Average Data Rate [kbps]

Downlink UT#1 UT#2 UT#3 UT#4 UT#5 UT#6 UT#7 UT#8 Total 975 976 1,020 936 979 1,017 1,025 981 7,909 Uplink 331 329 332 332 333 331 332 329 2,649

340 320 300 280 260 240 220 0 10 20 30 40 Elasped Time [sec] 50 60
Throughput [kbps]

10,558 kbps/2.5 MHz

or 4.2 b/s/Hz/sector