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Hindawi Publishing Corporation

EURASIP Journal on Wireless Communications and Networking
Volume 2009, Article ID 302092, 10 pages

Review Article
MIMO Technologies in 3GPP LTE and LTE-Advanced

Juho Lee,1 Jin-Kyu Han,1 and Jianzhong (Charlie) Zhang2
1 DigitalMedia & Communications R&D Center, Samsung Electronics, 416, Maetan-3dong, Yeongtong-gu,
Suwon-si 443-742, South Korea
2 Wireless System Lab, Samsung Telecom America, 1301 E. Lookout Drive, Richardson, TX 75082, USA

Correspondence should be addressed to Juho Lee,

Received 13 February 2009; Accepted 31 May 2009

Recommended by Angel Lozano

3rd Generation Partnership Project (3GPP) has recently completed the specification of the Long Term Evolution (LTE) standard.
Majority of the world’s operators and vendors are already committed to LTE deployments and developments, making LTE the
market leader in the upcoming evolution to 4G wireless communication systems. Multiple input multiple output (MIMO)
technologies introduced in LTE such as spatial multiplexing, transmit diversity, and beamforming are key components for
providing higher peak rate at a better system efficiency, which are essential for supporting future broadband data service over
wireless links. Further extension of LTE MIMO technologies is being studied under the 3GPP study item “LTE-Advanced” to
meet the requirement of IMT-Advanced set by International Telecommunication Union Radiocommunication Sector (ITU-R). In
this paper, we introduce various MIMO technologies employed in LTE and provide a brief overview on the MIMO technologies
currently discussed in the LTE-Advanced forum.

Copyright © 2009 Juho Lee et al. This is an open access article distributed under the Creative Commons Attribution License, which
permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

1. Introduction To achieve this diverse set of objectives, LTE adopted
various MIMO technologies including transmit diversity,
As multimedia communications become increasingly popu- single user (SU)-MIMO, multiuser (MU)-MIMO, closed-
lar, mobile communications are expected to reliably support loop rank-1 precoding, and dedicated beamforming [10–
high data rate transmissions. Multiple input multiple output 13]. The SU-MIMO scheme is specified for the configuration
(MIMO) has been treated as an emerging technology to with two or four transmit antennas in the downlink, which
meet the demand for higher data rate and better cell supports transmission of multiple spatial layers with up to
coverage even without increasing average transmit power four layers to a given User Equipment (UE). The transmit
or frequency bandwidth, since it was proved that MIMO diversity scheme is specified for the configuration with two or
structure successfully constructs multiple spatial layers where four transmit antennas in the downlink, and with two trans-
multiple data streams are delivered on a given frequency- mit antennas in the uplink. The MU-MIMO scheme allows
time resource and linearly increases the channel capacity allocation of different spatial layers to different users in the
[1–8]. Lots of recently specified wireless communications same time-frequency resource, and is supported in both
standards are ready to support MIMO technologies. uplink and downlink. The closed-loop rank-1 precoding
3rd Generation Partnership Project (3GPP) has recently scheme is used to improve data coverage utilizing SU-MIMO
specified an Orthogonal Frequency Division Multiplexing technology based on the cell-specific common reference
(OFDM) based technology, Evolved Universal Terrestrial signal while introducing a control signal message that has
Radio Access (E-UTRA), for support of wireless broadband lower overhead. The dedicated beamforming scheme is used
data service up to 300 Mbps in the downlink and 75 Mbps for data coverage extension when the data demodulation
in the uplink [9]. (E-UTRA is also known as LTE in the based on dedicated reference signal is supported by the UE.
wireless industry.) In Long Term Evolution (LTE), MIMO A study item called “LTE-Advanced” has recently
technologies have been widely used to improve downlink started in 3GPP, with the goal of providing a competi-
peak rate, cell coverage, as well as average cell throughput. tive IMT-Advanced candidate proposal with accompanying

y0 Number of layers M Codebook index x0 1 2 Precoding W . 2 1 . . Each precoding matrix in a higher rank multiplexing with M layers and N transmit antennas (N ≥ subcodebook can find at least one precoding matrix in M) is illustrated in Figure 1.. 1 1 . xm In addition. The eNodeB may also helps reduce the CQI calculation complexity as some decide the transmission rank. Note that the downlink provides a peak rate of 150 Mbps for two transmit antennas reference signal is common for all UEs belonging to the and 300 Mbps for four transmit antennas [16]. W{0124} / 3. the LTE system matrices due to its } denotes the matrix defined by the columns c1 . The CQI feedback sion ranks. .2 EURASIP Journal on Wireless Communications and Networking Feedback Table 1: Precoding codebook for transmission on two antennas. yn denotes the complex symbol downlink. transmitted on the nth antenna. channel experienced by the UE. (up to power scaling). The RI indicates RI report and decides on a transmission rank that is lower the number of spatial layers that can be supported by the than the channel rank reported in the RI. . which is the physical layer chan. station (also known as eNodeB) applies the spatial domain Constant modulus. cm of the matrix Wi = 2. spatial multiplexing mode. There are cell and hence is not precoded by W. available transmission power. For [15]. The UE receives the two operation modes in SU-MIMO spatial multiplexing: the information from the eNodeB on what precoding matrix is closed-loop spatial multiplexing mode and the open-loop used. the PMI. we coding rate that the eNodeB should use to ensure that the can find a precoding matrix with codebook index 0 in M = 2 √ √ block error probability experienced at the UE will not exceed subcodebook. we introduce various MIMO technolo- is selected from Table 1. etc. for the precoding matrix √ indicates a combination of modulation scheme and channel with codebook index 0 in M = 3 subcodebook. . yN −1 ]T . where each column vector is in gies employed in LTE. (1) existing SU-MIMO technologies are extended to support configuration with up to eight transmit antennas in the where y = [y0 . . . . and up to four transmit antennas in the uplink.. . and W denotes the N × M precoding matrix. multicell coordinated multipoint transmission denotes the modulation symbol transmitted on the mth (COMP) are also under active discussion and evaluation layer. which is a submatrix of the spatial multiplexing in the downlink. x = [x0 . The precoding codebook was designed to satisfy the In the closed-loop spatial multiplexing mode. . 0 √ — . M. selected from Table 2. and the channel ensure proper performance when the eNodeB overrides the quality indicator (CQI) in the uplink. With SU-MIMO spatial multiplexing. The closed-loop spatial Nested property. which is a submatrix of W{0124} / 3 10%. To support the closed-loop a lower rank subcodebook. Design of the precoding for four transmit The SU-MIMO scheme is applied to the Physical Downlink antennas is based on the Householder transformation [17] Shared Channel (PDSCH). For example. taking into account the RI of the precoding matrix selection procedures can be shared reported by the UE as well as other factors such as traffic among precoding matrices designed for different transmis- pattern. which is utilized by the UE for demodulating the data. All physical transmit antennas keep precoding on the transmitted signal taking into account the same transmit power level regardless which precoding the precoding matrix indicator (PMI) reported by the UE matrix is used to maximize the power amplifier utilization so that the transmitted signal matches with the spatial efficiency. transmission on two antennas. the UE needs to higher rank precoding matrix. Downlink SU-MIMO in LTE I4×4 − 2ui uH H i /ui ui . xM −1 ]T . This property current channel experienced at the UE. self-evaluation results for the submission to International The precoding operation for the closed-loop spatial Telecommunication Union Radiocommunication Sector multiplexing is defined by (ITU-R) in October 2009 [14]. where W{i c1 . to reduce the computational complexity at the UE as well nel that carries the information data from the network to the as the design complexity for finding out suitable precoding UE. the precoding matrix W In this paper. 1 1 1 1  1 √ 1/2 yN −1 2 −1 1 −1 xM −1   1 1 1 1 2 √ 1/2 2 j  j −j M layers N antennas 1 1 3 √ — 2 −j Figure 1: Closed-loop spatial multiplexing with N antennas and M layers. This property is included to feedback the rank indicator (RI). For the MIMO technologies currently discussed in the LTE- transmission on four antennas. . . . W{014} / 2.. the precoding matrix W is Advanced forum. the y = Wx. . . the base following properties. in Table 2. and provide a brief overview on the form of [ 1 e j(θ+kπ) ]T multiplied by a scaling factor. In LTE-Advanced.

codewords are For the closed-loop spatial multiplexing. on the other hand. M×M M×M N ×M 1/2 avoids the need for matrix multiplication in applying .EURASIP Journal on Wireless Communications and Networking 3 Table 2: Precoding codebook for transmission on four antennas. multiple codewords may be two layers needs to be retransmitted. CDD D(i) . In the LTE downlink. It is also noted that if the Minimum Mean Squared Error (MMSE) Figure 2: Open-loop spatial multiplexing with N antennas and M receiver is assumed. Taking into√ account these √ aspects. ±(−1 + j)/ 2} is used for the a codeword for each layer.. giving rise to the need of defining a rule the codeword is mapped to two layers.. In LTE. Each HARQ process requires an ACK/NAK symbols than the first one. When four layers are scheduled. If matrix indication (TPMI). the eNodeB mapped to layers according to Table 3. . the ith modulation symbol of the lth layer. the precoder to the channel matrix without significant loss in precoding performance. contained two codewords and a codeword mapped onto For the spatial multiplexing. where dk (i) denotes sends the scheduled UE the information about what precod- the ith modulation symbol of the kth codeword. If there is one layer. . . In case of two transmit antennas. for CQI calculation comes from the matrix multiplication required to inverse the instantaneous covariance matrix and not from the multiplication of the channel matrix and the precoder. and Sk and a six-bit information field for four transmit anten- denotes the number of modulation symbols of the kth nas. This information field is denoted transmit precoding codeword. for mapping a codeword to its layers. Slayer denotes using a three-bit information field for two transmit antennas the number of modulation symbols of each layer. only up to two codewords are transmitted even using two layers. 8-PSK there are two layers. ± j } except the scaling factor of 1/ 2 or large delay . . the first layer carry the first codeword while the rank scheduled by the eNodeB. . ± j. In case of three-layer mapped to multiple layers depending on the transmission transmission. in automatic repeat request (HARQ) process is operated for which case the second codeword has two times modulation each codeword. To support frequency-selective . The case of transmitting a single elements of vector ui as a tradeoff between the computational codeword using two layers is only applicable for the eNodeB complexity and the achievable performance of the codebook having four transmit antennas when its initial transmission designed for four transmit antenna. Number of layers M Codebook index ui 1 2 3 4 {14} √ {124} √ 0 u0 = [ 1 −1 −1 −1 ]T W{01} W0 / 2 W0 / 3 W0 {1234} /2 √ √ 1 u1 = [ 1 −j 1 j T ] W{11} W{112} / 2 W{1123} / 3 W{11234} /2 √ √ 2 u2 = [ 1 1 −1 1 ]T W{21} W{212} / 2 W{2123} / 3 W{23214} /2 √ √ 3 u3 = [ 1 j 1 − j ] T W{31} W{312} / 2 W{3123} / 3 W{33214} /2 √ √ √ √ 4 u4 = [ 1 (−1− j)/ 2 − j (1− j)/ 2 ]T W{41} W{414} / 2 W{4124} / 3 W{41234} /2 √ √ T √ √ 5 u5 = [ 1 (1− j)/ 2 j (−1− j)/ 2 ] W{51} W{514} / 2 W{5124} / 3 W{51234} /2 √ √ {13} √ {134} √ 6 u6 = [ 1 (1+ j)/ 2 − j (−1+ j)/ 2 ]T W{61} W6 / 2 W6 / 3 W{61324} /2 √ √ T √ √ 7 u7 = [ 1 (−1+ j)/ 2 j (1+ j)/ 2 ] W{71} W{713} / 2 W{7134} / 3 W{71324} /2 {12} √ {124} √ 8 u8 = [ 1 −1 1 1 ]T W{81} W8 / 2 W8 / 3 W{81234} /2 √ √ 9 u9 = [ 1 − j −1 − j ]T W{91} W{914} / 2 W{9134} / 3 W{91234} /2 √ √ 10 u10 = [ 1 1 1 −1 ]T W{101} W{1013} / 2 W{10123} / 3 W{101324} /2 √ √ 11 u11 = [ 1 j −1 j ]T W{111} W{1113} / 2 W{11134} / 3 W{111324} /2 √ √ 12 u12 = [ 1 −1 −1 1 ]T W{121} W{1212} / 2 W{12123} / 3 W{121234} /2 √ √ 13 u13 = [ 1 −1 1 −1 ]T W{131} W{1313} / 2 W{13123} / 3 W{131324} /2 √ √ 14 u14 = [ 1 1 −1 −1 ]T W{141} W{1413} / 2 W{14123} / 3 W{143214} /2 {12} √ {123} √ 15 u15 = [ 1 1 1 1 ]T W{151} W15 / 2 W15 / 3 W{151234} /2 Constrained alphabet. To reduce the uplink feedback two codewords are transmitted. there is one codeword. the basic mode of operation is to carry alphabet {±1. As can be seen in Table 3.. the QPSK alphabet constraint turns out to be a limiting factor in achieving additional M layers N antennas spectral efficiency gain from additional antennas. ±(1 + j)/ 2. . the modulation though more than two layers can be transmitted on downlink symbols of a codeword are equally split into two layers when in a given subframe. feedback signaling on uplink. constructing the precoding matrices by only using √ QPSK y0 (i) DFT precoding U x0 (i) precoding W(i) alphabet {±1. In case of four transmit yN −1 (i) xM −1 (i) antennas. hybrid second and the third layers carries the second codeword. each of which is transmitted overhead. most of the computational burden layers. xl (i) denotes ing matrix is used as a part of downlink control information.

Table 6: Precoding matrix Ck (k = 1.4 EURASIP Journal on Wireless Communications and Networking Table 3: Codeword-to-layer mapping for spatial multiplexing. 1. Number of layers M M × M matrix U   Number of layers M 1 1 1 2 √ 2 3 4 2 1 e−j2π/2 √ {123} √ ⎡1 1 1 ⎤ C1 {12} W12 / 2 W12 / 3 {1234} W12 /2 1 √ √ 3 √ ⎣1 e−j2π/3 e−j4π/3 ⎦ C2 W{1313} / 2 W{13123} / 3 W{131324} /2 3 √ √ 1 e−j4π/3 e−j8π/3 C3 W{1413} / 2 W{14123} / 3 W{143214} /2 ⎡1 ⎤ √ √ 1 1 1 C4 W{1512} / 2 W{15123} / 3 W{151234} /2 1⎢ ⎢ 1 e−j2π/4 e−j4π/4 e−j6π/4 ⎥ ⎥ 4 2⎣1 e−j4π/4 e−j8π/4 e−j12π/4 ⎦ Subcarrier 1 e−j6π/4 e−j12π/4 e−j18π/4 . 2. 3.. Number of layers Number of codewords Codeword-to-layer mapping i = 0.. Slayer − 1 1 1 x0 (i) = d0 (i) Slayer = S0 x0 (i) = d0 (i) 2 2 Slayer = S0 = S1 x1 (i) = d1 (i) x0 (i) = d0 (2i) 2 1 Slayer = S0 /2 x1 (i) = d0 (2i + 1) x0 (i) = d0 (i) 3 2 x1 (i) = d 1 (2i) Slayer = S0 = S1 /2 x2 (i) = d1 (2i + 1) x0 (i) = d0 (2i) x1 (i) = d0 (2i + 1) 4 2 Slayer = S0 /2 = S1 /2 x2 (i) = d1 (2i) x3 (i) = d1 (2i + 1) Table 4: DFT precoding matrix U. 4) for the open-loop spatial multiplexing. ..

Antenna 0 S0 S1 Antenna 1 −S∗ ∗ 1 S1 Table 5: Large delay CDD matrix D(i). The feedback consists ⎢0 e−j2πi/4 0 0 ⎥ of the RI and the CQI in open-loop spatial multiplexing. Use of the transmit delay cyclic delay diversity (CDD) are defined in Tables 4 diversity is indicated by TPMI. . The open-loop 0 0 e−j4πi/3 spatial multiplexing with M layers and N transmit antennas ⎡1 ⎤ 0 0 0 (N ≥ M) is illustrated in Figure 2. x(i) = [x0 (i). . . Figure 3: SFBC with two transmit antennas on downlink. respectively. the precoding order to cope with the situation that the spatial multiplexing matrix W(i) is of size N × M. . When multiple layers are transmitted. 0 0 for example. the indicated precod. In plex symbol transmitted on the nth antenna. when the UE speed is not slow enough or when 3 ⎣0 e−j2πi/3 0 ⎦ the feedback overhead on uplink is too high. is not possible due to channel variation. If the TPMI indicates a precoding matrix. yN −1 (i)]T . and 5. Number of layers M D(i)   1 0 2 The open-loop spatial multiplexing may be operated 0 e−j2πi/2 ⎡1 ⎤ when reliable PMI feedback is not available at the eNodeB. . mode is defined by the TPMI can also indicate that the precoding matrices reported in the most recent PMI report from the scheduled y(i) = W(i)D(i)Ux(i). . where y(i) = [y0 (i). The precoding for the open-loop spatial multiplexing precoding without excessive downlink signaling overhead. . . (2) UE are used for their corresponding frequency resources. the eNodeB can xm (i) denotes the ith modulation symbol transmitted on the instantaneously schedule downlink transmission using the mth layer. 4 ⎢ ⎥ ⎣0 0 e−j4πi/4 0 ⎦ In contrast to the closed-loop spatial multiplexing. yn (i) denotes the ith com- ing matrix is applied to all frequency resources allocated. . and the DFT precoding matrix U of size M × M transmit diversity even though the UE has been configured and the matrix D(i) of size M × M supporting the large to be in the spatial multiplexing mode. xM −1 (i)]T . the 0 0 0 e−j6πi/4 eNodeB only determines the transmission rank and a fixed set of precoding matrices are applied cyclically across all the scheduled subcarriers in the frequency domain.

Phys. using type 1 increases according to the followings: or type 2 alternatively for different PHICHs would be helpful W(i) = Ck (4) to keep uniform power distribution over eNodeB transmit antennas. a message. Physical Control Format transmission scheme regardless which transmission scheme Indicator Channel (PCFICH). In this scheme. Instead. For two different ACK/NAK bits are multiplexed using orthogonal transmit antennas. For LTE downlink. It is noted that in the open-loop spatial multiplexing rank-1 precoding. a combination of the SFBC and the frequency-switched transmit diversity (FSTD) as shown in Figure 4: SFBC + FSTD with four transmit antennas on downlink. since the UE with two transmit antennas is specified. and 5. matrices are assigned to W(i) cyclically as the index i When there are multiple PHICHs transmitted. and Physical Hybrid ARQ Indicator be used for delivering the required control message to the Channel (PHICH) while the other MIMO schemes are only UE. Note that no transmit closed-loop transmit antenna selection. the set of antennas against the spatial channel characteristics. 4. for example. and dedicated beamforming when the mode. Bit width Field 2 antennas 4 antennas Rank = 1 Rank = 2 Rank = 1 Rank > 1 Rank indicator 1 2 Wideband CQI for codeword 0 4 4 4 4 Wideband CQI for codeword 1 0 4 0 4 Precoding matrix indication 2K K 4K 4K Subcarrier Transmit diversity schemes defined for LTE downlink ⎡ ⎤ are illustrated in Figures 3. for transmission without eNodeB’s intervention. Transmit Diversity in LTE using the configured transmission scheme. For the open-loop transmit antenna selection. the eNodeB selects diversity scheme applied to the primary and secondary the antenna to be used for uplink transmission and commu- synchronization signals [11] is specified in LTE. W(i) is given by codes with spreading factor of four over a group of four ⎡ ⎤ subcarriers and the resulting group is repeated three times 1 1 0⎦ W(i) = √ ⎣ . the UE shall always try to receive such control applicable to PDSCH. 4} by blindly decoding PBCH. For reliable change of the ical Broadcast Channel (PBCH). (3) in the frequency domain to achieve frequency diversity gain. A UE can recognize the number of transmit antennas at For uplink. Note that . Once the nicate this selection to the UE using the downlink control number of transmit antennas at eNodeB is detected. a set of precoding changes across different repetitions as shown in Figure 5. Hence. In case of the there is no explicit signaling for it. When the transmission rank is set to one. the transmit antenna selection diversity for eNodeB among {1. closed-loop Table 6. Figure 4 is used to provide robustness against the correlation between channels from different transmit antennas and for easier UE receiver implementation. configured transmission scheme. to have additional robustness applied within each repetition. The transmit diversity D(i)U effectively makes the modulation symbols of a single scheme shown in Figure 4 can be used for all downlink codeword are mapped onto different layers for each i in a channels other than PHICH.EURASIP Journal on Wireless Communications and Networking 5 Table 7: Feedback of wideband CQI and subband PMI via PUSCH. where the index k is given by k = ( i/M  mod 4) + 1 A UE is configured for a transmission scheme such and Ck (k = 1. for the indication of transmission scheme change. message sent using the transmit diversity. antenna switching is not For four transmit antennas. SU-MIMO. 3. MU-MIMO. Physical Downlink Control is configured for the UE. 2. it may not be possible to transmit the required control message 3. 2 0 1 To maintain the orthogonality between different codes in each repetition of four subcarriers. For the eNodeB with Antenna 2 ⎣ −S∗ ∗ 1 S0 0 0 ⎦ Antenna 3 0 0 −S∗3 S∗2 four transmit antennas. eNodeB tries to change the transmission scheme. SU- MIMO. 4) for different rank values is given in as transmit diversity. The transmit diversity scheme cyclic manner with period M as the index i increases so that used for PHICH is shown in Figure 5. 2. four a codeword can experience all the transmitted layers. The space-frequency Antenna 0 S0 S1 0 0 ⎢ 0 ⎥ block code (SFBC) as shown in Figure 3 is used if the Antenna 1 ⎢ 0 S2 S3 ⎥ ⎢ ⎥ eNodeB has two transmit antennas. the specific transmit diversity scheme applicable to the other UE autonomously selects the transmit antenna to be used physical downlink channels is determined. the transmit diversity schemes can be since the channel condition is not favorable any longer to the applied to all the physical channels such as PDSCH. the transmit diversity can always Channel (PDCCH). the transmit diversity scheme is applied when the eNodeB employs multiple transmit antennas.

cell-specific common reference signal with the limitation of selecting a rank-1 precoding matrix for transmission to a UE among the ones defined in Table 1 for two transmit antennas signals. of in each cell. MU-MIMO in LTE MIMO transmission is assigned a distinctive cyclic shift value. It is noted that the cyclic shift time-frequency resource. However.⎢ ⎥.⎢ ⎥. eNodeB needs to assign orthogonal reference signals and Table 2 for four transmit antennas to improve data for these UEs scheduled for the MU-MIMO transmission. Figure 6 shows the uplink slot structure where the reference Since the transmission rank is fixed to one in this mode.⎢ ⎥ Antenna 2 ⎣ 0 0 0 0 ⎦ ⎣ −S∗1 S∗0 −S∗3 S∗2 ⎦ ⎣ 0 0 0 0 ⎦ Antenna 3 −S∗ ∗ ∗ ∗ 1 S0 −S3 S2 0 0 0 0 ∗ ∗ ∗ ∗ −S1 S0 −S3 S2 1st repetition 2nd repetition 3rd repetition (b) Figure 5: Modified SFBC + FSTD for PHICH with four transmit antennas on downlink.6 EURASIP Journal on Wireless Communications and Networking Subcarrier ⎡ ⎤ ⎡ ⎤ ⎡ ⎤ Antenna 0 S0 S1 S2 S3 0 0 0 0 S0 S1 S2 S3 ⎢ ⎥ ⎢ S ⎥ ⎢ ⎥ Antenna 1 ⎢ 0 0 0 0 ⎥ ⎢ 0 S1 S2 S3 ⎥ ⎢ 0 0 0 0 ⎥ Type1: ⎢ ⎥. coverage without relying on the UE-specific reference signal. Each UE scheduled for MU- 5.⎢ ⎥ Antenna 2 ⎣ −S∗1 S∗0 −S∗3 S∗2 ⎦ ⎣ 0 0 0 0 ⎦ ⎣ −S∗1 S∗0 −S∗3 S∗2 ⎦ Antenna 3 0 0 0 0 −S∗ ∗ ∗ ∗ 1 S0 −S3 S2 0 0 0 0 1st repetition 2nd repetition 3rd repetition (a) Subcarrier ⎡ ⎤ ⎡ ⎤ ⎡ ⎤ Antenna 0 0 0 0 0 S0 S1 S2 S3 0 0 0 0 ⎢ S ⎥ ⎢ ⎥ ⎢ S ⎥ Antenna 1 ⎢ 0 S1 S2 S3 ⎥ ⎢ 0 0 0 0 ⎥ ⎢ 0 S1 S2 S3 ⎥ Type2: ⎢ ⎥. value is always contained in the control signaling. Closed-loop Rank-1 Precoding in LTE In the closed-loop rank-1 precoding mode. the eNodeB operates the closed-loop SU-MIMO scheme based on the Figure 7: Coordinated multipoint transmission in the downlink. . The cyclically transmission rank among all possible rank values. SC-FDMA symbol SC-FDMA symbol for data for reference signal Time 12 sub-carriers H21 (1 RB) Cell 2 Frequency One slot H11 Figure 6: Multiplexing of data and reference signal on uplink. which forms a MU-MIMO trans. For a given slot and subframe the case of operating the closed-loop SU-MIMO scheme. regardless be able to correctly differentiate and demodulate these UEs’ whether the MU-MIMO is operated or not. In the uplink. shifted versions of a given Zadoff-Chu sequence form an orthogonal set of sequences. Cell 1 H31 SFBC-type transmit diversity scheme is not employed for the LTE uplink to avoid additional cost required to implement two power amplifiers at the UE. which the mission configuration. the eNodeB can reference signal sequence that is orthogonal to other UEs’ always schedule more than one UEs to transmit in the same reference signal sequences. the signal is transmitted using the fourth symbol and the data is related downlink control signaling overhead is smaller than transmitted using the others. Cell 3 4. a Zadoff-Chu sequence [11] is defined as the which control signaling allows full freedom of selecting the base sequence for uplink reference signals. and the UE combines this cyclic shift value with MU-MIMO scheme is supported in both the uplink and the knowledge of the base Zadoff-Chu sequence to form a downlink of the LTE standard. in order for the eNodeB to UE has to receive for data transmission on uplink.

The RI 4 × 2 SU-MIMO-SIC indicates the number of layers. It was 2 × 2 SU-MIMO-SIC observed in the LTE evaluation that the frequency-selective 2 × 2 SU-MIMO-MMSE RI reporting did not provide significant performance benefit. The scheduled UE then scheme among QPSK. To cope with various Dedicated beamforming is supported for improving data channel conditions and various antenna configurations coverage when the UE supports data demodulation using the while keeping the signaling overhead at appropriate level. For Cell-edge user throughput RI = 1. the UE without causing too much complexity in the UE. The PMI is Average cell throughput (Mbps) calculated conditioned on the associated RI. The frequency-selective report naturally results in large signaling overhead.6 0.4 0. For the non- higher-order modulation signal such as 16QAM and 64QAM frequency-selective wideband PMI/CQI reporting. the reports a single wideband PMI/CQI corresponding to the transmit power level for each UE is configured in a long-term whole bandwidth. if a UE is configured to be in the as a codeword experiences all layers. When the frequency-selective CQI reporting is on the same time-frequency resource. for support of receiving the UE reports a PMI/CQI for each subband. array of 8 antenna frequency selectivity of the CQI and the PMI reports elements). Hence. does not overlap with the cell-specific reference signal. scheduled simultaneously. With this definition of CQI. the PMI. the eNodeB can also configure non- frequency-selective CQI/PMI reports. while only one CQI is reported for the open-loop spatial multiplexing In the downlink. and then applies the same precoding to both the [13]. which can be accommodated 4 × 2 SU-MIMO-MMSE by the current spatial channel experienced at the UE. On the contrary. a particular subband or the multiple UEs. Dedicated Downlink Beamforming in LTE is a limiting factor.2 0.2 1. the reporting of PMI and CQI 0 5 10 15 20 25 30 can be either wideband or frequency-selective. and RI. since eNodeB respect to the wideband CQI in order to reduce the signaling power amplifier has to support multiple UEs scheduled overhead. UE-specific reference signal.8 1 1. there could be mismatch between can receive and demodulate. The per-UE preconfigured power level is hard to the subband CQI is reported as a differential value with maintain in MU-MIMO transmission mode. Feedback via PUSCH is used to accommodate large amount . A 1-bit signaling is configured. in the same time-frequency resource precoding candidates of Table 1 for the case of two transmit using different rank-1 precoding matrices from Table 1 antennas and Table 2 for the case of four transmit antennas for two transmit antennas and Table 2 for four transmit according to the RI. Note that the UE receives only the information the maximum information data size and the modulation about its own precoding matrix.g. and 64QAM.6 4 × 4 SU-MIMO-SIC The uplink feedback for support of downlink data trans- 4 × 4 SU-MIMO-MMSE mission consists of the RI. The CQI indicates the combination of antennas. to lack of knowledge of interference caused by another UEs In case of the frequency-selective PMI/CQI reporting. The UE generates the PMI/CQI in the time-frequency resource.EURASIP Journal on Wireless Communications and Networking 7 Cell-edge user throughput (Mbps) 7. and the CQI is Average cell throughput calculated conditioned on the associated RI and PMI. mode. For RI > 1.1 assuming that the signal together with the precoding information obtained reported rank and the reported precoding matrix are applied from the control signaling. for example. and is selected from the possible transmission mode. 16QAM. which are configured to be in the MU-MIMO whole frequency bandwidth. case of frequency-selective report. CQI for each codeword is reported for the closed-loop spatial multiplexing as different codewords experience different layers. The eNodeB generates a beam various feedback modes are specified concerning on the using the array of antenna elements (e. It is noted that the UE-specific reference signal is feedback signaling are Physical Uplink Control Channel transmitted in a way such that its time-frequency location (PUCCH) and Physical Uplink Shared Channel (PUSCH). and the wideband CQI serves as the baseline reduction with respect to the per-UE configured power for recovering the downlink channel condition in the whole level if a UE is configured in the MU-MIMO transmission band. Uplink Feedback in LTE 0 0. 1 × 2 SIMO-IRC and therefore only one wideband RI is reported for the whole 1 × 2 SIMO-MRC bandwidth. The eNodeB can schedule frequency unit. only one CQI is reported for each reporting unit in frequency. The PMI indicates MU-MIMO transmission mode. data payload and the UE-specific reference signal with this The physical channels that can be used for the uplink beam. the UE can report the maximum data size that it scheduled UEs. manner. taking into account its receiver the UE’s CQI report and the actual CQI experienced due ability. which could be either wideband or subband in the Figure 8: LTE downlink SU-MIMO performance. which can decodes the information data utilizing the common reference provide block error rate not exceeding 0. In the frequency-selective reporting mode. In LTE.4 1. only rank-1 transmission the preferred precoding candidate for the corresponding can be scheduled to the UE. the subband CQIs as well as the wideband CQI therefore introduced to indicate whether there is 3 dB power is reported. and the CQI. In the cases where the uplink overhead 6. feedback without any knowledge about other simultaneously PMI.

according to the rank indicator.8 EURASIP Journal on Wireless Communications and Networking Table 8: Feedback of subband differential CQI and wideband PMI via PUSCH. each reporting instance 2. The triggering the UE to report large amount of detailed feedback feedback for explicit representation of the spatial channel information on PUSCH if accurate channel information is of each cell may naturally require much larger overhead needed for transmission of large amount of data in the than the feedback defined in LTE such as CQI. PMI. and 10. . it may be selects the subband with best CQI. Coordinated multipoint simultaneous reporting of the subband differential CQI and transmission/reception is a candidate technology where the subband PMI is not supported due to excessive signaling antennas of multiple cell sites are utilized in a way such overhead. For example. MIMO Schemes in LTE-Advanced since PUSCH is designed for carrying large-size information data packets. Another example is the In addition to meeting the peak spectrum efficiency. from which the UE the composite channel experienced by the UE. In for support of demodulation at the UE. 8. the eNodeB may configure periodic reporting of spatial channel of each cell without any preassumption on limited amount of feedback information on PUCCH. Note that the rank indicator is multiplexing with antenna configuration of 8 × 8 for separately encoded from the other fields. used for reporting the RI. quality of the received signal at the UE/eNodeB. where K is according to LTE-Advanced requirement [14]. For the cells 1. The spatial differential CQI represents and 3. the wideband PMI. It is noted that aspect of the LTE-advanced study. RI. The bit width of the other fields is determined transmit antennas and N receive antennas. and 3 to jointly form the transmit signal matching to corresponds to a group of subbands. Bit width Field 2 antennas 4 antennas Rank = 1 Rank = 2 Rank = 1 Rank > 1 Wideband CQI 4 4 4 4 Spatial differential CQI 0 3 0 3 Precoding matrix indication 2 1 4 4 of feedback information in a single reporting instance. Bit width Field 2 antennas 4 antennas Rank = 1 Rank = 2 Rank = 1 Rank > 1 Rank indicator 1 2 Wideband CQI for codeword 0 4 4 4 4 Subband differential CQI for codeword 0 2K 2K 2K 2K Wideband CQI for codeword 1 0 4 0 4 Subband differential CQI for codeword 1 0 2K 0 2K Precoding matrix indication 2 1 4 4 Table 9: Feedback of wideband CQI/PMI via PUCCH. reporting of the RI. that the transmit/receive antennas of the serving cell as PUCCH. and downlink. the spatial the number of subbands. Here N × N denotes a configuration of N antennas. necessary to provide feedback representing the downlink teristics. illustrated in Figure 7 for a downlink transmission scenario. the wideband CQI further improvement of the average cell throughput as per codeword. the wideband CQI per codeword. Hence. the reporting on PUSCH can In order to support downlink peak spectrum efficiency of include the RI. as well as in for PUCCH reporting modes. and The application of coordinated multipoint transmission is the subband CQI of the subband selected by the UE. the wideband CQI/PMI. Due to these charac. is designed for transmission well as the neighboring cells can contribute in improving of small amount of control signaling information. using one bit for downlink transmission and 4 × 4 for uplink transmission is the case of two antennas and two bits for the case of four being investigated. respectively. Examples of the wideband CQI/PMI feedback and the An example scheme is to form a beam to the scheduled subband CQI feedback via PUCCH are shown in Tables 9 UE by using the transmit antennas of the cells 1. case of the subband CQI feedback. while operation at the eNodeB transmitter and the UE receiver. and the subband differential CQI for each well as the cell edge performance is also an important subband per codeword as shown in Table 8. on the other hand. where each cell transmits the same data to the the difference between the CQIs of two codewords and is scheduled UE and the UE-specific reference signal is used defined for both the wideband CQI and the subband CQI. 2. and the 30 bps/Hz and uplink peak spectrum efficiency of 15 bps/Hz PMI for each subband as shown in Table 7. separate time instances are reducing the cochannel interferences from neighboring cells.

“The finite-length multi- mance. Naguib. which to four transmit antennas. and N. vol. 50.” IEEE Transactions on Information 2 × 2 and 4 × 4 show how much the spatial multiplexing Theory.” Wireless Personal Communications. 7. Telatar. 2232– and interference rejection combining (IRC). transmit diversity.2% gain [11] 3GPP. Comparing MIMO-SIC with SIMO-IRC. transmit antennas. Damen. Al-Dhahir and A. the UE speed is 3 km/h. Bit width Field 2 antennas 4 antennas Rank = 1 Rank = 2 Rank = 1 Rank > 1 Subband CQI 4 4 4 4 Spatial differential CQI 0 3 0 3 Subband label 1 or 2 1 or 2 1 or 2 1 or 2 Other areas for further investigation in LTE-Advanced It is also observed from the results in Figure 8 that the are for example as follows: MIMO technologies introduced in LTE successfully improve (i) further enhancement of downlink MU-MIMO to the cell-edge user throughputs. in terms Processing. pp. El Gamal and M. “Evolved Universal Terrestrial Radio Access over 2 × 2 configuration in terms of average cell throughput. J. E. vol. Hassibi and B. pp. Sayed. “Space- For single input multiple output (SIMO). Conclusion (ii) introduction of uplink transmit diversity utilizing up In this paper. A. IEEE International Symposium on Information MMSE and MMSE with successive interference cancellation [5] H. Tarokh. 3.” IEEE Transactions In the antenna configuration of 4 × 2. vol. vol. Figure 8 shows the LTE downlink SU-MIMO performance In addition. 6. vol. Gesbert.814. TS 36. Simulation parameters [1] I. [7] N. no. where N × L represents the configuration of N eNodeB transmit References antennas and L UE receive antennas.3gpp. 225–234. improve the system throughout beyond what was achieved in LTE. 2921–2936. For SU-MIMO. 2002. which are designed Lausanne. 10. Agrawal. D. Ottawa. [8] H. Performance Evaluation provide better understanding about LTE system operation.EURASIP Journal on Wireless Communications and Networking 9 Table 10: Feedback of subband CQI via PUCCH. no. respectively. LTE Physical Layer-General Description (Release the precoding gain with more transmit antennas. Switzerland. throughput obtained by system level simulation. “High-rate codes that are The simulation results for the antenna configurations of linear in space and time. are downlink SU-MIMO. O. Linear European Transactions on Telecommunications. J. .” in Proceedings of the 48th IEEE Vehicular Technology Conference (VTC ’98). where λ denotes the wavelength [2] 3GPP. form MRC and MMSE. we can observe (E-UTRA). Physical Channels and Modulation (Release 8)”. “An algebraic number (MMSE-SIC) receivers are used. “On the capacity of OFDM-based spatial multiplexing systems. p.” IEEE Transactions on Signal 14% and 87% gain from 2 × 2 and 4 × 4.” and assumptions follow the guideline provided in [2]. vol. the MIMO schemes being studied for LTE- in terms of average cell throughput and cell-edge user Advanced were briefly described. Foschini and M. June-July 2002. 48. 3. “Evolved Universal Terrestrial Radio Access antenna configurations of 4 × 2 and 2 × 2. “Capacity of multi-antenna Gaussian channels. (E-UTRA).211. 585–595. total was considered and 10 users were dropped per cell. The results 8)”. MU-MIMO. of average cell throughput. eNodeB transmit antennas. be constructed using the precoding schemes designed for 4 [9] http://www. no.201. Gans. scheme introduced in LTE improves the system level perfor. 1998. two linear time coded OFDM for high data-rate wireless communication receiver methods are used: maximal ratio combining (MRC) over wideband channels. “On the limits of wireless environments. no. Hochwald. antenna arrays with antenna spacing 10 λ are assumed for pp. Bölcskei. TR 25. pp. 1 representing interference-limited small urban macrocell [3] G. 6. transmit antennas. V. 2000. Comparing the performance between the [10] 3GPP. where the carrier frequency is 2 GHz. [4] D. we introduced MIMO features of LTE. the bandwidth is 10 MHz. they outper. 10. 48. 2236. and further described technical backgrounds for specifying those technologies. Since IRC and SIC are theoretic framework for space-time coding. and A. H. pp. pp. 1995. up to 2 layers can on Communications. we observe input multi-output MMSE-DFE. Uplink feedback mechanisms for support of downlink MIMO technologies were also described to 9. Paulraj. dedicated beamforming. Canada. 2. H. The 2-tier cell layout with 57 cells in 311–355. in Figure 8 show that 4 × 2 configuration provides 8. 132. “Physical layer aspects for evolved Universal of the carrier frequency. no. TS 36. closed-loop (iii) extension of downlink transmit diversity to eight rank-1 precoding. M. Seshadri.” in Proceedings of designed to reduce or cancel the interference. 1804–1824. and atnennas. The results in Figure 8 are for Case Terrestrial Radio Access (Release 7)”. [6] B. respectively. 10. the communications in a fading environment when usingmultiple inter-site distance is 500 m. considering the desired signals only. 2002. 1998.

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