Internal

06/22/16

LTE System Multiple

Antenna Techniques

eRAN2.2 (MIMO and Beamforming)

HUAWEI TECHNOLOGIES CO., LTD.

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Training Objectives

After completing this course, you will be able to:

Understand the concepts relevant to the MIMO and Beamforming.

Understand basic principle of MIMO and Beamforming.

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

FPD: MIMO and Beamforming Feature Documentation

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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.

S
C B log 2 1 bit / s
N

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 code division multiple access. 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
C B log 2 1 bit / s M
N

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Advantages of Multi-Antenna Techniques

The LTE system improves system performance for cell edge users 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.

Array gain

Improved
system coverage

Diversity gain

Improved
system capacity

Increased
spectral
efficiency

Spatial multiplexing
gain
Increased peak
rate
Co-channel interference
reduction

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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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Principles 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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Classification of MIMO Techniques

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 multistream (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.
These modes are described in detail in the following pages.
MIMO Technique

Multi-antenna
receive

MIMO Mode

Feature List in FDD

Receive diversity

UL 2-Antenna Receive Diversity UL 2-Antenna Receive Diversity

UL 4-Antenna Receive Diversity UL 4-Antenna Receive Diversity
UL Interference Rejection
Combining

MU-MIMO
Open-loop transmit diversity
Closed-loop transmit diversity
Multi-antenna
Open-loop spatial multiplexing
transmit
Closed-loop spatial
multiplexing
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Feature List in TDD

UL Interference Rejection Combining

UL 2x2 MU-MIMO

UL 8-Antenna Receive Diversity

UL 2x2 MU-MIMO

UL 2x4 MU-MIMO

UL 2x4 MU-MIMO

2x2 MIMO
4x2 MIMO
DL 4x4 MIMO
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2x2 MIMO
4x2 MIMO

Page 8

Principle of 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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Principle of Multi-Antenna Receive MIMO

Mechanism of Signal Combination:

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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Specification of Multi-Antenna Receive MIMO

Adaptive Switchover Between MRC and IRC

For eNodeBs V2.2, 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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Principle of 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. eNodeBsV2.2 support MU-MIMO 2x2.
The following figure shows MU-MIMO 2x2.

eNodeBV2.2 The protocols support a maximum of MU-MIMO 4x4.

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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.

Used by FDD/TDD

No. Name

Applicable Scenario

1
2

Single-antenna transmission.
Suitable for cell edge where the channel condition is complex and
interference is large, or high-mobility or low SNR situations.
Suitable for high UE mobility and complex reflection environment.

3
4
5
6
7
8

Used by TDD

Single antenna (port 0)

Open-loop transmit
diversity
Open-loop spatial
multiplexing
Closed-loop spatial
multiplexing
MU-MIMO
Closed-loop transmit
diversity
Single antenna (port5)
Adaptive single-stream
and dual-stream
beamforming
Adaptive singlestream, dual-stream,
and 4-stream
beamforming

Supported by
Current
eNodeB
Yes
Yes
Yes

Suitable for good channel condition. Provides high data transmission rate.

Yes FDD

Suitable for two orthogonal UEs. Used to increase cell capacity.

Suitable for cell edge, low mobility, and low SINR.
Suitable for cell edge to reject interference.

Yes
Yes FDD

Suitable for cell edge, low mobility, and high SNR.

Yes

A new mode in LTE-A. Supports a maximum of eight layers. Increases data

transmission rate. Suitable for low mobility and high SNR.

No

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Yes

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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Cell-specific Reference Signal (CRS)

Normal CP downlink reference signal map relationship.

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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 (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.

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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.

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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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Adaptive Mode Configuration

Mulit-Antenna transmit technologies can support different scenario

transmit and mode. According to different scenarios, eNodeB support
choose the most best MIMO mode.

Mode choice and switch four type:

Open and close loop mode adaptive choose and switch

Open loop adaptive mode choose and switch

Close loop adaptive mode choose and switch

Fix mode choose

DL 2x2 MIMO and DL 4x2 MIMO support four mode choose and switch.

DL 4X4 MIMO only support open loop adaptive mode choose and
switch.

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Configurations of MIMO

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Configuration of MU-MIMO

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Application of MIMO

At persent, LTE TDD can support by RRU3232 RRU3235

Specification of eNodeB

Configurat MIMO
ion type

LBBPc

RRU3232

RRU3231

3 10MHz

2 2 MIMO

1 LBBPc

2 (2T2R)

3 10MHz

4 2 MIMO

1 LBBPc

3 20MHz

2 2 MIMO

1 LBBPc

2 (2T2R)

3 20MHz

4 2 MIMO

3 LBBPc

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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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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.

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.

In the industry, the TDD system uses open-loop Beamforming and the FDD
system uses closed-loop Beamforming. Huawei eNodeB supports openloop Beamforming.

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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.

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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 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.

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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.

4-antenna cross
polarization mapping

4-antenna linear
polarization mapping

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4-antenna circular
polarization mapping

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8-antenna cross
polarization mapping

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Beamforming Cell Configuration

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_BfNValidMeas1&SW_BfNRankMeas-1&SW_BfSrsMeas-1;
MOD CELLALGOSWITCH: LocalCellId=0, BfAlgoSwitch=BfSwitch-1;

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Specification of Beamforming
Configuration Type MIMO

LBBPc

RRU3232

3 10MHz

4T4R Beamforming 1 LBBPc

3 20MHz

4T4R Beamforming 3 LBBPc

Configuration Type MIMO

6 20MHz

LBBP

4T4R Beamforming 6 LBBPc

RRU3232
6

Configuration Type

MIMO

LBBP

RRU3233

3 20MHz

8T8R
Beamforming

3 LBBPc

3(each RRU need two

fibers

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KPI of Beamforming
Leading 4x2 Beamforming Enhanced the Capacity
Test Result in Japan SBM Network

Always Leading in Beamforming

3GPP R8

3GPP R9

3GPP R10

singlestream
beamformi
ng

dualstream
beamformi
ng
1st to support

Multi-User
Beamformin
g

1st to launch
Single-stream
Beamforming

Dual-stream Beamforming

+15%

+10%

+15%
Hisilcon Balong710 Chipset
is the first to support
dual-stream beamforming

Hisilcon Balong700 Chipset

is the first to
support single-stream
beamforming

2011H1

2011H2

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2012H1

>2Mbps

>4Mbps

>6Mbps

TM7

91.50%

73.40%

60.10%

TM2

82.80%

61.90%

56.10%

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KPI of Beamforming
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%.

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
23%~90% increasing
in edge
~ 40% gain
in celluser
edgethroughput
user throughput

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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.
Adaptive beamforming and MIMO (low
Adaptive beamforming and MIMO (high
mobility)
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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