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2.4.4 Multi-Antenna Operation in the Downlink

Five multi-antenna techniques have been defined for LTE to improve the downlink performance.
Receive diversity at the mobile
Transmit diversity using SFBC at the eNB
MIMO spatial multiplexing at the eNB, for one or two users
Cyclic Delay Diversity (CDD) at the eNB, used in conjunction with spatial multiplexing
Beamsteering (user specific)
The first two are relatively conventional diversity methods. The third and fourth methods make use of space
frequency coding mechanisms to spread data across multiple antennas. Cyclic delay diversity introduces deliberate
delays between the antennas to create artificial multipath. It is applied more dynamically in LTE than in other radio
systems
The techniques are applied differently, depending on the type of physical signal or physical channel, according
to Table 2.4-1. The signal and channel definitions are discussed fully in Section 3.2. Some details, such as the
reference signal not being subject to any addition processes, give important benefits for measurements and will be
discussed further in Section 6.6.
Table 2.4-1. Summary of diversity and spatial multiplexing techniques applied to LTE downlink signals
Physical signal or physical channel

Transmit
diversity

Spatial
multiplexing

CDD

Reference signal

No

No

No

Primary synchronization signal

No

No

No

Secondary synchronization signal

No

No

No

Physical broadcast channel

Yes

No

No

Physical downlink control channel

Yes

No

No

Physical hybrid ARQ indicator channel

Yes*

No

No

Physical control format indicator channel

Yes

No

No

Physical multicast channel

Yes

Yes

No

Physical downlink shared channel

Yes

Yes

Yes

*Precoding type depends on PHICH group number.

2.4.4.1 UE Diversity Reception

UE diversity reception refers to the Single Input Multiple Output (SIMO) mode and is mandatory for the UE. It is
typically implemented using maximum ratio combining.

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Figure 2.4-5 Example of diversity reception through loosely correlated paths

In a cellular environment, the signal from a single receive antenna will suffer level fluctuations due to various types
of fading. A two antenna example is shown in Figure 2.4-5. With the broadband nature of the wider LTE channel
bandwidths; there may also be a noticeable frequency dependency on the signal level. By combining the signal
received from both antennas, the UE can recover a more robust signal. Receive diversity provides up to 3 dB of
gain in low SNR conditions. Note the use of a lower performance, secondary, channel may be of value for diversity
reception but is likely to cause problems in a MIMO receiver, as MIMO requires matched receivers for best
performance.

2.4.4.2 SFBC Diversity Transmission

The transmit diversity technique uses Space Frequency Block Coding (SFBC) at the eNB. This contrasts with
the space time block coding method used in 802.16, which takes pairs of OFDM symbols and transmits them in
reverse time order on the antennas. In LTE, a single codeword is mapped onto two or four layers, which directly
relates to the number of transmitters available. Data is interleaved onto different subcarriers on each antenna,
according to the expressions in Table 2.4-2.
The letter d denotes the input modulation symbol (codeword) and x denotes the modulation symbol mapped onto
the subcarrier of a layer. Thus even numbered modulation symbols are mapped to even layers, and odd symbols to
odd layers.
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CHAPTER 2 | Air Interface Concepts

Table 2.4-2. Codeword to layer mapping for transmit diversity (Ref 36.211 [6] Table 6.3.3.3-1)
Number of
layers

Number of code
words

x(0) (i) = d(0) (2i)

x(1) (i) = d(0) (2i + 1)

layer
(0)
M symb
= Msymb
/2

x(0) (i) = d(0) (4i)

x(1) (i) = d(0) (4i + 1)
x(2) (i) = d(0) (4i + 2)
x(3) (i) = d(0) (4i + 3)

layer
(0)
M symb
= Msymb
/4

Codeword-to-layer mapping
layer
i = 0,1..., M symb
1

This open loop diversity technique is identical in concept to that used for UMTS. However, for reasons of simplicity
the more complex closed loop transmit diversity techniques from UMTS have not been defined for LTE, partly
because LTE has closed loop methods defined for MIMO which is considered more important. Two or four
transmitter diversity is supported. Figure 2.4-6 shows the processing steps for the four transmitter case.

Figure 2.4-6. Configuration used for four transmitter diversity

Transmit diversity precoding is automatically applied for all control channels regardless of the physical downlink
shared channel precoding mode that is used. A modified MISO scheme is used for the Multimedia Broadcast
over Single Frequency Network (MBSFN) scheme in which a network of many eNBs transmit a common signal to
improve cell edge performance for broadcast services.
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CHAPTER 2 | Air Interface Concepts

2.4.4.3 Single User and Multi User MIMO

Figure 2.4-7 shows how both codewords are used for a single user to provide downlink SU-MIMO. It is also
possible for the codewords to be allocated to different users to create downlink MU-MIMO.

Figure 2.4-7. SU-MIMO in the downlink with two antennas; Codebook 0 shown

Depending on the channel information available at the eNB, the modulation and the precoding of the layers may
be different to equalize the performance.
The precoding choices are defined in a lookup table known as the codebook. A codebook is used to quantize the
available options and thus limit the amount of information fed back from the receiver to the transmitter. Some of
the precoding choices are straightforward; for example, Codebook Index (CI) 0 is a direct mapping of codewords
to layers and CI 1 applies what is referred to in 802.11 as spatial expansion. Table 2.4-3 shows the codebook
choices for one and two layers. Note only the two-layer case employs spatial multiplexing. Precoding with one
layer is limited to a 0, 90 or 180 phase shift.
In operation, the UE sends a message to the eNB scheduler with the codebook index most closely matching the
channel, although the system can be configured for multiple codebook values, one for each resource block group.
To use this information while it is still valid, the scheduler has to respond rapidly, within milliseconds, depending
on the rate of change of the channel. If the UE is instructed to provide channel information more regularly, the
information will be more accurate but the proportion of resources used for signalling will increase and place higher
demands on the eNB.

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CHAPTER 2 | Air Interface Concepts

Table 2.4-3. Codebook for transmission on antenna ports 0,1 (36.211 [6] Table 6.3.4.2.3-1)
Codebook index

Number of layers v
1

1 1

2 1

1 1 0

2 0 1

1 1

2 1

1 1 1

2 1 1

1 1

2 j

1 1 1

2 j j

1 1

2 j

2.4.4.3 Cyclic Delay Diversity

Cyclic delay is a delay introduced between multi-antenna signals. In several other radio systems, including 802.11n
and 802.16, cyclic delay is used to reduce the impact of possible unwanted signal cancellation that can occur if
the same signal is transmitted from multiple antennas and the channel is relatively flat. The addition of a delay
typically on the order of a few microseconds to one of the transmit paths introduces a frequency dependant
phase shift as shown in Figure 2.4-8. When the signals from two transmitters combine at the receiver, peaks and
nulls are the result, depending on the exact phase of the paths for a given frequency (subcarrier). Operationally,
there are tradeoffs in choosing the length of delay, with no single value suiting all situations and channel
bandwidths.

Figure 2.4-8. Impact of adding time delay to one path

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LTE uses a type of cyclic delay known as large delay CDD. It is larger than the cyclic delay used by 802.11n
or 802.16, and it is used in a different way. (The concept of small delay CDD was removed from the LTE
specifications in March 2008.) The intent of large delay CDD is to position signals on the peak of the frequency
response that results from the addition of a delay. The reference signal subcarriers do not have CDD applied, which
allows the UE to report the actual channel response to the scheduler in the eNB, which then uses that information
to determine the use of cyclic delay and frequency allocations for that specific UE. As shown in Table 2.4-4, the
delay is expressed as a phase shift for adjacent subcarriers.
Table 2.4-4. Cyclic phase shifts for two, three and four eNB antennas
Number of
transmitters

Phase shift per subcarrier

(overall delay)

180 (tsymbol/2)

120 (tsymbol/3)

90 (tsymbol/4)

Expressed in terms of time, the two antenna case CDD is half the symbol length, which is 33.33 s.

2.4.4.5 Beamsteering
Conventional phased array beamsteering introduces phase and amplitude offsets to the whole of the signal feeding
each transmitting antenna. The intention is to focus the signal power in a particular direction. The same technique
of applying phase and amplitude offsets can be used on the receiving antennas to make the receiver more
sensitive to signals coming from a particular direction. In LTE, the amplitude and phase of individual RBs can be
adjusted, making beamsteering far more flexible. Beamsteering is implemented using precoding methods similar
to those used for MIMO. Only one codeword is used for beamsteering, however, and in this case the purpose of
the precoding function is to correlate the signals from each transmitter towards the receiver of an individual user.
Beamsteering therefore does not increase data rates but has an effect similar to diversity of increasing signal
robustness. The effectiveness of beamsteering increases with the number of transmitting antennas, which allows
for the creation of a narrower beam. The gains possible with only two antennas are generally not considered
worthwhile and so beamsteering generally is considered only for the four-antenna option.
One of the challenges in supporting both MIMO and beamsteering is that conflicting constraints are put on the
design of the antennas. Beamsteering relies on correlation of the transmitted signals whereas MIMO relies on decorrelation, reportedly performing best with cross polarized antennas.

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2.4.6 Multiple Antenna Operation in the Uplink

There are three types of multiple antenna operation defined for the uplink:
Receive diversity at the eNB
Single-User MIMO (SU-MIMO) for single UE
Multi-User MIMO (MU-MIMO) for multiple UE
Receive diversity at the eNB is nothing new and will not be discussed further.

2.4.6.1 Single-User MIMO in the Uplink

SU-MIMO is within the scope of LTE but at the time of writing it is not fully defined. To implement SU-MIMO the
UE would require two transmitters. This is a significant challenge in terms of cost, size and battery consumption,
and for these reasons SU-MIMO is not currently a priority for development. Also, the increased data rates in the
uplink that might be possible from SU-MIMO are not as important as they are in the downlink due to asymmetrical
traffic distribution. Furthermore, if the system is deployed to be uplink-performance-limited, it may be impractical to
increase the transmit power from the UE sufficiently to achieve the SNR needed at the eNB receivers.

2.4.6.2 Multi-User MIMO in the Uplink

Although a UE typically has a single transmitter in its baseline configuration, it nevertheless is still capable of
supporting a novel form of MIMO. As suggested by Figure 2.4-2 and the description of MIMO, spatial multiplexing,
unlike the receive function, does not require the transmitters to be in the same physical device or location. Thus
uplink MIMO can be implemented using two transmitters belonging to two different UEs. This creates the potential
for an increase in uplink capacity, although an individual user will see no increase in data rates. See Figure 2.4-9.

Figure 2.4-9. Multi-user MIMO in the uplink

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CHAPTER 2 | Air Interface Concepts

The fact that the transmitters are physically separate has two consequences. First, there is no possibility of
precoding since the source data cannot be shared between the two UEs to create the necessary cross-coupling
of the data streams. This reduces the potential gains that co-located transmitters may have had. Second,
the separation of the transmitters increases the probability that the radio channels seen by the eNB will be
uncorrelated. Indeed, when the eNB has to select two UEs for pairing with MU-MIMO, the primary criterion will
be the presence of de-correlated channels. Any potential gains lost through lack of precoding will be more than
compensated for by the gains likely from better channel de-correlation. MU-MIMO therefore could be a valuable
technique for improving uplink capacity.
OFDM signal recovery is tolerant of small timing and frequency errors. Normal uplink operation will result in
each UE adjusting its frequency quite precisely to that of the eNB. The eNB will also instruct the UE to adjust its
timing and power so that all signals arrive at the eNB receiver at approximately the same level and time. With the
antennas located in different devices, the transmit paths are assumed to be uncorrelated. These conditions give the
eNB scheduler the opportunity to control two UEs to transmit data simultaneously using the same subcarriers.
Multi-user MIMO involves the simultaneous transmission of codewords via layers from different UEs at the same
time and frequency. The use of normal radio management techniques will ensure adequate frequency, timing and
power alignment of the signals received at the eNB. Aligning the received power from the UEs at the eNB will be
the most difficult thing to control if the potential capacity gains are to be realized.
As stated earlier, precoding cannot be used for MU-MIMO because the transmitters do not have access to each
others signals. Even if they did, precoding still would not work because it involves matching the phase of the
transmitted signals to that of the channel, and the phase between the two UEs is uncontrolled. However, the eNB
will support receive diversity with two or four antennas, and the latter case will help improve performance with
MU-MIMO.

2.4.7 Co-operative MIMO

Co-operative MIMO is sometimes referred to as Network MIMO. Using transmitters from different cells, it
resembles multi-user MIMO in the uplink. Data is shared across the network and sent to an individual UE. Cooperative MIMO is not currently defined for LTE in Release 8; however, it is being actively pursued as a technique
that may become part of LTE-Advanced in later releases. The primary challenge for Co-operative MIMO is the
need to share vast quantities of baseband data between the transmitting entities. Within the confines of a single
device, such as a UE or eNB, this sharing can be accomplished on-chip or between modules. In the Co-operative
MIMO case, however, the distances between transmitting elements may be hundreds of meters or even several
kilometers. The provision of sufficient backhaul transmission bandwidth with the necessary latency of perhaps 1 ms
is a challenge that remains to be solved. The use of Distributed Antenna Systems (DAS) is one potential solution.

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2.4.8 Combining Multi-Antenna Techniques

With a matched channel and good SNR, spatial multiplexing offers incremental benefits while making use of the
additional hardware already required for diversity techniques. The performance loss from path correlation can be
mitigated by adding diversity to spatial multiplexing. Figure 2.4-10 describes the mapping of two codewords using
Serial-to-Parallel (S/P) converters to three or four layers, with 16 indices being available in the codebook. This
configuration enables the limited use of beamsteering.

Figure 2.4-10. Processing steps to map two codewords to three or four antennas

2.4.9 Conclusion
The multiple antenna techniques used in LTE include transmit and receive diversity and spatial multiplexing.
Diversity techniques increase the robustness of the signal path but do not increase the data rates. Spatial
multiplexing leverages the addition of transmit and receive antennas to increase the fundamental channel capacity.
Suitable channel conditions are needed to make this practicable, and LTE supports the combination of transmit
diversity with spatial multiplexing to improve the likely performance.
LTE uses multi antenna techniques dynamically, placing considerable demands on the eNB and UE to report the
correct channel state information and react to it appropriately. These topics are considered in further detail in
Sections 6.6 and 6.7.

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2.5 References
[1]
[2]
[3]
[4]
[5]

[6]

3GPP TS 36.101 V8.4.0 (2008-12) UE Radio Transmission and Reception

3GPP TS 36.104 V8.4.0 (2008-12) Base Station Radio Transmission and Reception
ETSI TR 102 735 V7.0.1 (2007-08) Band-specific Requirements for UMTS
3GPP TS 36.331 V8.4.0 (2008-12) Radio Resource Control (RRC) Protocol Specification
Cutler, Bob, Effects of physical layer impairments on OFDM systems, RF Design, pp. 36-44, May 2002.
Available from http://rfdesign.com/images/archive/0502Cutler36.pdf.
3GPP TS 36.211 V8.5.0 (2008-12) Physical Channels and Modulation

Links to all reference documents can be found at www.agilent.com/find/ltebook.

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