29

th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
1

Combined Collaborative and Precoded MIMO for Uplink of the LTE-Advanced
Karim A. Banawan
1
, Essam A. Sourour
2

1
Faculty of Engineering, University of Alexandria, Alexandria, Egypt, karimbanawan@yahoo.com
2
Faculty of Engineering, University of Alexandria, Alexandria, Egypt, sourour@ieee.org
ABSTRACT
In this paper, we will focus on the collaborative MIMO in combination with the LTE-advanced system. In this
system, two or more users each using multiple antennas are transmitting their data within the same frequency/time
grid. In this paper, we investigate the MIMO enhancements introduced to the LTE uplink of the LTE-advanced
system. User equipment here is equipped by 2-4 antennas which can be used along the collaborative MIMO
system to increase data rate, enhance system performance and match channel conditions according to the channel
knowledge at transmitter. We propose a space frequency block codes (SFBC) precoding for the uplink to achieve
space diversity in accompany with spatial multiplexing gain achieved before using the collaborative system. Then,
we propose a combination between the collaborative system and the precoded MIMO whether ideally (SVD
precoding) or suboptimally using codebook precoding. The results show dramatic enhancement in performance
and achieves the peak spectral efficiency of the uplink mode of the LTE-advanced.

Keywords: LTE-advanced, Collaborative MIMO, SC-FDMA, SFBC, SVD-precoding, Codebook precoding, ML.
I. INTRODUCTION
The LTE-advanced defined in release 10 of the third generation partnership project (3GPP) aims to achieve
uplink (UL) peak spectrum efficiency of 15bits/s/Hz [1]. LTE is the evolution of GPPs Universal Mobile
Telecommunication System (UMTS) towards an all-IP network [2]. The multiple access scheme in LTE downlink
is the Orthogonal Frequency Division Multiple Access (OFDMA) and uplink uses Single Carrier Frequency
Division Multiple Access (SC-FDMA). SC-FDMA has been adopted for uplink transmission to allow efficient
terminal power amplifier design, which is relevant to the terminal battery life [3]. Collaborative MIMO (known
also as Virtual MIMO or collaborative spatial multiplexing (CSM)) is introduced to the uplink of the LTE-
advanced to increase the whole throughput of the uplink and to achieve virtual MIMO without increasing the
complexity of the user equipment (UE) [4]. CSM works as two or more users having UEs equipped with single or
multiple antennas, each one of them transmits independent data stream from the others. Those users are
collaboratively transmitting on the same resource blocks (RBs), i.e., same frequency/time grid resource block. The
above transmission technique creates virtual MIMO link in a sense that the collaborative users are just antennas
for a virtual larger UE. The Evolved Node B (eNodeB) receives combined data from all collaborative users.
eNodeB will then separate the data of each user using multiuser equalization techniques [5].
In this paper, we discuss the multiple antennas enhancements introduced to the LTE uplink of the LTE-
advanced [1]. In LTE-advanced, the LTE uplink mode is equipped by 2-4 antennas which can be used in
accompany with the collaborative MIMO system to increase data rate, enhance system performance and match
channel conditions to achieve the channel capacity assuming full or partial channel knowledge at the transmitter
end. Three precoding schemes are presented in the context of this paper. In the first scheme, we propose
combining the spatial multiplexing advantages of the CSM with the diversity advantages of the space frequency
block codes (SFBC) [6],[7] , this will enhance the whole performance of collaborative system without any need of
channel knowledge at the transmitter. In the second scheme, we propose exploiting the multiple antennas at the
transmitter by apriori precoding the spatial substreams using singular value decomposition (SVD) of the channel
matrix [8] and filtering the resultant signals at eNodeB. This will maximize the capacity of the MIMO channel in
expense of full channel state information (CSI). In practice, the feedback messages cannot provide full CSI at
UE, also the selection of precoder in LTE-advanced is signaled via eNodeB, so a limited number of codebook-
based precoders should be available. So, we propose a suboptimal combination between codebook precoded
MIMO and collaborative MIMO system as a third scheme with different selection methods [9]. Various
simulation results are examined in different channel conditions and different multiuser equalization techniques.
The paper is organized as follows: section (II) introduces the used system model, section (III) gives a brief
literature review about SVD and codebook precoding, then section (IV) presents the proposed precoding
techniques. Section (V) enumerates the performance of these schemes via computer simulations. Note that bold
face letters denote matrices, (. )
H
, (. )
T
, [. [are Hermitian, transpose and Euclidean norm.
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
2



sp
sN

p
xp
x1
p
yp
y1 1 1

Channel
coding
Symbol
mapping
(base band
modulation)
DFT
with size
"M"
Subcarrier
mapping
and DRS
insertion
IFFT
with size
"N"
CP
insertion
Channel
coding
Symbol
mapping
(base band
modulation)
DFT
with size
"M"
Subcarrier
mapping
and DRS
insertion
IFFT
with size
"N"
CP
insertion

Frequency
domain
precoding
F(l)
s1 s1
UE 1
sp
sN

p
xp
x1
p
yp
y1 1 1

Channel
coding
Symbol
mapping
(base band
modulation)
DFT
with size
"M"
Subcarrier
mapping
and DRS
insertion
IFFT
with size
"N"
CP
insertion
Channel
coding
Symbol
mapping
(base band
modulation)
DFT
with size
"M"
Subcarrier
mapping
and DRS
insertion
IFFT
with size
"N"
CP
insertion

Frequency
domain
precoding
F(l)
s1 s1
UE K




Frequency
Domain
Multiuser
equalizer
CP
extraction
FFT
CP
extraction
FFT
Subcarrier
demapping
IDFT
Subcarrier
demapping
IDFT
Symbol
Demodulation
Channel
Decoding
Symbol
Demodulation
Channel
Decoding
r
p


r
1

p

II. SYSTEM MODEL




Fig.1 system model (a) UEs transmitter block diagram (b) eNodeB receiver
The CSM system shown in Fig.(1) has K users each has a UE equipped with multiple antennas N

. The data of
the k
t
user is independently processed, first each user will have p independent data streams (called rank of
transmission), p N

, these data streams are symbol mapped to have the modulated symbols in i
t
layer y
k
i
. The
modulation symbols are then transformed to the frequency representation via the unitary Discrete Fourier
transform (DFT) of size H to have
k
i

k
i
(m) =
1
VH
y
k
i
H
n=1
(n) exp_]
2n
H
(n 1)(m1)_
(1)
where m is the subcarrier index and n is the symbol index , m, n {1,2, , H]. The output of the DFT is then
mapped using the subcarrier mapping [3], which has two versions: the distributed and the localized, the later is
adopted in Release 8, where the user's symbols are mapped into consecutive subcarriers. This will achieve the
multiuser diversity and frequency diversity when assigning each user to subcarriers with favorable transmission
characteristics. So, localized subcarrier mapping is applied to have

k
. In this work, we assume full RB usage so

k
i

(l) = _

k
i
(l) l
k
0 otcrwisc


(2)
where
k
is the N element mapping set of the k
t
user
k
]
NH+2
2
, ,
N+H
2
and N is the FFT size. The output of
the subcarrier mapping is then precoded in the frequency domain to map the p streams to N

streams by one of the

precoding schemes that will be presented in section (IV). The output of the precoding stage is fed to a
conventional OFDM transmitter which consists of Inverse Fourier transform stage (IFFT) with size(N > H) ,
m, n{1,2, , N]

s
k
i

(n) =
1
N

k
i

N
n=1
(m) exp_]
2n
N
(n 1)(m1)_ (3)
Finally, the cyclic prefix (CP) is inserted with length larger than the maximum delay spread of the multipath
channel, to mitigate intersymbol interference (ISI) and enable simple frequency domain equalization (FDE). The
above steps will result in a SC-FDMA signal. Now, each user's data streams have been transmitted through
multipath Rayleigh channel which is modeled as normalized baseband equivalent sample spaced channel impulse
response h
kp
(m, l) where m is the time instant , l is the path number of L taps and p is the receiving antenna index
with uniform power delay profile. Each path is assumed to be Wide Sense Stationary Uncorrelated Scattering
(WSSUS) filtered by Doppler PSD modeled in Jakes [10]. In this paper, we assume perfect channel knowledge at
the transmitter. So, the result of multipath filtering of the k
th
user to p
th
receiving antenna channel can be
modeled as
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
3


r
kp
(m) =
kp
(m, l)s
k
(ml)
I
l=0


(4)
At eNodeB, which is equipped by N
r
antennas (N
r
K. ), the collaborative users' signals are added together
with contamination of AWGN , which is modeled by IID complex Gaussian noise samples w(m) with zero mean
and variance
w
2
= 1/

N.
s
, where
s
is the symbol to noise ratio (E
s
/N
o
). Then, the received signal r
p
at the
p
th
antenna is written as

r
p
(m) = r
kp
(m) +
K.p
k=1
w(m)

(5)
The eNodeB takes the FFT of each received stream to transform the input streams back into frequency domain
and prepares them for the FDE. The received signal in the frequency domain at any subcarrier can be written as
(l) = H(l)Y(l) +W(l) (6)
where l: is the subcarrier index and H(l) : is the channel matrix upon the l
t
subcarrier

(l) = _

11
l

1K
l
. .

P1
l

PK
l
_
(7)
III. EXISTENT PRECODING SCHEMES FOR ORDINARY SPATIAL MULTIPLEXING
The main motivation of precoding the spatial substreams is to match channel conditions by increasing the
received signal power in case of perfect or partial CSI, also decrease the interstream interference from other
antennas and maximize the channel capacity of the wireless channel [1]. So, optimal communication over
N

MIMO channel uses channel-dependent precoder, which adopts the roles of both transmit beamforming
and power allocation across the transmitted streams, and a matching receive beamforming structure [6].
A. Optimal Precoding Scheme (SVD Precoding)
The well-known optimal (capacity-maximizing) precoder in literature for exploiting the channel knowledge at
the transmitter is to send data over the strongest eigenmodes of the channel. A common way to express the
channel matrix in l
t
subcarrier is through its SVD [8], [9] as
H(l) = U(l)(l)F

(l) (8)
where U(l) is N

orthonormal matrix , F(l) is N

orthonormal matrix and

(l) = Ji(z
1
, z
2
, . . ) is eigenmodes diagonal matrix. The matrix F(l) is used to precode the input data
stream in the frequency domain to have Z(l) as
Z(l) = F(l)Y

(l) (9)
In the eNodeB frequency domain equalizer, the precoding process leads to orthogonal streams if channel is
further filtered by U
H
(l) (channel matched filter) as
Y

(l) =
1
(l)U

(l)(l) (10)
or using the MMSE linear equalizer for the equivalent channel H
q
(l) = H(l)F(l)
Y

(l) = (H
cq

(l)H
q
(l) +1/y
s
I

)
1
H
cq

(l)(l) (11)
The SVD precoding allows decomposing channel matrix into SISO channels, whose gains are
1
2
,
2
2
, to
increase the capacity of the MIMO system, since the interstream interference is apriori removed, however the
scheme requires perfect CSI and can enhance peak to average power ratio (PAPR).
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
4

B. Codebook Based Precoding For Uplink of LTE-Advanced
In practice, the feedback messages cannot provide full CSI at UE, also the selection of precoder in LTE-
advanced is signaled via eNodeB, so a limited number of codebook-based precoders F
i
(l) should be available.
A finite set of N
T
precoders is defined in uplink of LTE-advanced .These precoders are chosen to be
confined to QPSK alphabet {1, j} as in the table 5.3.3A.2-1 through table 5.3.3A.2-5 in release 10 [11] to ease
the precoding process implementation, and have constant modulus property for maximizing power efficiency of
the power amplifier [1].The UL precoders differ from the DL ones of having one nonzero element in each row
which ensures that no linear combination between different layers is allowed to decrease the resulting PAPR
which is considered a major issue in UL transmission. On the other hand, these precoding matrices suffer from
degradation in precoding gain. The precoder is chosen so that it maximizes the received signal power i.e.

(l) = argmax

[H
q
(l)[
2

= argmax

[H(l)

(l)[
2



(12)

This is equivalent to maximizing the post-MMSE channel power matrix metric which corresponds to the sum
of the equivalent channel gains for the p layers defined in [9]

(|) = (H
q
H
(|)H
q
(|) +1/
x
I

)
1
H
q
H
(|)H
q
(|) (13)

(l) = argmax

i
(k). o
w
2
1 m

i
(k)
p
k=1


(14)
where m

i
(k) = Ji(

i
(l)).
IV. PROPOSED PRECODING SCHEMES FOR COLLABORATIVE SPATIAL MULTIPLEXING
A. Combined Collaborative MIMO and Space Frequency Block Codes (SFBC) for the
Uplink of the LTE-Advanced
To achieve spatial diversity and spatial multiplexing jointly without a need of any feedback signaling, a novel
combined scheme of SFBC and collaborative spatial multiplexing is proposed. In this scheme, each user equipped
by 2 antennas will precode its signal by the well known frequency domain version of the orthogonal Alamoutis
matrix [7],[12] .This will result in encoding each two successive subcarriers for the k
th
user as

nt 1
nt 2
_

k
(l)/V2

(l +1)/V2

k
(l +1)/V2

(l)/V2
_

(15)
The result of SFBC precoding of each user will achieve transmit spatial diversity and orthogonal substream
transmission. The result of SFBC will be transmitted collaboratively across same time and frequency resource
block, which corresponds to spatial multiplexing. Considering the case of 2 users x 2 receiving antennas, then the
received signal at the l
th
subcarrier would be
(l) = _

11
l

12
l

21
l

22
l

13
l

14
l

23
l

24
l
_
_______________
H(l)
l
l
l
l
l

1
(l)

1
(l +1)

2
(l)

2
(l +1)1
1
1
1
1
+W(l) (16)
where H(l) is 2x4 MIMO channel which is assumed to be quasi static over every two successive subcarriers.
Similarly the received signal at the (l +1)
t
would be
(l +1) = H(l)
l
l
l
l
l

(l +1)

(l)

(l +1)

(l) 1
1
1
1
1
+W(l +1) (17)
Then, the receiver utilizing the inherent orthogonality of the SFBC encoding, the receiver will do the
following multiplication, conjugate and Hermitian processes to have X(l)
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
5

X(l) =
l
l
l
l
l
|
11
l

14
l
]

1
(l)
|
21
l

24
l
]

2
(l)
|
11
l

14
l
]
1

(l +1)
|
21
l

24
l
]
2

(l +1)1
1
1
1
1
(18)
where
1
(l),
2
(l) are the received signals along the l
t
subcarrier on antenna 1 and antenna 2 respectively.
Apparently we can exploit the full diversity of the collaborative system per user and also exclude the interstream
interference as we make a specific linear combination of the rows of X(l). To maximize the diversity of

1
(l), the
rows are added in the following order

1
(l) = X
1
(l) +X
5
(l) +X
10
(l) +X
14
(l)
= [|
11
l
|
2
+|
12
l
|
2
+|
21
l
|
2
+|
22
l
|
2

1
(l) +(
11
l

13
l
+
21
l

23
l
+
12
l

14
l

+
22
l

24
l

2
(l)
+(
11
l

14
l
+
21
l

24
l

12
l

13
l

22
l

23
l

2
(l +1)
= o
1

1
(l) +[

2
(l) +y

2
(l +1) (19)
Equation (19) shows the exclusion of interstream interference

1
(l +1) and exploiting all the spatial channels
experienced by

1
(l).Similarly, to maximize

1
(l +1),

2
(l),

2
(l +1) to have
2
(l),
3
(l),
4
(l) respectively as

2
(l) = X
2
(l) +X
6
(l) X
9
(l) X
13
(l)

3
(l) = X
3
(l) + X
7
(l) +X
12
(l) +X
16
(l)

4
(l) = X
4
(l) +X
8
(l) X
11
(l) X
15
(l) (20)
Then the equivalent transmission scheme can be written as quasi-orthogonal system of equations as
_
o
1
0
0 o
1

[ y
y

y
y

[

o
2
0
0 o
2
_
_____________
H
q
(l)
l
l
l
l
l

1
(l)

1
(l +1)

2
(l)

2
(l +1)1
1
1
1
1
=
l
l
l
l

1
(l)

2
(l)

3
(l)

4
(l)1
1
1
1
___
(l)
(21)
where o
2
= [|
13
l
|
2
+|
14
l
|
2
+|
23
l
|
2
+|
24
l
|
2

The estimate of the received subcarriers can be readily obtained as
Y

(l) = H
q
1
(l) (l) (22)
The scheme makes use of inherent spatial diversity shown in
1
,
2
, doubles the spectral efficiency
(4 symbols x 2 subcarriers) with no CSI at the transmitting end. Note that the selective nature of the channel is a
main issue in this scheme because the channel gains are assumed to be quasi static over two successive
subcarriers, so highly selective channel will degrade the whole performance of the scheme. It is worth saying that
extending the scheme for 2 users x 4 receiving antennas at eNodeB to achieve higher diversity order is quite
simple with only extensions of X(l), (l),
1
,
2
, , to acquire the extra channels.
B. Combined Collaborative and SVD-Precoded MIMO for the Uplink of the LTE-
Advanced
To optimally exploit the extra antennas introduced to the uplink of the LTE-advanced in the context of
collaborative MIMO system, the precoding of all streams of the collaborative users seems to be attractive.
However, the optimal SVD-precoding requires the knowledge of other users data to use the precoding matrix
resulted from SVD decomposition of channel matrix H(l) as equations (8), (9). A suboptimal SVD-precoding
which dont require knowing other users data is introduced in this section. Consider the channel matrix at the l
th

subcarrier assuming perfect CSI at UE
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
6

H(l) =
l
l
l
l
l
l

11
l

12
l

21
l

22
l

1(KN

1)
l

1 KN

2(KN

1)
l

2 KN

l
.

(N

1)1
l

(N

1)2
l

(N

)1
l

(N

)2
l

(N

1)(KN

1)
l

(N

1)KN

(N

)(KN

1)
l

(KN

)
l
1
1
1
1
1
1
(23)
where H(l) is N

KN

channel matrix. To tackle the problem of joint precoding, we will suboptimally precode
the data streams of each user individually i.e., we will precode each N

submatrix independently as
H
uscr 1
(l) =
l
l
l
l
l

11
l

12
l

21
l

22
l

(N

1)1
l

(N

1)2
l

(N

)1
l

(N

)2
l

1 N

2 N

(N

1)N

(N

)
l
1
1
1
1
1
(24)
This submatrix will be SVD decomposed as (8),(9) as

H
xr 1
(l) = U
1
(l)
1
(l)F
1

(l)
(25)
The process will continue to the remaining K 1 users to have K precoding matrices.Then the transmitted
signals of all users will be
Z(l) =
l
l
l
l
F
1
(l)Y
1

(l)
F
2
(l)Y
2

(l)
.
F

(l)Y

(l)1
1
1
1
(26)
and the equivalent channel matrix will be
H
q
(l) = [H
xr 1
(l)F
1
(l) H
xr
(l)F

(l) ] (27)
Then the equalization methods discussed in equations (11),(12) can be used. Note that this scheme is
suboptimal in a sense that it ensures removal of all interstream interference for each user alone, while the
multiuser interference still exists, however this comes in expense for not needing the knowledge of other users
data. The performance of this scheme will be the middle way between perfectly precoded scheme which
corresponds to KN
T
orthogonal streams at the receiver and unprecoded one which suffers from interstream and
multiuser interferences.
C. Combined Collaborative and Codebook-Precoded MIMO for the Uplink of the LTE-
Advanced
To make use of the new spatial dimension introduced in LTE-advanced with limited feedback signaling in
case of collaborative MIMO system, codebook-based precoding should be taken into consideration. Three
different precoder selection techniques are presented in comparison
1) Submatrix Precoding : This selection method is the same as the previous scheme, the channel matrix is
divided into K submatrices and each one of them is precoded independently by metric identified in
equations (12),(13),(14) thus precoding matrix of k
th
user is

xrk
(l) = argmax

[H
xr k
(l)

(l)[
2
(28)
where H
xr k
(l) is the channel columns corresponds to the k
t
user. The equivalent channel would be
H
q
(l) = [H
xr 1
(l)
xr1
(l) H
xr
(l)
xr
(l) ] (29)
2) Joint Maximization Precoding: In this selection method, the MIMO channel is divided into KxK
submatrices , For example for rank 1 , 2 users equipped by 2 transmitting antennas and 4 receiving
antennas , we will have 4 submatrices 2x2 each

H(l) = _
H
uscr 1
12
(l) H
uscr 2
12
(l)
H
uscr 1
34
(l) H
uscr 2
34
(l)
_ (30)
where H
uscr 1
12
(l) is 2x2 MIMO channel between user 1 and receiving antennas 1,2. Here we will choose
the precoder so as to jointly maximize the norm of these subchannels as
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
7


xrk
(l) = argmax

([H
uscr 1
12
(l)

[
2
+[H
uscr 1
34
(l)

[
2
) (31)
and the equivalent channel would be as equation (29)
3) Linear Combination Precoding: In this selection criteria, the precoder is chosen as a linear
combination of the precoders which maximize the metric of H
user 1
12
(l), H
user 1
34
(l) independently as

xrk
(l) = argmax

[H
uscr 1
12
(l)

[
2
+argmax

[H
uscr 1
34
(l)

[
2
(32)
The chosen precoder must be normalized. The drawback of this selection method is that the resultant precoder
doesnt have a constant modulus and can probably enhance PAPR.
V. SIMULATION RESULTS
For link level simulations, the simulation parameters of most of simulation cases are shown in table 1, other
simulation parameters are mentioned explicitly
Fig.2 comparison between presented precoding techniques
Table 1: common simulation parameters
Simulation
Parameters
Values
Channel coding None (default)
Modulation schemes 16QAM
Frame duration 10ms
Frame structure Type 1 FDD
FFT size 256 subcarriers
Number of RBs 15 , fully utilized
Bandwidth 2.7 MHz
SC-FDMA symbols 6
Cyclic prefix choice extended
Subcarrier separation 15KHz
Carrier frequency 2GHz
Sampling frequency 3.84MHz
Delay spread 5s (default)
Delay- power profile Uniform/0 km/hr
Channel estimation Perfect CSI at
transmitter

Fig.4 selectivity effects on the presented precoding schemes Fig.3 Codebook and SVD precoding Vs. ordinary CSM

-10 -5 0 5 10 15 20 25 30
10
-8
10
-7
10
-6
10
-5
10
-4
10
-3
10
-2
10
-1
10
0
E
b
/N
o
B
E
R
Comparison between presented precoding schemes


reference curve flat fading without precoding 2x4 antennas
SFBC precoding 2 users x 4 receive antennas
Codebook precoding 2 user x 4 ant. rank 1
SVD precoding 2 users x 4 ant. rank 2
unprecoded rank 2 and codebook precoded rank 2
-10 -5 0 5 10 15 20 25 30 35
10
-8
10
-7
10
-6
10
-5
10
-4
10
-3
10
-2
10
-1
10
0
E
b
/N
o
B
E
R
Effect of selectivity along presented
precoding schemes


codebook f lat f ading channel
codebook delay spread=2us
codebook delay spread=5us
codebook delay spread=15us
SFBCf lat f ading
SFBCdelay spread 1uS
SFBCdelay spread=3.5us
SFBCdelay spread=2uS
SFBCdelay spread=5us
-10 -5 0 5 10 15 20 25 30 35 40
10
-7
10
-6
10
-5
10
-4
10
-3
10
-2
10
-1
10
0
E
b
/N
o
B
E
R
codebook precoding Vs. ordinary CSM


precoding 2x4 rank 1
unprecoded 2x4rank 1
precoding 2x4rank 2 (asunprecoding)
precoding 2x8 rank 1
unprecoded 2 usersx8 ant.
precoding 2x 8 rank 2
unprecoded 2 usersx8ant. rank 2
precoding 2 usersx8 ant. rank 3
unprecoded 2 users x 8 ant. rank 3
precoding 2x8 rank4 (asunprecoded)
SVDprecoding rank 4
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
8

Fig.(2) shows a comparison between the presented precoding schemes. Simulation results reveal that for rank
1 transmission in flat fading channel , SFBC precoding and codebook precoding are almost identical , and
outperforms the unprecoded system by more than 3dB at a target BER=10
-5
, so SFBC in this case is preferred due
to the no CSI need at the transmitter. For rank 2, the SVD precoding outperforms the codebook precoding by
2.5dB. Fig (3) shows codebook precoding versus ordinary collaborative spatial multiplexing for different ranks as
increasing the rank of the transmission, increases the spectral efficiency in expense of enhanced interstream
interferences and hence higher BER. Fig.(4) shows the selectivity effect on the precoding schemes , SFBC
precoding fails for high selectivity due to the assumption of flat channel gains over each 2 successive subcarriers.
So, increasing the delay spread to 2ps will enhance the performance of SFBC. An error floor will appear if the
delay spread 2ps. On the contrary, codebook precoding exploits the high selectivity of the channel as inherent
frequency diversity. Fig.(5) shows a comparison between the codebook selection methods. The figure reveals that
the submatrix precoding exploits the full channel knowledge and hence better interstream and interuser
interference cancellation. For the joint maximization method, the performance is degraded by 1dB because the
scheme searches for the precoder which jointly maximizes the channel metric of the sub MIMO channels, so more
interstream interference will exist. Choosing to maximize the best sub MIMO channel only will degrade the
performance by another 0.5dB. Fig.(6) and Fig.(7) show the spectral efficiency of the resultant CSM system for 2
and 4 transmitting antennas in case of 16QAM modulation. The results show that the thresholds of using the
adaptive rank codebook precoding for the CSM system. These thresholds can be summarized in table 2. Note that
the achieved spectral efficiency exceeds the target spectral efficiency of the LTE-advanced .
Fig.(8) shows the effect of precoding the collaborative streams on other equalization techniques. Simplified
initial guess (IGML) solutions presented in [5] will be in the order of 0(Kp). Simplified IGML is a user by
user separation by means of -decomposition of the equivalent channel matrix H
q
(l) obtained in (27). SIC
based system will be the same as presented in [5], but the interference will be regenerated assuming the channel
matrix is the equivalent channel matrix presented also in (27). Fig.(8) shows that SIC-based equalizer coincides
with the MMSE base equalizer. Because the SIC performance is dependent on the SINR, and for precoded system
most of the interference components are excluded and hence slight enhancement in performance can be expected.
The QR based IGML receiver outperforms the MMSE equalizer by 1dB in expense of the increased complexity of
checking the error metric of all possible constellation points.
Table 2: SINR thresholds of the adaptive rank precoding for CSM system of 2 users x 8 receiving ant.
CSM Configuration Rank 1 Rank 2 Rank 3 Rank 4
Transmitting antennas=2 <22.5dB(8b/s/Hz) 22.5 dB(16b/s/Hz) - -
Transmitting antennas=4 <7.8dB(8b/s/Hz) 7.8-15dB(16b/s/Hz) 15-25.5dB
(24b/s/Hz)
25.5dB
(32b/s/Hz)



Fig.5 Selection methods for the codebook precoding methods Fig.6 Spectral efficiency of 2 users CSM system each UE
having 2 transmitting antennas , 16QAM modulation

-8 -6 -4 -2 0 2 4 6 8 10 12
10
-7
10
-6
10
-5
10
-4
10
-3
10
-2
10
-1
E
b
/N
o
B
E
R
Comparison between selection methods of precoders for2usersx8 receive ant.
rank 1


Submatrix precoding
joint maximization
linear combination
best channel metric precoding
-10 0 10 20 30 40 50
0
2
4
6
8
10
12
14
16
E
b
/N
o
s
p
e
c
t
r
a
l

e
f
f
i
c
i
e
n
c
y

b
/
s
/
H
z
Spectral efficiency of codebook precoded 2usersxreceiving antennas
and UE having 2 transmitting antennas


rank 1
rank 2
29
th
NATIONAL RADIO SCIENCE CONFERENCE
(NRSC 2012)
April 10 - 12, 2012, Faculty of Engineering/Cairo University, Egypt
9

Fig.7 Spectral efficiency of 2 users CSM system each
UE having 4 transmitting antennas , 16QAM modulation
Fig.8 Different multiuser equalization techniques
accompanying the codebook precoding
VI. CONCLUSION
In this paper, we exploit the multiple transmitting antennas in the uplink of the LTE-advanced. We have
introduced a blind SFBC-based precoding which doesnt need any channel knowledge at the transmitter and
derived a suitable receiver for it. We concluded that SFBC precoding performance almost coincides with
codebook precoding for flat fading channel, but the main difference that the performance of the SFBC precoding
degrades in case of moderate and high selective channels because of the assumption of flat channel gains over
each two successive subcarriers. On the contrary, we compared between three selection methods for suitable
precoders and we found that the submatrix precoding technique outperforms the others because it exploits the full
diversity of the MIMO channel. The performance of the codebook precoding is enhanced in case of high selective
channel because an extra diversity source (frequency) exists. Also we introduce suboptimal SVD precoding for
each of the collaborative users. Also the resultant spectral efficiencies are shown to exceed the target spectral
efficiency of the LTE-advanced (15bits/s/Hz). The results instruct using adaptive precoding scheme that uses
SFBC based precoding for low and medium selective channel. As selectivity increases, use the adaptive rank
codebook transmission using the submatrix selection method. Finally as SNR is sufficiently high to use the full
rank of the MIMO channel you can use the SVD-based precoding.
REFERENCES
[1] C.S. Park, Y.-P.E.Wang,G.Jngren,D.Hammarwall, Evolution of uplink MIMO for LTE-advanced IEEE
Communications Magazine, Volume: 49 Issue:2,pp. 112 - 121 , Feb. 2011
[2] David Astly, Erik Dahlman, Anders Furuskr, Ylva Jading, Magnus Lindstrm, and Stefan Parkvall,
Ericsson Research LTE: The evolution of mobile broadband," IEEE Communications Magazine, vol. 47,
no. 4, pp. 44-51, April 2009.
[3] H. G. Myung, J. Lim, and D. J. Goodman, Single Carrier FDMA for Uplink Wireless Transmission, IEEE
Vehicular Technology Mag., vol. 1, no. 3, pp. 30 38, Sep. 2006.
[4] V. Jungnickel, M. Schellmann, A. Forck, H. Gbler, S. Wahls, A. Ibing, K. Manolakis, T. Haustein, W.
Zirwas, J. Eichinger, E. Schulz, C. Juchems, F. Luhn, and R. Zavrtak, Demonstration of Virtual MIMO in
the Uplink, in IET Smart Antennas and Cooperative Communications Seminar, London, UK, Oct. 007,
invited.
[5] Karim A. Banawan, Essam Sourour Enhanced SIC and Initial guess ML receivers for collaborative MIMO
of the LTE Uplink , Vehicular Technology Conference (VTC2011-Fall), Sept. 2011.
[6] S. Sesia, I. Toufik, and M. Baker, Eds., LTE: The UMTS Long Term Evolution. John Wiley and Sons, 2009
[7] J. Lee, J.-K. Han, and J. Zhang, MIMO Technologies in GPP LTE and LTE-Advanced, EURASIP
Journal on Wireless Communications and Networking, vol. 2009, May 2009.
[8] A. Goldsmith, Wireless Communications. Cambridge, U.K.: Cambridge Univ. Press, 2004.
[9] G.Berardinelli, T.B.Srensen, P.Mogensen, K.Pajukoski SVD-based vs. Release 8 codebooks for Single
User MIMO LTE-A Uplink Vehicular Technology Conference (VTC 2010-Spring),May 2010.
[10] W. Jakes and D. Cox, Microwave Mobile Communications. Wiley-IEEE Press, 1994.
[11] 3GPP TS 36.211 V10.1.0 (2011-04).
[12] Alamouti, S.M. (1998) A simple transmit diversity technique for wireless communications. IEEE Journal on
Selected Areas in Communications, 16(8), 14511458.

-10 0 10 20 30 40 50
0
5
10
15
20
25
30
35
E
b
/N
o
s
p
e
c
t
r
a
l
e
f
f
ic
ie
n
c
y

b
/
s
/
H
z
Codebook precoded collaborative spatial multiplexing
for 4 transmitting antennas


rank 1 2usersx8ant.
rank 2 2usersx8ant.
rank 3 2users x8ant.
rank 4 2userx8ant.
-8 -6 -4 -2 0 2 4 6
10
-7
10
-6
10
-5
10
-4
10
-3
10
-2
10
-1
E
b
/N
o
B
E
R
Effect of different equalization techniques accompanying
codebook precoding 2users , 4Tx ant. , rank 1 , 8 receiving antennas


SIC equalization
simplified IGML equalization
MMSE equalization