LONG TERM EVOLUTION (LTE)

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12.1 ANTENNA PORTS

* 3GPP uses the concept of ·antenna ports·. It is important to differentiate between the concept of ·antenna ports' and phys ical anten na
elements. Antenna ports map onto physica l antenna elements
* Prior to the release 10 ve rsion of the 3GPP spec ifications. it was not necessa ry to spec ify antenna ports in the uplink direct ion beca use
on ly single antenna port transmission was used
* The release 10 ve rsion of the specifications requ ires multip le antenna ports to provide support for:
o spatial multipl ex ing for the PUSCII (2x2 or 4x4 MIM O)
o transm it di ve rsity for the PUCCI-I (dua l anten na port)
* The co mpl ete set of antenna ports and their associated phys ica l channe ls and Reference Signa ls are presented in Table !52

A ntenna Port (p) as a function ol' the number of

Physical Channels and Inde x
Signal s --p antenna ports
I 2 4
PUSCH and 0 10 20 40
Demodulation Reference
I - 21 41
Signal tor the PUSC H
2 - - 42
3 - - 43
So unding Reference Signal 0 10 20 40
(SRS)
I - 21 41
2 - - 42
3 - - 43
PUCCH and 0 100 200 -
Demodul ation Reference
Signal for the PUCC H
I - 201 -

Table 152- Antenna ports and thei r associated physical channels and Reference S ignals

* The PUSCH and its assoc iated demodulation Refe rence Signal use anten na ports { I 0}, {20. 21} and {40. 41. 42. 43}
* The Sounding Refe rence Signal (SRS) uses the same antenna ports as the PUSCH so any channel estimates derived from the SRS are
direct ly applicable to the PUSCH
* The PUCCH and its associated demod ulation Reference Signal use anten na ports {I 00) and {200, 20 I }
* The index p is used as a reference to each antenna port within the 3GPP specifications

* Each anten na port has its own grid of Reso urce Elements
* The physical antenna elements at the UE are shared between the antenna ports used by the PUSCH. SRS and PUCCH
* An example mapping for 2 physica l antenna eleme nts at the UE is illustrated in Figure 137

II
Antenna Antenna
port 20 pott 21
Physical antenna PUSCH& SRS PUSCH& SRS
elements at UE
Antenna Antenna
port 200 port 201

PUCCH PUCCH

eNode B
Antenna port 20 (PUSCH) Antenna port 21 (PUSCH)
perspective

Antenna port 20 (SRS) Antenna port 21 (SRS)

Antenna port 200 (PUCCH) Antenna port 201 (PUCCH)

Figure 137- Example of one-to-one mapping between antenna port and physical antenna elements

* Usc of ante nna ports 40. 41. 42 and 43 requires at least 4 physical antenna elements at the UE. Thi s is likely to be more practica l for
larger dev ices. e.g. laptop or tab let. rather than smaller handheld devices
* 3GPP References: TS 36.2 11

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LONG TERM EVOLUTION (LTE)

12.2 TRANSMISSION MODES

* T he release 8 and 9 versions of the 3GPP specification s do not specify a set of uplink transmi ssion modes because only sing le antenna
port transmi ssion is supported

* The re lease I 0 version of the spec ifications introduces transm ission mod es I and 2 to differenti ate between single antenna port
transmiss ion and c losed loop spat ial multiplexing
* The eNode B s igna ls the uplink tran smiss ion mode to th e UE with in an RRC Co nnection Setu p, RRC Co nn ection Reconfiguration or
RRC Co nnecti on Re-establi shme nt message
* Transmission mode 2 a ll ows dynamic switching between sing le anten na port tran smission and closed loop spatial multiplexing. This
sw itching can be completed w ithout any RRC signalling

* The set of uplink transmi ssion modes is summ arised in Table 15 3. T hese are app licable when the UE is addressed by its C-RNT I.
C losed loop spatial multiplex ing is not supported when addressing th e UE by an SPS-RNT I
* T he Search Space defines the set of PDCCH within which the UE checks for a reso urce allocation. Thi s avo ids the UE havi ng to
decode all PDCCH. Search Spaces are described in greater detail in section 9 .2

* The Downlink Control Information (DC I) fo rm at defines the stru cture and co ntent of the reso urce a llocation on the PDCC H. DCI
formats are described in greater detai I in section 9

DCI
Mode PUSCH Transmission Scheme Antenna Ports Search Space
Format
I Single Antemw Port, port I 0 {I 0} 0 Common and UE Specific
2 Single Antenna Port, port 10 { I Ol 0 Common and UP. Specific
Closed Loop Spatial Multiplexing {20,21}, {40,41,42,43} 4 UE Specific

Table 153- J>lJSCH transmission modes when nsing C-RNTI to address the lJE

* Transmission mode I provides support for sing le antenna port transmission. DC! format 0 provides support for e ither contiguous
Resource Block allocations (resource allocat ion type 0) or non-conti guous Resource Block allocations (resource allocation type I).
Ne ither layer mapping nor precoding are applied at the UE

* Transmiss ion mode 2 provides support for both 2x2 and 4x4 closed loop spatial multiplexing. DC! format 4 provides support for
signalling the use of either I or 2 transport bl ocks. It also provides support fo r signalling the number of layers and th e precoding to be
app li ed by the UE. Simil ar to DCI format 0, DC ! format 4 provides support fo r either contiguous Reso urce Block allocations (resou rce
allocation type 0) or non-contiguous Reso urce Block A llocations (reso urce all ocation type I)

* 3GPP References: TS 36.2 13

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12.3 LTE TECI-INOLOGIES

TRANSMIT ANTENNA. SELECTION
* It is mandatory for all UE categori es to support downlink rece ive dive rsity . Thi s means that UE are already equipped with multip le
antenna for the reception of downl ink transm iss ions
* Transmit antenna se lection al lows the upl ink to take adva ntage of these mu lti ple antenna with min imal changes to the implementation.
The concept of transmit antenna se lection is shown in Figure 138

Antenna Antenna
--------------------------------------: :·--------------- ------ --------------·-·:
1 :

UE without antenna selection UE with antenna selection

Figure 138 -UE with and without transmit antenna selection

* Transmit antenna se lection can be usefu l if the end-user holds the UE in such a way that one antenna is covered by his or her hand, i. e.
one anten na is shi elded so experi ences increased lin k loss
* The inclusion of a sw itch to all ow the transm itter to use either antenna is likely to introduce a sma ll inserti on loss
* Transmit antenna selection is introduced wi thin the release 8 ve rsion of the 3GPP specifi cati ons
* I! is not mandatory fo r UE to sup port transmit antenna selecti on. The UE Capabili ty In formation message is used by the UE to in fo rm
the netwo rk of whether or not tran smi t antenna se lection is supported
* The network can instruct the UE to use transmit antenna se lecti on in either open loop or closed loop mode. Thi s instruction can be sent
using an RRC Co nnection Setup, RRC Connect ion Reconfiguration or RRC Connecti on Re-estab li shment message
* The open loop mode all ows the UE to select the antenna for uplink transm iss ions
* The closed loop mode involves the eNode B instructing the UE to use one of two antenna. The instructions are sen t using DCI format
0. The instructions do not exp li citly appear within the content of DC I format 0 but are used in combinati on with the RNTI to scramble
the CRC bits, i.e. UE can deduce the instruction when decod ing the CRC bits. The instruction simp ly te ll s the UE to use either antenna
0 or antenna I
* 3GPP References: TS 36.33 I, TS 36.2 12, TS 36.213

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LONG TERM EVOLUTION (LTE)

12.3.2 MULTI-USER MIMO

* Multi-User MIMO (MU-MIMO) refers to the eNode B a llocating the same time and frequency resources to more than a singl e UE, i.e.
multiple UE are allocated the same Resource Blocks during the same subfram e. The general concept of uplink multi -user MIMO is
illustrated in Figure 139

~
each antenna
element receives
each transmission

.1.
eN ode B allocates the
same Resource Blocks to UE 2
multiple UE during the
same subframe b
U E transmit using
same Resource Blocks
UE 1 during same subframe
1,.
eNode B separates
and decodes
transmissions

Figure 139- Concept of uplink multi-user MIMO

* The main objective of multi-user MIMO is to increase the overall system throughput, i.e. improve spectrum efficiency. Multi-user
MIMO represe nts a form of Space Division Multiple Access (SOMA)

* 3GPP has not explicitly specified support for uplink multi-user MIMO. Nevertheless, it has been possible to support uplink multi-user
MIMO since the release 8 version of the 3GPP specifications

* T he general concept is similar to Single User MIMO (SU-MIMO) except that each layer of transmission originates from a different
UE. Only a single tran smit antenna is required at each UE so there is no impact upon UE implementation complexity
* Uplink multi-user MIMO is transparent to the UE. None of the UE are aware that any other UE has been allocated the same set of
Resource Blocks

* The network vendor is respo nsible for implementing functionality for multi-user MIMO within the eN ode B:
o selecting the UE to share the same Resource Block allocation
o making the uplink resource allocations on the PDCCH

o separating and decoding the uplink transmissions from each UE

* Each multi-user MIMO UE is allocated a different cyclic shift for its Demodulation Reference Signal (DM-RS). This cyclic sh ift is
allocated with the Resource Block allocation within either DCI format 0 or DCI format 4

* The use of different cyclic shifts provides orthogonality between the UE and helps the eN ode B to separate them. Larger cyclic shifts
provide greater orthogonality. Orthogonality is ach ieved w hen each UE is allocated the same number of Resource Blocks.
Orthogonality is lost if each UE is allocated a different number of Resource Blocks. This constraint reduces the flexib ility of Resource
Block schedu ling

* The release 8 and 9 versions of the 3GPP spec ifications define only a cyclic sh ift to differentiate between Demodulation Reference
Signals. The release I 0 version of the spec ifications introduces the use of an Orthogonal Cover Code (OCC) to allow an additional
dimension of differentiation. The OCC allows orthogonality to be maintained when multi-user MIMO UE are allocated different
numbers of Resource Blocks

* 3GPP References: TS 36.211

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12.4 LTE ADVANCED TECHNOLOGIES

* LTE Adva nced has an objective to in crease the peak uplink spectrum effi ciency to 15 bps/l-Iz. Carri er Aggregati on has limited impact
upo n spectrum effic iency because increased throughpu ts are ac hieved by increasing the bandw idth. Mu ltiple antenna tran smi ssion
technologies allow the throughp ut to increase without increas ing the bandwidth
* The release 8 and 9 versions of" the 3GPP spec ification s do not support spatial mul tiplex ing in the uplin k
* The release 10 version of the 3GPP speci fications introduces the concept of transmi ssion modes for the uplink. Transmission mode 2
is introduced to support the req uirements of multipl e antenna transmi ssion for LTE Advanced. Transmi ssion mode 2 supports:
o spatial multi plex ing wi th 4 layers of parallel data transfer whi ch all ows a single UE to benefit from 4x4 MIMO. Antenna ports 40.
4 1. 42 and 43 are used to tran sfer these 4 layers
o spatial multiplex ing with 2 layers of para ll el data transfer whi ch all ows a single UE to benefit from 2x2 MIMO. Anten na ports 20
and 2 1 are used to tran sfer these 2 layers
o dy namic sw itching between single an tenna port trans mi ssion and either 4x4 MIMO or 2x2 MIMO. Thi s sw itch ing can be
comp leted without any RRC signalling
* The introduction of spatial multiplex ing in the uplink direction ge nerates the requirement for:
o Demodulation Reference Signa ls (DM-RS) for each transmi ssion layer
o Soundin g Reference Signals (SRS) for each antenna port
* DM-RS are ge nerated for each transmi ssion layer. The UE app li es the same precoding to both the DM -RS and the PUSCH to generate
the signa ls to tran sm it from each ante nna port. The eNode B can then use the DM-RS to estimate the chan nel response associated with
each layer and consequently help to decode the uplink data
* The DM-RS belonging to each layer is differentiated by its cyc li c shift. Orthogonal Covering Codes (OCC) can also be app li ed to
prov ide add itional differe nti ation. DM-RS are described in greater detai l in section 13. 1
* The release 8 and 9 ve rsions of the 3GPP spec ifi cations are li mited to SRS tran smi ssion using a single ante nna port. 4x4 MIMO
req uires tran smi ssion of the SRS on4 antenna ports. Likew ise, 2x2 MIMO requires transmi ss ion of the SRS on 2 anten na ports. The
release I 0 vers ion of the specification s allows the SRS to be transmitted on the same ante nna ports as the PUSCH
* Triggering SRS transmi ss ion is also made more fl ex ible in the release 10 version of the speci fi cations. Rather than re lying upon
confi guring SRS tra nsmi ss ions with RRC signalli ng. the release 10 version of the specification s also all ows SRS transmi ssions to be
tr igge red using fl ags within Down link Contro l Information (DC !)
o trigger type 0: SRS transmi ssion tr iggered by RRC signalli ng co nfigurat ion
o trigger type I: SRS transm issions triggered by a DC! fl ag
* The fo ll ow ing DC I provide support for SRS transm iss ions using trigger type I:
o DC ! Format 0: single bit flag
o DCI Form at I A: single bit fl ag
o DC! Format 28: single bit fla g for TDD on ly
o DC! Format 2C: single bit flag for TDD on ly
o DCI r'ormat 4: 2 bits used to select between SRS parameter sets configured by RRC signalling
* The conte11t of each DCI format is presented in section 9. SRS are described in greater deta il in section 13.2
* Uplink Mu lti- User MIMO is en hanced by the release I 0 ve rsion of the specifications by defining Orthogonal Cover Codes (OCC) as
an add itional method to difTerenti ate between the uplink DM-RS transmitted by each co-schedu led UE. These OCC all ow the DM-RS
to rema in orthogonal when diiTerent but overlapping bandw idths are all ocatcd to each UE. The release 8 and 9 ve rsion s ofth c
spec ifications defi ne cyc li c shirts to differentiate between DM -R S. These on ly remain orthogona l when eq ual bandw idths are allocated
to each of the co-sched ul ed UE
* 3GPP References: TS 36.211. TS 36.2 13

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LONG TERM EVOLUTION (LTE)

CLOSED LOOP SPATIAL MULTIPLEXING

* LTE Advanced introduces closed loop spatial multiplexing for the uplink within the relea se 10 ve rsion of the 3GPP specifications :

o 2x2 closed loop spatial multiple xing, requiring at least 2 phys ical antenna elements at the UE

o 4x4 closed loop spatial multiplex ing, requ irin g at least 4 phys ical antenna elements at the UE

* The antenna elements required at the UE may already be prese nt for downlink spatial multiplexing, e.g. 4x4 closed loop spatial
multiplex ing in the downlink direction requires the UE to have at least 4 phys ica l antenna elements

* However, uplink spatial multiplexing also requires the UE to s upport multiple tran smit paths with in its tran smitter implementation.
This requires multiple amp lifi ers and multiple RF stage s running in parallel. These additional tran smit paths wi ll have an impact upon
UE power consumption

* The eNode B provides the UE with instruction s regarding:

o the number of layers to transmit

o the precoding to apply

T hese instructions are provided in Downl ink Contro l Information (DC!) format 4 when the uplink resource s are al located to the UE.
T he precoding to be applied is specified using the Transmitted Precoding Matrix Indicator (TPM!)

* T he eN ode B selects a TPMI to maximise the signal to noise ratio at its receiver. Applying the set of precoding we ights at the UE
represents a form of maximum ratio combining at the transmitter

* Layer mapping and precoding for uplink spatial multiplexing are separated by the SC-FDMA precoding procedure. This is in contrast
to the downlink where the precoding procedure immediately follow s layer mapping. Figure I40 illustrates the case for uplink laye r
mapping and precoding when transmitting a single layer

Layer
Codeword Mapping Preceding
1 for Spatial for Spatial
Multiplexing Multiplexing

Figure 140- Layer mapping and precoding for uplink spatial multiplexing (2x2 MIMO using I layer)

* Transmitting a single layer is appl icabl e to both 2x2 and 4x4 closed loop spatial multipl ex in g

* Figure I 4 I illustrates the equ ivalent case when transmitting 2 layers . The SC-FDMA precoding is completed for each layer prior to the
precoding for spatial multiplexing

Layer Preceding
Mapping for Spatial
for Spatial Multiplexing
MultipleXing

Codeword
2 L __ _ __j

Figure 141 - Layer mapping and precoding for uplink spati al multiplexing (2 x2 MIMO using 2 laye rs)

* Transmitting 2 layers is a lso applicable to both 2x2 and 4 x4 closed loop spatial multiplex ing

* When tran smitting 4 layers, SC-FDMA precoding is completed in 4 parallel stream s prior to the precoding for spatia l multipl ex ing.
T he tran smi ssion of 4 layers is onl y app licab le to 4x4 closed loop spatial multiplexing

224
 IN BULLETS

2x2 CLOSED LOOP SPATIAL l\r1ULTIPLEXING

* Table ! 54 presents the number of codewords and layers whi ch are sup ported by 2 x2 closed loop spatial mu lti plex ing:
o either I or 2 codewords can be transferred duri ng each I ms subf'rame
o the number of laye rs is always equal to th e number of codewords

Number of Codcwords Number of Layers Number of Antenna Ports

I I
2
2 2

Table IS4- Codewords, layers and antenna elements for 2x2 closed loop spatial multiplexing

* The layer mapp ing process fo r the tran sfer of I and 2 codcwords is shown in Figure 142 . In both cases. layer mapping simp ly transfers
the codeword for precod ing

Layer Layer
1 Layer 2 Layers
Mapping Mapping

Codewor<J_1_J I
~Modulation 1-i----+---~o x
L1 1(')1
Codewor~ !
----------·~~~-- :-·-·
I I L2 _,.,.. x 2(')
Codewors Modu lation f-....;_ _ _ ___,__ 1

'-----------------' •-----------------'

Figure 142- Layer mapping for 2x2 closed loop spatial multiplexing

* Layer mapp ing is followed by FFT precoding for SC-FDMA. Thi s is descr ibed in section 11 .5. Precod ing for spati al multiplex ing
follows the precod ing for SC-FDMA
* The structure of precoding for 2x2 spatial multiplexing is shown in Figure 143

1 Layer 2 Layers
Precoding Precodi ng
L1 :··---·---·------·-----------·-·-1
x 1 ( i) ---~ y1(2i) x1(i) ~ y 1(i)

: 1/'-12 W1 : 1/'-12 :
W2

'-----------{ X
~- !
·-:-----+
y2(2 i)
x2( i) ~
' ~ '
y2( i)

Figure 143 -l'recoding for 2 x2 closed loop spatial multiplexing

* In the case of a single codeword and a single layer. precod ing res ul ts in :
o the I" antenna transmitting. (codeword x I h/2 x precoding weight I)
1
o the 2'" antenna tran smitting (codeword x 11--J2 x prccoding weight 2)
Th e pr,, .•'.ling 11cights for transmi ssion of a single codeword arc selected from the set ul'va lues presented in I able !55

Codcbook Index Precoding Weight I Precod ing Weight 2

0 I I
I I -1
2 I _j

3 I -j
4 I 0
5 0 1

Tab le ISS - Codebook for 2 x2 closed loop spatial multiplexing with I codeword

* Codeboo k indices 0 to 3 app ly a fixed we ight of I to the first anten na and a configurable we ight to the seco nd antenn a. The set of
we ights are the same as those appli ed to the down li nk for 2x2 closed loop spat ial multi plex ing. They are based upon the QPSK
alphabet and provide a trade-off between performa nce and complex ity

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LONG TERM EVOLUTION (LTE)

* It is not necessary to consider the impact of precoding upon the peak-to-average power ratio when using a single transmission layer
(rank l) because the peak-to-average power ratio remains the same after precod ing (measured at each indi vidual antenna port)
* Codebook indices 4 and 5 have been included to provide support fo r transmit antenna se lection, i.e. one of the two weights is ze ro.
Transmit antenna selection may be used if the eNode B detects that the end-user is holding the UE in such a way that one an tenna is
covered by hi s or her hand, i. e. one antenna is shielded so experiences increased li nk loss. Thi s helps to save UE battery power when
the antenna is having limited impact
* The codebook index to be applied during a specific subframe is signalled to the UE within Downlink Control Information (DC!)
format 4 on the PDCCH physical channe l
* In the case of two codewords and two layers, precoding results in:
o the I" antenna transmitting, (codeword I x [/,)2)
o the 2"d antenna transmitting (codeword 2 x lh/2)
In this case, there is no precoding other than the amplitude scaling. It is assumed that the gain from precoding is smaller for full-rank
transmission when using advanced recei vers at the eN ode B. Full-rank transmission means that the number of laye rs equals the
number of antenna ports
* 3GPP References: TS 36.211, TS 36.213

4x4 CLOSED LOOP SPATIAL MULTIPLEXING

* Table 156 presents the number of codewords and layers which are supported by 4 x4 closed loop spatial multiplexing.
o either l or 2 codewords can be transferred during each l ms subframe
o the number of layers is always greater than or equal to the number of codewords

Number of Code words Number of Layers Number of Ante1ma Elements

2
2 4
2 3
4

Table 156- Codewords, layers and antenna clements for 4x4 closed loop spatial multiplexing

* The laye r mapping process is illustrated in Figure 144. Layer mapping provides serial to parallel conversion when 2 layers are
generated from a single codeword

Codewor~ I :r- ---------------·: L1 x1(i) Codewo~

!
. I !.................: L1 x1( i)
~Modulation !--+!_-__-__-__-__-__-__-__-__ :::..:.__.,.~
:-!
Modulation 1-·-:------+---~>--.
~-t-=
L2:___.. x2(i)

r ----------------,
L3 x3(i)
: : L1 x1(i)
Codeword 1 .~ ! x-----·-··t---- •
~ "~-~----~ L2 x2(i) :···----·--··-·-··: L1 x1(i)
Codeword 1 .~ ! y-:---·-----~»
~ .,_ : L2 x2(i)
Codewor~ I :,c··--·-----··--··:.' L1 x1(i)
~Modulation 1--:------+-:::..:._-•• L3 x3(i)
Codewor~l I L2 x2( i)
~Modulation c................ : •

Figm·c 144- Layer mapping for 4x4 closed loop spatial multiplexing

* The number of laye rs should match the current channel conditi ons between the set of transmit anten na and the set of recei ve ante nna.
Low correlation propagation paths between the transm it and rece ive anten na all ows increased numbers of layers. Th is corresponds to a
propagation chan nel wi th increased rank
* The mapping of a single codeword onto 2 laye rs is included to provide support for retransmi ssions. Retransmissions are completed
using the same laye r mapping as the original transmi ssion. For example, if2 codewords were originall y used to generate 4 layers (2
laye rs per code wo rd), but on ly l codeword was rece ived successfu ll y then the other codeword is retransm itted afte r serial to parall el
conversion to generate 2 layers

226
 IN BULLETS

* Layer mapp ing is fo ll owed by FFT precodin g for SC-FDMA. Th is is comp leted independently for each layer, and is described in
section I 1.5. Precod ing for spatial multiplex ing foll ows th e precod ing for SC-FDMA
* The code books used fo r each rank of up Iin k spatial mu ltip lex ing are independent. e.g. the codebook used for 2- layer transmiss ion is
not a subset of th e codebook used for 3 or 4 laye r transmi ss ion
* The structure of precoding for 4x4 spatial mu ltiplexing when using a single layer is shown in Figu re 145

Hctw>----1_____;._• y1 (i)

1/2 rxw~2----+-•• y2(i)

0-
L1 ~
x1(i)
0 t w3
G r---...:....... y3( il
w4 :
t i y4(i)
0--t-
!_________________________________________ i

Figure 145 -l'recoding for 4x4 closed loop spatial multiplexing (I layer)

* The precoding we ights, w 1 to w 4 are selected from the set of va lues presented in Tab le 157

Code book Precoding Weight Codebook Precoding Weight Codebook Precoding We ight
Index WI W2 W3 W4 Index Wl W2 W3 W4 Index WI W2 W3 W4
0 I 1 1 -I 8 l -1 1 I 16 1 0 I 0
-
I j j 9 j -j 17 -I
-
2 -l 1 .10 -I -l 18 .i
-
3 -j -.i II -j j 19 -j
4 .i 1 .i 12 -.i I -j 20 0 I 0 I
r----
5 J l 13 J -1 21 -I
t---
6 -I -.i 14 -I .I 22 .i
r----
7 -.i -I 15 -j I 23 -J

Table 157 - Codebook for 4x4 closed loop spatial multiplexing (I layer)

* The codebook is based upon th e QPSK alphabet to provide a trade-off between performance and complexity
* It is not necessary to co nsider the impact of precoding upon the peak-to-average power ratio when usi ng a single transm ission layer
(rank I) because the peak-to-average power rati o rema ins the same afte r precod ing (measured at each individual ante nna port). i.e. the
peak-to-a verage power ratio experienced by each amp lifier within the UE remains unchanged
* Codebook indices 0 to 15 utili se all 4 antenna elements. Codebook indices 16 to 23 utilise on ly 2 of the 4 antenna elements. These last
8 codebook entries provide support for antenna selection whe n the UE is experiencing antenna ga in imbalance. potential ly caused by
the end-user' s hand wrapped aro und the de vice. It is assumed that the UE wou ld have 2 pairs of cross po lar elements so a hand wo uld
cover 2 elements at a ti me rather than a sing le element
* The usc of antenna se lection helps to conserve UE power consumpt ion wh ich is more li kel y to be important when the UE is using
single layer transmi ssion because the UE is more li kely to be towards the cell edge and transmilling at a relati ve ly hi gh power
* The stru ctu re of precodi ng for 4 x4 spat ial multiplexing whe n using 2 layers is shown in Figure 146
* The precod ing weights. w 1,. w 1b to w4,. w 4b are se lected by the eNode B fro m th e set of va lues presented in Tab le 158. The upper
va lue in each entry represents the ·a· we ight. whereas the lower va lue in each entry represents the ·b ' we ight
* Simil ar to single laye r transmi ss ion. the code book is based upon the QPSK alp habet to provide a trade-off between performance and
complex ity
* An important characterist ic is that for each codebook entry. only one of the two va lues is no n-zero. Th is means that each anten na
transmits a precoded ve rsion of layer I. or a precoded version of layer 2. but does not transmit a comb ination of both layers. Thi s type
of codebook des ign preserves the peak-to-average power ratio of the signal. i. e. the precoding does not change th e peak-to-average
po we r ratio meas ured at eac h individua l ante nna port
* The code book fo r 2 layer transmi ss ion does not support an tenna se lection because one of the two we ights associated with each
antenna element is always no n-zero. i. e. the ante nna port does not sw itch off

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LONG TERM EVOLUTION (LTE)

1/2

x1 (i)
L1
~
•
W2a

···········0··········· · ··················~
·----)> ··· 2: .

x2(i) ---- ~2.1 ·r t

w
3a
w2b
i y2(1)
:
!

1/2
~y3(i)
... 0
-
. W4a
w3b

·· cp··-trty4(i)
Mi..._
:
:
:

, w4b
!_ ___ ___________________________ ______ ___________ :
!

Figure 146- Precoding for 4x4 closed loop spatial multiplexing (2 layers)

Code book Precoding Weight Codebook Precoding Weight

Index WI W2 W3 W4 Index WI W2 W3 W4
0 l 0 0 4 1 -1 0 0
0 0 -j 0 0 I -j
__:__
-
0 5 0
j __1_
-
2 -j 0 0 6 j 0
0 1 0 I
3
-0 7
!---
0
-1 -I

Codebook Precoding Weight Code book Precoding Weight

Index WI W2 W3 W4 Index WI W2 W3 W4
8 I 0 1 0 12 1 0 0 I
0 0 I 0 I I 0
1---- f---
9 0 13 0
-I -I
10 -1 0 14 0 -I
0 1 l 0
1---- !---
II 0 15 0
-1 -I

Table 158- Codebook for 4x4 closed loop spatial multiplexing (2 layers)

* The structure ofprecoding for 4 x4 spatial multiplexing when using 3 layers is shown in Figure 147
* The precoding weights, w 1,, w 1b, w 1c to w4 ,,w4 b, w4 c are se lected by the eNode B from the set of values presented in Table 159. The
upper value in each entry represents the 'a' weight, whereas the lower value in each entry represents the ' c' weight
* In this case, the codebook is based upon the BPSK alphabet rathe r than the QPSK alphabet Th is is possible because the number of
codebook entries is relati vely small , and the impact upon performance is expected to be minor
* Each entry with in the codebook for 3 layer tran smi ssion preserves the SC-FDMA peak-to-average power ratio by defining only a
single non-zero value for each antenna. The total downlink transmit power is eq uall y distributed across the set of 4 antenna because
each codebook entry has a single eq ual amp litude value associated with each antenna. The total down link transmit power is divided
between the 3 layers in the ratio of2 : I: I. Thi s ratio is used to provide the 2 codewords with eq ual transmit power (recall that
codeword I form s layer I, whil e serial-to-parallel conversion results in codeword 2 forming layers 2 and 3)
* The codebook for 3 layer transmi ss ion does not support antenna se lection because one of the three we ights associated with each
anten na element is always non- zero, i.e. the antenna port does not switch off

228
 IN BULLETS

r---------------------------- ------ --

1/2
. . . :1:ct. · · ------- :r r:·.
··························j?J······ L-
y1(i)

L1 ~ w,b 0
x1 (i)
0 W2a
w,ct

~-p .. -~:.:
w2b LJ y2(i)

0 j

w2c
t

y3(i)

x3(i) L3

y
1/2

Figure 147- Prccoding for 4x4 closed loop spatial multiplexing (31aycrs)

Codebook Antenna Code book Antenna Code book A ntenn a

Index I 2 3 4 Index I 2 3 4 Index I 2 3 4
0 I I 0 0 4 I 0 0 I 8 0 I 0 1
0 0 I 0 0 I 0 0 I 0 0 0
0 0 0 I 0 0 I 0 0 0 1 0
1--- - 1---
I -I 5 -l 9 -I
0 0 0
0 0 0
2 0 I 6 0 I I 0 10 0 I I
I 0 I 0 0 0 0 0 0
0 0 0 0 0 1 I 0 0
1--- 1--- r---
3 -I 7 -I II -I
0 0 0
0 0 0

Table 159- Codcbool< for 4x4 closed loop spatial multiplexing (31ayers)

* The structure of prccoding for 4 x4 spat ial multiplex ing when using 4 layers is shown in Figure 148

X 1( I
.) L1 ;- ~
-···-- ·- - ···---j- f i 1(.)
Y I

' 1/2 i
X 2( 1
.) ----~ Y
L2 ; 1:\ i ~ 2(.)I

i 1~2 :

L3 : '
x3(i) ----'--~ y3(i)

1/2 '

x4(i) _____ _ L4 :
0---+- y4(i)
t
1/2
::
Figure 148 - Prccoding for 4x4 closed loop spatial multiplexing (41a ye rs)

229
LONG TERM EVOLUTION (LTE)

* In thi s case, there is no precodi ng other than the amp litude scaling. Sim ilar to full-rank transmi ssion for 2x2 MIMO, it is ass umed that
the ga in from precoding is small when using advanced receivers at the eNode B
* 3G PP References: TS 36.2 1 I, TS 36.2 13

12.4.2 TRANSMIT DIVERSITY

* 3GPP di scussed the foll owing types of transmit diversity for the PUSCH:
o Freq uency Switch Transmit Diversity (FSTD)
o Cyclic Delay Diversity (COD)
o Space-Frequency Block Cod ing (SFBC)
o Space-Time Block Coding (STBC)
However, none of these have been included within the release 8, 9 nor I0 vers ions of the 3GPP spec ifi cations
* The release 10 version of the 3GPP specifications introduces transmit diversity for the PUCCI-I
o transmit diversity for the PUCCI-I has been specifi ed for 2 antenna ports {200, 20 I}
o these 2 an tenna ports map onto 2, or more physical antenna elements at the UE
* Transmi t diversity for the PUCCI-I is based upon Spatial Orthogonal Resource Transmit Diversity (SORTD). Thi s involves
transmi tting the same Uplink Control Information (UCI) from 2 different antenna ports. Each antenna port uses a different set of
PUCCI-I resources, so SORTD doubles the utili sation of resources. Thi s represents the main drawback of using SORTD. From the
perspective of the eNode B, the two transm issions are similar to those wh ich wou ld be received from 2 separate UE
* The general concept of SORTD is illustrated in Figure 149

Without PUCCH With PUCCH

transmit diversity transmit diversity

~~source1
u~ R:~:~~1
PUCCH Resource
defined by cyclic shifts,
orthogonal codes and

'
Resource Blocks
PUCCH , ,

_PU~
Resource 2

Figure 149- Ge neral concept of PUCCI-I transmit diversity using SORTD

* The high leve l processing used to generate the SORTD signals is presented in Figure 150. The 2 PUCCI-I transmissions transfer the
same contro l informati on (scheduling request, 1-IARQ acknowledgements, channel state information) but are ge nerated independently
in 2 parallel streams. This illustrates how SORTD consumes twice as many PUCCI-I resources

PUCCH generated PUCCHfor Transmitted from physical

Uplink Control using Resource 1 antenna port 200 antenna element
Information for the
PUCCH
PUCCH generated PUCCHfor Transmitted from physical
using Resource 2 antenna port 201 antenna element

Figure ISO- Genera l processing flow used to generate SORTD transmissions for the PUCCI-I

* T he method used to se lect the pair of PUCCH resources for SORTD depends upon the scenari o:
PUCCI-! Formats I. Ia and I b (Scheduling Request. HARQ Acknow ledgements):
o The eNode Buses RRC signalli ng to provide the UE with 2 Schedu ling Request (SR) resource indices, i.e. there is one resource
index per anten na port. Each index can be within the range 0 to 2047. The UE transmits the PUCCI-I using Schedu li ng Request
resources whenever it has a Sched uling Req uest to send . The 2 Scheduling Request resource indices are referenced as:
• ( l,p O)
17 PUCCH ,SRI
d (l ,pl)
17 PUCCI-l,SR I
an

o The eNode Buses RRC signall ing to provide the UE with a single 1-IARQ acknow ledgement resource index. Thi s index can
range from 0 to 2047 . The UE uses thi s resource index to deri ve the reso urce indices for both ante nna ports. The UE transmits the

230
 IN BULLETS

PUCCI-I using the HARQ acknow ledgement resource indi ces when it has HARQ acknowledgments to send without a Scheduling
Request. The pair of resource indices are defin ed as :
• ( l , pO) " (I) (l , p l ) I , , ( 1)
nPUCCI-1 = nccE + l vrucc J-1 an d nPUCC\-1 = nccE + + l\ PUCCI-I

where, nccE is the index of the lowest Control Channel Element (CCE) used by the eN ode B to tran smit the PDCCI-1 which
al located the downlink POSCH tran smi ssion which the UE is acknowledging. N ~UccJ-J is the singl e resource index signaled
by the eN ode B
o In the case of Semi Persistent Scheduling (SPS) (described in section 27.6.2), the eN ode B uses RRC signalling to provide the
UE with 2 sets of reso urce indices. i.e. there is one set of resource indices per antenn a port. Each index can be within the ran ge 0
to 2047. The UE transmits the PUCCI-I from 2 antenna ports using one resource index from each set. Se lection of a resource
index from within each set is based upon instruction s from the eNode B within the PDCC H
o In the case of PUCC I-I Fo rmats I, Ia and I b. the resource indices are used to determine the cyclic shift and orthogonal codes
app lied durin g the processing of the PUCC I-I signal. Processing of the PU CC I-I signal is illustrated in Figure 169 (section 14.2.1 ).
The resource indi ces also determine the Resource Blocks used for transm iss ion of the PUCC I-I
o The rel ease 10 ve rsion of the 3GPP spec ifications does not define tran smit di ve rsity for PUCCI-I form al lb when using channel
selection. Format I b with channe l selection can be used to increase the number ofi-IARQ acknmvledgements signall ed by a
single PUCCI-I tran smi ssion
PUCCI-I Formats 2. 2a and 2b (Channel State Information. HARQ Acknowledgements):
o The eN ode B uses RRC signalling to provide the UE with 2 resource indices, i.e. there is one reso urce index per antenna port.
Each index can be within the range 0 to 11 84. The 2 reso urce indices are referenced as:
• (2,p0) d (2,p l )
nPUCCI-1 an nPUCCI-1

o In the case of PUCCI-I Formats 2, 2a and 2b. the resource in dices are used to determine the cyclic shift applied during the
process ing of the PUCCI-I signal. Processing of the PU CC I-I signal is illustrated in Figure 17 1 (section 14.2.2). The resource
indices also determin e the Reso urce Blocks used for tran smi ssion of the PUCC I-I
PUCC I-I Format 3 (Scheduling Request. HARQ Acknow ledgements):
o PUCCI-I Format 3 can be used when carri er aggregation is configured
o The eN ode Buses RRC signalling to provide th e UE with 2 sets of resource indices. i.e. there is one set of resource indices per
antenna port. Each index can be within the range 0 to 549
o When data is tran sferred from a secondary cell. the UE transm its PUCCI-I format 3 from 2 antenna ports using one resource index
from each set of reso urce indices. Se lection of a resource index from within each set is based upon in structions from th e eNode B
within the PDCCI-1. The 2 resource indices selected from the 2 sets of resource indices are referenced as:
• (3 , p0) d (3,p l )
nPUCC\-1 an nPUCCI-1

o In the case of PU CCI-I Format 3, the reso urce indi ces are used to determine the cyclic shift and orthogona l codes applied during
th e processing of th e PUCC I-I signal. Processing of th e PUCCI-I signal is illust rated in Figure 172 (section 14.2.3 ). The reso urce
indices also determin e the Resource Blocks used for tran smi ssion of the PUCCI-I
o When data is sched uled from onl y the primary ce ll then PUCCI-I format s Ia and I bare used to send acknow ledgements
* 3GPP References: TS 36.211. TS 36.2 13. TS 36.331

23 1