Lte Mimo

HUAWEI TECHNOLOGIES CO., LTD.
www.huawei.com
Huawei Confidential
INTERNAL
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FrutigerNext LT Medium
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LTE MIMO
Techniques
eRAN2.2 (MIMO and Beamforming)
2012/5/23
HUAWEI TECHNOLOGIES CO., LTD. Huawei Confidential
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Training Objectives
After completing this course, you will be able to:
Understand the concepts relevant to the E-UTRAN.
Understand basic LTE signaling procedures.
Master typical signaling procedures such as access procedure,
dedicated bearer setup procedure, and handover procedure.
References:
3GPP TS 36.211: Physical Channels and Modulation
3GPP TS 36.213: Physical layer procedures
3GPP TS 36.306: User Equipment (UE) radio access capabilities
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Contents
Background and Overview of the LTE MIMO
Techniques
Principles and Application of the MIMO
Techniques
Principles and Application of Beamforming
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Background of Multi-Antenna Techniques
Fifty years ago, Shannon gave the maximum efficiency that a time and
frequency communication system can achieve.

The rapid development of wireless communications poses increasingly
higher requirement for system capacity and spectral efficiency. Various
algorithms are invented, such as spreading the system bandwidth, optimizing
the modulation scheme, or using complex CDMA. These methods are limited:
Bandwidth cannot be expanded indefinitely; modulation orders cannot
increase indefinitely; channels between a CDMA system are not ideally
orthogonal. Another dimension, that is, MIMO, is invented to better use the
spatial resource. As expressed in the following equation, if multiple antennas
are used, the capacity is increased by a multiplication of the number of
antennas used.
( ) s bit
N
S
B C / 1 log
2
|
.
|
\
|
+ =
( ) M s bit
N
S
B C
|
.
|
\
|
+ = / 1 log
2
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Advantages of Multi-Antenna Techniques
The LTE system improves system performance for cell edge users (CEUs) and
brings stable and reliable service experience for users. Therefore, multi-
antenna techniques can make use of the spatial resource and increase the
wireless transmission capacity many folds without increasing the transmit
power and bandwidth.
Page 5
Array gain

Diversity gain

Spatial multiplexing
gain

Co-channel interference
reduction
Improved
system coverage

Improved
system capacity

Increased peak
rate
Increased
spectral
efficiency

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Contents
Techniques
Techniques
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Principles and Application of the
MIMO Techniques
MIMO is an important technique in the LTE system. MIMO means use of
multiple antennas at both the transmitter and receiver. 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, and higher user rate.
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data1 data2 data3
High-speed code stream
data1
data2
data3
Multiple low-speed
code streams
data1 data2 data3
data1 data2 data3
data1 data2 data3
data1 data2 data3
Multiple crossed
code stream
data1 data2 data3
Recovered high-speed
code stream
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Classification of MIMO Techniques
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Depending on whether the spatial channel information is used, MIMO techniques are
classified into open-loop MIMO and closed-loop MIMO.
Open-loop MIMO: The UE does not feed back information, the eNodeB is not informed of
the UE situation. The protocols support single-stream (TM2) or multi-stream (TM3).
Closed-loop MIMO: The UE feeds back information. The gain has a positive correlation with
the accuracy of the feedback information. The protocols support single-stream (TM4) or
multi-stream (TM6). At present, the feedback granularity supported by the reference signal
in port 2 is large and closed-loop MIMO can hardly achieve gains. Closed-loop MIMO
requires low UE mobility. At present, the eNodeB cannot accurately estimate the UE
movement speed with an error of more than 30 km/h.
Depending on the number of simultaneously transmitted spatial data streams, MIMO
techniques are classified into spatial diversity and spatial multiplexing.
Huawei eNodeBs in eRAN2.2 support the following MIMO modes. These modes are
described in detail in the following pages.
MIMO
Technique
MIMO Mode Feature List in FDD Feature List in TDD
Multi-
antenna
receive
Receive diversity
UL 2-Antenna Receive
Diversity
UL 4-Antenna Receive
Diversity
UL Interference Rejection
Combining
UL 2-Antenna Receive Diversity
UL Interference Rejection
Combining
MU-MIMO
UL 2x2 MU-MIMO
UL 2x4 MU-MIMO
UL 2x2 MU-MIMO
UL 2x4 MU-MIMO
Multi-
antenna
transmit
Open-loop transmit
diversity
2x2 MIMO
4x2 MIMO
DL 4x4 MIMO
2x2 MIMO
4x2 MIMO
Closed-loop transmit
diversity
Open-loop spatial
multiplexing
Closed-loop spatial
multiplexing
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Multi-Antenna Receive MIMO
eRAN2.2 supports UL 2-Antenna Receive Diversity and optional UL 4-Antenna Receive
Diversity and UL 8-Antenna Receive Diversity.
The following figure shows the block diagram of receive diversity. The UE uses one
antenna to transmit signals; different UEs use different time and frequency resources.
The eNodeB uses multiple antennas to receive signals and combine the received
signals to maximize SINR, therefore obtaining diversity gain and array gain, increasing
the cell coverage and improving single-user capacity.

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Mechanism of Signal Combination
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An MMSE receiver uses receive beamforming targeted at a UE. The receiver adjusts
the combined weight and changes the direction of the major lobe and side lobe to
maximize the SINR of the received signals.
There are two combination algorithms for UL receive diversity.
Maximum ratio combining (MRC) and interference rejection combining (IRC) can both
obtain diversity gain and array gain, improving system performance. MRC and IRC
are suitable for environments with different interference characteristics. MRC
receivers and IRC receivers are implementation of MMSE receivers in different
scenarios.
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Differences Between MRC and IRC
Assuming that the interference and noise are both white in the space, MRC
receivers use MRC algorithm to achieve MMSE.
Assuming that there is colored interference, IRC receivers use IRC algorithm to
achieve MMSE.
The interference rejection performance of IRC algorithm depends on the
interference characteristics. Only separable spatial colored interference can be
rejected by IRC algorithm. The performance of IRC algorithm depends on the
accuracy of estimating the interference characteristics by the algorithm. In the
following scenarios, IRC algorithm provides no advantage.
If the interference to the antenna channels is strongly correlated to the signals to the
antenna channels, the interference and signals are inseparable. In this case, IRC
performance is worse than MRC performance.
If the interference is white or weak, theoretically IRC algorithm is equivalent to MRC
algorithm; their performance is the same. In practice, there is an error in estimating the
interference characteristics. Without interference, IRC performance is slightly worse than
MRC performance.
The eNodeB measures the spatial color of the interference to determine whether a
user is under white interference or colored interference.
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Difference between white noise and
colored noise
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Adaptive Switchover Between MRC and IRC
For eNodeBs of V1.5, IRC is optional. If IRC is not selected, an eNodeB
uses MRC. If IRC is selected, an eNodeB adaptively selects IRC or MRC
depending on the current radio channel quality.
If there is separable strong colored interference, the system automatically
uses IRC algorithm.
If there is no separable strong colored interference, the system
automatically rolls back to MRC algorithm.
In UL 2x2 MU-MIMO mode, the eNodeB does not support UL Interference
Rejection Combining or UL 2-Antenna Receive Diversity.
In UL 4-Antenna Receive Diversity mode, the eNodeB supports UL
Interference Rejection Combining.

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Multi-User MIMO (MU-MIMO)
Theoretically, the number of virtual MIMO users in the same RB cannot exceed the
number of receive antennas of the eNodeB. eNodeBs of V1.5 support MU-MIMO
2x2. The following figure shows MU-MIMO 2x2.
The protocols support a maximum of MU-MIMO 4x4.

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MU-MIMO Configurations
If the value of the UlSchSwitch parameter is UlVmimoSwitch, the system
adaptively switches between LBFD-00202001 UL 2-Antenna Receive Diversity
and LOFD-001002 UL 2x2 MU-MIMO depending on the channel quality.
If the value of the UlSchSwitch parameter is not UlVmimoSwitch, the system
supports LBFD-00202001 UL 2-Antenna Receive Diversity only.
In UL 2x2 MU-MIMO mode, the system throughput is increased. This mode is not suitable for high-
speed mobility at 120 km/h or 350 km/h and frequency hoping.

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Multi-Antenna Transmit MIMO
The eNodeB supports multi-antenna transmission and the UE does not. DL 2x2 MIMO, DL
4x2 MIMO, and DL 4X4 MIMO are described. R9 defines nine multi-antenna transmission
modes (TMs). The eNodeB adaptively selects one TM according to the channel condition
and service requirement.
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No. Name Applicable Scenario
Supported
by Current
eNodeB
1
Single antenna
(port 0)
Single-antenna transmission. Yes
2
Open-loop
transmit diversity
Suitable for cell edge where the channel condition is complex and
interference is large, or high-mobility or low SNR situations.
Yes
3
Open-loop spatial
multiplexing
Suitable for high UE mobility and complex reflection environment. Yes
4
Closed-loop
spatial
multiplexing
Suitable for good channel condition. Provides high data transmission
rate.
Yes
5 MU-MIMO Suitable for two orthogonal UEs. Used to increase cell capacity. No
6
Closed-loop
transmit diversity
Suitable for cell edge, low mobility, and low SINR. Yes
7
Single antenna
(port5)
Suitable for cell edge to reject interference. No
8
Adaptive single-
stream and dual-
stream
beamforming
Suitable for cell edge, low mobility, and high SNR. Yes
9
Adaptive single-
stream, dual-
stream, and 4-
stream
beamforming
A new mode in LTE-A. Supports a maximum of eight layers. Increases
data transmission rate. Suitable for low mobility and high SNR.
No

U
s
e
d

b
y

F
D
D
/
T
D
D

U
s
e
d

b
y

T
D
D

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Concepts
Port
A port is a logical port and does not necessarily correspond to an antenna. There
can be multiple ports. The LTE protocols support a maximum of eight physical
antennas. Ports correspond to pilot formats, whereas the number of physical
antennas has not direct relationship with the pilot formats.
Port 0 to port 3: Ports for transmitting common pilots. Usually the number of
ports for physical broadcast channels and downlink control channels is the same
as that for common pilots.
Port 5: A port defined in the LTE for supporting single-stream beamforming. The
data of a single port can be weighted and mapped to multiple physical antennas.
Port 6: A port for locating the pilot.
Port 7 to port 14: Similar to port 5. Supports a maximum of 8 layers. The data of
8 ports can be weighted and mapped to 8 physical antennas. Used for dual-
stream beamforming.
Port 15 to port 22: CSI-RS port.
Maximum number of streams = Number of logical antenna ports [2 ports, 4 ports,
or 8 ports]
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Concepts
Pilots in the LTE system
Cell-specific reference signal (CRS): CRS is known as common pilot. CRS is
used by the control channels for channel estimation and demodulation. CRS is
used for demodulation of TM1 to TM6 and RSRQ measurement.
UE-specific reference signal at port 5: It is used for demodulating TM7.
DM RS at ports 7 to 14: It is used for demodulating TM8 to TM9 and is the
reference signal in R9 and R10. It supports MU-MIMO and demodulation of a
maximum of eight layers.
Reference signal at port 6: It is used for locating the UE.
Channel status information measurement RS (CSI-RS): It is used for measuring
the channel quality indication, precoding matrix indication, and RI. CSI-RS
supports measurement of eight ports.
Sounding reference signal (SRS): It is used for measuring the uplink channels
and supports uplink scheduling.

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Open-Loop Transmit Diversity
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 (LOFD-001001 DL 2x2 MIMO), the transmit diversity
uses SFBC, where X
1
and x
2
are the information to be transmitted before SFBC, *
indicates conjugate operation, f
1
and f
2
are different subcarriers, and Tx
1
and Tx
2

are different transmit antennas. SFBC codes x
1
and x
2
to different antennas and
subcarriers for transmission: x
1
over Tx
1
f
1
, x
2
over Tx
1
f
2
, -x
2
* over Tx
2
f
1
, and x
1
*
over Tx
2
f
2
. Therefore, by transmitting copies of x
1
and x
2
over different antennas
and frequencies, SFBC achieves diversity gain.
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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: x
1
, x
2
, x
3
, and x
4
are information
to be transmitted before coding; f
1
to f
4
are different subcarriers; Tx
1
and Tx
4
are
different transmit antennas; * indicates conjugate operation; 0 indicates no
information transmitted. In SFBC+FSTD, x
1
to x
4
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.
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Closed-Loop Transmit Diversity

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Spatial Multiplexing
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:
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Engineering Guidelines of MIMO
The RRU models in LTE TDD that support MIMO are RRU3232
and RRU3235.

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Page23
Contents
Techniques
Techniques
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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.

The benefits of beamforming are as
follows:
Increased SINR in the direction
of incoming wave from the UE.
Increased system capacity and
coverage.

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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.
Open-loop beamforming and closed-loop beamforming:
Open-loop beamforming: The eNodeB uses the unlink channel information to
weigh the transmit signal and does not require the UE to feed back the channel
information. The protocols support single-stream (TM2) or multi-stream (TM3).
Open-loop beamforming can increase the CEU throughput and coverage.
Closed-loop Beamforming: The eNodeB requires the UE to feed back channel
information, such as codebook to the eNodeB and uses the feedback information
to weigh the transmit signal. Due to the feedback delay, closed-loop beamforming
is suitable for low mobility scenarios. Due to the influence of the feedback
granularity, the performance of closed-loop beamforming is slightly worse than that
of open-loop beamforming. The protocols support single-stream (TM4) or multi-
stream (TM6). The eNodeB cannot estimate the UE movement speed; the error is
more than 30 km/h.
In the industry, the TDD system uses open-loop beamforming and the FDD
system uses closed-loop beamforming. Huawei eNodeB supports open-
loop beamforming.
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Page 26
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 w
1
to w
4
and is sent to the four
antenna ports for transmission.
Classification of Beamforming (Single-Stream)
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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 w
i1
and w
i2
. S1 is
weighted by four weights: w
11
to w
41
; S2 is weighted by another four weights w
12
to w
42
.
The weighted streams are summed and sent to the four antenna ports for transmission.
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Engineering Guidelines of Beamforming
Before configuring beamforming antennas, you need to understand the correspondence
between the port No. and the co-polarization of cross-polarized antennas. The following
figure shows the connection between RRU ports and antenna element of the four or
eight antennas.
At present, the RRU models in LTE TDD that support beamforming are RRU3232,
RRU3233, and RRU3235.
Page 28
4-antenna cross
polarization mapping
4-antenna linear
4-antenna circular
8-antenna cross
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Page 29
Key Configuration Points in Adding a Beamforming Cell
Add an LBBP by running the ADD BRD command with Mode set to
TDD_ENHANCE.

After adding the cell, run the following commands to turn on the
beamforming measurement switch and algorithm switch:
MOD MEASURESWITCH: UlintfMeasSwitch=SW_BfNValidMeas-
1&SW_BfNRankMeas-1&SW_BfSrsMeas-1;
MOD CELLALGOSWITCH: LocalCellId=0, BfAlgoSwitch=BfSwitch-1;

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KPI of Beamforming
>2Mbps >4Mbps >6Mbps
TM7 91.50% 73.40% 60.10%
TM2 82.80% 61.90% 56.10%
Test Result in Japan SBM Network
3GPP R8
2011H1 2011H2
1st to launch
Single-stream
Beamforming
1st to support
Dual-stream Beamforming
+15%
+15%
+10%
3GPP R9 3GPP R10
single-stream
beamforming
dual-stream
beamforming
Multi-User
Beamforming
Always Leading in Beamforming
2012H1
Hisilcon Balong700 Chipset
is the first to
support single-stream
beamforming
Hisilcon Balong710 Chipset
is the first to support
dual-stream beamforming
Leading 4x2 Beamforming Enhanced the Capacity
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KPI of Beamforming
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23%~90% increasing in edge user throughput
Beamforming compared with 2R diversity (UL)
~ 30% gain in cell average throughput
~ 50% gain in cell edge user throughput
Beamforming compared with 2x2 MIMO (DL)
~ 15% gain in cell average throughput
~ 40% gain in cell edge user throughput
Relevant features
Single-stream beamforming must be enabled before dual-stream beamforming.

Influence on the KPI
Single-stream or dual-stream beamforming has the following influence on the KPI:
Cell average throughput
If the single-stream and dual-stream beamforming is enabled, the signal energy received by
the UE is increased, the MCS is increased at the same UE position, beamforming achieves
higher cell average throughput than transmit diversity. In comparison with no beamforming,
single-stream beamforming increases the cell average throughput by 15% to 25%. In
comparison with single-stream beamforming, adaptive single-stream and dual-stream
beamforming increases the cell average throughput by more than 10%.
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Adaptive MIMO and Beamforming
With adaptive beamforming and MIMO, the UE always uses TM of high spectral efficiency under the
same channel condition. In comparison with non-adaptive MIMO or beamforming, adaptive MIMO and
beamforming significantly increases average cell throughput.
If beamforming is used, due to the overhead of UE-specific reference signal, the number of resource
blocks is reduced. Therefore, in case of good channel quality, beamforming throughput is slightly lower
than MIMO throughput. At high UE mobility (higher than 120 km/h), the eNodeB cannot track the
channel change accurately according to the sounding reference signal. In this situation, beamforming is
not suitable.
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Adaptive beamforming and MIMO (low mobility) Adaptive beamforming and MIMO (high mobility)
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Adaptive MIMO and Beamforming
The BFMIMOADAPTIVESWITCH parameter is used to select adaptive
beamforming or MIMO. The eNodeB selects beamforming or MIMO according to
the value of the parameter, the UE movement speed, and SINR.
If the value of the parameter is NO_ADAPTIVE, the eNodeB does not support adaptive
Beamforming and MIMO.
If the value of the parameter is TxD_BF_ADAPTIVE, the eNodeB supports adaptive TM2
(transmit diversity) and beamforming. There are two scenarios: low UE mobility and high UE
mobility.
Low UE mobility: For UEs that do not support R9, single-stream beamforming (TM7) is used; for UEs
that support R9, single-stream beamforming (TM7 or TM8) is used at low SINR and dual-stream beamforming
(TM8) is used at high SINR.
High UE mobility: Transmit diversity is used.
If the value of the parameter is MIMO_BF_ADAPTIVE, the eNodeB supports adaptive transmit
diversity, dual-stream MIMO (TM3), and beamforming. There are two scenarios: low UE
mobility and high UE mobility.
Low UE mobility: For UEs that do not support R9, single-stream beamforming (TM7) is used at low
SINR and dual-stream MIMO (TM3) is used at high SINR; for UEs that support R9, single-stream beamforming
is used at low SINR and dual-stream beamforming (TM8) is used at high SINR.
High UE mobility: Transmit diversity is used at low SINR and dual-stream MIMO (TM3) is used at high
SINR.
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Comparison Between Beamforming and Other Techniques
Though a space diversity system or intelligent antenna system
has multiple transmit or receive antennas, they can transmit only
single-stream data. A MIMO system can transmit single stream or
multiple streams depending on the channel quality.
MIMO requires that the number of receive antennas is not less
than the number of transmit antennas. Space diversity and
intelligent antennas do not have this requirement.
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Thank you
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