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Vinay Chande, Haitong Sun, Pavan Kumar Vitthaladevuni, Jilei Hou, Bibhu Mohanty {vchande, haitongs, pavanv, jhou, bmohanty} Qualcomm Incorporated, San Diego, USA

Abstract Higher Order Modulation (HOM, 64-QAM) and Multiple Input Multiple Output (MIMO) transmissions are two key features introduced in the Release 7 (HSPA+) WCDMA systems to improve downlink performance. This paper focuses on the performance analysis of 64-QAM and MIMO in the WCDMA system. We describe the equalizer design for supporting these features as well as the simulation results demonstrating the higher system throughput and better user experience provided by these features.

II. HIGHER ORDER MODULATION (HOM) In Release 6 HSPA downlink, PHY layer only supports modulation of either QPSK or 16-QAM. To improve the spectrum efficiency and peak data rate, Release 7 HSPA+ introduces the support of 64-QAM. The principle behind the introduction of 64-QAM comes from the behavior of alphabet-constrained channel capacity. Information theory suggests that alphabet-constrained transmission could achieve performance close to Shannon capacity only up to certain Signal to Interference and Noise Ratio (SINR). In general, to approach Shannon capacity at higher SINR, a larger-size alphabet should be used. Therefore, for the User Equipments (UE) that are in high SINR region, 64-QAM is necessary to achieve higher data rates or higher spectrum efficiency. To support 64-QAM reception, Release 7 introduces two new categories of UEs [2] that differ in the maximum possible supportable packet sizes, with peak data rates up to 21.6 Mbps. Other modifications have also been made to the control channel (HS-SCCH) to support higher data rate transmission. III. MULTIPLE INPUT MULTIPLE OUTPUT (MIMO) It has been widely recognized that MIMO transmission, which utilizes multiple transmit and receive antennas, can substantially improve the channel capacity [3, 4]. Release 7 HSPA+ standardizes the scheme of downlink MIMO called D-TxAA (Dual-Transmitter Adaptive Array). D-TxAA is restricted to dual transmit and receive antennas. A Release 7 MIMO capable UE can receive data rates up to 28.8 Mbps in a 5 MHz carrier. Under D-TxAA scheme, UE periodically estimates and sends a feedback of the best precoding matrix as well as the corresponding SINR (CQI) to the Node B. These pre-coding matrices/vectors are chosen from a finite code book of 6 codewords. Four of the precoding matrices/vectors correspond to the single stream transmission with beam forming, and other two correspond to the dual stream transmission with spatial multiplexing. Once the Node B decides to transmit a dual stream packet, each stream is independently coded and CRCed. Both streams use the same spreading and scrambling code as well as the same power as illustrated in Figure 1. The feedback of the optimal quantized precoder is called the Pre-Coding Indicator (PCI). The precoder codebook adopted in HSPA+ is given in Table 1.

I. INTRODUCTION WCDMA system, standardized under the 3rd Generation Partnership Project (3GPP), is one of the most widely deployed 3G wireless cellular networks. Each new release of 3GPP specification introduces new technologies and features towards better broadband access in wireless WANs. Release 7 of 3GPP under the umbrella of HSPA+ [1], brings in new features both on downlink and uplink that enable improved data rates (Higher Order Modulation (HOM), Multiple Input Multiple Output (MIMO)), number of simultaneous users supported (Continuous Packet Connectivity (CPC), Enhanced-FDPCH), battery life (CPC) and coverage (flexible RLC-PDU sizes, MAC-hs segmentation). On downlink physical layer, two main enhancements introduced by HSPA+ are HOM (64-QAM) and MIMO transmission. Both features improve the spectrum efficiency, especially for the users in good channel condition. To realize the improvement, advanced receiver, i.e. equalizer, has to be designed to suppress the intra-user interference, including multi-path interference and Inter-Stream Interference (ISRI). Even though tremendous amount of results exists in the literature on the MIMO performance analysis and transceiver design, they are mostly from the theoretical study perspective. In this paper, we focus on the equalizer design as well as MIMO performance analysis based on a practical CDMA communication system, namely HSPA+. This paper evaluates the performance improvement provided by 64-QAM and MIMO in HSPA+ compared with Release 6 HSPA system under different deployment scenarios and traffic models. We start with the brief introduction of 64-QAM and MIMO features that have been standardized in 3GPP as HSPA+. Then, we describe the equalizer design as well as its system level modeling. At last, we provide our system level simulation assumption and results.

978-1-4244-2519-8/10/$26.00 2010 IEEE

For dual stream, either PCI 0 and 2 or PCI 1 and 3 are used to form the precoding matrix.
Primary transport block HS-DSCH w1 TrCH processing CPICH1 Ant1

w2 Spread/scramble w3 w4

this section, we describe the equalizer for both SIMO and MIMO CDMA transmission. We begin with the linear MMSE equalizer for SIMO CDMA system. The received signal (chips) can be modeled as G G G (1) y = Hx + z .

G G G G G H = [h1 ,", hd 1 , hd , hd +1 ,", hK ] is the Toeplitz channel


Secondary transport block HS-DSCH

convolution matrix. x = [ x1 , " , x d 1 , x d , x d +1 , , x K ]T and y


TrCH processing


Figure 1 MIMO Transmission in HSPA+ Table 1 - Pre-coding vectors used in HSPA+ MIMO [5]

represents transmitted and received chips, respectively. z denotes the received interference from all the neighboring cells G as well as the thermal noise. A linear MMSE equalizer w can G G d = w H y . be applied to generate a chip estimate of x d , i.e. x Optimal linear MMSE equalizer w s given by G G GG 1 w H = (hd ) H HH H + E z z H

PCI w1,3
w2 w4

1/ 2 (1 + j ) / 2
(1 + j ) / 2

1/ 2 (1 j ) / 2
( j 1) / 2

1/ 2 ( j 1) / 2
(1 j ) / 2

1/ 2 (1 + j ) / 2 (1 + j ) / 2

{ x k } , are i.i.d. with unit energy. The chip SINR of d can be computed as equalizer output x
assuming, (3) Note that, in WCDMA downlink, all physical channels use orthogonal spreading code (except SCH). Assuming perfect SCH cancellation, the symbol level SINR after despreading is simply the chip level SINR times the spreading gain. Therefore, MMSE equalizer (2) maximizes both the chip and symbol level SINR. Note that maximizing symbol level SINR is the proper equalizer design goal since it is the input to the channel decoder, and therefore directly impacts the BLock Error Rate (BLER). Next, we look at equalizer design for MIMO. For SIMO, the main purpose of equalizer is to reduce the Inter-Chip Interference (ICI) as well as inter-cell interference if its second GG order statistics, i.e. E z z H , has weak eigen-modes. For MIMO system, equalizer also needs to suppress the ISRI since; in general, precoding matrix used at the transmitter cannot perfectly orthogonalize the channel. Further, in Release 7, each stream uses the same spreading code. Therefore, while despreading reduces the ICI from chip to symbol level, it cannot suppress the on time ISRI. The nice linear relation between chip and symbol SINR in SIMO does not exist in MIMO. As a result, one must directly consider the despreaded data for MIMO equalizer design. For dual stream MIMO, received chips can be modeled as G x 1 [n] G G (4) y[ n ] = H 1 H 2 G 2 + z x [ n ]

{ }}


From information theoretic results, [3], at high SINR MIMO systems can improve the spectrum efficiency over single antenna transmission systems by up to a factor of minimum value of number of transmit and receive antennas. However, the closed loop D-TxAA scheme adopted in Release 7 has certain constraints that limit its performance improvement over SIMO system, namely Second pilot has to be sent from the second antenna for channel estimation which reduces available power for data. Limited precoding book size (only two) for dual stream transmission, as well as feedback delay and cycle, could result in high ISRI. Equal power loading is enforced at the transmitter, i.e. each stream uses the same amount of power. Power has to be split in half on each transmit antenna. Compared with focusing all the power on one stream, the SINR loss will be at lease 3dB for each stream. Each stream uses the same OVSF and scrambling code. Despreading cannot reduce the on time ISRI. Despite the limitations of MIMO scheme in Release 7, it still provides significant performance benefit for not only the cell center but also the cell edge UEs. For the cell edge UEs, single stream beam forming is frequently selected to take advantage of diversity and power gain. For cell center UEs, dual stream spatial multiplexing transmissions are scheduled more frequently. By transmitting dual streams instead of single stream, a previous high-SINR single stream is split into two streams with lower SINR, however, since the capacity curve at high SINR is very flat, the SINR splitting can ideally double the spectrum efficiency as SINR improves. IV. EQUALIZER MODELING FOR SIMO AND MIMO In order to obtain the gains promised by 64QAM or dual stream MIMO, advanced receiver is necessary at the UE to achieve high SINR. Practically, linear MMSE equalizer has been implemented as an enhancement to the Rake receiver. In

G G G G rc = w H hd /(1 w H hd ) .

{ }

where H = [h1 ,", hd 1, hd , hd +1 ,", hK ], i = 1,2 is the Toeplitz channel convolution matrix from the ith transmit antenna to the G receiver. y[ n ] denotes the received chips while
G i i i i i T x i [n] = [ xn +1 , " , x n + d 1 , x n + d , x n + d +1 , , x n + K ] , i = 1, 2 represents
1 The receiver applies a linear MMSE equalizer w



Gi Gi


the transmitted chips from ith transmit antenna. recover the chip
x1 n+d


2 xn +d


G w2 to

x G1 G 2 H G 1 n+d (5) 2 = w w y[n] n + d x Next, despreading and descrambling is applied to recover the modulation symbol. S 1 ) p (d * x 1 +d 1 (6) PN np n 2 p = 2 n 2 S n =1 x ( d ) +d

V. SYSTEM LEVEL SIMULATION In this section, system simulations are performed to demonstrate the benefits and tradeoffs involved in the use of the two new HSPA+ features. The simulation framework is based on 3GPP simulation assumptions [6,7]. In particular, we consider a 57-cell deployment with wrap around and inter-site distance of 500 meters. HS-DPCCH channel (CQI and PCI) is modeled as error free, 2ms feedback cycle with 4.7ms delay from the measurement and report of PCI and CQI to the application of those feedback on NodeB. We use a proportional fair scheduler [8]. We model the realistic decoding and power allocation of both HS-SCCH for control information and HS-PDSCH for data, while HS-PDSCH has maximum 15 codes available. We consider two types of traffic model, (1) Full Buffer and (2) Bursty traffic modeled as 1Mb burst with exponential inter-burst time of 5 seconds mean trying to mimic the realistic traffic processes which are never Full Buffer in practice. For bursty traffic, we uses the burst rate as performance metric which is defined as the burst size divided by the time between the arrival of the burst and successful delivery of the last byte of the burst. The OCNS (Orthogonal Channel Noise Simulator to make sure NodeB is always transmitted at full power) is on for Full Buffer and off for bursty traffic, in which case the transmit power reflects the actual data transmission. An equal number of UEs are dropped randomly in each cell of interest (for bursty traffic, only the center 3 cells are loaded, while for Full Buffer, all the 57 cells are loaded) with uniform distribution. For CPICH power configuration, we assume -10dB for SIMO and -7dB for MIMO. This ensures that the channel estimation quality will be roughly the same for non-MIMO and MIMO UEs. The power of all the other overhead channels is assumed to be -10dB. To mimic behavior when the neighboring cells are unloaded, we also consider a scenario where 6 dB additional isolation is applied to the inter-cell interference for Full Buffer simulation. Section IV provides the performance of ideal linear MMSE equalizer for SIMO (3) and MIMO (10) transmissions in HSPA+. In order to model the receiver (equalizer) performance in system level simulation, to account for the implementation loss, we back off the ideal equalizer performance based on the link level simulation. To highlight system performance in two extremities of multipath profile, we simulated two channel models (1) single path ITU Ped A (independent Rx antenna (2) SCM-Urban macro [9] which is a 6-path channel with large delay spread. A. Full Buffer Simulation Results Figure 2 to 5 capture the Full Buffer physical layer user throughput (Tput) distributions for 1 and 5 users per cell. As expected, 64-QAM and MIMO enable higher user throughputs than Release 6 (16-QAM) HSPA. In Ped A channels, the channel fading can make the instantaneous SINR reach high values and hence the opportunity for scheduling either 64-QAM or MIMO is high, as seen in Figure 2. In isolated cells or unloaded environments,

where S is the spreading factor and PN np is the combination of OVSF and scrambling code used on physical channel p . The transmitted chips can be modeled as S 1 s x1 n+d (7) (EcIor )s PN ns B s d 2 s 2 = xn+d s =1 d where B s denotes the 2 2 precoding matrix for channel s . For linear MMSE design, we can rewrite the symbol estimation equation (6) by substituting (4) and (5), ~ G1 1 ) p (d x G1 G 2 H G [n] 1 2 (8) = w w H H 2 p ~ G 2 + z ( d ) x [ n] 

( ) ( )

] [

~ G y

G1 G S ~ 1 x 1[n] p * x [n] where ~ . Combining PN n G 2 G2 = x [ n ] x [n ] n =1 2 S equation (7) and (8), we have the relationship between the

i ) p symbol estimate (d

i =1, 2

i p and the true symbol (d )

i =1,2

.The linear equalizer which minimizes the MSE, i.e. 2 2 1 p 2 ) p (d 2 ) p E (d ) (d 1 ) p + (d also maximizes the symbol level SINR. Its solution is given by G G H G G~ G 1 ( d 1 ) p ~ ~ (9) w1 w 2 = E 2 p y H E y y H . d ( ) Since PN sequence is statistically i.i.d. with zero mean, we could compute the expectation as G H H G1 G (d 1 ) p ~ E 2 p y H = S (EcIor ) p B p hd hd2 (d ) G 1 ~ G1 H ~ ~ G~ GH GG 1 2H 1 2 x [ n] x [ n] E y y = H H E ~ + E zz H G 2 ~ G2 H H x [n] x [n]

{ }

( )[

{ } [

{ }

ab [0] 22 ~1 ~1 S H xb x E ~a = (EcIor )s B s B s a =b n+d . 2 ~ 2 xa xb s =1 p p p H a =b=n+d S (EcIor ) B B This completes the equalizer design for dual stream MIMO. The symbol level SINR for stream i , i = 1,2 is ~ G H G w i E ( y [( d 1 ) p ]* (10) ( rs ) i = G H ~ G 1 w i E y [( d 1 ) p ]*

( ) ( )( )

( ) { ( ) {

} }

both 64-QAM and MIMO are scheduled for a larger proportion of users than in fully loaded cells. Comparing Figure 2 and 3, the opportunities to use 64-QAM are reduced considerably in multipath environment such as SCM channel, due to the lower achievable SINR. MIMO benefits both the cell-edge users by beamforming gains and the cell-center users by spatial multiplexing gains. Therefore, MIMO shows throughput improvement at all percentiles. This gain in MIMO is despite the additional 10% power consumed by the secondary pilot. Figure 4 and 5 are Full Buffer results with 1 user per cell. Since no multi-user diversity is available, system throughput is considerably lower than 5 UEs per cell. As MIMO provides diversity and multiplexing benefits, it outperforms SIMO by larger margins compared to 5 users per cell. Table 1 and 2 summarize the average cell for Full Buffer traffic of 5 and 1 user per cell respectively. 64-QAM provides performance only when radio condition is good (low interference and single path) while MIMO improvements is across a wide range of channel and interference level. Figure 6 and 7 illustrate the relative gains of MIMO and 64-QAM compared to Release 6 SIMO as a function of user percentile in the throughput. 64-QAM gains are available to users at higher percentile and the gain increases in isolated cells/unloaded systems. For fully loaded systems, MIMO gains are non-monotonic. Beamforming gains are available at lower percentiles and dual-stream gains are available to higher percentile users. For SCM channels, the 10 percent power penalty of additional pilot can diminish the MIMO gains to zero for a certain portion of user percentiles. This is a result of the relative inflexibility available in the binary choice to select either one stream with full power or two streams with half power in each stream. B. Bursty Traffic Simulation Results Figure 8 shows the distribution of average burst rates seen by users under 1 and 5 user per cell scenario with Ped A-3kmh channel. The two effects of increasing the loading from 1 to 5 users are: (1) Increase in the chance of two burst colliding and sharing the resources at the same time, and (2) Increase in interference from other sectors because of added loading. Both these effects lead to reduction in average burst rate as seen by any user. This reduction in burst rate is clearly seen in both MIMO and SIMO burst rate CDFs. For 5 users/per cell, it can be seen that MIMO gains over SIMO are more pronounced at the lower percentiles in Bursty traffic compared to Full Buffer with 6dB isolation. This is because in Full Buffer simulation, use of MIMO benefits a user by increasing the data rate. On the other hand, for Bursty traffic, an improved link due to MIMO benefits a user in two ways. Firstly, it increases the data rate of the user. Secondly as bursts are served to the users quicker, it helps other users by reducing the interference. Therefore use of MIMO improves the burst rate performance of users for a wider range of geometries (i.e. long term SINR conditions). On the other hand, 64-QAM gains compared to Release 6 SIMO are less pronounced for Bursty traffic than for isolated cells with Full buffer traffic and 5 users per cell. These lower

gains happen due to unavailability of multiuser diversity in case of Bursty traffic as fewer users compete for the channel. Figure 9 shows analogous plot for Bursty traffic simulated on SCM channel. In this case, large gains of using MIMO are available for middle to high geometry users. VI. CONCLUSION This paper provides a symbol-level equalizer design, as well as system level analysis of performance improvement provided by the new features of Release 7 HSPA+, namely 64QAM and MIMO for a typical macro cell deployment. 64QAM gains over Release 6 (16QAM) are available to users with high SINR. MIMO provides dual stream gains at the high geometries and beamforming gains at low geometries. MIMO gains will be more prominent when the system becomes lightly loaded or the deployments have larger isolations between cells (e.g. through antenna tilts) which can be quite common scenario. A. REFERENCES
[1] [2] [3] [4] [5] [6] [7] [8] [9] 3GPP TS 25.306-780, UE Radio Access capabilities. G. J. Foschini and M. J. Gans, On limits of wireless communications in a fading environment when using multiple antennas, Wireless Personal Commun. vol. 6, pp. 311335, Mar. 1998. E. Telatar, Capacity of multi-antenna Gaussian channels, European Trans. Telecomm., pp. 585596, Nov. 1999. 3GPP TS 25.214-790, Physical layer procedures. 3GPP R1-051275, System level parameters for MIMO evaluation. 3GPP 25.896, Feasibility Study for Enhanced Uplink for UTRA FDD Jalali A, Padovani R., Pankaj R. Data throughput of CDMA-HDR a high efficiency high data rate personal communication wireless system, VTC 2000 Spring, Tokyo, 2000, pp.1854 1858. 3GPP TR 25.996 -700, Spatial channel model for MIMO simulations.

Table 1 Average cell Tput (Mbps) for 5 users per cell under Full Buffer traffic. Gains are relative to 16 QAM.

Channel PA3 Iso. Mbps 16QAM 64 QAM Gain DTXAA Gain 0 dB Cell Tput 6 dB Cell Tput

4.97 7.42

4.99 7.53

0.4% 1.4%

6.08 9.08

22.4% 22.3%

Channel SCM Iso. Mbps 16QAM 64 QAM Gain DTXAA Gain 0 dB Cell Tput 4.26 4.26 0.0% 4.91 15.1% 6 dB Cell Tput 6.05 6.06 0.2% 7.25 19.9%
Table 2 Average cell Tput (Mbps) for 1 user per cell under Full Buffer traffic. Gains are relative to 16 QAM.

Channel PA3 Iso. Mbps 16QAM 64 QAM Gain DTXAA Gain 0 dB Cell Tput 7.15 7.24 1.2% 7.87 10.0% 6 dB Cell Tput




11.52 19.5%

Channel SCM Iso. Mbps 16QAM 64 QAM Gain DTXAA Gain 0 dB Cell Tput 5.03 5.03 0.0% 5.76 14.3% 6 dB Cell Tput 6.75 6.82 1.1% 8.34 23.6%

Full Buffer User Throughput, 5 user/cell 1 0.9 0.8 0.7 0.6 CDF 0.5 0.4 0.3 0.2 0.1 0 PedA3, PedA3, PedA3, PedA3, PedA3, PedA3, 0 0.5 1 1.5 2 2.5 Throughput bps 16QAM, OH 20%, 16QAM, OH 20%, IS6dB, 64QAM, OH 20%, 64QAM, OH 20%, IS6dB, MIMO, OH 30%, MIMO, OH 30%, IS6dB, 3 3.5 x 10 4

Gain of MIMO and 64QAM over Rel 6, with user percentile: PedA 3kmh,5 users per sector 45 40 Percentage gain of MIMO and 64QAM 35 30 25 20 15 10 5 0 0.1 64QAM gains: Isolation 0 dB MIMO gains: Isolation 0 dB 64QAM gains: Isolation 6 dB MIMO gains: Isolation 6 dB


0.3 0.4 0.5 0.6 0.7 User throughput percentile for SIMO



Figure 2 Full Buffer user Tput for 5 users per cell (Ped A, 3 Kmh)
Full Buffer User Throughput, 5 user/cell 1 0.9 0.8 0.7 0.6 CDF 0.5 0.4 0.3 0.2 0.1 0 SCM, SCM, SCM, SCM, SCM, SCM, 0 0.5 1 1.5 2 Throughput bps 16QAM, OH 20%, 16QAM, OH 20%, IS6dB, 64QAM, OH 20%, 64QAM, OH 20%, IS6dB, MIMO, OH 30%, IS0, MIMO, OH 30%, IS6dB, 2.5 3 3.5 x 10

Figure 6 MIMO and 64-QAM gains (Ped A, 3 Kmh)

Gain of MIMO and 64QAM over Rel 6, with user percentile: SCM,5 users per sector 45 40 Percentage gain of MIMO and 64QAM 35 30 25 20 15 10 5 0 0.1 64QAM gains: Isolation 0 dB MIMO gains: Isolation 0 dB 64QAM gains: Isolation 6 dB MIMO gains: Isolation 6 dB


0.3 0.4 0.5 0.6 0.7 User throughput percentile for SIMO



Figure 3 Full Buffer user Tput for 5 users per cell (SCM, 3 Kmh)
Full Buffer User Throughput, 1 user/cell 1 0.9 0.8 0.7 0.6 CDF

Figure 7 MIMO and 64-QAM gains (SCM, 3 Kmh)

User Average Burst Rates, 1 and 5 users/cell 1 PedA3, 16QAM, OH 20%, 1 user/cell 0.9 PedA3, 64QAM, OH 20%, 1 user/cell PedA3, MIMO, OH 30%, 1 user/cell 0.8 PedA3, 16QAM, OH 20%, 5 user/cell PedA3, 64QAM, OH 20%, 5 user/cell 0.7 PedA3, MIMO, OH 30%, 5 user/cell 0.6 CDF 0.5 0.4

0.5 0.4 0.3 0.2 0.1 0 PedA3, PedA3, PedA3, PedA3, PedA3, PedA3, 0 2 4 6 8 Throughput bps 10 16QAM, OH 20%, 16QAM, OH 20%, IS6dB, 64QAM, OH 20%, 64QAM, OH 20%, IS6dB, MIMO, OH 30%, MIMO, OH 30%, IS6dB, 12 14 x 10

0.3 0.2 0.1 0

Figure 4 Full Buffer user Tput for 1 user per cell (Ped A, 3 Kmh)
Full Buffer User Throughput, 1 user/cell 1

6 8 Average Burst Rate



14 x 10

Figure 8 User average burst rate distribution (PedA, 3 Kmh)

User Average Burst Rates, 1 and 5 users/cell 1

0.9 0.9 0.8 0.8 0.7 0.7 0.6 CDF 0.6 0.5 CDF SCM, SCM, SCM, SCM, SCM, SCM, 0 2 4 6 8 Throughput bps 16QAM, OH 20%, 16QAM, OH 20%, IS6dB, 64QAM, OH 20%, 64QAM, OH 20%, IS6dB, MIMO, OH 30%, IS0, MIMO, OH 30%, IS6dB, 10 12 14 x 10

0.5 0.4

0.4 0.3 0.2 0.1 0

0.3 0.2 0.1 0

SCM, SCM, SCM, SCM, SCM, SCM, 0 2 4 6 8 Burst Rate

16QAM, OH 20%, 1 user/cell 64QAM, OH 20%, 1 user/cell MIMO, OH 30%, 1 user/cell 16QAM, OH 20%, 5 user/cell 64QAM, OH 20%, 5 user/cell MIMO, OH 30%, 5 user/cell 10 12 14 x 10

Figure 5 Full Buffer user Tput for 1 user per cell (SCM, 3 Kmh)

Figure 9 User average burst rate distribution (SCM, 3 Kmh)