An Overview of FD-MIMO Technologies For LTE PDF

An overview of New 3GPP
RAN1 Features and FD-MIMO

Technologies for LTE
郭秉衡資深工程師
工研院資通所
新興無線技術應用組
October 4, 2015 1
Outline
 Introduction: An overview of RAN1 study/working items

in 3GPP LTE Rel-13
 Part 1: A Review of MIMO Techniques in LTE
 Part 2: On-Going Developments of MIMO for 5G
 Part 3: Status of FD-MIMO Standardization for LTE
 Two-Dimensional Antenna Array and Modeling
 Enhancements Relating to Non-Precoded CSI-RS
 Enhancements Relating to Beamformed CSI-RS
 Others
 Summary and Conclusion
Copyright 2015 ITRI 工業技術研究院 M100/ICL 2

RAN1 Study/Working Items for Release 13
 Working Items:
 Carrier Aggregation Enhancements (eCA)
 Physical Layer Enhancements for MTC
 Enhanced Device-to-Device Communications
 Licensed-Assisted Access (LAA)
 Elevation Beamforming and Full-Dimension(FD-) MIMO
 Study Items:
 Indoor Positioning Enhancements
 Downlink Multi-User Superposition Transmission (MUST)
 LTE-based V2X Services

Part 1:
A Review of MIMO Techniques in LTE

Transmission Modes in LTE

Closed-Loop Spatial Multiplexing
 Spatial multiplexing allows joint transmission of multiple data layers in the

same time-frequency resource, in order to increase the system peak rate.
 With closed-loop operation, the UE should measure the instantaneous channel
state information (CSI) and reports the following to the eNodeB:
 The number spatial layers that can be jointly transmitted (RI).
 A selection (from a pre-defined codebook) of precoding matrix (PMI).
 A recommendation on modulation and coding scheme that reflects channel
quality (CQI).

Multi-User MIMO
 Spatial Multiplexing can be extended to serve multiple users in the same

radio resource block via spatial separation.
 Performance of MU-MIMO can be affected by many factors:
 User pairing and channel orthogonality.
 Multi-user diversity.
 Accuracy of PMI/CQI reports.
 Precoder construction can be either transparent or non-transparent

(e.g. zero-forcing beamforming) to UEs, depending on the TM.

Downlink Reference Signals in LTE
 Cell-Specific Reference Signals (CRS)
 Cell-wide coverage – can be detected by all users within the cell.
 Mai ly used for ell sele tio a d de odulatio of asi sig als.
 DeModulation Reference Signals (DMRS)
 Associated with data (PDSCH) signals.
 Precoded prior to transmission – allowing UE-transparent precoding.
 Channel State Information Reference Signals (CSI-RS)
 UE-specific configured resources.
 Mainly used for CSI measurements.
CRS-based Precoding DMRS-based Precoding

Dual-Codebook Structure (1/2)
 TM9 of LTE enables spatial multiplexing of up to 8 layers. A dual-

codebook structure has been adopted for this TM to:
 Reduce the potential feedback overheads for larger antenna arrays such as 8-TX.
 Capture the characteristic of cross-polarization antennas.
 The precoder based on dual-codebook structure can be expressed as:
 W1 : A wideband PMI that represents long-term statistics of channel such as a

cluster of beam directions
 W2 : A subband PMI that performs beam selection for each polarization group and
co-phasing between polarizations.

Dual-Codebook Structure (2/2)
 Mathematically, W1 is a block diagonal matrix, where each sub-matrix

(corresponding to each polarization)is consisted of multiple DFT vectors
representing beam directions. W2 is formed by at least one vectors each with
only two non-zero entries.
 This approa h a e visualized as grid-of- ea s .

Coordinate Multi-Points (CoMP)
 Three categories of CoMP schemes:
 Coordinated Scheduling / Coordinated Beamforming (CS/CB)
 Joint Transmission (JT)
 Dynamic Point Selection (DPS)

Part 2:
On-going Developments of
MIMO for 5G

Massive-MIMO (1/2)
 Research in recent years have shown great potentials of MIMO systems
equipping with a large number of antennas. This new paradigm dubbed as
Massive-MIMO has ee regarded as o e of the key a didate
technologies for 5G.
 Benefits of Massive-MIMO:
– Energy efficiency
– High spatial-multiplexing gain
(for MU-MIMO)
– Eliminating of fading effects and
noise asymptotically
– Channel hardening
 Challenges of Massive-MIMO:
– CSI acquisition in FDD mode
– Pilot contamination
Source: E. G. Larsson, F. Tufvesson, O. Edfors, and T. L. Marzetta, Massive MIMO for Next
Generation Wireless Systems, IEEE Commun. Mag., vol. 52, no. 2, pp. 186-195, Feb. 2014.
Massive-MIMO (2/2)
 Massive-MIMO is able to achieve better system performance under the same
regulatory power constraints, as energy can be more focused. This also
reduces interference leakage to the other receivers nearby.
Source: F. Rusek et al, ”Scaling up MIMO:

Opportunities and Challenges with Very Large
Arrays”, IEEE Signal Proces. Mag.,
vol. 30, no. 1, pp. 40-46, Jan. 2013.
 Inter-cell interference caused by pilot contamination is a potential limitation

for massive-MIMO systems, as well as a very hot research topic in academia.
Training (Uplink) Transmission (Downlink)

Millimeter Wave (mmWave) Massive-MIMO (1/2)
 In order to cope with the ever-increasing demand of mobile data traffic,

feasibility of cellular communications at mmWave frequencies, where a vast
amount of unlicensed spectrum is available, is being intensively studied as a
potential enabling technology of 5G.
Source: http://news.mynavi.jp/news/2014/05/09/070/
Millimeter Wave (mmWave) Massive-MIMO (2/2)
 Traditionally, path loss is believed to be much more severe in
propagation at mmWave frequencies, as compared to microwave.
 However, the achievable range of transmission at higher frequencies is
in fact longer if directive beamforming is applied.
mmWave + Massive-MIMO is a promising approach!
 Transceiver architecture based on hybrid analog/digital beamforming
has been proposed as a more cost-effective solution.
Source: W. Roh et al, “Millimeter-Wave Beamforming as an Enabling Technology for 5G Cellular

Communications: Theoretical Feasibility and Prototype Results”, IEEE Communications Mag., Feb.,
2014, pp. 106-113.
Cooperative MIMO in Cloud-RAN
 With Cloud-RAN, baseband processing of multiple remote radio heads (RRHs) is
carried out at a central unit, and cooperative MIMO transmission by multiple
geographically separated RRHs is hence easier than conventional CoMP
schemes.
Cooperative
MIMO
Source: S. Park, C.-B. Chae and S. Bahk, “Large Scale Antenna Operation in Heterogeneous Cloud Radio
Access Network: A Partial Centralized Approach”, IEEE Wireless Communications, June 2015, pp. 32-40.
Antenna Index Modulation (1/2)
 Spatial Modulation (SM)

 The data stream is partitioned into two parts. The first part is encoded with
the index of the only one activated transmit antenna, while the second part
is carried using conventional IQ-signal.
Source: R. Y. Mesleh et al, “Spatial Modulation”,

IEEE Trans. Veh. Tech, Vol. 57, July 2008,
pp. 2228-2241.

Antenna Index Modulation (2/2)
 Generalized Space Shift Keying (GSSK)

 Information is conveyed merely with the indices combinations of activated
antennas.
Source: J. Jeganathan et al, “Generalized space shift keying modulation for MIMO channels”,
IEEE PIMRC, Sept. 2008.

Part 3:
Status of FD-MIMO
Standardization for LTE

Introduction to FD-MIMO (1/2)
 FD-MIMO is a special case of Massive-MIMO in 3GPP LTE-A with:

 Two-dimensional rectangular antenna array
 The number of antenna ports for 2D arrays can be 8, 12, or 16.
 Beams can be steered in both azimuth and elevation dimensions, so
more users can be co-scheduled in MU-MIMO operation.
2D X-Pol Antenna Array

Introduction to FD-MIMO (2/2)
 An illustrative comparison between conventional MIMO and FD-

MIMO:
Conventional MIMO or BF in FD-MIMO for single UE in FD-MIMO for multiple UEs in

horizontal direction horizontal/vertical direction horizontal/vertical direction
Source:
R1-143883, “High-level views on FD-MIMO and elevation beamforming”,
Samsung, 3GPP RAN1 #78bis

Standard-Transparent Approach:
Vertical Sectorization
 An standard-transparent way to utilize 2D antenna array:
Assigning beams of different elevation angles with different
physical cell IDs:
Source:
R1-144190, “High Level View of Schemes for EBF/Full Dimension MIMO”,
Nokia, 3GPP RAN1 #78bis
2D Antenna Array Model
 The configuration of a 2D planar uniformly spaced antenna array model

is represented by (M, N, P):
 M is the number of antenna elements with the same polarization in each
column.
 N is the number of columns and
 P is the number of polarization dimensions
……
(M-1,0) (M-1,1) (M-1,N-1)
……
……
……
……
……
(1,0) (1,1) (1,N-1)
……
(0,0) (0,1) (0,N-1)

Signal Processing Model
 How signals on logical links (antenna ports) are mapped to

physical antenna elements:
Baseband processor
TXRU Virtualization matrix

Virtualization matrix TXRU Y
X
(TXRU-to-antenna
...
...
...
(port-to-TXRU)
elements)
TXRU
NAP NU NT
ports TXRUs antenna elements
Port Virtualization TXRU Virtualization
Source:
R1-144047, “RS design enhancements for supporting EB and FD-MIMO”,
LG Electronics, 3GPP RAN1 #78bis
TXRU Virtualization Models
w w1
W
w1,1
+
w2
m'=1 m'=1 +
TXRU w3 K TXRU
+
w4
x q M x
+
q M
+
m'=2 +
TXRU m'=2
TXRU
+
Sub-Array Model Full-Connection Model
Source:
3GPP TR 36.987 – Study on EB/FD-MIMO for LTE

CSI-RS Ports Virtualization
Category 1: Non-Precoded CSI-RS Category 2: Beamformed CSI-RS
-Wide cellular coverage Reference -Narrow Beam Reference signals

signals -The number of antenna ports is
-The number of antenna ports can be smaller or equal to 8.
larger than 8.
Enhancements for Non-Precoded CSI-RS:
Reference Signal Resource (1/4)
 Reference Signals Enhancements:
 Extending the existing numbers {1,2,4,8} of CSI-RS antenna ports for support
of 12 and 16 CSI-RS ports, using full-port mapping.
 Currently, only CSI-RS patterns for {1, 2, 4, 8} ports are available in LTE:
 How do configure CSI-RS resources with more than 8 ports ?

 A few different alternatives have been proposed, including:
 TDM-based approach
Subframe m Subframe n
0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13
0 1 8 9
4 5 12 13
2 3 10 11
6 7 14 15
PDCCH PDSCH CRS Port 0,1 CRS Port 2,3 R9/10 - DMRS Port7-10 R8 - DMRS Port 5 if configured
time
Source:
R1-153792, “CSI-RS design for 12 and 16 ports”,Huawei/HiSilicon, 3GPP RAN1 #82
 FDM-based approach 0 1 2 3 4 5 6 7 8 9 10 11 12 13
0 1
4 5
2 3
6 7
Frequency 0 1 2 3 4 5 6 7 8 9 10 11 12 13
8 9
12 13
10 11
14 15
PDCCH PDSCH CRS Port 0,1
Source: CRS Port 2,3 R9/10 - DMRS Port7-10 R8 - DMRS Port 5 if configured

 Single-PRB approach – CSI-RS Aggregation
 E.g. 16-ports CSI-RS can be formed by aggregating two 8-ports CSI-RS within the
same PRB/subframe.
 E.g. 12-ports CSI-RS can be formed by aggregating one 8-port CSI-RS and one 4-
ports CSI-RS within the same PRB/subframe.
Source:
2D Codebook Design (1/5)
 Codebook Enhancements:
 The precoder codebook for 2D antenna arrays for support of {8,12,16} CSI-
RS ports and associated necessary channel state information.
 Each precoding matrix or vector within a codebook for CSI reporting can
be described as W = W1W2 where W is used as a downlink transmission
hypothesis for CSI calculation at a UE. For this dual-stage precoding
structure, a potential specification enhancement on CSI reporting
consists of the following CSI parameters:
 PMI(s) corresponding to W1 and/or W2. Here one or multiple PMIs, such as
H-PMI (horizontal dimension) and V-PMI (vertical dimension), are reported
for W1 and W2, respectively. If multiple PMIs are reported, different reporting
rates and/or granularities for different PMIs may or may not be used, and
each of these PMIs can be reported either periodically or aperiodically.
 RI: a single RI or multiple RIs
 CQI
Source:

 In general, the codebook-based precoder structure for 2D array can be
written as:
where constructs grid-of-beams
and is used for beam selection(s) out of and co-phasing.
 X1 is a N1xL1 matrix with L1 column vectors being an O1 times

oversampled DFT vector of length N1.
 X2 is a N2xL2 matrix with L2 column vectors being an O2 times
oversampled DFT vector of length N2.
 N1 and N2 are the numbers of antenna ports per pol in 1st and 2nd
dimensions.
Source:
R1-155018, “WF on precoder and PMI construction for R13 FD-MIMO”, 3GPP RAN1 #82
 Note that Xi (i = 1, 2) represents a beam subset for each of the two
dimensions (horizontal and vertical) of the antenna array, where the i-th
dimension of the array has Ni (i = 1, 2) antenna ports per polarization.
 Each column of X1 can be written as
 Similarly, each column of X2 can be written as
where l is the beam index within a beam group.
Source:
 Three design alternatives of :
Source:
 We may have different 2D antenna ports layouts with different antenna
configurations:
 A parameterized scalable codebook could be a “one-for-all” solution

wherein the configurations of Ni (i = 1, 2) are signaled by the network.
Source:
R1-153168, “2D Codebook with KP structure and associated feedback”, Ericsson, 3GPP
RAN1 #81
Enhancements for Beamformed CSI-RS:
Beam Selection (1/2)
 With Beamformed CSI-RS, the UE should measure channel state
information (CSI) on CSI-RS resources that are beamformed toward
different directions.
 A potential enhancement is the introduction of “beam index” reporting to
LTE specification.
Channel estimation RI, PMI, CQI

Channel estimation RI, PMI, CQI Beam selection
Channel estimation RI, PMI, CQI according to CSIs
Channel estimation RI, PMI, CQI
Source:
R1-151983, “Enhanced precoding schemes for elevation beamforming and FD-
MIMO”,NTT Docomo, 3GPP RAN1 #80bis

Beam Selection (2/2)
Beam 1
CSI-RS Resource
Beam 2
CSI-RS Resource
Subcarriers
Beam 3
CSI-RS Resource
OFDM symbols
Measurement Restriction
 Conventionally, the UE can derive channel state information (CSI) by
averaging over measurements of CSI-RS in multiple subframes.
 In Rel-13, CSI-RS transmission could be beamformed to different
directions in consecutive subframes:
Subframe 1 Subframe 2 Subframe 3 Subframe 4
CSI-RS
CSI-RS CSI-RS CSI-RS
Beam
Beam Beam Beam
 Rel-13 aims to provide eNodeB the capability to configure the number of

subframes that the UE should use to derive CSI to ensure accuracy.

Other Enhancements:
Sounding Reference Signals (SRS)
 SRS capacity improvement:
 the following schemes can be considered:
 Transmitting SRS on unused PUSCH DMRS resources
 Transmitting SRS on PUSCH resources
 Increasing the number of SRS combs
 4Tx antenna switching for SRS transmission
 Precoded SRS
 Increasing the number of UpPTs SC-FDMA symbols utilized for SRS transmission
Source:

Other Enhancements:
DeModulation Reference Signals (DMRS)
 Support of additional ports for DMRS targeting higher dimensional MU-
MIMO:
 Alternative 1: 12 DM-RS REs with OCC = 4 for up to total 4 layers per
scrambling sequence, This alternative allows up to total 4 layers per
scrambling sequence
scrambling sequence
scrambling sequence
 Alternative 4: DM-RS estimation accuracy improvement by advanced
receiver assuming interference channel estimation
 Alternative 5: Larger PRG size
Source:

Summary and Conclusions
 Part 1: A Review of MIMO Techniques in LTE:
 MIMO technology has been a key feature to achieve high peak data throughput in
4G LTE systems.
 Part 2: On-Going Developments of MIMO for 5G:

 Massive-MIMO is a promising approach to further improve spectral efficiency for
5G.
 CSI acquisition mechanisms, or the schemes without CSI at transmitter side, should
be developed for massive-MIMO.
 Massive-MIMO is particularly useful at mmWave frequencies.
 Distributed and cooperative MIMO may play critical roles in future RAN topologies.
 Part 3: Status of FD-MIMO Standardization for LTE :

 A preliminary special version of massive-MIMO dubbed as FD-MIMO is currently
being standardized in 3GPP LTE Rel-13, which features 2D antenna arrays.
 The category of Non-Precoded CSI-RS requires new design of reference signals and
precoder codebook to accommodate 12 and 16 antenna ports.
 The category of Beamformed CSI-RS requires new feedback mechanism for beam
index selection.
Appendix:
3GPP RAN1 #82 (Aug/2015)
Agreements on EB/FD-MIMO
Source:
3GPP RAN1 #82 (Beijing, China) Chairman’s Note

CSI Reporting Class A and B (1/2)
Agreements:
 CSI reporting with PMI
 A CSI process can be configured with either of two CSI reporting classes, A
or B (FFS: both A and B):
 Class A, UE reports CSI according to W=W1W2 codebook based on {[8],12,16}
CSI-RS ports
 Class B: UE reports L port CSI assuming one of the four alternatives below
 Alt.1: Indicator for beam selection and L-port CQI/PMI/RI for the selected
beam. Total configured number of ports across all CSI-RS resources in the
CSI process is larger than L.
 Alt.2: L-port precoder from a codebook reflecting both beam selection(s) and
co-phasing across two polarizations jointly. Total configured number of ports
in the CSI process is L.
 Alt.3: Codebook reflecting beam selection and L-port CSI for the selected
beam. Total configured number of ports across all CSI-RS resources in the
CSI process is larger than L.
 Alt.4: L-port CQI/PMI/RI. Total configured number of ports in the CSI process
is L. (if CSI measurement restriction is supported, it is always configured)

CSI Reporting Class A and B (2/2)
 Note: A “beam selection” (whenever applicable) constitutes either a

selection of a subset of antenna ports within a single CSI-RS resource or
a selection of a CSI-RS resource from a set of resources
 Note: The reported CSI may be an extension of Rel.12 L-port CSI
 Details such as possible values of L are FFS
 Further down-selection/merging of the four alternatives is FFS

More Details on Reporting Class B (1/3)
 Agreements:
 For alternatives 1, 2, 3, and 4 of CSI reporting class B,
 Nk  {1,2,4,8}
 For Alt.1, UE reports L port CSI assuming either one of the followings
 L = Nk
 L (<= Nk) which can be configured or fixed in spec.
 For Alt.2, two possible schemes:
 UE reports L port CSI assuming L = sum(Nk) for all k;
 UE reports L port CSI where K is always equal to 1 (L = N1)
 For Alt.3, UE reports L port CSI assuming either one of the followings
 L = Nk
 L (<= Nk) which can be configured or fixed in spec.
 For Alt.4, UE reports L port CSI assuming L = Nk

More details on Reporting Class B (2/3)
 Agreements:
Study the following aspects for CSI-process reporting class B, including but
not limited to
 Number of antenna ports L for CSI (e.g., 2, 4, 8)
 Class B Alt-1:
 Beam selection indicator (BI) definition, e.g. RSRP or CSI based, wideband vs.
subband, short-term vs. long-term
 BI bitwidth (related to K)
 Support for rank>2 UE specific beamforming
 UCI feedback mechanisms on PUCCH/PUSCH
 Class B Alt-3:
 Codebook for beam selection and CSI
 PMI contains the information of selected beam and the precoding matrix for the L-port
within the selected beam

More details on Reporting Class B (3/3)
 Class B Alt-2:
 Codebook for beam selection and co-phasing (either derived from legacy
codebook(s) or codebook components, or newly designed)
 Along with the associated PMI (e.g. assuming W = W2 in the newly designed or legacy
codebook)
 Class B Alt-4:
 Measurement restriction mechanism; may be also applicable to Alt-1 to 3.
 Other aspects not precluded

CSI Process and CSI-RS Resource (1/2)
 Agreements:
 A CSI process is associated with K CSI-RS resources/configurations (per
definition in 36.211), with Nk ports for the kth CSI-RS resource (K could be
>=1)
 Note: it is up to RAN2 to design the signaling configuration structure to support the
above association
 Maximum value of K is FFS
 Maximum total number of CSI-RS ports in one CSI process
 For CSI reporting class A, the Maximum total number of CSI-RS ports is 16
 FFS the maximum total number of CSI-RS ports in one CSI process is for CSI reporting
class B
 For the purpose of RRC configuration of CSI-RS resource/configuration
 For CSI reporting Class A, RAN1 will choose one of the alternatives
» Alt.1: CSI-RS resource/configuration with Nk: =12/16 to be defined in the spec (The
index of CSI-RS configuration can be configured for CSI process with K=1).
» Alt.2: 12/16 ports CSI-RS is an aggregation of K configured CSI-RS
resources/configurations with 2/4/8 ports. (K>1)
FFS on the schemes for aggregation and port indexing
FFS between fixed or configurable value(s) for Nk
 For CSI reporting class B, FFS for details

CSI Process and CSI-RS Resource (2/2)
 Note: It is possible to extend the value of Nk: in future releases

 FFS by RAN1 on the configuration restriction of using same CSI-RS
resource/configuration parameters within one CSI process (e.g. Nk , Pc, CSR,
scrambling ID, subframe config., etc.)
 FFS on the QCL on CSI-RS ports
 Inform RAN2 about the above decision to start RRC signaling structure
discussion

CSI-IM Configurations
 Agreements:
For CSI reporting classes A and B (If CSI-IM is supported and used)
 On the CSI-IM association with CSI process and CSI resource/configuration,
RAN1 will down-select between the following two alternatives:
 Alt.1: A CSI process is associated with one CSI-IM (common interference
measurement resource across all CSI resources/configurations within a CSI
process)
 Alt.2: A CSI process can be associated with multiple CSI-IM
 RRC signaling framework should support different CSI resource/configuration to be
associated with different CSI-IM resource configuration.
 CSI-IM resource configuration is at least supported as Rel.12 legacy
 FFS: Change on CSI-IM resource configuration

CSI Measurement Restriction (1/4)
 Agreed definition for further study/evaluation

 For a given CSI process, if MR on channel measurement is ON, then the
channel used for CSI computation can be estimated from X NZP CSI-RS
subframe(s) up until and including CSI reference resource
 Channel measurement is derived from NZP CSI-RS
 FFS on MR based on L1 triggering and/or higher-layer signaling for dynamic CSI
request
 Depending on the chosen scheme, X can be either explicitly configured or selected
by the UE between 1 and ZX
 For a given CSI process with CSI-IM(s), if MR on interference measurement
is ON, then the interference used for CSI computation can be estimated from
Y CSI-IM subframe(s) up until and including CSI reference resource
 Interference measurement is derived from CSI-IM
 FFS on MR based on L1 triggering and/or higher-layer signaling for dynamic CSI
request
 Depending on the chosen scheme, Y can be either explicitly configured or selected
by the UE between 1 and ZY

 If a CSI process can be configured without CSI-IM, for a given CSI process
without CSI-IM(s), if MR on interference measurement is ON, then
interference used for CSI computation can be estimated from V subframe(s)
up until and including CSI reference resource
 For a given CSI process, MR may be higher-layer configured for both
channel and interference
 MR for channel and interference can be configured independently
 Note: Channel and interference MR are considered independently
 Note: Interference measurement restriction for CSI processes configured with
CSI-IM or without CSI-IM can be considered, independently
 Interaction with other features (e.g. eIMTA, FeICIC, COMP) is FFS

 Agreements on alternative schemes:

 Alt.1: Fixed MR ON or OFF via higher-layer configuration
 X/Y are fixed to a single value respectively in specification
 Alt.2: Configurable MR ON or OFF via higher-layer configuration
 X={OFF, 1, … , NX} are higher-layer configurable
 Y={OFF, 1, … , NY} are higher-layer configurable
 Alt.3: CSI measurement is periodically reset
 Reset period and subframe offset are higher-layer configured
 Note: X is selected by the UE between 1 and ZX where ZX is the number of CSI-RS
subframes between the latest measurement reset and the CSI reference resource.
 Note: Y is selected by the UE between 1 and ZY where ZY is the number of CSI-IM
subframes between the latest measurement reset and the CSI reference resource.
 Note that other alternatives are not precluded

 Conclusion:
 Continue discussion until RAN1 #82bis meeting about necessity for channel
and interference MR
 Note: Needs for channel and interference MR are considered independently

Non-precoded CSI-RS For 12 and 16 ports
 Agreements:
 Design principle for 12- and 16-port NZP CSI-RS resources in Rel-13:
 CSI-RS density of 1RE/RB/port is maintained
 FFS on lower density
 Only existing 40 CSI-RS REs per PRB pair are reused for 12- and 16-port NZP
CSI-RS resources
 12- or 16-port NZP CSI-RS REs are obtained by aggregating NZP CSI-RS REs of
multiple legacy CSI-RS configurations in the same subframe
 FFS on configuration details
 FFS on CDM length
 FFS on improvement of 12-port NZP CSI-RS resources using REs other than
existing 40 CSI-RS REs
 FFS on CSI-RS transmission in DwPTS

SRS capacity improvement
 Agreement:
 Specify at least the following SRS capacity enhancements in Rel-13:
 Increase the number of UpPTS SC-FDMA symbols for SRS
 Working Assumption:
 Increase number of combs to 4
 FFS: Max number of CS
 Other enhancement techniques that have been studied in the SI or

submitted at RAN1#82 can also be discussed at RAN1#82bis.

Additional DMRS ports
 Working Assumption, subject to resolution of signalling and power

imbalance issues:
 Alt.1, i.e., OCC=4 and 12REs for higher order MU-MIMO transmission is
supported with the following ports
 Solutions for signalling and power imbalance should be submitted for

RAN1#82bis.

CSI Reporting Types and Reporting Modes (1/3)
 Agreements:
For Rel. 13 EB/FD-MIMO,
 Notify RAN2 a summary of the contents of the following slides
 Note: CSI reporting mode is only associated with frequency granularity of
CQI and PMI
 Specify extension of Rel.12 PUSCH based A-CSI reporting modes for FD-
MIMO as follows:
 Supported A-CSI modes with PMI are the existing Rel.12 modes :
 1-2, 2-2, 3-1, and 3-2
 Content of A-CSI reporting may depend on codebook-related parameters and CSI
reporting class
 CQI, RI, PMI reported according to CSI reporting mode definition
• Size of base CQI and RI remains the same as Rel.12
• Note: Base CQI size per CW is 4 bits
• Exact PMI size and contents for class A is FFS
• Exact PMI size and contents and/or beam selection indication for class B FFS
• Details on additional CSI parameters (if supported) for class A and B are FFS

 RRC configuration details of these modes are FFS

 Specify extension of Rel.12 PUCCH based P-CSI reporting modes for FD-
MIMO as follows:
 Supported P-CSI modes with PMI are the existing Rel.12 modes:
 1-1, 2-1
» Submodes of mode 1-1 (if any) FFS
 Content of P-CSI reporting may depend on the submode (if any), codebook-
related parameters and CSI reporting class
 CQI, RI, PMI reported according to CSI reporting mode definition
• Size of base CQI and RI remains the same as Rel.12
• Note: Base CQI size per CW is 4 bits
• Exact PMI size and contents for class A is FFS
• Exact PMI size and contents and/or beam selection indication for class B FFS
• Details on additional CSI parameters (if supported) for class A and B are FFS
 New CSI reporting types are possible
 RRC configuration details of these modes are FFS

 Rel. 12 CSI reporting modes without PMI are by default supported
 FFS: Enhancement for Rel. 13

 CSI reporting without PMI for Rel.13 FD-MIMO

 Companies are encouraged to study further of CSI reporting without PMI

The End
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An overview of New 3GPP

RAN1 Features and FD-MIMO

 Introduction: An overview of RAN1 study/working items

 Summary and Conclusion

Copyright 2015 ITRI 工業技術研究院 M100/ICL 2

Copyright 2015 ITRI 工業技術研究院 M100/ICL 3

Copyright 2015 ITRI 工業技術研究院 M100/ICL 4

Copyright 2015 ITRI 工業技術研究院 M100/ICL 5

 Spatial multiplexing allows joint transmission of multiple data layers in the

Copyright 2015 ITRI 工業技術研究院 M100/ICL 6

 Spatial Multiplexing can be extended to serve multiple users in the same

 Precoder construction can be either transparent or non-transparent

Copyright 2015 ITRI 工業技術研究院 M100/ICL 7

CRS-based Precoding DMRS-based Precoding

 TM9 of LTE enables spatial multiplexing of up to 8 layers. A dual-

 The precoder based on dual-codebook structure can be expressed as:

 W1 : A wideband PMI that represents long-term statistics of channel such as a

Copyright 2015 ITRI 工業技術研究院 M100/ICL 9

 Mathematically, W1 is a block diagonal matrix, where each sub-matrix

Copyright 2015 ITRI 工業技術研究院 M100/ICL 10

Copyright 2015 ITRI 工業技術研究院 M100/ICL 11

Copyright 2015 ITRI 工業技術研究院 M100/ICL 12

Source: F. Rusek et al, ”Scaling up MIMO:

 Inter-cell interference caused by pilot contamination is a potential limitation

Training (Uplink) Transmission (Downlink)

Copyright 2015 ITRI 工業技術研究院 M100/ICL 14

 In order to cope with the ever-increasing demand of mobile data traffic,

Source: W. Roh et al, “Millimeter-Wave Beamforming as an Enabling Technology for 5G Cellular

 Spatial Modulation (SM)

Source: R. Y. Mesleh et al, “Spatial Modulation”,

Copyright 2015 ITRI 工業技術研究院 M100/ICL 18

 Generalized Space Shift Keying (GSSK)

Copyright 2015 ITRI 工業技術研究院 M100/ICL 19

Copyright 2015 ITRI 工業技術研究院 M100/ICL 20

 FD-MIMO is a special case of Massive-MIMO in 3GPP LTE-A with:

2D X-Pol Antenna Array

Copyright 2015 ITRI 工業技術研究院 M100/ICL 21

 An illustrative comparison between conventional MIMO and FD-

Conventional MIMO or BF in FD-MIMO for single UE in FD-MIMO for multiple UEs in

Copyright 2015 ITRI 工業技術研究院 M100/ICL 22

 The configuration of a 2D planar uniformly spaced antenna array model

(1,0) (1,1) (1,N-1)

(0,0) (0,1) (0,N-1)

Copyright 2015 ITRI 工業技術研究院 M100/ICL 24

 How signals on logical links (antenna ports) are mapped to

TXRU Virtualization matrix

Port Virtualization TXRU Virtualization

Sub-Array Model Full-Connection Model

Copyright 2015 ITRI 工業技術研究院 M100/ICL 26

Category 1: Non-Precoded CSI-RS Category 2: Beamformed CSI-RS

-Wide cellular coverage Reference -Narrow Beam Reference signals

 How do configure CSI-RS resources with more than 8 ports ?

PDCCH PDSCH CRS Port 0,1

R1-153792, “CSI-RS design for 12 and 16 ports”,Huawei/HiSilicon, 3GPP RAN1 #82

Copyright 2015 ITRI 工業技術研究院 M100/ICL 30

Copyright 2015 ITRI 工業技術研究院 M100/ICL 32

where constructs grid-of-beams

and is used for beam selection(s) out of and co-phasing.

 X1 is a N1xL1 matrix with L1 column vectors being an O1 times

 Each column of X1 can be written as

 Similarly, each column of X2 can be written as

where l is the beam index within a beam group.

 A parameterized scalable codebook could be a “one-for-all” solution