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Course Objectives:
·Understand basic MIMO concepts.
1 System Overview...........................................................................................................................................1
2.3.3 Beamforming..........................................................................................................................14
3 MIMO Application.....................................................................................................................................19
i
1 System Overview
Knowledge points
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
Basic MIMO Concepts-1. MIMO enables diversity gain or multiplexing gain by adopting space-
time processing technology, makes full use of spatial resources, and enhances spectrum utilization.
· 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.
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LTE_FDD_eNB_C_12 LTE MIMO Principle
· Larger system capacity: When the Signal Noise Ratio (SNR) is high enough and
Rank > 1 on channels, MIMO:
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.
Figure MIMO Models in the LTE System -2 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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Chapter 4 MIMO System Performance Analysis
MU-MIMO: indicates that multiple UEs transmit signals using the same time-
frequency 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 MIMO
Models in the LTE System -4 shows the MU-MIMO transmission model.
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2 Basic Principles of MIMO
Knowledge points
Figure MIMO System Models-5 Functional block diagram of the MIMO system
The transmitter is configured with Nt transmit antennas and the receiver is configured
with Nr receive antennas.
· 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, σ2. 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.
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, σ2. Assume the receive power of each antenna equals to the
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Chapter 4 MIMO System Performance Analysis
total transmit power, then the mean SNR of each antenna is given by: SNR = Pt /σ2.
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.
H = UDVH
· UUH = IN r x N r
· VVH = IN t x N t
· D = [ΛK×K 0;00] Λ = diag (,,…, ), where k is the rank of the channel matrix.
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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LTE_FDD_eNB_C_12 LTE MIMO Principle
· 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.
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 single-
antennas or transmit diversity. Figure 2.3-2 shows the schematic diagram of the LTE
spatial multiplexing:
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LTE_FDD_eNB_C_12 LTE MIMO Principle
Figure Key MIMO Technologies -7 Schematic diagram of the MIMO spatial multiplexing
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).
· Perform joint coding of data streams at the transmitter to reduce symbol errors
caused by channel fading and noise.
Figure Key MIMO Technologies -8 shows the structure of transmit diversity based
space-time coding (STC).
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Chapter 4 MIMO System Performance Analysis
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:
· 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 Key MIMO Technologies -9 shows the STC schematic diagram.
Typical STC includes the Space-Time Trellis Code (STTC) and the Space-Time Block
Code (STBC).
· 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.
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LTE_FDD_eNB_C_12 LTE MIMO Principle
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.
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Chapter 4 MIMO System Performance Analysis
(a)
(b)
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.
Receive diversity indicates that multiple antennas receive multiple independent signal
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LTE_FDD_eNB_C_12 LTE MIMO Principle
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 Key MIMO Technologies -12 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.
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Chapter 4 MIMO System Performance Analysis
The typical beamforming can be classified into the following two types:
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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LTE_FDD_eNB_C_12 LTE MIMO Principle
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.
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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Chapter 4 MIMO System Performance Analysis
· 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:
Transmission Rank Channel rank Mobility Data rate Position in the cell
solution
Transmit Diversity 1 Low High/Medium Low Cell edge
(TD) speed motion
Open-Loop spatial 2/4 Low High/Medium Medium/Low Cell center/edge
multiplexing speed motion
Dual stream 2/4 Low Low speed High Cell center
precoding motion
Multi-user MIMO 2/4 Low Low speed High Cell center
motion
Codebook-based 1 High Low speed Low Cell edge
beamforming motion
Non-codebook-based 1 High Low speed Low Cell edge
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
19
Transmission DCI format Search space PDCCH transmission scheme
mode corresponding to PDSCH
DCI format 1 UE specific by C-RNTI Single-antenna port; port 5
channels
Modes 1–2 are applicable to downlink physical channels such as PDSCH, PBCH,
PCFICH, PDCCH, PHICH, and SCH. Modes 3–7 are applicable to the PDSCH.
· 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.
· DCI format 2: indicates the high peak rate, which is applicable to cell center
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Chapter 4 MIMO System Performance Analysis
users.
· DCI format 1A: increases the cell power and suppresses the interference, which
is applicable to cell edge users.
· 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).
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 4–7 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:
· 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.
· 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
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LTE_FDD_eNB_C_12 LTE MIMO Principle
· 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).
Scenario A:
Scenario B:
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Chapter 4 MIMO System Performance Analysis
environments.
Scenario C:
· 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.
Figure 3.2-2 shows the antenna selection solutions in the MIMO system.
Figure Typical Application Scenarios-15 Antenna selection solutions in the MIMO system
Case 1:
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LTE_FDD_eNB_C_12 LTE MIMO Principle
Case 2:
Case 3:
Case 4:
· Applicable to mode 6.
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.
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Chapter 4 MIMO System Performance Analysis
multiplexing
· Low-speed UE.
Note:
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).
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LTE_FDD_eNB_C_12 LTE MIMO Principle
· Perform phase rotation of transmit signals to compensate the channel phase and
ensure phase consistency of received signals.
· Same antenna weight and channel fading for different antenna ports.
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Chapter 4 MIMO System Performance Analysis
· Provide cell edge rates in downlink: Increase signal transmit power and suppress
interferences.
Beamforming Scenarios
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4 MIMO System Performance Analysis
Knowledge points
· Frequency reuse 1.
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· eNodeB antenna configuration: cross polarization.
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Chapter 4 MIMO System Performance Analysis
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 MIMO System Simulation Results Analysis-21 MIMO simulation result comparison
Table MIMO System Simulation Result Summary -4 MIMO system simulation result summary
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LTE_FDD_eNB_C_12 LTE MIMO Principle
Simulation Conditions Frequency Cell Average Spectral Cell Edge Cell Edge
Reuse Throughput Efficiency Rate Spectral
Factor Efficiency
Case 1 43dBm/Antenna Macro ISD 1 8.5631 1.5774 0.2751 0.0507
=500m,10,2*2MIMO,Rank
Adaptive,20dB, 3km/h
Case 2 33dBm/Antenna Macro ISD 1 13.9773 2.5747 0.9195 0.1694
= 500m,4TxBF,Single
Stream,20dB, 3km/h
Case 3 33dBm/Antenna Macro ISD 1 13.4308 2.4741 0.8935 0.1646
500m,4TxBFprecoding,
Dual Stream,20dB, 3km/h
Case 1 43dBm/Antenna Macro ISD 3 21.7142 1.3333 1.0842 0.0666
= 500m,2*2MIMO,Rank
Adaptive,20dB, 3km/h
Case 2 33dBm/Antenna Macro ISD 3 18.6087 1.1426 1.9028 0.1168
= 500m,4TxBF,Single
Stream,20dB, 3km/h
Case 3 33dBm/Antenna Macro ISD 3 28.6932 1.7619 2.2303 0.1366
=
500m,4TxBF,precoding,Dual
Stream,20dB, 3km/h
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