DMRS Design and Channel Estimation for
LTE-Advanced MIMO Uplink
Xiaolin Hou, Zhan Zhang, Hidetoshi Kayama
DOCOMO Beijing Communications Laboratories Co., Ltd.
Beijing, China
Email: {hou, z.zhan, kayama}@docomolabs-beijing.com.cn
Abstract—In 3GPP long term evolution (LTE) uplink, single
transmit antenna is adopted due to its simplicity and acceptable
performance. However, in order to satisfy the higher requirement
of LTE-Advanced (LTE-A) on uplink spectrum efficiency, multi-
ple transmit antennas must be supported in LTE-A uplink. At the
same time, the backwards compatibility to LTE should be taken
into considerations. Therefore, the demodulation reference signal
(DMRS) as well as channel estimation have to be re-designed for
LTE-A uplink to support multiple-input multiple-output (MIMO)
transmission. In this paper, we propose the DMRS design
for LTE-A MIMO uplink via frequency domain code division
multiplexing (FD-CDM) with the maximum distance binding
(MDB), which can minimize the interference among multiple
transmit antennas. More importantly, it is backwards compatible
to the DMRS in LTE uplink, i.e., few modifications to the current
specifications are needed. Furthermore, the improved uplink
channel estimation with dynamic channel impulse response reser-
vation (DCIR2) and frequency domain windowing/dewindowing
is proposed to enhance the channel estimation accuracy and
uplink reliability for both LTE and LTE-A. Computer simulations
demonstrate their effectiveness.
I. INTRODUCTION
Considering the cost of user equipment (UE), the specifica-
tion schedule and the fact that the 3GPP long term evolution
(LTE) uplink with single transmit antenna can already satisfy
the uplink peak spectrum efficiency requirement defined in [1],
in the 3GPP TSG RAN WG1 meeting #47bis it was decided
that uplink multiple-input multiple-output (MIMO) will not be
supported in the first release of LTE (rel-8) [2]. Recently, 3GPP
has started the study item (SI) on LTE-Advanced (LTE-A) and
the requirements of LTE-A are quit ambitious [3], especially
for the uplink, e.g. the uplink peak spectrum efficiency should
reach 15bps/Hz, which can not be achieved by the LTE uplink
with single transmit antenna [4]. Therefore, MIMO including
transmit diversity (TxD), single-user MIMO (SU-MIMO) and
multiple-user MIMO (MU-MIMO) should be incorporated
into the uplink of LTE-A [5-7]. Furthermore, LTE-A must
have the backwards compatibility to LTE [3].
LTE uplink is based on single-carrier frequency division
multiple access (SC-FDMA) due to its low peak-to-average
power ratio (PAPR). There are two types of reference signal
in LTE uplink: demodulation reference signal (DMRS) and
sounding reference signal (SRS) [4]. Both DMRS and SRS
need to be enhanced or revised to support the uplink MIMO
transmission in LTE-A and in this study we only focus on
DMRS design and related channel estimation for the physical
uplink shared channel (PUSCH).
As for the DMRS design to support uplink MIMO, there
are two possible ways forward, i.e., time-domain code divi-
sion multiplexing (TD-CDM) [8-11] and frequency-domain
code division multiplexing (FD-CDM) [10-13]. TD-CDM has
several apparent disadvantages, such as can only support two
transmit antennas, is only valid for low mobility cases and can-
not support PUSCH hopping within one subframe. Therefore,
FD-CDM is a natural and better choice. However, there are
still two remaining problems to be solved, i.e., how to assign
different DMRS sequences to different transmit antennas and
how to ensure the backwards compatibility to LTE. On the
other hand, channel estimation for LTE uplink is generally
based on discrete Fourier transform (DFT) with cyclic prefix
reservation (CPR) [14]. Because this method does not consider
the channel impulse response (CIR) energy leakage problem
and the frequency domain Gibbs phenomenon in engineering
practice, the channel estimation accuracy as well as uplink
reliability will deteriorate significantly, especially when the
number of resource blocks (RB) allocated to a given UE is
not so large.
In this paper, we propose the DMRS design based on
FD-CDM with the maximum distance binding (MDB) for
LTE-A MIMO uplink, which can minimize the interference
among multiple transmit antennas and meanwhile is back-
wards compatible to LTE. Furthermore, an improved uplink
channel estimation method with dynamic channel impulse
response reservation (DCIR2) and frequency domain window-
ing/dewindowing is proposed, where the CIR energy leakage
problem and the frequency domain Gibbs phenomenon will
be properly handled according to the dynamic uplink RB
allocation for different UEs. Therefore, the channel estimation
accuracy and uplink reliability will be effectively improved.
The rest of this paper is organized as follows: Section II
briefly introduces the DMRS structure and channel estimation
in current LTE uplink. In Section III we propose the DMRS
design and improved channel estimation for LTE-A MIMO
uplink. Section IV provides computer simulations and conclu-
sions can be found in Section V.
II. DMRS STRUCTURE AND CHANNEL ESTIMATION FOR
LTE UPLINK
In LTE uplink, the DMRS for PUSCH in the frequency
domain will be mapped to the same set of physical resource
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Fig. 1. DMRS in LTE uplink.
blocks (PRB) used for the corresponding PUSCH transmission
with the same length expressed by the number of subcarriers,
while in the time domain DMRS will occupy the 4th SC-
FDMA symbol in each slot for frame structure type 1 with
normal cyclic prefix (CP), as shown in Fig. 1.
In order to support a large number of UEs in multiple cells,
a large number of different DMRS sequences are needed. A
DMRS sequence r(α)u,v(n) is defined by a cyclic shift (CS) α
of a base sequence r¯u,v(n) according to
r(α)u,v(n) = e
jαnr¯u,v(n), 0 ≤ n < MRSsc (1)
where MRSsc = mNRBsc is the length of DMRS sequence, m
is the RB number and NRBsc is the subcarrier number within
each RB. Multiple DMRS sequences can be derived from a
single base sequence through different values of α.
The definition of the base sequence depends on the sequence
length. For MRSsc ≥ 3NRBsc , the base sequence is defined as
the cyclic extension of the Zadoff-Chu sequence [15]
r¯u,v(n) = xq(nmodNRSZC ), 0 ≤ n < MRSsc (2)
where xq(m), 0 ≤ m < NRSZC − 1 is the qth root Zadoff-
Chu sequence and NRSZC is the length of Zadoff-Chu sequence
that is given by the largest prime number such that NRSZC <
MRSsc . For MRSsc < 3NRBsc , the base sequence is defined as the
computer generated constant amplitude zero autocorrelation
(CG-CAZAC) sequence
r¯u,v(n) = ejϕ(n)π/4, 0 ≤ n < MRSsc (3)
where the values of ϕ(n) are given in [4].
Base sequences r¯u,v(n) are divided into 30 groups with
u ∈ 0, 1, ..., 29. Each group contains one base sequence
(v = 0) with 1 ≤ m ≤ 5 and two base sequences
(v = 0, 1) with 6 ≤ m ≤ Nmax,ULRB , where Nmax,ULRB is the
maximum RB number in the uplink. In order to reduce inter-
cell interference (ICI), neighboring cells should select DMRS
sequences from different base sequence groups. Furthermore,
there are 3 kinds of hopping defined for the DMRS in LTE
uplink, i.e., group hopping, sequence hopping and CS hopping,
where CS hopping should always be enabled in each slot.
The CS value α in a slot is given by α = 2πncs/12 with
ncs = (n
(1)
DMRS + n
(2)
DMRS + nPRS)/12 (4)
where n(1)DMRS is a broadcast value, n
(2)
DMRS is included in
the uplink scheduling assignment and nPRS is given by a
cell-specific pseudo-random sequence.
Channel estimation for LTE uplink can be based on DFT
with CPR [14]. Because the RB allocation for a given UE is
generally only a small portion of the overall uplink bandwidth,
the CIR energy leakage as shown in Fig. 2 will be observed
in practice. In Fig. 2, the first and the second rows are for
2×2 and 4×4 MIMO cases, while the left and the right
columns are for RB# = 1 and RB# = 10 cases, respectively.
It’s obvious that the smaller the RB number, the more severe
the CIR energy leakage. Furthermore, the frequency domain
Gibbs phenomenon will appear at the edge of assigned con-
secutive RBs for a given UE due to the signal discontinuities.
Therefore, the channel estimation accuracy as well as uplink
reliability will deteriorate significantly in engineering practice.
III. DMRS DESIGN AND IMPROVED CHANNEL
ESTIMATION FOR LTE-A MIMO UPLINK
In order to support MIMO transmission in LTE-A uplink,
the DMRS design with backwards compatibility and the
improved channel estimation will be proposed in this section.
A. DMRS Design
For UE with nT ≥ 2 transmit antennas, FD-CDM will be
adopted to separate the multiple transmit antennas, with the
following restriction satisfied.
ncs,i = (ncs,0 +
C
nT
· i)mod(C), i = 0, 1, ..., nT − 1 (5)
where ncs,i corresponds to the CS value of DMRS for the ith
transmit antenna and C is the constant value 12 for PUSCH.
The CS value of DMRS for the first transmit antenna α0 =
2πncs,0/12 is exactly the same as that for the single transmit
antenna case in LTE. Therefore, all the original CS hopping
designs for the single transmit antenna UE in LTE can be kept
Fig. 2. CIR energy leakage.
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Fig. 3. DMRS design with MDB.
unchanged for the multiple transmit antennas UE in LTE-A,
once the constraint in (5) is satisfied.
Because this DMRS design can be viewed as binding
together the CS values of DMRS as well as the CIR positions
of different transmit antennas with the maximum distance
constraint, as illustrated in Fig. 3 (Note that the relationship
between αi and α0 will keep unchanged during CS hopping),
we simply call it DMRS design with the maximum distance
binding (MDB). Its benefits include: First, the distance be-
tween CIRs of different transmit antennas in the time domain
can be always maximized, therefore, the interference between
DMRS of different transmit antennas can be minimized;
Second, no additional signaling is required for CS hopping to
support uplink MIMO transmission, therefore, it is backwards
compatible to LTE; Third, it provides the unified operation for
different transmit antenna number cases.
Actually, the same DMRS design principle can also be
applied to the uplink MU-MIMO transmission with single
transmit antenna UEs. Now it only requires some constraint
in the uplink scheduling assignment for the CS of DMRS
(because n(1)DMRS and nPRS are the same for all the UEs
in the same cell, respectively) as follows
n
(2)
DMRS,i = (n
(2)
DMRS,0 +
C
nT
· i)mod(C), i = 0, 1, ..., nT − 1
(6)
where n(2)DMRS,0 is the scheduled value for the first UE and
nT now represents the UE number.
In order to support the above CS scheduling constraint for
MU-MIMO transmission, we have two possible options:
• Option 1: No signaling modification
Because the current LTE specification only supports 8
possible values for n(2)DMRS , a limited number of combi-
nations can be chosen in the uplink scheduling with the
MDB constraint (6) satisfied. Therefore, for the 2-user
case, n
(2)
DMRS,i ∈ {(0, 6), (2, 8), (3, 9), (4, 10)}; while for
the 4-user case, n(2)DMRS,i ∈ {(0, 3, 6, 9)}.
• Option 2: Slight signaling modification
If the specific field in downlink control information (DCI)
format 0 for the CS of DMRS can be increased from 3
bits to 4 bits, all the possible combinations in the CS
scheduling for MU-MIMO transmission can be supported
with the MDB constraint (6) satisfied.
B. Improved Channel Estimation
The improved uplink channel estimation at each receive
antenna of eNB is shown in Fig. 4, taking user 1 for exam-
ple. After serial-to-parallel (S/P) conversion and K-point fast
Fourier transform (FFT), the received signal is transformed
into the frequency domain. Because each UE (excluding UEs
in the same MU-MIMO transmission) occupies different RBs
in the uplink, we can first separate different UEs by way of
frequency division multiplexing (FDM). Then multiply the
separated received signal by the complex conjugate of the
DMRS sequence assigned for the 1st transmit antenna and
perform K-point inverse FFT (IFFT) to get the superposed
CIRs in the time domain. After the operation of DCIR2 that
will be explained in more details later, we can separate the
CIRs for different transmit antennas (for SU-MIMO case) or
different users (for MU-MIMO case) by way of CDM. Finally,
the complete channel estimation result can be obtained by
K-point FFT and provided to the MIMO detection block.
Furthermore, in order to suppress the frequency domain Gibbs
phenomenon at the edge of assigned consecutive RBs for
a given UE in channel estimation, UE-specific frequency-
domain windowing/dewindowing blocks can be further added
to improve channel estimation accuracy with some additional
complexity. Note that the proposed improved uplink channel
estimation can be applied to not only LTE-A MIMO uplink,
but also LTE single-input single-output (SISO) or single-input
multiple-output (SIMO) uplink.
As for the operation of DCIR2, the dynamically reserved
CIR for each transmit antenna consists of 2 parts with respect
to the timing positions, i.e., ( CnT · i) ·K, i = 0, 1, ..., nT − 1 :
• Right part
There are λ · CP samples preserved with the following
right boundary
(
C
nT
· i) ·K + λ · CP − 1, i = 0, 1, ..., nT − 1 (7)
where CP is the cyclic prefix length of the SC-FDMA
symbol and λ is an adjustable parameter (0 ≤ λ < 1)
that can be optimized in practical implementations.
• Left part
There are μ ·Δ samples preserved with the following left
boundary
Fig. 4. The improved uplink channel estimation.
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[(
C
nT
·i)·K−μ·Δ+K]mod(K), i = 0, 1, ..., nT −1 (8)
where Δ is the main lobe width of CIR energy leakage
(Δ = K12·RB# ) and μ is an adjustable parameter (0 ≤ μ
< K/nT−CPΔ ) that can be optimized in practical imple-
mentations. In order to simplify the adjustment, we can
define Δ˜ = K12 and μ˜ =
μ
RB# , therefore, Δ˜ becomes a
constant and only μ˜ should be adjusted.
The proper choices of λ and μ˜ are mainly determined by
the noise level, the multipath delay profile and the assigned
RB number for a given UE. Considering the balance between
channel estimation accuracy and implementation complexity,
we only set two discrete levels for λ and μ˜ in our study, which
can provide good enough performance with low implementa-
tion complexity (preferred in engineering practice), as shown
in Section IV.
Another point should be emphasized is the operation of
frequency domain windowing/dewindowing (see the dashed-
line blocks in Fig. 4). Due to the frequency domain Gibbs
phenomenon caused by the discontinuities at the edge of
assigned consecutive RBs for a given UE, the overall channel
estimation accuracy will be degraded, especially at the edge
of assigned consecutive RBs. Therefore, some frequency do-
main window, such as Hanning window, Hamming window,
Blackman window, etc. [16], can be further added to improve
the channel estimation accuracy with some additional com-
plexity. For example, Blackman window will be adopted in
our following computer simulations.
w(n) = 0.42− 0.5cos(2πn/M) + 0.08cos(4πn/M) (9)
where M is the window length and 0 ≤ n ≤ M . In order not
to eliminate the useful signals within the assigned RBs, the
window length should be larger than the assigned bandwidth
(12 ·RB#) for the corresponding UE.
IV. COMPUTER SIMULATIONS
To demonstrate the effectiveness of our proposals, computer
simulations will be provided in this section. The simulation
parameters are listed in Table I. Notice that the FFT size
is larger than the usable subcarrier number because of the
existence of guard band. Obviously, there are totally 50 RBs in
the uplink and we consider three small RB# allocation cases
with RB# = 1, 5, 10, respectively. Furthermore, 2 typical
MIMO configurations, i.e., 2×2 and 4×4, are both simulated.
In our simulations, we simply chose λ and μ˜ by rule of thumb,
i.e., when RB# ≤ 2, λ = 1 and μ˜ = 0.6; when RB# > 2,
λ = 0.5 and μ˜ = 0.2. Furthermore, the frequency domain
window length is chosen to be M = 1.1 ·RB# · 12.
First, we want to evaluate the effectiveness of DMRS design
with MDB CS selection. For comparison, we also simulate
the case of DMRS design with random CS selection, i.e.,
different transmit antennas will select different CS values for
their DMRS randomly, while the same CS value is not allowed
to be used by different transmit antennas simultaneously.
Given the improved channel estimation based on DCIR2 at
the receiver side, we compare the block error rate (BLER)
performance of different DMRS designs at the transmitter
side for 2 × 2 and 4 × 4 MIMO cases in Fig. 5 and Fig. 6,
respectively. It is obvious that the DMRS design with MDB
CS selection can achieve much better BLER performance than
that of the DMRS design with random CS selection. The
smaller the RB# is, the larger the performance improvement
can be observed. Furthermore, with the increasing number of
transmit antennas, the effectiveness of our proposal is more
apparent because the interferences among different transmit
antennas become more severe with the increasing transmit
antenna number and MDB can reduce this kind of interference
effectively. Recall that at the same time, the DMRS design
with MDB CS selection needs no/few signaling modifications
to be implemented into the LTE-A MIMO uplink.
Then given the DMRS design with MDB CS selection at
the transmitter side, different channel estimation algorithms
will be evaluated for different RB# and MIMO configurations
in Fig. 7 and Fig. 8. Somewhat surprisingly, the traditional
uplink channel estimation based on CPR has very poor BLER
performance for all the simulated cases (RB# = 1, 5, 10).
Meanwhile, the improved uplink channel estimation based
on DCIR2 can effectively enhance the link reliability. The
reason is that even when the assigned RB# = 10 for a
given UE, the main lobe width of CIR energy leakage is
still large (Δ = K12·RB# ≈ 9). Therefore, the CIR energy
leakage problem must be handled properly to ensure the reli-
able uplink MIMO transmission. Moreover, frequency domain
windowing/dewindowing is also helpful to further improve
the BLER performance via suppressing the frequency domain
Gibbs phenomenon, especially for the smaller RB# cases.
TABLE I
SIMULATION PARAMETERS
Parameters Values
Carrier frequency 2GHz
Bandwidth 10MHz
FFT size 1024
Usable subcarrier # 600
Cyclic prefix 72
Assigned RB # 1,5,10
MIMO configuration 2× 2
(1 Codeword, Spatial multiplexing) 4× 4
Modulation 16QAM
Channel coding Turbo,1/2(Interleaver 288bits)
MIMO detection MMSE
Frequency hopping Disabled
DMRS design Random CS selectionMDB CS selection
Uplink channel estimation Conventional (CPR)
(within one slot) Improved (DCIR2)
Inter-slot interpolation linear
Channel model 3GPP TR 25.996Case 2 [17]
Mobile speed 3km/h
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5 10 15 20 25
10−2
10−1
100
SNR (dB)
BL
ER
Random (1RB)
Random (5RBs)
Random (10RBs)
MDB (1RB)
MDB (5RBs)
MDB (10RBs)
Fig. 5. BLER comparison for DMRS designs (2× 2).
5 10 15 20 25
10−2
10−1
100
SNR (dB)
BL
ER
Random (1RB)
Random (5RBs)
Random (10RBs)
MDB (1RB)
MDB (5RBs)
MDB (10RBs)
Fig. 6. BLER comparison for DMRS designs (4× 4).
V. CONCLUSION
In order to support the uplink MIMO transmission for LTE-
A, we propose the backwards compatible DMRS design with
MDB and the improved uplink channel estimation with DCIR2
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