7.LTE MIMO Principle-36

MIMO Fundamentals
Course Objectives:
Understand basic MIMO concepts.
Understand advantages of MIMO.
Understand MIMO transmission models.
Understand typical application of MIMO technology.
Contents
1 System Overview...........................................................................................................................................1
1.1 Basic MIMO Concepts........................................................................................................................1
1.2 MIMO Models in the LTE System......................................................................................................2
2 Basic Principles of MIMO............................................................................................................................5
2.1 MIMO System Models........................................................................................................................5
2.2 MIMO System Capacity......................................................................................................................6
2.3 Key MIMO Technologies....................................................................................................................8
2.3.1 Spatial Multiplexing.................................................................................................................8
2.3.2 Space Diversity.......................................................................................................................10
2.3.3 Beamforming..........................................................................................................................14
2.3.4 Uplink Antenna Selection.......................................................................................................15
2.3.5 Uplink Multi-User MIMO......................................................................................................16
3 MIMO Application.....................................................................................................................................19
3.1 MIMO Mode Overview.....................................................................................................................19
3.2 Typical Application Scenarios...........................................................................................................22
3.2.1 MIMO Deployment................................................................................................................22
3.2.2 Transmit Diversity Scenarios.................................................................................................23
3.2.3 Closed-loop Spatial Multiplexing Scenarios..........................................................................25
3.2.4 Beamforming Scenarios.........................................................................................................25
4 MIMO System Performance Analysis......................................................................................................29
4.1 MIMO System Simulation Results Analysis.....................................................................................29
4.2 MIMO System Simulation Result Summary....................................................................................31
1 System Overview
Knowledge points
Basic MIMO concepts
MIMO models in the LTE system
1.1 Basic MIMO Concepts

Multiple-antenna technology is a significant breakthrough in wireless transmission
technology in the mobile communications industry. Generally, multipath effect is
regarded as a harmful factor as it causes fading. Multiple-antenna technology, however,
utilizes multipath as a favorable factor.
Multiple Input Multiple Output (MIMO) technology is the use of multiple antennas at
both the transmitter and receiver by utilizing multiple spatial paths, as shown in Figure
1.1-1. MIMO enables diversity gain or multiplexing gain by adopting space-time processing
technology, makes full use of spatial resources, and enhances spectrum utilization.
Figure 1.1-1 MIMO system model
In a word, the basic objectives of MIMO technology are to provide:
Higher space diversity gain: Combine the space diversity gains of the receive
diversity and transmit diversity to provide higher space diversity gain, ensure
smoother equivalent radio channels, reduce bit error rates, and enhance system
capacity.
1
MIMO Fundamentals. .
Larger system capacity: When the Signal Noise Ratio (SNR) is high enough and
Rank > 1 on channels, MIMO:
Decomposes the user data into multiple parallel data flows.
Transmits the data flows simultaneously on each antenna at the same

frequency while maintaining total transmit power.
Identifies the data flows by multi-element receive antenna arrays in light of

the space characteristics of each parallel data flow at the receiver; restores
the original data flows by utilizing the multi-user demodulation technology.
1.2 MIMO Models in the LTE System

In wireless communications, the following transmission models are adopted: Single
Input Single Output (SISO) model, Multiple Input Single Output (MISO) model,
Single Input Multiple Output (SIMO) model, and MIMO model. Figure 1.2-2 shows
these transmission models.
Figure 1.2-1 Schematic diagram of the typical transmission models
In a wireless communication system, antennas are the first section to process signals at
the front end. Enhancing antenna performance and efficiency will bring high gains to
the system. The traditional antenna system has developed from SISO to MISO and
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....................................4 MIMO System Performance Analysis
SIMO. To withstand the impact on signal transmission caused by time-varying

multipath fading, people keep looking for new technologies. Time diversity (time
interleaving) and frequency diversity (spectrum extension) are effective means to resist
multipath fading in a traditional SISO system. Space diversity (multiple antennas) is an
effective means to further resist fading in MISO, SIMO, and MIMO systems. The
frequently-used MIMO models in the LTE system includes downlink Single-user
MIMO (SU-MIMO) models and uplink Multi-user MIMO (MU-MIMO) models.
SU-MIMO: A UE exclusively occupies all space resources in one time-frequency unit.
The SU-MIMO precoding takes into account the performance of a single transmitting
and receiving link. Figure 1.2-2 shows the SU-MIMO transmission model.
Figure 1.2-2 SU-MIMO
MU-MIMO: indicates that multiple UEs transmit signals using the same timefrequency Resource Block (RB). Each antenna uses one antenna. The system receiver
performs joint test to the uplink mixed multi-user received signals and restores the
original transmitted signals of each UE respectively. The uplink MU-MIMO
technology is an important means to enhance uplink spectrum efficiency in the LTE
system, but it cannot increase the uplink single-user peak throughput. Figure 1.2-3
shows the MU-MIMO transmission model.
Figure 1.2-3 MU-MIMO transmission model
2 Basic Principles of MIMO

Knowledge points
MIMO system models
MIMO system capacity
Key MIMO technologies
2.1 MIMO System Models

MIMO system adopts multiple antennas (or array antennas) and multiple paths at both
the transmitter and the receiver. MIMO aims at multi-path radio channels. Figure 2.1-3
shows the functional block diagram of the MIMO system.
Figure 2.1-1 Functional block diagram of the MIMO system
The transmitter is configured with Nt transmit antennas and the receiver is configured
with Nr receive antennas.
xj (j = 1, 2Nt): indicates signals transmitted by No.j transmit antenna
ri (I = 1, 2Nr): indicates signals received by No.i receive antenna
hij: indicates channel fading factor from No.j transmit antenna to No.i receive
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antenna
On the receiver, the noise signal (ni) is an independent complex zero-mean Gaussian
variable. Every ni is separated from transmitted signals or ni at different time. Every
receive antenna receives the ni with the same power, that is, 2. Assume the channels
are quasi-static Rayleigh flat fading channels.
The signal model of the MIMO system can be expressed in the following figure.
Matrix: r = Hx + n
The MIMO system optimizes the multi-path wireless channels, transmitters, and
receivers as a whole to achieve large communication capacity and high spectrum
utilization. This is a best space-time diversities and interference cancellation.
2.2 MIMO System Capacity

System capacity is one of the most important parameters and indicates the maximum
transfer rate of a communication system. The wireless channel capacity is an integrated
index to evaluate the performance of a wireless channel. It describes the reliable
transmission rate limit of a channel under the given SNR and bandwidth. The
traditional SISO system capacity is given by the Shannon formula, while the MIMO
system capacity is the capacity of multiple antenna channels.
Assume at the receiver, the transmitted signals are independent and have a Gaussian
variable with zero mean, the total transmit power is defined as Pt, and all signals
transmitted by all antennas have the same power Nt/Pt.
The channel becomes a memoryless channel and the frequency response of transmitted
signals is flat due to their narrow bandwidth. On the receiver, the noise signal (ni) is an
independent complex zero-mean Gaussian variable. Every ni is independent of
transmitted signals or ni at different time. Every receive antenna receives the ni with
the same power, that is, 2. Assume the receive power of each antenna equals to the
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total transmit power, then the mean SNR of each antenna is given by: SNR = Pt /2.
The channel capacity can be given by:
where, H indicates the Hermitian transpose and det indicates the determinant. If the
logarithm base is 2, the channel capacity unit is bit/s/Hz. If the logarithm base is e, the
channel capacity unit is nats/s/Hz.
By the singular value decomposition (SVD) theorem, channel matrix H can be
decomposed as follows:
H = UDVH
where UN r x N r and VN t x N t are unitary matrixes, namely, the following conditions
are met:
UUH = IN r x N r
VVH = IN t x N t
D = [KK 0;00] = diag (,,, ), where k is the rank of the channel matrix.
1 2 k 0 is the non-zero eigenvalue of the correlated matrix HHH.
Therefore, the channel capacity of an MIMO system can be further given by:
The channel capacity does not hinge on whether the number of transmit antennas (Nt)
is larger than that of receive antennas (Nr). Generally, you can calculate the channel
capacity upper limit of a MIMO system, because the number of non-zero eigenvalue of
channel correlation matrix is K and K min (Nr, Nt). When Nr = Nt, the channel
capacity upper limit of the MIMO system is Nr times (Nr = Nt) that of the SISO
system.
For the MIMO system, if the receiver has accurate information of the channel matrix,
the MIMO channels can be divided into min (Nr, Nt) independent parallel channels. Its
channel capacity is equal to the total channel capacity of min (Nr, Nt) SISO systems,
and increases in a linear manner as the number of transmit antennas and receive
antennas increases. With the MIMO technology, the system channel capacity increases
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in a linear manner as the number of antennas increases. Without increase in bandwidth

or transmit power, the spectrum utilization can be doubled.
2.3 Key MIMO Technologies

To meet the requirement of high-speed data rate and high system capacity, the LTE
downlink MIMO technologies support 2 x 2 basic antennas configuration. Downlink
MIMO technologies include space diversity, spatial multiplexing, and beamforming.
Same as the downlink MIMO technologies, the LTE uplink MIMO technologies also
include space diversity and spatial multiplexing. In LTE system, the uplink basic
antennas adopting MIMO technology are configured with 1 x 2 antennas, that is, one
transmitting antenna and two receiving antennas. In view of the complexity in terminal
implementation, that is, one terminal cannot transmit signals by using two antennas in
the uplink, only single uplink transmission link is considered. Therefore, the uplink
MIMO technologies only support two solutions including uplink antenna selection and
MU-MOMO.
2.3.1 Spatial Multiplexing

Spatial multiplexing allows transmission of data streams on multiple mutually
independent spatial channels to improve the peak data transmission rate by using the
low correlation among spatial channels. In LTE system, spatial multiplexing includes
open-loop spatial multiplexing and closed-loop spatial multiplexing.
Open-loop spatial multiplexing: indicates spatial multiplexing based on

multiple code words. Multiple code words indicate the multiple layers of data
used for spatial multiplexing transmission comes from different data streams
that are channel coded independently. Every code word can perform data rate
control independently.
Closed-loop spatial multiplexing: indicates linear precoding.
Linear precoding: Convert antenna domain into beam domain. The known
spatial channel information is preprocessed at the transmitter to increase user
and system throughput. According to the way to obtain precoding matrixes, the
linear precoding includes non-codebook-based precoding and codebook-based
precoding.
Non-codebook-based precoding: Precoding matrixes are obtained at the transmitter.

The transmitter uses forecast channel state information to calculate precoding matrixes.
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Common precoding matrix algorithms include singular value decomposition and

uniform channel decomposition. The SVD is the most commonly used algorithm. The
transmitter has multiple ways to obtain spatial channel state information, through direct
feedback channels, differential feedback channels, and channel symmetry in TDD
mode.
Codebook-based precoding: Precoding matrixes are obtained at the receiver. The
receiver uses forecast channel state information to select precoding matrixes in a
reserved precoding matrix codebook and then feed back the selected precoding matrix
sequence numbers to the transmitter. In LTE system, the adopted codebook
construction method is based on Householder-based codebooks currently.
Figure 2.3-1 shows the MIMO spatial multiplexing schematic diagram:
Figure 2.3-1 MIMO spatial multiplexing schematic diagram
In the current LET protocol, the SU-MIMO is used for downlink channels. The
PDSCH and the PMCH can transmit signals using the MIMO. The rest downlink
physical channels are not MIMO-capable and can only transmit signals using singleantennas or transmit diversity. Figure 2.3-2 shows the schematic diagram of the LTE
spatial multiplexing:
Figure 2.3-2 Schematic diagram of the MIMO spatial multiplexing
2.3.2 Space Diversity

Space diversity with multiple transmit/receive antennas is an effective way to combat
transmission channel fading. Space diversity includes transmit diversity, receive
diversity, and transmit-receive diversity.
2.3.2.1 Transmit Diversity
Transmit diversity uses multiple transmit antennas to transmit signals at the transmitter
and to achieve space diversity by coding signals transmitted by different antennas. A
higher SNR can be obtained than using a single antenna at the transmitter. Transmit
diversity includes the Space-Time Transmit Diversity (STTD), the Space Frequency
Transmit Diversity (SFTD), and Cyclic Delay Diversity (CDD).
1.
Space-Time Transmit Diversity (STTD):
Perform space-time coding for signals transmitted by different antennas to

achieve time and space diversities.
Perform joint coding of data streams at the transmitter to reduce symbol errors
caused by channel fading and noise.
Space-time coding increases signal redundancy by joint coding at the

transmitter, which allows signals to obtain space and time diversity gains at the
receiver. Communication link reliability can be enhanced by extra diversity
gains. With the same reliability, the data rate and spectrum utilization can be
improved by high order modulation.
Figure 2.3-3 shows the structure of transmit diversity based space-time coding (STC).
Figure 2.3-3 STTD schematic diagram

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According to a certain design principle, in a physical aspect, the STC uses orthogonal
and quasi orthogonal existing in space domains and time domains to:
Evenly map the coding redundancy information into a two-dimensional spacetime plane.
Mitigate side effects of space and time selective fading caused by radio
multipath propagation.
Implement high reliable and high speed data transmission on radio channels.
Figure 2.3-4 shows the STC schematic diagram.
Figure 2.3-4 STC schematic diagram
Typical STC includes the Space-Time Trellis Code (STTC) and the Space-Time Block
Code (STBC).
2.
Space Frequency Transmit Diversity (SFTD):
The SFTD and the STTD are similar and their difference lies in the fact that the
SFTD performs frequency domain and space domain coding for the transmitted
signals.
Carry the same packet data over different subcarriers to obtain frequency
diversity gains.
Figure 2.3-5 shows the SFTD diagram with two antennas.
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Figure 2.3-5 SFTD schematic diagram
Besides the SFTD with two antennas, the LTE system also supports the SFTD with
four antennas and gives a construction method. The SFTD requires the transmitted
antennas are as independent as possible to obtain diversity gains to the greatest extent.
3.
Cyclic Delay Diversity (CDD)
Delay diversity, a common time diversity method, can be generally understood like
this: the transmitter intentionally makes multipath for the receiver. In the LTE system,
the adopted delay diversity, not only a simple linear delay, uses the Cyclic Prefix (CP)
to perform cyclic delay operations. According to the properties of Discrete Fourier
Transform (DFT), the signal cyclic shift (delay) in the time domains is equal to linear
phase deviation in the frequency domains. Therefore, the LTE CDD is implemented in
the frequency domains. Figure 2.3-6 shows the equivalent schematic diagrams of time
domain cyclic shift and frequency domain linear phase deviation of a downlink
transmitter.
Figure 2.3-6 shows the CDD schematic diagram.
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(a)
(b)
Figure 2.3-6 CDD schematic diagram
The LTE protocol supports a large-delay CDD which jointly works with downlink
spatial multiplexing. The large-delay CDD extends CDD from an antenna port to an
SU-MIMO spetial multiplexing level and greatly increase the delayed time. Taking the
TDD with two antennas as an example, the delayed time can reach half symbol-period
(1024 Ts).
Currently the LTE protocol supports the CDD with two antennas or four antennas. The
CDD requires the transmitted antennas are as independent as possible to obtain
diversity gains to the greatest extent.
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2.3.2.2 Receive Diversity

Receive diversity indicates that multiple antennas receive multiple independent signal
copies from multiple channels and carrying the same information.
The signals cannot stay deep fading simultaneously, so at any given time, at least a
signal copy with enough strength can be offered to the transmitter to enhance the
signal-to-noise ratio for receiving signals.
Figure 2.3-7 shows the schematic diagram of the receive diversity.
Figure 2.3-7 Schematic diagram of the receive diversity
2.3.3 Beamforming
The beamforming mode in MIMO system is similar to that in the smart antenna
system. The transmitter will weight the data vector to be transmitted to form a pattern.
After the pattern reaches the receiver, the receiver beamforms the received uplink
signals and inhibits noise and interference.
Unlike the regular smart antennas, the original downlink beamforming targets only one
antenna but now it targets multiple antennas. By means of downlink beamforming,
signals are strengthened in the direction of UEs. By means of uplink beamforming,
UEs have stronger anti-jamming and anti-noise capabilities. Therefore, like the
transmit diversity, the MIMO system can improve the reliability of the communication
link by using the extra beamforming gains. It can also improve the data rate and
spectrum utilization by using higher order modulation in the same reliability.
The beamforming schematic diagram is shown as follows.
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Figure 2.3-8 Beamforming schematic diagram
The typical beamforming can be classified into the following two types:
1.
Classification according to the signal transmission mode:
Typical beamforming: When there is only one eigenvalue or one receiving

antenna, transmit all the power to along the eigen-channel to implement
beamforming.
Eigen-beamforming: Perform eigenvalue decomposition on the channel matrix

to convert a channel into multiple parallel channels and transmit data on each of
these channels separately.
2.
Classification according to the channel information feedback:
Instantaneous channel information feedback
Channel mean feedback
Channel covariance matrix feedback
2.3.4 Uplink Antenna Selection

For the Frequency Division Duplex (FDD) mode, there exist two solutions of antenna
selection, including open-loop solution and closed-loop solution. The open-loop
solution is Time Switched Transmit Diversity (TSTD) in the Universal Mobile
Telecommunications System (UMTS). In the open-loop solution, the uplink shared data
channel transmits signals alternately among antennas to obtain the space diversity and
avoid deep fading of the shared data channel. In the closed-loop solution, UE must
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transmit reference symbols from different antennas to measure channel quality at the
UE side in advance. Site selection can provide the antennas with higher received signal
power for subsequent shared data channel transmission. The selected antenna
information is required to be fed back to the target UE through the downlink control
channel. The UE adopts the selected antenna to perform uplink data channel
transmission.
For the Time Division Duplex (TDD) mode, uplink antennas can be selected based on
the downlink MIMO channel estimate by taking advantage of the symmetry between
the uplink and downlink channels.
Generally, the optimal antenna selection principles can be classified into two types:
One is improving the transmission quality by using the diversity provided by the
optimized multi-antenna. The other is improving the transmission efficiency by using
the capacity provided by the optimized multi-antenna.
Compared with the traditional single antenna transmission technology, the uplink
antenna selection technology provides more diversity gains without increasing
complexity. This technology essentially improves the channel capacity at the cost of
increasing feedback reference symbols.
2.3.5 Uplink Multi-User MIMO

Assume that each UE has only one antenna for the LTE system uplink. We can
combine the antennas of two UEs to form as a pair so that both UEs can share this
antenna pair and use the same time/frequency resources. The two UEs and the eNodeB
constitute a virtual MIMO system, which improves the uplink system capacity. As UEs
cannot communicate with each other in the LTE system, this solution must be
scheduled uniformly by the eNodeB. UE pairing is an essential and unique part of the
uplink multi-user MIMO. The eNodeB selects two or multiple single-antenna UEs to
transmit data in the same time/frequency resource block. As signals come from
different UEs and pass through different channels, UEs experience different levels of
mutual interference. Therefore, only an effective UE pairing process can minimize the
interference between UE pairs, effectively obtain multi-user diversity gains, and ensure
the reliability and robustness of radio link transmission. The current pairing strategies
are as follows:
Orthogonal pairing: Choose two UEs with the largest orthogonality and pair
them up. This method can reduce the pairing interference between UEs but has a
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great complexity due to large calculation amount in search of orthogonal UEs.
Random pairing: This method is quite popular currently due to its simplicity,
low complexity, and small calculation amount (UE pairs are formed randomly).
Large channel correlation, however, may cause great interference to the
randomly paired UEs.
Path loss and slow fading sequencing based pairing: Sequence the sums of path
loss and slow fading and then pair up adjacent UEs. This method is simple. The
slow motion of UEs and slow changes of path loss and slow fading will reduce
the user re-pairing frequency. For UE pairs, the sums of path loss and slow
fading are approximate to each other, which reduces the Near-Far effect between
UEs. The channel correlation and interference between UE pairs may be great.
To sum up, the application of MIMO transmission solution can be generalized as in the
following table:
Table 2.3-1 MIMO transmission solution application
Transmission
Rank
Channel rank
Low
Mobility
Data rate
Position in the cell
solution
Transmit
Diversity
High/Medium
(TD)
Low
Cell edge
Medium/Low
Cell center/edge
speed
High
Cell center
speed
High
Cell center
speed
Low
Cell edge
speed
Low
Cell edge
speed motion
Open-Loop
spatial
2/4
Low
stream
2/4
Low
High/Medium
multiplexing
Dual
speed motion
Low
precoding
Multi-user MIMO
motion
2/4
Low
Low
motion
Codebook-based
High
Low
beamforming
Non-codebook-based
motion
1
High
Low
beamforming
motion
Theoretically, the virtual MIMO technology can greatly improve system throughput,
but the actual pairing strategy and resource allocation for UE pairs will significantly
affect system throughput. Therefore, we need to strike a balance between performance
and complexity to fully exert the advantages of the virtual MIMO technology.
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3 MIMO Application
Knowledge points
MIMO application in the LTE system
Typical application scenarios of MIMO
3.1 MIMO Mode Overview

LTE systems support 7 modes (Modes 17) as follows:
Figure 3.1-1 7 MIMO modes
Transmission
DCI format
Search space
mode
Mode 1
PDCCH transmission scheme

corresponding to PDSCH
DCI format 1A
Common and
Single-antenna port, port 0
UE specific by C-RNTI
Mode 2
DCI format 1
Single-antenna port, port 0
DCI format 1A
Common and
Transmit diversity
Mode 3
DCI format 1
Transmit diversity
DCI format 1A
Common and
Transmit diversity
Mode 4
DCI format 2A
Large delay CDD or Transmit diversity
DCI format 1A
Common and
Transmit diversity
DCI format 2
Closed-loop
spatial
multiplexing
or
Transmit diversity
Mode 5
DCI format 1A
Common and
Transmit diversity
Mode 6
DCI format 1D
Multi-user MIMO
DCI format 1A
Common and
Transmit diversity
DCI format 1B
Closed-loop spatial multiplexing using a

single transmission layer
Mode 7
DCI format 1A
Common and
If the number of PBCH antenna ports is
one, Single-antenna port, port 0 is used,

otherwise Transmit diversity
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Transmission
DCI format
Search space
PDCCH transmission scheme
mode
corresponding to PDSCH
DCI format 1
Single-antenna port; port 5
The characteristics of the 7 modes are as follows:
Mode 1: Single-antenna mode
Mode 2: Alamouti code transmit diversity scheme
Mode 3: Open-loop spatial multiplexing (applicable to the high speed mode)
Mode 4: Closed-loop spatial multiplexing (applicable to the low speed mode)
Mode 5: Support MU-MIMO of two UEs.
Mode 6: Closed-loop transmit diversity of Rank1 with better coverage.
Mode 7: Beamforming scheme
The application of the 7 MIMO modes on downlink physical channels is as follows:

Figure 3.1-2 Application of MIMO modes on downlink physical channels
Physical channel
Mode1
Mode 2
PDSCH
PBCH
PCFICH
PDCCH
PHICH
SCH
Mode3 Mode 7
Modes 12 are applicable to downlink physical channels such as PDSCH, PBCH,

PCFICH, PDCCH, PHICH, and SCH. Modes 37 are applicable to the PDSCH.
MIMO system mode selection description:
Mode 2 (transmit diversity): is mainly used for anti-fading to improve the signal
transmission reliability and applicable to cell edge users.
Mode 3 (open-loop spatial multiplexing): aims at improving the peak rate for
cell center users and is applicable to high speed motion scenarios.
Mode 4 (closed-loop spatial multiplexing):
DCI format 2: indicates the high peak rate, which is applicable to cell center
users.
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DCI format 1A: increases the cell power and suppresses the interference, which
is applicable to cell edge users.
Mode 5 (multi-user MIMO): improves the system capacity and is applicable to

uplink transmission and indoor coverage.
Mode 6 (closed-loop rank=1 precoding): improves the cell power and cell
coverage, which is applicable to service-intensive areas (for example, urban
districts).
Mode 7 (single-antenna port, port 5): non-codebook-based beamforming, which

is applicable to TDD. This mode improves the cell power and suppresses the
interference, which is applicable to cell edge users.
Some environmental changes need UEs to adopt adaptive MIMO modes. These
changes are as follows:
1.
Mobility changes: Mode 2 and Mode 3 are applicable to high speed motion
environments without requiring the UE to feed PMI back. Modes 47 are
applicable to low speed motion environments without requiring the UE to feed
PMI and RI back. Mode 2 and Mode 3 are adopted for change from low to high
speed motion. Mode 4 and Mode 6 are adopted for change from high to low
speed motion.
2.
Rank changes:
Low correlation environment: If rank 2, adopt large-delay CDD and dual

stream precoding.
High correlation environment: If rank = 1, adopt codebook-based beamforming

or the SFBC.
Channel correlation change: If the channel correlation changes from low to high,
adopt SFBC and codebook-based beamforming. If the channel correlation
changes from high to low, adopt dual stream precoding.
3.
Relative position changes between users and cells:
Cell center: The SNR is relatively high. Adopting dual stream precoding can
maximize system capacity.
Cell edge: The SNR is relatively low. Adopting single stream precoding can
provide cell coverage.
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Relative position changes between users and cells: If the user moves from the
cell center to the edge, adopt the single stream precoding, for example, the
SFBC and codebook based beamforming. If the user moves from the cell edge to
the center, adopt dual stream precoding (rank > 1).
3.2 Typical Application Scenarios

3.2.1 MIMO Deployment
Figure 3.2-1 shows several typical MIMO deployment scenarios.
Figure 3.2-1 MIMO deployment
Scenario A:
Applicable to wide coverage areas such as rural areas or highways.
Applicable to simple multipath environments.
Adopt mode 6 (codebook-based beamforming).
Adopt four transmitting antennas with a half-wavelength clearance.
Increase about 4 dB link budgets.
Scenario B:
Applicable to urban districts, suburban areas, hotspot areas and multipath

environments.
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Focus on transmitting capabilities other than coverage.
Adopt 2/4 cross-polarized transmitting antennas.
Low mobility: Mode 4 (closed-loop spatial multiplexing).
High mobility: Mode 3 (closed-loop transmit diversity).
Scenario C:
Applicable to indoor coverage.
Adopt mode 5 (multi-user MIMO).
For indoor coverage, the multi-user MIMO principle is similar to the SDMA
principle.
Multiple users can use the same radio resources on different floors due to the
low correlation between different floors.
3.2.2 Transmit Diversity Scenarios

Figure 3.2-2 shows the antenna selection solutions in the MIMO system.
Figure 3.2-2 Antenna selection solutions in the MIMO system
Antenna selection solutions in the MIMO system:

Case 1:
Meet basic requirements of the LTE system.

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Applicable to most conditions such as high- or low-speed motion and high- or

low-correlation channel fading.
Poorer performance than case 2.
Applicable to modes 25.
Case 2:
Applicable to hotspot areas and multipath environments.
Improve system capacity.
Difficult to install, especially when the frequency is lower than 2 GHz.
Applicable to modes 4 and 5.
Case 3:
Applicable to all modes.
Compared with two-antenna ports, the greatest advantage of four-antenna ports

is that the they can improve uplink coverage.
Occupy large space for installation.
Case 4:
Applicable to mode 6.
Applicable to wide coverage areas such as rural areas.
Subject to the type of selected LTE antennas.
To sum up, in the primary stage of LTE development, case 1 is a favorable choice since
it can drive LTE network development in most cases. Case 2 is applicable to the urban
areas and complex multipath environments with higher data rate requirements. Cases 3
and 4 are applicable to the secondary stage in LTE development and can improve the
uplink network coverage.
In simple multipath environments, for example, rural areas, use high-correlation
antennas (case 4) to increase the cell radius. In complex multipath environments, for
example, urban areas, use low-correlation antennas (case 1/2/3) to increase the peak
rate.
3.2.3 Closed-loop Spatial Multiplexing Scenarios

Figure 3.2-3 shows implementation principles of the closed-loop spatial multiplexing.
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Figure 3.2-3 Implementation principles of the closed-loop spatial multiplexing
Closed-loop spatial multiplexing is applicable to:
Low-speed UE.
Bandwidth-limited system (with high SNR, especially in the cell center).
UE feeds back PMI and RI.
Complex multipath environments.
Low correlation antennas (antenna clearance: 1.0 ).
Note:
Precoding Matrix Indicator (PMI) is an indication from a UE about the optimum precoding
matrix to be used in the eNodeB for precoding of the PDSCH channel of the UE in the
closed-loop spatial multiplexing transmitting mode.
Rank Indicator (RI) is an indication of the Rank related to channel impulse response (H) in
open- and closed-loop spatial multiplexing transmitting modes. RI = Rank (H).
3.2.4 Beamforming Scenarios

Figure 3.2-4 shows the beamforming scenarios.
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Figure 3.2-4 Beamforming scenarios
Low correlation antennas:
Large antenna clearance and different polarization directions.
Antenna weights include phase and amplitude.
Perform phase rotation of transmit signals to compensate the channel phase and
ensure phase consistency of received signals.
Allocate larger power to antennas with favorable channel conditions.
Adopt mode 7 (non-codebook-based beamforming).
High correlation antennas:
Small antenna clearance.
Same antenna weight and channel fading for different antenna ports.
Reversal of different phases to the UE direction.
Applicable to large area coverage.
Resist channel fading through enhancing received signal strength.
Adopt mode 6 (codebook-based beamforming).
Beamforming is a process in which the transmitter weighs the data vector to be

transmitted to form a pattern and then sends the pattern to the receiver.
26
Provide cell edge rates in downlink: Increase signal transmit power and suppress
interferences.
Non-codebook-based beamforming: is a technique for an eNodeB to calculate

the control phase and relative amplitude allocated to each transmitter signal
based on measurement directions and uplink channel conditions.
Codebook based beamforming: is same to the precoding for Rank = 1 MIMO.

UE chooses an appropriate precoding vector from the codebook and reports the
PMI to the eNodeB.
Beamforming Scenarios
High correlation antennas.
Applicable to simple multipath environments such as rural areas.
Compared with spatial multiplexing, beamforming is applicable to small

interference environments.
27
4 MIMO System Performance Analysis

Knowledge points
Understand the system performance in different MIMMO modes.
4.1 MIMO System Simulation Results Analysis

Case 1 simulation conditions:
One transmitting antenna and two receiving antennas, namely IT2R.
Receiving antenna configuration: 0.5 .
Frequency domain bandwidth: 10 MHz.
Frequency reuse 1.
Marco ISD 500 m.
Figure 3.2-1 shows Case l simulation results.
Figure 3.2-1 Case 1 simulation result
Two transmitting antennas and two receiving antennas, namely 2T2R.
29
eNodeB antenna configuration: cross polarization.
UE antenna configuration: 0.5 .
Rank adaptive: RI = 1 (single stream); RI > 1 (dual stream).
Figure 3.2-2 shows Case 2 simulation results.
Four transmitting antennas and two receiving antennas, namely 4T2R.
eNodeB antenna configuration: 10 between two cross polarization pairs.
UE antenna configuration: 0.5 .
Rank adaptive: RI = 1 (single stream); RI > 1 (dual stream).
Figure 3.2-3 shows Case 3 simulation results.
30
Figure 3.2-4 shows MIMO simulation result comparison in three scenarios. MIMO
simulation can be configured based on actual application scenarios and needs.
Figure 3.2-4 MIMO simulation result comparison
4.2 MIMO System Simulation Result Summary

Table 4.2-1 summarizes MIMO system simulation results in different simulation
conditions.
31
Table 4.2-1 MIMO system simulation result summary

Simulation Conditions
Frequency
Cell Average
Spectral
Cell Edge
Reuse
Throughput
Efficiency
Rate
Factor
Case 1
43dBm/Antenna Macro ISD
Cell Edge
Spectral
Efficiency
8.5631
1.5774
0.2751
0.0507
13.9773
2.5747
0.9195
0.1694
13.4308
2.4741
0.8935
0.1646
21.7142
1.3333
1.0842
0.0666
18.6087
1.1426
1.9028
0.1168
28.6932
1.7619
2.2303
0.1366
=500m,10,2*2MIMO,Rank
Adaptive,20dB, 3km/h
Case 2

=
500m,4TxBF,Single
Stream,20dB, 3km/h
Case 3

500m,4TxBFprecoding,
Dual Stream,20dB, 3km/h
Case 1

=
500m,2*2MIMO,Rank
Adaptive,20dB, 3km/h
Case 2

=
500m,4TxBF,Single
Stream,20dB, 3km/h
Case 3

=
500m,4TxBF,precoding,Dual
Stream,20dB, 3km/h
Frequency reuse factor = 1, can be seen as the interference restricted environment.

Especially at cell edges, beamforming improves UE receiver power and suppresses
interference. In this case, beamforming has better technical performance than the
MIMO precoding.
Frequency reuse factor = 3, can be seen as the bandwidth restricted environment.
Especially at cell edges, dual stream MIMO improves peak rates better than single
stream MIMO. In this case, MIMO has better performance than the beamforming.
32

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MIMO Fundamentals

1.1 Basic MIMO Concepts

Figure 1.1-1 MIMO system model

In a word, the basic objectives of MIMO technology are to provide:

Decomposes the user data into multiple parallel data flows.

Transmits the data flows simultaneously on each antenna at the same

Identifies the data flows by multi-element receive antenna arrays in light of

1.2 MIMO Models in the LTE System

Figure 1.2-1 Schematic diagram of the typical transmission models

....................................4 MIMO System Performance Analysis

SIMO. To withstand the impact on signal transmission caused by time-varying

Figure 1.2-2 SU-MIMO

Figure 1.2-3 MU-MIMO transmission model

2 Basic Principles of MIMO

2.1 MIMO System Models

Figure 2.1-1 Functional block diagram of the MIMO system

xj (j = 1, 2Nt): indicates signals transmitted by No.j transmit antenna

ri (I = 1, 2Nr): indicates signals received by No.i receive antenna

2.2 MIMO System Capacity

....................................4 MIMO System Performance Analysis

1 2 k 0 is the non-zero eigenvalue of the correlated matrix HHH.

in a linear manner as the number of antennas increases. Without increase in bandwidth

2.3 Key MIMO Technologies

2.3.1 Spatial Multiplexing

Open-loop spatial multiplexing: indicates spatial multiplexing based on

Closed-loop spatial multiplexing: indicates linear precoding.

Non-codebook-based precoding: Precoding matrixes are obtained at the transmitter.

....................................4 MIMO System Performance Analysis

Common precoding matrix algorithms include singular value decomposition and

Figure 2.3-1 MIMO spatial multiplexing schematic diagram

Figure 2.3-2 Schematic diagram of the MIMO spatial multiplexing

2.3.2 Space Diversity

Space-Time Transmit Diversity (STTD):

Perform space-time coding for signals transmitted by different antennas to

Space-time coding increases signal redundancy by joint coding at the

Figure 2.3-3 STTD schematic diagram

....................................4 MIMO System Performance Analysis

Figure 2.3-4 STC schematic diagram

Space Frequency Transmit Diversity (SFTD):

Figure 2.3-5 shows the SFTD diagram with two antennas.

Figure 2.3-5 SFTD schematic diagram

Cyclic Delay Diversity (CDD)

....................................4 MIMO System Performance Analysis

Figure 2.3-6 CDD schematic diagram

2.3.2.2 Receive Diversity

Figure 2.3-7 Schematic diagram of the receive diversity

....................................4 MIMO System Performance Analysis

Figure 2.3-8 Beamforming schematic diagram

Classification according to the signal transmission mode:

Typical beamforming: When there is only one eigenvalue or one receiving

Eigen-beamforming: Perform eigenvalue decomposition on the channel matrix

Classification according to the channel information feedback:

Instantaneous channel information feedback

Channel mean feedback

Channel covariance matrix feedback

2.3.4 Uplink Antenna Selection

2.3.5 Uplink Multi-User MIMO

....................................4 MIMO System Performance Analysis

great complexity due to large calculation amount in search of orthogonal UEs.

Position in the cell

3.1 MIMO Mode Overview

PDCCH transmission scheme

Single-antenna port, port 0

Single-antenna port, port 0