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LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 1

LTE MIMO Air Interface

LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 1
LTE MIMO Air Interface Advanced antenna solutions that are introduced in evolved High Speed Packet

LTE MIMO Air Interface

LTE MIMO Air Interface Advanced antenna solutions that are introduced in evolved High Speed Packet Access

Advanced antenna solutions that are introduced in evolved High Speed Packet Access (eHSPA) are also used by LTE. Solutions incorporating multiple antennas meet next- generation mobile broadband network requirements for high peak data rates, extended

coverage and high capacity.

Advanced multi-antenna solutions are key components to achieve these targets. There is not one antenna solution that addresses every scenario. Consequently, a family of

antenna solutions is available for specific deployment scenarios. For instance, high peak data rates can be achieved with multi-layer antenna solution such as 2x2 or 4x4 Multiple Input Multiple Output (MIMO) whereas extended coverage can be achieved with beam- forming.

MIMO mode is not just a superposition of SIMO and MISO since multiple data streams are now transmitted simultaneously in the same frequency and time, taking full advantage of the different paths in the radio channel. For a system to be described as MIMO, it must have at least as many receivers as there are transmit streams. The number of transmit

streams should not be confused with the number of transmit antennas. Consider the Tx

diversity (MISO) case in which two transmitters are present but only one data stream. Adding receive diversity (SIMO) does not turn this into MIMO, even though there are now two Tx and two Rx antennas involved. SIMO + MISO MIMO. It is always possible to have more transmitters than data streams but not the other way around. If N data streams are transmitted from fewer than N antennas, the data cannot be fully descrambled by any number of receivers since overlapping streams without the addition of spatial diversity just creates interference. However, by spatially separating N streams across at least N antennas, N receivers will be able to fully reconstruct the original data streams provided the crosstalk and noise in the radio channel are low enough.

LTE MIMO Air Interface The reason for sharing SINR is not as obvious. However, the

LTE MIMO Air Interface

LTE MIMO Air Interface The reason for sharing SINR is not as obvious. However, the diagram

The reason for sharing SINR is not as obvious. However, the diagram illustrate a system whereby the SINR keeps improving. Notice that the throughput reaches a point when additional improvements in SINR have little or no effect on the

throughput, i.e. the system has reached its best modulation and coding rate. This

is identified as the saturation point.

LTE MIMO Air Interface It is important to note that does not make explicit whether

LTE MIMO Air Interface

LTE MIMO Air Interface It is important to note that does not make explicit whether the

It is important to note that does not make explicit whether the multiple transmitters or receivers belong to the same base station or UE. This leads to a further elaboration of MIMO that is presented in Figure.

The first case is single user MIMO (SU-MIMO), which is the most common form of MIMO and can be applied in the uplink or downlink. The primary purpose of SU-MIMO is to increase the data rate to one user. There is also

a corresponding increase in the capacity of the cell. Figure shows the downlink form of 2x2 SU-MIMO in which

two data streams are allocated to one UE. The data streams in the example are coded red and blue, and in this case are further pre-coded in such a way that each stream is represented at a different power and phase on each antenna.

The second case shows 2x2 multiple user MIMO (MU-MIMO), which is used only in the uplink. (MU-MIMO is described in the WiMAX™ specifications as collaborative spatial multiplexing or collaborative MIMO). MU- MIMO does not increase an individual user’s data rate but it does offer cell capacity gains that are similar to, or better than, those provided by SU-MIMO. In the figure, the two data streams originate from different UE. The two transmitters are much farther apart than in the single user case, and the lack of physical connection means that there is no opportunity to optimize the coding to the channel Eigenmodes by mixing the two data streams. However, the extra spatial separation does increase the chance of the eNB picking up pairs of UE which have uncorrelated paths. This maximizes the potential capacity gain, in contrast to the pre-coded SU- MIMO case in which the closeness of the antennas could be problematic, especially at frequencies less than 1 GHz. MU-MIMO has an additional important advantage: the UE does not require the expense and power drain of two transmitters, yet the cell still benefits from increased capacity. To get the most gain out of MU-MIMO, the UE must be well aligned in time and power as received at the eNB.

The third case shown in Figure is cooperative MIMO (Co-MIMO) or Co-operative Multi-point (CoMP). The essential element of Co-MIMO is that two separate entities are involved at the transmission end. The example here is a downlink case in which two eNB “collaborate” by sharing data streams to pre-code the spatially separate antennas for optimal communication with at least one UE. The most advantageous use of downlink Co-MIMO occurs when the UE is at the cell edge. Here the SNR will be at its worst but the radio paths will be uncorrelated, which offers significant potential for increased performance. Co-MIMO is not currently part of the Release 8 LTE specifications but is being studied as a possible enhancement to LTE in Release 9 or Release 10 to meet the goals of the ITU’s IMT-Advanced 4G initiative. The primary challenge for co-operative MIMO is the need to share vast quantities of baseband data between the transmitting entities. Within the confines of a single device, such as a UE or eNB, this sharing can be accomplished on-chip or between modules. In the case of co-operative MIMO, however, the distances between transmitting elements may be hundreds of meters or even several kilometers. The provision of sufficient backhaul transmission bandwidth via the X2 interface with the necessary latency of perhaps 1 ms is a significant challenge.

LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 5

LTE MIMO Air Interface

LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 5
LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 6

LTE MIMO Air Interface

LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 6
LTE MIMO Air Interface Since the total Tx power is the same, each transmitted stream

LTE MIMO Air Interface

LTE MIMO Air Interface Since the total Tx power is the same, each transmitted stream of

Since the total Tx power is the same, each transmitted stream of a 2x2 MIMO system is -3dB respect to the MaxTXPower. In addition, assuming that the two streams have the same amount of

noise, the SINR value will be half of the SINR value for a single stream

transmission (assuming the same total power from one antenna). The throughput of a SM (Spatial Multiplexing) MIMO system is typically dependant on the number of antennas. The diagram illustrates the comparison between 1x2, 2x2 and 4x4. Notice that the capacity effectively doubles which the doubling of antennas. It is also worth noting that the effective range is also reduced!

LTE MIMO Air Interface MIMO schemes are based on precoded and rank-adaptive multi-codeword transmission. This

LTE MIMO Air Interface

LTE MIMO Air Interface MIMO schemes are based on precoded and rank-adaptive multi-codeword transmission. This means

MIMO schemes are based on precoded and rank-adaptive multi-codeword transmission.

This means that:

- Each layer (sobstream) carries separate transport blocks -The numbers of parallel streams can be adapted to the current channel conditions (rank adaption)

Before data is transmitted the modulated signal is spatially weighted (precoded) or, in others words, the data streams are transmitted over separate transmit antennas using different transmission weights.

The preferred weights are estimated by the UE and fed back to the network toghether with the CQI.

LTE MIMO Air Interface AMS : Adaptive MIMO Switching Adaptive MIMO Switching (AMS) is a

LTE MIMO Air Interface

LTE MIMO Air Interface AMS : Adaptive MIMO Switching Adaptive MIMO Switching (AMS) is a scheme

AMS : Adaptive MIMO Switching Adaptive MIMO Switching (AMS) is a scheme to switch between multiple MIMO modes to maximize spectral efficiency with no reduction in

coverage area. In an adaptive MIMO switching system, the system

parameters are jointly optimized to adapt to the changing channel conditions through link adaptation techniques that can track the time- varying characteristics of the wireless channel. The goal is to maximize the resources available in multiple antenna channels by using optimal schemes at all times.

LTE MIMO Air Interface The PCI is chosen to give the best performance and the

LTE MIMO Air Interface

LTE MIMO Air Interface The PCI is chosen to give the best performance and the CQI

The PCI is chosen to give the best performance and the CQI indicates the feedback for each of the streams - enabling one data stream to be modified independently.

LTE MIMO Air Interface Another technique which can be applied in the downlink is cyclic

LTE MIMO Air Interface

LTE MIMO Air Interface Another technique which can be applied in the downlink is cyclic delay

Another technique which can be applied in the downlink is cyclic delay diversity (CDD). This technique introduces a delay between multiple- antenna signals to artificially create multi-path on the received signal. It

thus reduces the impact of possible unwanted signal cancellation that can

occur if the same signal is transmitted from multiple antennas and the channel is relatively flat. Normally multi-path is considered undesirable, but by creating artificial multi-path in an otherwise flat channel, the eNB UE scheduler can choose to transmit on those RBs that have favorable propagation conditions. LTE uses what is known as large delay. The intent of this technique is to position signals on the peak of the frequency response that results from the addition of a delay. The reference signal subcarriers do not have CDD applied, which allows the UE to report the actual channel response to the scheduler in the eNB, which then uses that information to determine the use of cyclic delay and frequency allocations

for that specific UE.

LTE MIMO Air Interface When the CDD is enabled there is a choice of small

LTE MIMO Air Interface

LTE MIMO Air Interface When the CDD is enabled there is a choice of small or

When the CDD is enabled there is a choice of small or large delay. The large delay is approximately half a symbol, which creates significant ripple in the channel, whereas the small delay is defined by channel bandwidth and

varies from 65 ns for the 20 MHz channel to just over 1 μs for the 1.4 MHz

channel. For the widest channels using the small delay will be a challenge because the required time shift is very close to the limits of antenna timing calibration.

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LTE MIMO Air Interface

LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 13
LTE MIMO Air Interface The first mode uses only one transmitter, and since the UE

LTE MIMO Air Interface

LTE MIMO Air Interface The first mode uses only one transmitter, and since the UE must

The first mode uses only one transmitter, and since the UE must have at least two receivers, this is a SIMO configuration, better known as, receive diversity. This mode specifies the baseline receiver capability for which

performance requirements will be defined. It is typically implemented

using maximum ratio combining of the received streams to improve the SNR in poor conditions. Rx diversity provides little gain in good conditions.

LTE MIMO Air Interface The second downlink mode, Tx diversity, is identical in concept to

LTE MIMO Air Interface

LTE MIMO Air Interface The second downlink mode, Tx diversity, is identical in concept to the

The second downlink mode, Tx diversity, is identical in concept to the open-loop Tx diversity introduced in UMTS Release 99. The more complex, closed-loop Tx diversity techniques from UMTS have not been adopted in

LTE, which instead uses the more advanced MIMO, which was not part of

Release 99. LTE supports either two or four antennas for Tx diversity. The example shown in Figure 17 is a two Tx example in which a single stream of data is assigned to the different layers and coded using space frequency block coding (SFBC). Since this form of Tx diversity has no data rate gain, the code words CW0 and CW1 are the same. SFBC achieves robustness through frequency diversity by using different subcarriers for the repeated data on each antenna.

LTE MIMO Air Interface The third downlink mode is open-loop MIMO spatial multiplexing, which is

LTE MIMO Air Interface

LTE MIMO Air Interface The third downlink mode is open-loop MIMO spatial multiplexing, which is supported

The third downlink mode is open-loop MIMO spatial multiplexing, which is supported for two and four antenna configurations. Assuming a two- channel UE receiver, this scheme allows for 2x2 or 4x2 MIMO. A four-

channel UE receiver, which is required for a 4x4 configuration, has been

defined but is not likely to be implemented in the near future. The most common configuration will be 2x2 or 4x2 SU-MIMO. In this case the payload data will be divided into the two codeword streams CW0 and CW1 and processed. The open-loop designation refers to the fact that there is no precoding of the streams, which are instead directly mapped to each antenna. However, the UE-preferred rank and the channel quality indicator (CQI) are used to adapt to the channel, which is a form of closed-loop feedback.

LTE MIMO Air Interface For the FDD case the transmitter must have knowledge of the

LTE MIMO Air Interface

LTE MIMO Air Interface For the FDD case the transmitter must have knowledge of the channel,

For the FDD case the transmitter must have knowledge of the channel, which is provided by the UE on the uplink control channel. This knowledge consists of the CQI, the precoding matrix Indicator (PMI), and the rank

indication (RI). The PMI feedback uses a codebook approach to provide an

index into a predetermined set of precoding matrices. For 2x2 there are three different codewords; for 4x2 there are 16 codewords. Since the channel is continually changing, sub-band CQI and PMI information can be provided for multiple points across the channel bandwidth, at regular time intervals, up to several hundred times a second. The RI is only provided wideband for the whole channel. The UE that can best estimate the channel conditions and then signal the best coding to use will get the best performance out of the channel. Although the use of a codebook for precoding limits the best fit to the channel, it significantly simplifies the channel estimation process by the UE and the amount of uplink signaling

needed to convey the desired precoding.

LTE MIMO Air Interface The fifth transmission mode is MU-MIMO. This is a special case

LTE MIMO Air Interface

LTE MIMO Air Interface The fifth transmission mode is MU-MIMO. This is a special case of

The fifth transmission mode is MU-MIMO. This is a special case of mode 3 in which the codewords are destined for different UE. Closed-loop MU- MIMO does not apply in this case.

LTE MIMO Air Interface The sixth downlink transmission mode is a form of beamsteering, described

LTE MIMO Air Interface

LTE MIMO Air Interface The sixth downlink transmission mode is a form of beamsteering, described here

The sixth downlink transmission mode is a form of beamsteering, described here as Closed-loop Rank = 1 precoding and is the fall-back mode when mode 4 reports Rank = 1. Conventional phased-array beamsteering, which

can be applied independent of the radio standard, introduces phase and

amplitude offsets to the whole of the signal feeding each transmitting antenna. The intention is to focus the signal power in a particular direction. The same technique of applying phase and amplitude offsets can be used on the receiving antennas to make the receiver more sensitive to signals coming from a particular direction. In LTE, the amplitude and phase of individual RBs can be adjusted, making beamsteering far more flexible. In addition to the conventional beamsteering methods, with the sixth transmission mode, beamsteering is implemented by taking advantage of the closed-loop precoding similar to that used for MIMO. Since Rank = 1, only one codeword is used for beamsteering, and the purpose of the

precoding function is to correlate the signals from each transmitter

towards the receiver of an individual user. Beamsteering does not increase data rates but has a similar effect of increasing signal robustness. The effectiveness of beamsteering increases with the number of transmitting

antennas, which allows for the creation of a narrower beam. The gains possible with only two antennas are generally not considered worthwhile and so beamsteering generally is considered only for the four-antenna option.

LTE MIMO Air Interface The seventh and final transmission mode is nother form of beamsteering.

LTE MIMO Air Interface

LTE MIMO Air Interface The seventh and final transmission mode is nother form of beamsteering. It

The seventh and final transmission mode is nother form of beamsteering. It is similar to mode 6 except that an additional antenna (port 5) is used to form a dedicated beam towards the UE which also carries a UE-specific

beamformed reference signal.

One of the challenges in supporting both MIMO and beamsteering is that conflicting constraints are put on the design of the antennas. Beamsteering relies on correlation of the transmitted signals whereas MIMO relies on de- correlation, reportedly performing best with cross-polarized antennas.

LTE MIMO Air Interface Received diversity was described in the previous section. SU-MIMO is within

LTE MIMO Air Interface

LTE MIMO Air Interface Received diversity was described in the previous section. SU-MIMO is within the

Received diversity was described in the previous section. SU-MIMO is within the scope of LTE but is not fully defined in 3GPP Release 8. To implement SU-MIMO the UE will require two transmitters. This is a significant

challenge in terms of cost, size, and battery consumption, and for these reasons

SU-MIMO is not currently a priority for development. Also, the increased data rates in the uplink that might be possible from SU-MIMO are not as important as they

are in the downlink due to asymmetrical traffic distribution. Furthermore, if the system is deployed to be uplink-performance-limited, it may be impractical to increase the transmit power from the UE sufficiently to achieve the SNR needed at the eNB receivers. While MU-MIMO does not increase an individual user’s data rate, it does offer cell capacity gains that are similar to, or better than, those provided by SU-MIMO. The two transmitters are much farther apart than in the single user case, and the lack of physical connection means that there is no opportunity to optimize the coding to the channel Eigen modes by mixing the two data streams. However, the

extra spatial separation does increase the chance of the eNB picking up pairs of UE

which have uncorrelated paths. This maximizes the potential capacity gain, in contrast to the precoded SU-MIMO case in which the closeness of the antennas could be problematic, especially at frequencies less than 1 GHz. MU-MIMO has an additional important advantage: the UE does not require the expense and power drain of two transmitters, yet the cell still benefits from increased capacity. To get the most gain out of MU-MIMO, the UE must be well aligned in time and power as received at the eNB.

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LTE MIMO Air Interface

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LTE MIMO Air Interface A larger inter-antenna distance reduces the correlation between the channels of

LTE MIMO Air Interface

LTE MIMO Air Interface A larger inter-antenna distance reduces the correlation between the channels of the

A larger inter-antenna distance reduces the correlation between the channels of the different antenna elements for a given fixed angular spread and vice verse. Signals transmitted from antennas with different

polarization direction also tend to have reduced correlation. Another

important characteristic is that signals transmitted with different polarization directions often remain rather well separated in the polarization “dimension” even when reaching the receiver. Thus, varying inter-antenna distances and polarization can be used to affect the spatial correlation and the isolation between signals. Since a transmission scheme usually works well in a channel with certain properties and less well with other properties, the antenna setup substantially impacts what multi- antenna transmission scheme to use, and vice verse. The previously mentioned transmission schemes are targeting different channel characteristics and hence are suitable together with different antenna

setups.

LTE MIMO Air Interface Note that the meaning of “large” and “small” inter-antenna distance above

LTE MIMO Air Interface

LTE MIMO Air Interface Note that the meaning of “large” and “small” inter-antenna distance above should

Note that the meaning of “large” and “small” inter-antenna distance above should be interpreted relative to the angular spread on the intended side of the link and also on the wave length. For a base station mounted above

roof tops the angular spread might for example be quite small and “small”

may then be taken as half a wavelength and “large” might be 4-10 wavelengths while on the UE side, which typically experiences a much larger angular spread, half a wavelength might be considered “large”.

LTE MIMO Air Interface Figure shows various antenna configurations for deployments constrained to use twelve

LTE MIMO Air Interface

LTE MIMO Air Interface Figure shows various antenna configurations for deployments constrained to use twelve or

Figure shows various antenna configurations for deployments constrained to use twelve or less radio frequency (RF) cables per BS. Twelve RF cables can support four antennas per cell for a three-cell base station and two antennas per sector for a six-

cell base station.

Historically, beamforming relates to forming beams well-localized in the physical space towards a specific point. For this to work, the antennas on the transmit side would be placed using small inter-antenna distances, often using what is often referred to as a Uniform Linear Array (ULA) with e.g. half-a-wavelength inter- antenna distance. Thus, the term “beamforming” is taken to mean a component of a transmission scheme and antenna setup that intentionally strives to form at least one localized beam in the physical space. In contrast, precoding may very well focus energy in different directions but then the direction is with respect to a vector space as opposed to the physical space. Beamforming relies on physical directions which is a property of the channel that

varies only on relatively long-term basis. This simplifies the selection of suitable

weight vectors and also reduces signaling overhead if the weight vectors need to be fed back from the receiver or if channel reciprocity is exploited in for utilizing

channel measurements obtained from reverse link transmissions. Note that directional information in the channel is reciprocal regardless of TDD or FDD so beamforming may be based on reverse-link measurements even in FDD conditioned on the separation of UL and DL carrier frequencies (duplex distance). For similar reason, non-codebook-based beamforming is conceivable even for FDD. The following section provides common antenna configurations that can be deployed in UMTS and LTE-(A) networks constrained by cost and frequency band.

LTE MIMO Air Interface The aim of this section is to establish a compatibility matrix

LTE MIMO Air Interface

LTE MIMO Air Interface The aim of this section is to establish a compatibility matrix between

The aim of this section is to establish a compatibility matrix between antenna configurations and MIMO algorithms for the three main deployment environments (Urban Micro, Urban Macro, Rural Macro).

There are, overall, many permutations, some of which are either not

feasible or, even if they are, have performance issues that arise forcing some combinations to be preferred over others. Table summarizes the compatibility matrix of antenna configurations in terms of the deployment environment. Three levels of high (H), medium (M) and low (L) preferences are defined, attempting to provide some form of relative ranking. This analysis selects a few representative antenna configurations based on the constraints of twelve RF cables per three-cell base station. It also presents the configuration CLA-4X that violates the constraint and represents an upper limit in the size/performance tradeoff.

LTE MIMO Air Interface Figure captures some of the features offered by these antenna configurations.

LTE MIMO Air Interface

LTE MIMO Air Interface Figure captures some of the features offered by these antenna configurations. Note

Figure captures some of the features offered by these antenna configurations. Note that in this draft version the maximum spectrum efficiency (SE) axes numbers have not been captured. The features of

interest include:

-The resource reuse factor also known as multi-user multiplexing factor or SDMA factor (beamsteering efficiency). Note that for ULA configurations, SDMA benefits across orthogonal beams are only captured.

-The suitability for the three major deployment environments (Urban Micro - UMi , Urban Macro - UMa , Rural Macro - RMa).

-The suitability of the antenna configuration to support adaptation across multiple MIMO algorithms.

This includes primarily Doppler-spread robustness that results in

performance guarantees across a wide range of propagation conditions.

- A relative OPEX figure that results from the increase in leasing costs for the base station site with the assumption that the larger the physical dimensions of the antennas the higher the recurring expense that operators pay the tower vendors

LTE MIMO Air Interface K Labs S.r.l. all right reserved Cap 3 - pag. 28

LTE MIMO Air Interface

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LTE MIMO Air Interface The so-called baseline case refers to a single vertical column at

LTE MIMO Air Interface

LTE MIMO Air Interface The so-called baseline case refers to a single vertical column at the

The so-called baseline case refers to a single vertical column at the eNB transmitter (1V) such that the relative benefits of DIV-1X can be best understood. The performance of the 1V baseline antenna configuration is

shown. Note that a dual carrier HSPA system is presented and also, the

notation for system bandwidth is that of FDD i.e. 2 x K MHz. LTE Release 8 seems to offer significant performance gains over HSPA for the baseline scenario. Average cell SE gain is on the order of 30% with cell- edge SE gain in the order of 100%.

LTE MIMO Air Interface Open-Loop MIMO Multiple stream transmission increases the peak rate of LTE

LTE MIMO Air Interface

LTE MIMO Air Interface Open-Loop MIMO Multiple stream transmission increases the peak rate of LTE Rel-8.

Open-Loop MIMO Multiple stream transmission increases the peak rate of LTE Rel-8. OL- MIMO is not available for HSPA, effectively though a peak rate increase for

HSPA is provided via dual-carrier transmission. Two cases are presented:

with SM, where the transmission rank is higher than 1 and without SM where we have rank 1 transmission. Compared to baseline, SE gains for OL-MIMO with DIV-1X are small due to the interference limited simulated scenario; gains could be much higher in an isolated cell. Note that the notation NTX x NRX in this report assumes diversity (DIV) antenna configuration at the base station and the terminal.

LTE MIMO Air Interface Figure shows only rank -1 results as transmission with rank >1

LTE MIMO Air Interface

LTE MIMO Air Interface Figure shows only rank -1 results as transmission with rank >1 were

Figure shows only rank -1 results as transmission with rank >1 were not observable at the cell edge.

LTE MIMO Air Interface Closed-Loop MIMO Multiple stream transmission increases the peak rate of LTE

LTE MIMO Air Interface

LTE MIMO Air Interface Closed-Loop MIMO Multiple stream transmission increases the peak rate of LTE Rel-8.

Closed-Loop MIMO Multiple stream transmission increases the peak rate of LTE Rel-8. OL- MIMO is not available for HSPA, effectively though a peak rate increase for

HSPA is provided via dual-carrier transmission. Two cases are presented:

with SM, where the transmission rank is higher than 1 and without SM where we have rank 1 transmission. Compared to baseline, SE gains for OL-MIMO with DIV-1X are small due to the interference limited simulated scenario; gains could be much higher in an isolated cell. Note that the notation NTX x NRX in this report assumes diversity (DIV) antenna configuration at the base station and the terminal.

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LTE MIMO Air Interface

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LTE MIMO Air Interface With the ULA-4V antenna configuration, SDMA benefits are evident for macro-cellular

LTE MIMO Air Interface

LTE MIMO Air Interface With the ULA-4V antenna configuration, SDMA benefits are evident for macro-cellular deployments.

With the ULA-4V antenna configuration, SDMA benefits are evident for macro-cellular deployments. The Doppler-spread tolerance is also evident due to the long-term beamforming. At the cell edge, ULA-4V helps with

increasing SNR with rank-one transmission as well as improved SIR

statistics due to SDMA scheduling in the interfering base stations.

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LTE MIMO Air Interface

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LTE MIMO Air Interface UL MU-MIMO with DIV-1X exhibits some moderate gains over the baseline

LTE MIMO Air Interface

LTE MIMO Air Interface UL MU-MIMO with DIV-1X exhibits some moderate gains over the baseline of

UL MU-MIMO with DIV-1X exhibits some moderate gains over the baseline of the order of 10%. Limiting factors include the small number of receive antenna elements, the receiver technology with SIC outperforming MMSE,

the traffic distribution. The later affects the scheduler capability in

identifying two simultaneous UEs with target SINRs that allow MIMO detection/separation. The results below were performed with 10 users per cell; the presence of more users will likely increase the benefits. At the cell edge, maintenance of the IoT target constraints even further reduces the performance benefits since it leads to suppression of the Tx PSD as a result of the simultaneous transmission by more than one UE on the same set of resources.

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LTE MIMO Air Interface

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LTE MIMO Air Interface Based on simulation results presented, it was shown that the relatively

LTE MIMO Air Interface

LTE MIMO Air Interface Based on simulation results presented, it was shown that the relatively simple

Based on simulation results presented, it was shown that the relatively simple MIMO transmission scheme based on 2x2 CL SM, at low user equipment (UE) speeds can increase by 20% the DL sector spectral efficiency relative to a single antenna transmission, as well as increase the cell edge efficiency by approximately 35%. More advanced antenna configurations can provide benefits that are significant for both good geometry users as well as cell edge users.

At the base station, the migration path from DIV-1X to more complicated arrays is critical.

- Uniform linear array configurations are more suitable for rural environments where the size

of the cells in combination with the propagation characteristics provide a compatible match to the capacity coverage tradeoff curve. In the DL, cell-edge users get an SINR boost in the

more efficient linear capacity region, and even more so with DL CoMP, while users with higher geometries get SDMA benefits. Doppler-spread tolerant beamforming algorithms provide a good match to the expected user mobility patterns. In the UL, SDMA benefits all

users that pay a diversity penalty relative to DIV antenna configurations. On the other hand, per-beam IoT control allows for better granularity in managing UL load balancing, useful for the mostly non-uniform traffic distributions of larger cells.

- Diversity antenna configurations are more suitable for urban microcell and urban macrocell environments. For microcells, the cost, antenna size and “in-the-clutter” location in combination with user mobility patterns, can make extensive usage of closed-loop feedback MIMO capabilities that benefit low-speed single user and multi-user transmissions.

- Clustered antenna configurations are more suitable for urban macrocell environments. Such

hybrid antenna arrays manage to support most, if not all, of MIMO algorithmic alternatives and together with mode adaptation match well the more unpredictable environments of urban macrocells. In the DL and for the same antenna elements, they trade reduced SDMA performance relative to uniform linear arrays, with increased UL robustness due to the presence of diversity elements. They also offer increased DL robustness for high speed users and for common control channels that cannot be beamformed.

At the terminal, the challenges faced by UE designers in creating handheld devices are numerous. The effect on battery life needs to be considered. Small form factors will force design compromises, some of which that can be alleviated through advanced antenna designs. However, these designs will have effects whose impact on MIMO system performance should be well understood. The 3GPP has already defined and continues to standardize the most advanced forms of MIMO technology in the industry. It is the intention of this report to increase awareness and offer guidance on the deployment of MIMO technology in HSPA and LTE networks.

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LTE MIMO Air Interface

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LTE MIMO Air Interface A variety of MIMO channel models, many of them based on

LTE MIMO Air Interface

LTE MIMO Air Interface A variety of MIMO channel models, many of them based on measurements,

A variety of MIMO channel models, many of them based on measurements, have been reported in the last years. The proposed models can be classified in various ways. A potential way of distinguishing the individual models is with regard to the type of channel that is being considered, that is, narrowband (flat fading) versus wideband (frequency selective) models, time- varying versus time - invariant models, and so forth. Narrowband MIMO channels are completely characterized in terms of their spatial structure. In contrast, wideband (frequency-selectivity) channels require additional modeling of the multipath channel characteristics. With time-varying channels, one additionally requires a model for the temporal channel evolution according to certain Doppler characteristics. Hereafter, we will focus on another particularly useful model classification pertaining to the modeling approach taken. The fundamental distinction is between physical models and analytical models. Physical channel models characterize an environment on the basis of electromagnetic wave propagation by describing the double-directional multipath propagation between the location of the transmit (Tx) array and the location of the receive (Rx) array. They explicitly model wave propagation parameters like the complex amplitude, DoD, DoA, and delay of an MPC. More sophisticated models also incorporate polarization and time variation. Depending on the chosen complexity, physical models allow for an accurate reproduction of radio propagation. Physical models are independent of antenna configurations (antenna pattern, number of antennas, array geometry, polarization, mutual coupling) and system bandwidth. Physical MIMO channel models can further be split into deterministic models, geometry - based stochastic models, and nongeometric stochastic models . Deterministic models characterize the physical propagation parameters in a completely deterministic manner (examples are ray tracing and stored measurement data). With geometry-based stochastic channel models (GSCM), the impulse response is characterized by the laws of wave propagation applied to specific Tx, Rx, and scatterer geometries, which are chosen in a stochastic (random) manner. In contrast, nongeometric stochastic models describe and determine physical parameters (DoD, DoA, delay, etc.) in a completely stochastic way by prescribing underlying probability distribution functions without assuming an underlying geometry (examples are the extensions of the Saleh-Valenzuela model).

LTE MIMO Air Interface In contrast to physical models, analytical channel models characterize the impulse

LTE MIMO Air Interface

LTE MIMO Air Interface In contrast to physical models, analytical channel models characterize the impulse response

In contrast to physical models, analytical channel models characterize the impulse response (equivalently, the transfer function) of the channel between the individual transmit and receive antennas in a mathematical/analytical way without explicitly

accounting for wave propagation. The individual impulse responses are subsumed in a

(MIMO) channel matrix. Analytical models are very popular for synthesizing MIMO matrices in the context of system and algorithm development and verification. Analytical models can be further subdivided into propagation -motivated models and correlation -based models. The first subclass models the channel matrix via propagation parameters. Examples are the finite scatterer model, the maximum entropy model, and the virtual channel representation. Correlation-based models characterize the MIMO channel matrix statistically in terms of the correlations between the matrix entries. Popular correlation-based analytical channel models are the Kronecker model and the Weichselberger model.

LTE MIMO Air Interface For the purpose of comparing different MIMO systems and algorithms, various

LTE MIMO Air Interface

LTE MIMO Air Interface For the purpose of comparing different MIMO systems and algorithms, various organizations

For the purpose of comparing different MIMO systems and algorithms, various organizations defined reference MIMO channel models which establish reproducible channel conditions. With physical models this means to specify a channel model,

reference environments, and parameter values for these environments. With

analytical models, parameter sets representative for the target scenarios need to be prescribed. Examples for such reference models are the ones proposed within 3GPP, IST-WINNER, COST 259, COST 273, IEEE 802.16a,e, and IEEE 802.11n.

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LTE MIMO Air Interface Standardized models are an important tool for the development of new

LTE MIMO Air Interface

LTE MIMO Air Interface Standardized models are an important tool for the development of new radio

Standardized models are an important tool for the development of new radio systems. They allow to assess the benefits of different techniques (signal processing, multiple access, etc.) for enhancing capacity and

improving performance, in a manner that is unified and agreed on by many

parties. For example, the COST 207 wideband power delay profile model was widely used in the development of GSM, and used as a basis for the decision on modulation and multiple-access methods. In this section, we discuss five standardized directional MIMO channel models to provide an overview of recent and ongoing channel modeling activities. “COST” is an abbreviation for European cooperation in the field of scientific and technical research .

LTE MIMO Air Interface Several COST initiatives were dedicated to wireless communications, in particular COST

LTE MIMO Air Interface

LTE MIMO Air Interface Several COST initiatives were dedicated to wireless communications, in particular COST 259

Several COST initiatives were dedicated to wireless communications, in particular COST 259 “Flexible personalized wireless communications” (19962000) and COST 273 “Towards mobile broadband multimedia

networks” (20012005). These initiatives developed channel models that

include directional characteristics of radio propagation and are thus suitable for the simulation of smart antennas and MIMO systems. They are, at this time, the most general standardized channel models, and are not intended for specific systems. The 3GPP/3GPP2 model and the 802.11n model can be viewed as subsets (though with different parameter settings).

LTE MIMO Air Interface The COST 259 directional channel model (DCM) is a physical model

LTE MIMO Air Interface

LTE MIMO Air Interface The COST 259 directional channel model (DCM) is a physical model that

The COST 259 directional channel model (DCM) is a physical model that gives a model for the delay and angle dispersion at BS and MS, for different radio environments. It was the first model that explicitly took the rather complex relationships between BS-MS- distance, delay dispersion, angular spread, and other parameters into account. It is also general in the sense that it is defined for a 13 different radio environments (e.g., typical urban, bad urban, open square, indoor office, indoor corridor) that include macrocellular, microcellular, and picocellular scenarios The modeling approaches for macro-, micro-, and picocells are different; in the following, we describe only the macrocell approach. Each radio environment is described by external parameters (e.g., BS position, radio frequency, average BS and MS height) and by global parameters, which are sets of probability density functions and/or statistical moments characterizing a specific environment (e.g., the number of scatterers is characterized by a Poisson distribution). The determination of the global parameters is partly geometric, and partly stochastic. We place the MS at random in the cell. Similarly, a number of scatterer clusters are geometrically placed in the cell. From those positions, we can determine the relative delay and mean angles of the different clusters that make up the double-directional impulse response. The angular spread, delay spread, and shadowing, on the other hand, are determined stochastically. They are modeled as correlated lognormally distributed random variables. Each radio environment contains a number of propagation environments , which are defined as an area over which the local parameters (which are defined as realizations of the global parameters) are approximately constant; they are typically several meters in diameter. These local parameters are randomly generated realizations of the global parameters and describe the instantaneous channel behavior. As ultimate output of the channel model, the double- directional impulse response is then obtained, which then allows to derive the transfer function matrix. The impulse responses can also be generated via a GSCM approach. It is noteworthy that the COST 259 model can handle the continuous movement of the MS over several propagation environments, and even across different radio environments. While fairly general, there are two major restrictions of the COST 259 DCM. On the one hand, scatterers are assumed stationary so that channel time variations are solely due to MS movement; this obviously excludes certain environments (e.g., indoor scenarios with persons moving around). On the other hand, delay attenuations are modeled as complex Gaussian random variables. This requires a sufficiently large number of MPCs within each delay bin, a condition that is not met in some situations; this latter assumption is also made in all other standardized channel models.

LTE MIMO Air Interface The COST 259 directional channel model (DCM) is a physical model

LTE MIMO Air Interface

LTE MIMO Air Interface The COST 259 directional channel model (DCM) is a physical model that

The COST 259 directional channel model (DCM) is a physical model that gives a model for the delay and angle dispersion at BS and MS, for different radio environments. It was the first model that explicitly took the rather complex relationships between BS-MS- distance, delay dispersion, angular spread, and other parameters into account. It is also general in the sense that it is defined for a 13 different radio environments (e.g., typical urban, bad urban, open square, indoor office, indoor corridor) that include macrocellular, microcellular, and picocellular scenarios The modeling approaches for macro-, micro-, and picocells are different; in the following, we describe only the macrocell approach. Each radio environment is described by external parameters (e.g., BS position, radio frequency, average BS and MS height) and by global parameters, which are sets of probability density functions and/or statistical moments characterizing a specific environment (e.g., the number of scatterers is characterized by a Poisson distribution). The determination of the global parameters is partly geometric, and partly stochastic. We place the MS at random in the cell. Similarly, a number of scatterer clusters are geometrically placed in the cell. From those positions, we can determine the relative delay and mean angles of the different clusters that make up the double-directional impulse response. The angular spread, delay spread, and shadowing, on the other hand, are determined stochastically. They are modeled as correlated lognormally distributed random variables. Each radio environment contains a number of propagation environments , which are defined as an area over which the local parameters (which are defined as realizations of the global parameters) are approximately constant; they are typically several meters in diameter. These local parameters are randomly generated realizations of the global parameters and describe the instantaneous channel behavior. As ultimate output of the channel model, the double- directional impulse response is then obtained, which then allows to derive the transfer function matrix. The impulse responses can also be generated via a GSCM approach. It is noteworthy that the COST 259 model can handle the continuous movement of the MS over several propagation environments, and even across different radio environments. While fairly general, there are two major restrictions of the COST 259 DCM. On the one hand, scatterers are assumed stationary so that channel time variations are solely due to MS movement; this obviously excludes certain environments (e.g., indoor scenarios with persons moving around). On the other hand, delay attenuations are modeled as complex Gaussian random variables. This requires a sufficiently large number of MPCs within each delay bin, a condition that is not met in some situations; this latter assumption is also made in all other standardized channel models.

LTE MIMO Air Interface The cluster link delay ensures realistic path delays as, for example,

LTE MIMO Air Interface

LTE MIMO Air Interface The cluster link delay ensures realistic path delays as, for example, derived

The cluster link delay ensures realistic path delays as, for example, derived frommeasurement campaigns, whereas the placement of the cluster is driven by the angular statistics of the cluster as observed from BS/MT,

respectively.

LTE MIMO Air Interface The spatial channel model (SCM) was developed by 3GPP/3GPP2 to be

LTE MIMO Air Interface

LTE MIMO Air Interface The spatial channel model (SCM) was developed by 3GPP/3GPP2 to be a

The spatial channel model (SCM) was developed by 3GPP/3GPP2 to be a common reference for evaluating different MIMO concepts in outdoor environments at a center frequency of 2 GHz and a system bandwidth of 5 MHz. The SCM consists of two parts: (i) a calibration model, and (ii) a system-simulation model.

Calibration model The calibration model is an over-simplified channel model whose purpose is to check the correctness of simulation implementations. In the course of standardization work, it is often necessary to compare the implementations of the same algorithm by different companies . Comparing the performance of the algorithm in the “calibration” channels allows to easily assess whether two implementations are equivalent.

We stress that the calibration model is not intended for performance assessment of algorithms or systems. The calibration model, as described in the 3GPP/3GPP2 standard, can be implemented either as a physical model or as an analytical model. The physical

model is a nongeometrical stochastic physicalmodel.

It is a spatial extension of the ITU-R channel models, which describe the wideband characteristics of the channel as a tapped delay line. Taps with different delays are independently fading, and each tap is characterized by its own power azimuth spectrum (which is uniform or Laplacian), angular spread (AS), and mean direction, at both the MS and the BS. The parameters (i.e., angular spread, mean direction, etc.), are fixed; thus the model represents stationary channel conditions. The Doppler spectrum is defined implicitly by introducing speed and direction of travel of the MS. The model also defines a number of antenna configurations. Given those, the physical model can be transformed into an equivalent analytical model.

LTE MIMO Air Interface Simulation model The SCM intended for performance evaluation is called the

LTE MIMO Air Interface

LTE MIMO Air Interface Simulation model The SCM intended for performance evaluation is called the simulation

Simulation model The SCM intended for performance evaluation is called the simulation model. The model is a physical model and distinguishes between three different environments: urban macrocell, suburban macrocell, and urban microcell. The model structure and simulation methodology are identical for all these environments, but the parameters, like angular spread, delay spread, and so forth, are different. The simulation model employs both geometrical and stochastic components. Let us first describe the simulation procedure for a single link between one MS and one BS. The geometrical component is that the MSs are placed at random within a given cell, and the orientation of the antenna array, as well as the direction of movement within the cell, are also chosen at random. From the MS position, we can determine the bulk pathloss, which is given by the COST 231Hata model for macrocells, and the COST 231Walfish- Ikegami model for microcells. The number of taps with different delays is 6 (as in the ITU-R models), but their delay and average power are chosen stochastically from a probability density function. Each tap shows angular dispersion at the BS and the MS; this dispersion is implemented by representing each tap by a number of subpaths that all have the same delay, but different DOAs (and DODs). Physically, this means that each path consists of a cluster of 20 scatterers with slightly different directions but equal time of arrival. Specifically, the modeling of the angular dispersion works as follows: the mean DOA and DOD of the total arriving power (weighted average over all the taps) is determined by the location of the MS and the orientation of the antenna array. The mean DOA (or DOD) of one tap is chosen at random from a Gaussian distribution that is centered around this total mean (the variance of this distribution is one of the model parameters). The 20 subpaths have different offsets Δφi from this tap mean; those offsets are fixed and tabulated in the 3GPP standard. Adding up the different subpaths (which all have deterministic amplitudes, but different phases) results in Rayleigh or Rice fading. Temporal variations of the impulse response are effected by movement of the MS, which in turn leads to different phase shifts of the subpaths. When using the SCM, the simulation of the system behavior is carried out as a sequence of “drops,” where a “drop” is defined as one simulation run over a certain (short) time period. That period is assumed to be short, so that it is justified to assume (as the model does) that large-scale channel parameters, such as angle spread, mean DOA, delay spread, and shadowing stay constant during a drop. For each drop, these large- scale channel parameters are drawn according to distributions functions. The MS positions are varied at random at the beginning of each drop. In some cases, we wish to emulate the channels between multiple BS cells/sectors and multiple MSs linked to these BSs. The cell layout and BS locations are fixed for a certain number of successive drops, but (as in the single-cell case) the MS positions are varied at random at the beginning of each drop. Antenna radiation patterns, antenna geometries, and orientations can be chosen arbitrary, that is, the model is antenna independent. When all the parameters and antenna effects are defined, analytical formulations can be extracted from the physical model. Note that each drop results in a different correlation matrix for the analytical model.

LTE MIMO Air Interface The channel models developed in the IST-WINNER project are related to

LTE MIMO Air Interface

LTE MIMO Air Interface The channel models developed in the IST-WINNER project are related to both

The channel models developed in the IST-WINNER project are related to both the COST 259 model and the 3GPP SCM model. TheWINNER models adopted the GSCM principle, the drop concept, and the generic approach to model all scenarios with the same generic structure. Generic

multilink models are intended for system-level simulations, while clustered delay

line (CDL) models, with fixed small scale parameters, are used for calibration simulations. Various measurement campaigns provide the background for the parameterization of seven indoor, urban, suburban and rural scenarios for both LOS and NLOS conditions. These measurements were conducted by five partners with different devices in different European countries. In the first stage of the WINNER modeling work, the 3GPP SCM model was selected for immediate simulation needs. Due to the narrow bandwidth and the limited frequency applicability range, the SCM model was extended to the SCM-Extended (SCME) model in following ways. The bandwidth was extended to 100MHz by introducing the so-called intracluster delay spread. Center frequencies of 5 GHz were included by defining corresponding

path-loss functions. Further upgrades to the original model include the LOS option for all three SCM scenarios, tapped-delayline models and time evolution of small scale parameters together with evolution of shadow fading. A MATLAB

implementation of the SCME is available. A reduced version of this model was

adopted for standardization of the 3GPP long term evolution (LTE). Another extension resulted in the WINNER Phase I channel model. It was developed to fill the shortage of measurement-based wideband system-level models for a wide set of scenarios. The novel features of the model are its parameterization, the consideration of elevation in indoor scenarios, autocorrelation modeling of large-scale parameters (including cross-correlation), and scenario-dependent polarization modeling. The model is scalable from a single SISO or MIMO link to a multilink MIMO scenario including polarization among other radio channel dimensions. A MATLAB implementation of this model is also available.

LTE MIMO Air Interface Multi -path fading propagation conditions The multipath propagation conditions consist of

LTE MIMO Air Interface

LTE MIMO Air Interface Multi -path fading propagation conditions The multipath propagation conditions consist of several

Multi -path fading propagation conditions

The multipath propagation conditions consist of several parts:

A delay profile in the form of a "tapped delay-line", characterized by a

number of taps at fixed positions on a sampling grid. The profile can be further characterized by the r.m.s. delay spread and the maximum delay spanned by the taps. A combination of channel model parameters that include the Delay profile and the Doppler spectrum, that is characterized by a classical spectrum shape and a maximum Doppler frequency A set of correlation matrices defining the correlation between the UE and eNodeB antennas in case of multi-antenna systems.

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LTE MIMO Air Interface M . STEINBAUER, COST259 TD( 98) 027 , Feb .1998, Berne,

LTE MIMO Air Interface

LTE MIMO Air Interface M . STEINBAUER, COST259 TD( 98) 027 , Feb .1998, Berne, Switzerland

M . STEINBAUER, COST259 TD( 98) 027 , Feb .1998, Berne, Switzerland M . STEINBAUER et al., IEEE VTC -200-Spring, Tokyo, May 15 -18, 20000 M . STEINBAUER et al., IEEE AP Magazine, August 2001

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