Iterative Receivers For Multi-Antenna Systems: Pierre-Jean BOUVET

Iterative receivers for multi-antenna systems
Thèse présentée devant l’INSA de Rennes en vue de l’obtention du doctorat d’Électronique
Pierre-Jean BOUVET
Le 13 décembre 2005
France Telecom Division Recherche et Développement 07/12/21

Foreword
Foreword
s R&D Unit
QBroadband Wireless Acces / Innovative Radio Interface (RESA/BWA/IRI)

s Supervisor
QMaryline HELARD, R&D engineer HDR at France Telecom R&D division

s Context
QInternal project: SYCOMORE (research on digital communications)
QEuropean project: IST 4-MORE (4G demonstrator based on MIMO and MC-
CDMA techniques)
2
Outline
Outline
I. Introduction
II. Multi-antenna techniques
III. Generic iterative receiver

IV. Optimal space-time coding
V. Application to MC-CDMA
VI. Conclusion
3
MIMO Generic iterative Optimal space-time Application to
Introduction Conclusion
techniques receiver coding MC-CDMA
Context MIMO transmission Objectives
Part I: Introduction
4
Context
s Digital wireless communications
QHigh spectral efficiency
QRobustness
s Radio-mobile application
QMulti-path propagation
Time and frequency selective channel
QMobility
QMulti-user access
5
Multi-antenna (MIMO) transmissions

s Principle
QMulti-antenna at transmitter and receiver
s MIMO capacity [Telatar 95]
: covariance of
: rank of
: singular values of
SISO capacity
6
Multi-antenna (MIMO) transmissions

s Motivations
QSpectral efficiency gain
QPerformance gain
–Spatial diversity gains
Capacity gain linear in min(Nt, Nr)
–Antenna array gains
s Limits
QInterference terms
–Co Antenna Interference (CAI)
QSpatial correlation
–Antennas must be sufficiently spaced
–Rich scattering environment required
QOptimal MIMO capacity exploitation
–Complex algorithm not well suited for practical implementation
–Lack of generic schemes
7
Objectives
s Multi-antenna transmission
QSpectral efficiency gain
QArbitrary antenna configuration
s Near-optimal reception
QMIMO capacity exploitation
QIterative (turbo) principle
QLow complexity algorithm
QMulti-user access
8
Transmitter MIMO Channel Classification LD code Equivalent representation CAI
Part II: MIMO techniques
9
Transmitter
Information Modulation
bits Coded bits symbols
Convolutional
code
BICM scheme [Caire et al. 98]
10
MIMO channel
s Multi carrier approach (OFDM)
Equivalent flat fading MIMO channels
Reduced complexity MIMO equalization (no ISI treatment)

11
MIMO channel
s Equivalent flat fading MIMO channel
Q By assuming ideal symbol

interleaving:
Q T-block Rayleigh fading model

Q Represents the optimal performance
of a MIMO-OFDM system over a
radio-mobile channel
12
Classification of MIMO techniques

Channel State Information (CSI)
s CSI required at Tx and Rx
QEigen beam forming
QWater-filling
QPre-equalization
s CSI required only at Rx
QTreillis based
QBlock based
s No CSI required
QDifferential STC
QUSTM
13

Channel State Information (CSI)
s CSI required at Tx and Rx
QEigen beam forming
QWater-filling
QPre-equalization
QTreillis based
QBlock based
s No CSI required
QDifferential STC
QUSTM
14

Spatial Data Multiplexing (SDM)
s CSI required at Tx and Rx  [Foschini et al. 96, Wolniansky et al. 98]
QEigen beam forming
QWater-filling Space Time Block Coding (STBC)
QPre-equalization  [Alamouti 98, Tarokh et al. 99]

Linear Precoded STBC
QTreillis based  [Da Silva et al. 98]
QBlock based
s No CSI required Algebraical STBC
QDifferential STC  [Damen et al. 03, El Gamal et al. 03]
QUSTM
Linear Dispersion (LD) Code

 [Hassibi et al. 02]
15
LD Code
STC latency:
Input block length:
STC rate:
16
Equivalent representation
Joint space-time coding and channel representation
17
Special LD Code
Examples
18
Solution
s Transmission matrices
s Reception matrices
s Equivalent channel matrix
19
Example: Alamouti Code over channel

s Transmission matrices
s Equivalent model
20
Co-antenna interference
Desired signal
CAI terms Noise
Multi-antenna transmission provides CAI terms
CAI terms can be treated like ISI terms (which were due to the
frequency selectivity in SISO transmission)
21
Reception strategies Principle MIMO equalizer Complexity analysis Asymptotical analysis Performance results
Part III: Generic iterative receiver
22
Reception state of the art
s Optimal solution: joint detection Optimal performance

Q ML detection based on a “super trellis”
Very high complexity
s Sub-optimal solution
1. Disjoint decoding: MIMO detection  channel decoding
a.MAP MIMO detection Relative low complexity
b.SIC, OSIC, PIC detection
Optimal performance for orthogonal STC (Alamouti)
c.MRC, MMSE, ZF equalization
Sub-optimal performance for non-orthogonal STC
2. Iterative decoding: MIMO detection  channel decoding [Berrou et al. 93]

a.MAP MIMO detection
Near optimal performance
•[Tonello 00, Boutros et al. 00, Vikalo et al. 02]
High complexity
b.Filtered based MIMO equalization
•[Sellathurai et al. 00, Gueguen 03, Witzke et al. 03]
reduced complexity 23
Reception state of the art
s Optimal solution: joint detection

Q ML detection based on a “super trellis”
s Sub-optimal solution
1. Disjoint decoding: MIMO detection  channel decoding
b.SIC, OSIC, PIC detection
c.MRC, MMSE, ZF equalization
2. Iterative decoding: MIMO detection  channel decoding [Berrou et al. 93]

•[Tonello 00, Boutros et al. 00, Vikalo et al. 02]
b.Filtered based MIMO equalization
•[Sellathurai et al. 00, Gueguen 03, Witzke et al. 03]
reduced complexity 24
Principle
MIMO equalization stage Channel decoding stage
s Application of the turbo-equalization concept to MIMO

25
MIMO equalizer (1)
s MMSE based soft interference cancellation (MMSE-IC)

Q [Glavieux et al. 97, Wang et al. 99, Reynolds et al. 01, Tüchler et al. 02, Laot et al. 05 ]
s MMSE optimization of both filters
26
MIMO equalizer (2)

s Optimal solution: MMSE-IC
TNr x TNr matrix inversion
s Time invariant approximation: MMSE-IC(1)
27
MIMO equalizer (3)

s Matched filter approximation: MMSE-IC(2)
Iteration 1 Iteration p
s Zero-Forcing solution: ZF-IC
Iteration 1 Iteration p
28
Complexity analysis (MIMO equalizer)
Proposed iterative receivers provide complexity gain
29
Asymptotical analysis
s Asymptotical performances = Genie aided receiver
s Asymptotical equivalent channel
30
Asymptotical diversity
s Pair-wise error probability
s Chi-square approximation and Chernoff bound
31
Asymptotical diversity
s Proposed definition of the space-time diversity
s Total diversity exploited by both channel and space-time coding

QModified Singleton Bound [Gresset et al. 04]
Full channel diversity can only be achieved by using jointly channel

coding and space-time coding
32
Performance results: simulation conditions
s Theoretical independent T-Block Rayleigh flat fading MIMO channel

s Non recursive non systematic convolutional code (133,171)o, K=7
s SOVA algorithm for channel decoding
s No spatial correlation
s Normalized BER
Receive array gain not taken into account
s Asymptotical curve: Matched filter Bound (MFB)

Genie aided receiver
s Optimal curve: AWGN decoupled
Min(Nt,Nr) parallel AWGN channels
33
Performance results: Jafarkhani code
Iterative
decoding Disjoint
decoding
MFB is reached whichever iterative
algorithm is used
5 iterations are sufficient
0.8 dB gain at 10-4 versus disjoint MAP

receiver (state of the art)
34
Performance results: SDM
Disjoint
decoding
Iterative
decoding
MFB is reached only with the MMSE-IC(1)
receiver
7 dB gain at 10-4 versus disjoint MMSE

receiver
35
Performance results: SDM overloaded
Disjoint
decoding
Iterative
decoding
MFB is reached only with the MMSE-

IC(1) receiver
The Iterative receiver still converges

although the rank of is degenerated
36
Synthesis
s Derivation of a MMSE iterative receiver for generic MIMO
transmission
QReduced complexity versus MAP based iterative algorithm
s Asymptotical analysis
QProposition of an estimation of the space-time coding diversity
s Simulation results
QMMSE-IC(1) tends towards the MFB curve whichever space-time
coding scheme is used
QMMSE-IC(1) still works in case of rank degenerated channel matrix
QMMSE-IC(2) and ZF-IC converge when CAI terms are quite low and/or
for small order modulation
37
Optimality conditions DTST coding Performance results
Part IV: Optimal space-time coding
38
Optimality conditions
1. Maximizing data rate
2. Maximizing space-time coding diversity
3. Minimizing and
4. Minimizing the non orthogonal terms of
39
Optimality conditions
1. Maximizing data rate
2. Maximizing space-time coding diversity
3. Minimizing and
4. Minimizing the non orthogonal terms of
40
Maximizing data rate

s Ergodic Capacity
s High SNR approximation (Foschini et al. 96)
41
Maximizing the diversity

s Assuming ML detection
QPairwise error probability analysis
QDiversity gain maximization
QTAST [El Gamal et al. 03], FDFR [Ma et al. 03]
s Assuming MMSE-IC reception

QAsymptotical analysis
QSpace-time coding diversity maximization
QSufficient condition: “Along a space-time coded block, each data

symbol must be transmitted uniquely by each antenna”
42
Summary
s Conditions:
1
s STC construction rule:

Q “During Nt symbol durations, min(Nt,Nr) data symbols have to be
uniquely transmitted by the Nt antennas”
43
Diagonal Threaded Space Time (DTST) coding
44
Example over a channel
Optimal with iterative decoding

45
Performance results
s 4 transmit antennas and 2 receive antennas
s Channel model: T-block Rayleigh flat fading
s No spatial correlation
s Reception
QIf S is orthogonal: MRC
QIf S is non orthogonal: MMSE-IC with 5 iterations
s Optimal performance: AWGN decoupled
QCorresponds to virtual parallel AWGN channels
46
System Parameters
Alamouti AS Double Alamouti (DA) Jafarkhani
DTST
47
Ergodic capacity
Near optimal exploitation for DA

and DTST schemes
48
BER Performance
2 bps/Hz
Best performance achieved

with DTST (and DA)
49
Capacity at BER=10-4
When increasing the spectral

efficiency, only the iterative
system is able to exploit the
MIMO capacity
50
Synthesis
s Construction criteria of optimal LD code
s DTST code
Q Check the optimality criteria
Q Subset of special linear dispersion code family
Q Generic construction scheme
s Simulation results
Q DTST codes lead to near optimal exploitation of MIMO capacity and spatial
diversity
51
MC-CDMA Transmitter Equivalent model Iterative receiver Performance results
Part V: Application to MC-CDMA
52
MC-CDMA
s Introduced in 93 [Yee et al. 93, Fazel et al. 93]
s Aim
Time
Qto spread multi-user information in the frequency
domain
Frequency
s Principle User 1
QCombination of CDMA and OFDM techniques User 2
s Benefits
QRobustness against multi-path channels MC-CDMA
QMulti-user flexibility
QLow multi-access interference (MAI) in downlink
scenario
53
MIMO MC-CDMA Transmitter
54
Equivalent model
s Equivalent channel matrix
s Receive signal
Desired signal
MAI + CAI noise
terms
s Receiver algorithm
Q Since S’ is a special LD code, proposed MMSE-IC receiver can be used
55
Multi-user iterative receiver

s MMSE-IC (1) solution
Nu x Nu matrix inversion
s Full load approximation

TNr x TNr matrix inversions
Complexity of the equalization stage multi-user complexity: each user must be

equivalent to the OFDM case channel decoded 56
Performance results: 4x2 Bran E channel

s Transmission parameters specified by the IST 4 MORE project for DL transmission
s Bran E model
Velocity 16.6 m/s Bit Interleaving depth 512/user for QPSK
1024/user for 16-QAM

Number of taps 12
Fs FFT size 1024

50 MHz
Nc 695
No spatial correlation
CP size 256 samples
W 41.7 MHz
Fo 5 GHz
57

s DA code s Alamouti AS
CAI + MAI terms

MAI terms
Multi user MMSE-IC receiver
Single user MMSE receiver
58
Perfect channel estimation
Bran E
Alamouti AS + SU
MMSE receiver Small degradation compared to
Rayleigh
Rayleigh i.i.d. channel
DA + iterative receiver Bran E
Rayleigh
DA code outperforms Alamouti code
59
Imperfect channel estimation:

Basic pilots aided algorithm with
1D interpolation (16% of pilots)
~ same impact whichever receiver is

used
2.1 dB DA code still outperforms Alamouti

1.9 dB
AS code
60
Synthesis
s MIMO MC-CDMA systems with iterative decoding
Q Exploitation of MC-CDMA advantages and MIMO capacity
Q Multi-user algorithm complexity (each user must be individually
decoded)
Q Equalization stage based on linear filters
Q Near-optimal performance no matter what the load
s Application to realistic channels
Q Small degradation compared to theoretical channel
Q Impact of channel estimation is satisfactory
61
General conclusion Major contributions Future prospects Publications and patents
Part VII: Conclusion
62
General conclusion
s MIMO capacity can be efficiently exploited by iterative processing
s MMSE-IC based solutions lead to low complexity algorithm
(especially comparing to MAP based solution)
QHigh order modulations are suitable
QHigh number of antennas can be considered
s MMSE-IC receiver can be derived for MC-CDMA transmission
s The behavior of MMSE-IC receiver over realistic channel including
channel estimation is satisfactory
63
Major contributions
s Proposition and analysis of a MIMO iterative receiver
QGeneric structure
QReduced complexity algorithms
QTheoretical analysis (complexity and asymptotical behavior)
s Proposition of new optimal LD codes
QDTST
s Application of iterative reception
QMC-CDMA
QLinear precoding
s Performance results
QTheoretical channels
QRealistic channels (channel estimation and spatial correlation)
64
Future prospects
s Iterative channel estimation
QJoint channel estimation and decoding
s Turbo-codes instead of convolutional codes as channel coding
QMulti-loop iterative scheme
s Real channels
QRealistic spatial correlation model
s Application to OFDMA
s Implementation issues
65
Publications and patents

s International Conference
QP-J. Bouvet and M. Hélard, «Near optimal performance for high data rate MIMO
MC-CDMA scheme», MC-SS 05
QB. Le Saux, M. Hélard and P-J. Bouvet, « Comparison of coherent and non-
coherent space time schemes for frequency selective fast-varying channels », IEEE
ISWCS 05
QP-J. Bouvet, M. Hélard and V. Le Nir, «Low complexity iterative receiver for
linear precoded OFDM», IEEE WiMob 05
QP-J. Bouvet and M. Hélard, «Efficient iterative receiver for spatial multiplexed
OFDM system over time and frequency selective channels», WWC 05
QP-J. Bouvet, M. Hélard and V. Le Nir, «Low complexity iterative receiver for
non-orthogonal space-time block code with channel coding», IEEE VTC Fall 04
QP-J. Bouvet, V. Le Nir, M. Hélard and R. Le Gouable, «Spatial multiplexed
coded MC-CDMA with iterative receiver» IEEE PIMRC 04
66

s International Conference (cont’d)
QP-J. Bouvet, M. Hélard and V. Le Nir, «Low complexity iterative receiver for linear
precoded MIMO systems», IEEE ISSSTA 04
QM. Hélard, P-J. Bouvet, C. Langlais, Y. M. Morgan and I. Siaud, «On the
performance of a Turbo Equalizer including Blind Equalizer over Time and
Frequency Selective Channel. Comparison with an OFDM system», Symposium
Turbo 03
QC. Langlais, P-J. Bouvet, M. Hélard and C. Laot, «Which Interleaver for turbo-
equalization system on frequency and time selective channels for high order
modulations ? », IEEE SPAWC 03
s National conference
QB. Le Saux, M. Hélard and P.-J Bouvet, «Comparaison de technique MIMO
cohérents et non-cohérentes sur canal rapide sélectif en fréquence», MajeSTIC 05
67

s Patents
QP-J Bouvet and M. Hélard, « Procédé d’émission d’un signal ayant subi un
précodage linéaire, procédé de réception, signal, dispositifs et programmes
d’ordinateur correspondant », Nov. 05
QJ-P. Javaudin and P-J. Bouvet, «Procédé de codage d'un signal multiporteuse de
type OFDM/OQAM utilisant des symboles à valeurs complexes, signal, dispositifs et
programmes d'ordinateur correspondants», May 05
QJ-P. Javaudin and P-J. Bouvet, «Procédé de décodage itératif d'un signal
OFDM/OQAM utilisant des symboles à valeurs complexes, dispositif et programme
d'ordinateur correspondants», May 05
QP-J. Bouvet and M. Hélard, «Procédé de réception itératif d'un signal multiporteuse
à annulation d'interférence, récepteur et programme d'ordinateur correspondants»,
March 05
68

s Patents (cont’d)
QP-J. Bouvet, M. Hélard and V. Le Nir, « Procédé de réception itératif pour système
de type MIMO, récepteur et programme d'ordinateur correspondants », Nov. 04
QP-J. Bouvet, V. Le Nir and M. Hélard, « Procédé de réception d'un signal ayant
subi un précodage linéaire et un codage de canal, dispositif de réception et produit
programme d'ordinateur correspondants », Jun. 04
QM. Hélard, P-J. Bouvet, V. Le Nir and R. Le Gouable, « Procédé de décodage d'un
signal codé à l'aide d'une matrice espace-temps, récepteur et procédé de codage et
décodage correspondant », Sept. 03
69
Questions
Questions?
70

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Iterative receivers for multi-antenna systems

Thèse présentée devant l’INSA de Rennes en vue de l’obtention du doctorat d’Électronique

France Telecom Division Recherche et Développement 07/12/21

QBroadband Wireless Acces / Innovative Radio Interface (RESA/BWA/IRI)

QMaryline HELARD, R&D engineer HDR at France Telecom R&D division

II. Multi-antenna techniques

III. Generic iterative receiver

Multi-antenna (MIMO) transmissions

s MIMO capacity [Telatar 95]

Multi-antenna (MIMO) transmissions

Part II: MIMO techniques

BICM scheme [Caire et al. 98]

Equivalent flat fading MIMO channels

Reduced complexity MIMO equalization (no ISI treatment)

Q By assuming ideal symbol

Q T-block Rayleigh fading model

Classification of MIMO techniques

Classification of MIMO techniques

Classification of MIMO techniques

s CSI required only at Rx

Linear Dispersion (LD) Code

s Equivalent channel matrix

Example: Alamouti Code over channel

Multi-antenna transmission provides CAI terms

Part III: Generic iterative receiver

Reception state of the art

s Optimal solution: joint detection Optimal performance

2. Iterative decoding: MIMO detection  channel decoding [Berrou et al. 93]

Reception state of the art

s Optimal solution: joint detection

2. Iterative decoding: MIMO detection  channel decoding [Berrou et al. 93]

s Application of the turbo-equalization concept to MIMO

MIMO equalizer (1)

s MMSE based soft interference cancellation (MMSE-IC)

s MMSE optimization of both filters

MIMO equalizer (2)

s Time invariant approximation: MMSE-IC(1)

MIMO equalizer (3)

s Zero-Forcing solution: ZF-IC

Complexity analysis (MIMO equalizer)

Proposed iterative receivers provide complexity gain

s Asymptotical equivalent channel

s Chi-square approximation and Chernoff bound

s Proposed definition of the space-time diversity

s Total diversity exploited by both channel and space-time coding

Full channel diversity can only be achieved by using jointly channel

Performance results: simulation conditions

s Theoretical independent T-Block Rayleigh flat fading MIMO channel

Receive array gain not taken into account

s Asymptotical curve: Matched filter Bound (MFB)

Performance results: Jafarkhani code

5 iterations are sufficient

0.8 dB gain at 10-4 versus disjoint MAP

Performance results: SDM

7 dB gain at 10-4 versus disjoint MMSE

Performance results: SDM overloaded

MFB is reached only with the MMSE-

The Iterative receiver still converges

Part IV: Optimal space-time coding

2. Maximizing space-time coding diversity

4. Minimizing the non orthogonal terms of

2. Maximizing space-time coding diversity

4. Minimizing the non orthogonal terms of