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 2

Agenda

 Multiple antenna techniques

 Downlink feedback (CQI/RI/PMI)

 3

Antennas in LTE Networks

 4

Multiple Antenna Techniques

 Multiple Antenna Techniques in LTE
5

MIMO means use of multiple antennas at both the transmitter and receiver. MIMO capability is key feature in
LTE to achieve
• Ambitious requirements for throughput. High data rate wireless communications links with transmission rates
nearing 1 Gigabit/second
• High spectral efficiency
• MIMO can better utilize the spatial resource and increase spectral efficiency, achieving array gain, diversity
gain, multiplexing gain, and interference rejection gain, providing higher system capacity, wider coverage.
• Provide high speed links that still offer good Quality of Service (QoS).

Receive and/or Transmit Diversity

• Same information is sent/received over multiple antennas
• Gain in SINR

Open-Loop Spatial Multiplexing

• Different information is sent/received over multiple antennas
• Decrease in SINR due to higher interference but large boost in throughput

Closed-Loop Spatial Multiplexing

• Same approach as before, but getting advantage of feedback information
• Improves the SINR at a cost of more complexity
 6

Diversity

No Diversity RX diversity
-Two receive antennas that
TX RX TX RX receive the same signal
- Improve Radio link quality

Same bit stream

TX diversity TX+RX diversity

TX RX TX RX
MIMO

-Two transmit antennas that TX RX

send the same signal
- Another way to improve Radio
link quality Two transmit antenna that send
two different data streams on
the same radio frequency
 Open-Loop Transmit Diversity
7

 In open-loop transmit diversity (TM2), space-frequency block coding (SFBC) is used if the number of transmit
antennas is 2; SFBC and frequency switched transmit diversity (FSTD) are used if the number of transmit
antennas is 4.
 SFBC: For two-way transmit (DL 2x2 MIMO), the transmit diversity uses SFBC, where X1 and x2 are the information
to be transmitted before SFBC, * indicates conjugate operation, f1 and f2 are different subcarriers, and Tx1 and
Tx2 are different transmit antennas.
 SFBC codes x1 and x2 to different antennas and subcarriers for transmission: x1 over Tx1 f1, x2 over Tx1 f2, -x2* over
Tx2 f1, and x1* over Tx2 f2. Therefore, by transmitting copies of x1 and x2 over different antennas and frequencies,
SFBC achieves diversity gain.
 8

Open-Loop Transmit Diversity

 SFBC+FSTD
 For 4-way transmit (DL 4x2 MIMO or DL 4X4 MIMO), SFBC and FSTD are used together. In FSTD, some of the transmit
antennas are selected sequentially in frequency for transmission.
 The transport format of SFBC+FSTD is as follows: x1, x2, x3, and x4 are information to be transmitted before coding; f1 to
f4 are different subcarriers; Tx1 and Tx4 are different transmit antennas; * indicates conjugate operation; 0 indicates no
information transmitted.
 In SFBC+FSTD, x1 to x4 are coded to different antennas and subcarriers for transmission; the transmit antennas are
selected.
 Like SFBC, SFBC+FSTD achieves diversity gain by transmitting copies over different antennas and frequencies.
 Spatial Multiplexing
9

 Spatial multiplexing means transmission of multiple spatial data streams over different antennas in the same RB. The
dimension of spatial channels is increased compared with the single-antenna technique. Therefore, spatial
multiplexing increases system capacity and achieves spatial multiplexing gain.
 Spatial multiplexing includes two operations: layer mapping and precoding.
 Depending on whether the precoding matrix is obtained based on the feedback information of the UE, spatial
multiplexing is classified into open-loop spatial multiplexing (TM3) and closed-loop spatial multiplexing (TM4). The
following figure shows the 2x2 spatial multiplexing
 Conventional Antenna 10

Single-Input-Single-Output (SISO)

channel
Bits DSP Radio Radio DSP Bits
TX RX

 Theoretically, the 1Gbps barrier can be achieved using this configuration if you are
allowed to use much power and as much bandwidth(BW)

 Extensive research has been done on SISO under power and BW constraints. A
combination of a smart modulation, coding and multiplexing techniques have yielded
good results but far from the 1Gbps barrier
 MIMO Concept 11

 Use multiple transmit and multiple receive antennas for a single user

1 1

2 2
User data stream channel User data stream
. .
. . . .
. . . .
MT MR

 Now this system promises enormous data rates!

 •12

Multiple Antenna Arrangements

 MIMO Model 13

Signal from jth Tx antenna

Sj

T1 R1

MIMO
Input T2 R2 Processor
Output

• •
• •
• •
MxN
Tm MIMO Rn
system
 M transmit antennas, N receive antennas form MxN MIMO system
 Huge data stream (input) distributed toward m spatial distributed antennas; m
parallel bit streams (Input 1..m)
 Spatial Multiplexing generate parallel “virtual data pipes”
 Using Multipath effects instead of mitigating them
 MIMO Model
14

Signal from jth Tx antenna Signal at ith Rx antenna

Sj h1,1
Yi
T1 hn,1 h2,1 h1,m
R1
h1,2

h2,2
hn,2 MIMO
Input T2 h2,m R2
Processor
Output

• •
• •
• hn,m •

Tm MxN Rn
MIMO

• Receiver learns Channel Matrix H
h1,1 h1,2 h1,m
• inverted Matrix H-1 used for recalculation
h2,1 h2,2  h2,m of original input data streams 1..m
H= 





   m
hn,1 hn,2  hn,m yi   hi , j  s j  ni ni: Noise at receiver
j 1
 Types Of MIMO System
•15

There are two major classifications to determine types of MIMO:

 Single User MIMO (SU-MIMO) vs. Multi User MIMO (MU-MIMO)

 Open loop MIMO vs. Close loop MIMO

MIMO
Types

Single User Multi User Open Loop Closed Loop

MIMO MIMO MIMO MIMO
 •16

Single User MIMO (SU-MIMO)

 When the data rate is to be increased for a single UE, this is called Single User MIMO (SU-MIMO)

Single User MIMO, 4 Streams

• Improved Performance (STC), or

• Improved Throughput (SM) for Single UE
 •17

Multi User MIMO (MU-MIMO)

 When the individual streams are assigned to various users, this is called Multi User MIMO (MU-MIMO). This
mode is particularly useful in the uplink because the complexity on the UE side can be kept at a minimum by
using only one transmit antenna. This is also called 'collaborative MIMO'.

Multi User MIMO, 2 Users, 2 Streams Each

• Improved Number of UEs

• No Increase in System Bandwidth
 •18

SU-MIMO & MU-MIMO

• SU-MIMO is used in downlink where the two created layers

are used with a single user so the gain is in the average user
Throughput

• MU-MIMO is used in uplink as the UE can’t transmit with two

antennas simultaneously, so the two created layers are used to
serve two different users.
 •19

Closed Loop MIMO

1 Pilot Channel on All Antenna Ports

Evaluate
2 Codebook
3 Preferred Codebook Index Options

UE
4 Adjusted MIMO Transmission
eNB
 •20

Design Criterion

 MIMO Systems can provide two types of gain

Spatial Multiplexing Gain Diversity Gain

 Maximize transmission rate  Minimize Packet

(optimistic approach) Error(conservative approach)
 Use rich scattering/fading to  Go for Reliability / QoS etc
your advantage  Combat fading
 •21

Example of MIMO Usage

Spatial
Multiplexing MIMO Type Gain Downlink

Transmission +3…5db downlink

diversity 2x2 MIMO link budget due to
SINR improvement
Spatial multiplexing +10% peak data rate
2x2 MIMO
Spatial multiplexing +300% peak data
4x4 MIMO rate

Transmission
Diversity

Transmission Modes
Transmission Mode 1
• Single antenna port; port 0
• 1 TX antenna transmitting always
on port 0
Transmission Mode 2
• Transmit diversity
• Multiple antennas transmit same
signal
• Improves SINR
Transmission Mode 3
• Open loop spatial multiplexing
• Multiple antennas transmitting
different signals
• No feedback from the UE used
• Improves user data rate
Transmission Mode 6
• Closed-loop Rank=1 precoding
• Beamforming
• UE signals back the suitable
precoding for the beamforming
operation
Transmission Mode 5
• Multi user MIMO
• Multiple antennas transmitting to
different UEs in the cell
• Increase sector capacity
Transmission Mode 4
• Closed Loop spatial multiplexing
• Multiple antennas transmitting
different signals
• Feedback from the UE used
• Improves user data rate
•22
Transmission Mode 7
• Single Antenna port; port 5
• Beamforming
• UE specific reference signals are
generated for feedback
Transmission Mode 8
• dual-layer transmission,
• antenna ports 7 and 8
Transmission Mode 9
• Up to 8 layers,
• antenna ports 7 - 14
 •23

Downlink Feedback (CQI/RI/PMI)

 •24

Downlink Feedback(CQI/RI/PMI)

The LTE standard defines three quality indicators that serve as a benchmark for the
transmission quality in the downlink:

1. CQI (Channel Quality indicator)

2. PMI (Pre-coding Matrix Indicator)

3. RI (Rank Indicator)

The user equipment (UE) can measure all three and transmit the information in the
uplink to the base station (BS), which then adapts the signal transmission in the downlink
accordingly, although this is not mandatory. To actually improve transmission quality
through a modification in the downlink, the statistical properties of the channel must
remain constant between the time a quality indicator is reported to the BS and the time
the transmission is modified (coherence time).
 25

Channel Quality Indicator (CQI)

 Channel Quality Indicator (CQI) reports provide a measure of the downlink channel conditions
experienced by the user.
 The CQI indicates the highest modulation and the code rate at which the block error rate (BLER) of
the channel being analyzed does not exceed 10 %.
 UE generate CQI values and report them to the eNodeB using either the PUCCH or PUSCH.
 The eNodeB uses CQI reports within its scheduling and link adaptation algorithms.
 If a proportional fair scheduler is used then UE reporting high CQI values relative to their average
CQI are more likely to be scheduled.
 Link adaptation is more likely to allocate high throughputs to UE reporting high CQI values.
 •26

Channel Quality Indicator (CQI)

 As an example, the UE can use one of two methods to send the CQI value to the eNodeB via the uplink:
1. Periodically via the PUCCH or PUSCH channels,
2. Aperiodic ally via the PUSCH channel.
In this case, the eNodeB explicitly requests the UE to send a CQI report.

eNodeB UE
 •27

CQI Reporting Table

The CQI accepts discrete values between 0 and 15. Index 0 indicates that the UE has not received any
usable LTE signals and that the channel is inoperable.
 •28

Precoding Matrix Indicator(PMI)

 The precoding matrix determines how the individual data streams (called layers in LTE) are
mapped to the antennas.
 Skillfully selecting this matrix yields a maximum number of data bits, which the UE can receive
together across all layers.
 This requires knowledge of the channel quality for each antenna in the downlink, which the UE
can determine through measurements.
 If the UE knows what the allowed precoding matrices are, it can send a PMI report to the BS and
suggest a suitable matrix.
 •29

Rank indicator (RI)

 The channel rank indicates the number of layers and the number of different signal streams
transmitted in the downlink.
 When using a single input multiple output (SIMO) or a transmit diversity configuration, only one layer
is utilized.
 In contrast, 2×2 MIMO (multiple input multiple output) with spatial multiplexing uses two layers.
 The goal of an optimized RI is to maximize the channel capacity across the entire available downlink
bandwidth by taking advantage of each full channel rank.
 30

Rank Indicator(RI)

• Rank Indicators (RI) are applicable to the open and closed loop transmission modes which are able to use more
than a single layer
• between the layer mapping and precoding functions:
• transmission mode 3: open loop spatial multiplexing
• transmission mode 4: closed loop spatial multiplexing
• transmission mode 8: dual layer multi-user MIMO (3GPP release 9)
• transmission mode 9: closed loop spatial multiplexing with up to 8 layers (3GPP release 10)
• The UE uses the RI to provide the eNode B with a suggestion regarding the number of layers to be generated
during layer mapping
 31

LTE DL: Baseband Signal Generation

Antenna
Code words layers ports

Modulation OFDM signal

scrambling Resource element
mapper Layer generation
mapper
Precoding
mapper

Modulation OFDM signal

scrambling Resource element
mapper generation
mapper
 32

Antenna Mapping

LAYERS = different streams used by spatial multiplexing ANTENNA PORT = defined by specific reference
Mapping of symbols onto antenna ports signals

Antenna mapping

Up to NL
Layers

Maximum of two Layer NA Antenna

Precoding
CODEWORDS mapper Ports

RANK

1 CODEWORD = 1 Transport Block which is RANK = number of layers transmitted

coded and modulated (input)
 MIMO Precoding Principle 33

s1
c1 s1
Precoding  s1 
Cs 
c2 W s2  s2  s2

Received signal Decoding works best if paths are decoupled, i.e.

channel matrix H is unit matrix, H = I2
r  Hs  n

We can precode the transmitted vector, multiplying it with a precoding matrix, W.

r  HWs  n  Hs  n
W can be chosen so that the equivalent channel is a unit matrix

To determine the precoding matrix W, knowledge about the

W  H1  H  I 2 channel matrix is needed!
The UE receiver may estimate the DL channel and estimate a
suitable precoding matrix (from a set of available matrices). The
precoding matrix could then be sent as feedback to the eNodeB.
 34

Precoding
 Precoding generates the signals for each antenna port
 Precoding is done multiplying the signal with a precoding matrix selected from a predefined codebook
known at the eNB and at the UE side
 Closed loop: UE estimates the radio channel, selects the best precoding matrix (the one that offers
maximum capacity) & sends it to the eNB
 Open loop: no need for UEs feedback as it uses predefined settings for Spatial Multiplexing & precoding

Pre-coding codebook for 2 Tx antenna case

 35

Transmit diversity for 2 antennas

Benefit: Diversity gain, enhanced cell coverage
 Each Tx antenna transmits the same stream of data with  Receiver gets replicas of the
same signal which increases the SINR.
 Synchronization signals are transmitted only via the 1st antenna
 eNodeB sends different cell-specific Reference Signals (RS) per antenna
 It can be enabled on cell basis by O&M configuration
 Processing is completed in 2 phases:
• Layer Mapping: distributing a stream of data into two streams
• Pre-coding: generation of signals for each antenna port

Map onto
Resource OFDMA
Elements
Modulation
Map onto OFDMA
Resource
Elements
 36

Spatial multiplexing (MIMO) for 2 antennas

Two code words
Benefit: Doubles peak rate compared to 1Tx antenna (S1+S2) are
transmitted in
 Signal generation is similar to Transmit Diversity: i.e. Layer Mapping & Precoding parallel to 1 UE 
 Can be open loop or closed loop depending if the UE provides feedback double peak rate
 Spatial multiplexing with 2 code words
S2
 Supported physical channel: PDSCH

S1
Layer
Mapping Precoding

Modulation × Map onto

L1  Resource OFDMA
Elements
• 2 code words transferred W1
when channel conditions Scale

are good × Map onto

Modulation × ×
 Resource
OFDMA
L2 Elements
W2
 DL adaptive MIMO for 2 antennas
37

Multi Antenna transmit technologies can support different scenario transmit and mode. According to different
scenarios, eNodeB support choose the most best MIMO mode.
DL Adaptive Open Loop MIMO
DL Adaptive Closed Loop MIMO, utilizing PMI report for precoding

Benefit: High peak rates (2 code words) & good cell edge performance (single code word)
1 code word A is
transmitted via 2
 2 TX antennas antennas to 1 UE;
 Dynamic selection between improves the Link Budget
B
• Transmit diversity A
• Spatial Multiplexing B
A
 Supported physical channel: PDSCH
 Dynamic switch considers the UE specific link quality, UE capability, etc.
 Enabled/disabled on cell level (O&M)
• If disabled case either static spatial multiplexing or static Tx
diversity can be selected for the whole cell (all UEs)
2 code words (A+B) are transmitted in
parallel to 1 UE which doubles the peak
rate
 38

MIMO, DL Channels

Available MIMO options vs. channel type

- Options for Transmit Diversity (2 Tx):
• Control Channels
• PDSCH
- Options for spatial Multiplexing:
• Only DL PDSCH

In UL, Flexi eNodeB has 2Rx Div. :

- Maximum Ratio Combining
Benefit: increase coverage by increasing the received
signal strength and quality
Channel can be configured to use MIMO mode
Channel cannot be configured to use MIMO mode
 DL Adaptive Closed Loop MIMO (4x2)
39

TX diversity for 4 antennas

For 4 Tx ant, TX diversity uses combination of SFBC and FSTD

s1
s2*
To balance for channel estimation accuracy 0
•{s1, s2} are transmitted by antenna ports 0 and 2 0
•{s3, s4} are transmitted by antenna ports 1 and 3 Antenna Port 0

0
0
s3
s4*
Antenna Port 1

… s4, s3, s2, s1 Alamouti s2

 s1*
encoder 0
0
Antenna Port 2
Weaker channel estimation for
0
antenna ports 2 and 3 (only 2 0
symbols for RS per PRB per s4
 s3*
slot) Antenna Port 3
 40

DL adaptive closed loop MIMO (4x2)

• Code book based 16 index values as per 3GPP 36.211 R9, precoding matrix W:
• UE feedback: precoding matrix indicator (PMI)
• No mapping 1 CW to 2 layer, only 1 CW to 1 layer  4x2 CL MIMO is comparable to 2 x TxDiv 2 layer

Codeword 0 Layer Layer 0

Mapper Precoding Layer 1
Layer 2
Codeword 1 Layer 3

2 codewords are the 3GPP max – Ack/Nck and CQI are per Feedback:
CQI
codeword – 2 CW gives an optimum overhead.
RI
Even with high order layers (say 8x8) still only 2 CW but we PMI
are sending the codewords much faster!
 Beamforming 41

Beamforming is the method used to create the radiation pattern of an antenna array. It can be applied in all antenna
array systems as well as MIMO systems. Smart antennas are divided into two groups:

 Phased array systems (switched beamforming) with a finite number of fixed predefined patterns

 Adaptive array systems (AAS) (adaptive beamforming) with an infinite number of patterns adjusted to the scenario in
real time.

Switched Beamformer Adaptive Beamformer

 Beam forming single-antenna port ,weakens the interference and increase cell coverage.
Duel-antenna port (dual stream BF) increases cell throughput.
 •42

Principles Of Beamforming

 Beamforming is a downlink multi-antenna technique. The transmitter of an eNodeB weights the data
before transmission, forming narrow beams and aiming the energy at the target user, as shown in the
following figure.
 Beamforming does not require the UE to feed back information or use multiple antennas to transmit
data. The direction of incoming wave and the path loss information are obtained by measuring the
uplink received signal.
 43

Classification of Beamforming Techniques

 DOA Beamforming and MIMO Beamforming:
• Direction of Arrival (DOA) beamforming: The eNodeB estimates the direction of arrival of the signal,
uses the DOA information to calculate the transmit weight, and targets the major lobe of the
transmit beam at the best direction.
• MIMO beamforming: The eNodeB uses the channel information to calculate the transmit weight,
forming a beam.
 In the industry, the TDD system uses open-loop Beamforming and the FDD system uses closed-loop
Beamforming.
 44

Classification of Beamforming (Single-Stream)

• Single-stream beamforming means transmission of a single data stream in the same OFDM resource block.
It is suitable for situations of poor channel quality.
• Single-stream beamforming achieves diversity gain by 1 dB by increasing the SNR.
• Take 4-antenna as an example. The following figure shows single-stream beamforming. The data stream S is
weighted by w1 to w4 and is sent to the four antenna ports for transmission.
 45

Classification of Beamforming (Dual-Stream)

• Dual-stream beamforming means transmission of two data streams in the same OFDM resource block, leading to
spatial multiplexing. It is suitable for situations of good channel quality.
• Take 4-antenna as an example. The following figure shows dual-stream beamforming. There are two data streams
S1 and S2; each antenna has two weights wi1 and wi2. S1 is weighted by four weights: w11 to w41; S2 is weighted
by another four weights w12 to w42. The weighted streams are summed and sent to the four antenna ports for
transmission.
 46

MIMO Influence on Throughput and

Network Capacity
 47

Cell Edge Data Rate Of User

Multiple antenna techniques address the following scenarios:

1. Cell edge data rate of a user:

 Utilizing multiple transmit antennas from the cell-site, LTE can improve the transmitted signal strength and thus
the received signal quality quantified by SINR (Signal to Interference and Noise Ratio) for the mobile user.
 This improved received SINR results into fewer retransmissions and/or higher Modulation and Coding Scheme
(MCS) offered to the cell-edge users. These factors result into higher achievable data rates to cell edge users
with fewer air interface resources.
 The improved cell edge throughput is similar to increased cell throughput as well as improved cell coverage
since the users at the cell edge locations or indoor locations are now getting better SINR and have ability to
receive higher data rates and thus improved coverage in these locations.
 Space Frequency Block Coding (SFBC) is an example of a transmit diversity (multiple transmit antenna)
mechanism utilized in LTE to improve the cell edge data rates.
 48

Cell Capacity

2. Cell Capacity:
 LTE provides means to increase the cell capacity (or cell throughput) or the number of users
supported simultaneously in a given cell.
 Even though LTE is not a circuit-centric system where we measure the Erlang capacity, we still want
to improve the cell throughput or support increased number of simultaneous users, which in turn,
results into increased number of VoIP user capacity.
 LTE provides support for Multi-user MIMO (MU-MIMO) or Space Division Multiple Access (SDMA) in
the downlink where same air interface resources are assigned to two different users simultaneously
and these users' traffic is transmitted from two different transmit antennas at the eNB.
 Similarly, the eNB can also assign same resources in the uplink to two different users in a same cell
and thus double the cell throughput and UL capacity.
 Summary •49

 Multiple antenna techniques

 Downlink feedback (CQI/RI/PMI)

 •50

“HAPPY LEARNING”

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