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Field Results on MIMO
`Performance in UMB Systems
`
`H. Teague, C. Patel, D. Gore, H. Sampath, A. Naguib, T. Kadous, A. Gorokhov, A. Agrawal
`Qualcomm, Inc., San Diego, CA, 92121
`
`Abstract— The paper presents MIMO field performance results
`observed using a Ultra Mobile Broadband (UMB) testbed
`network. We evaluate metrics such as antenna correlations and
`channel condition number to characterize the MIMO channel.
`Results show that low condition numbers, which are beneficial to
`MIMO, are prevalent for a majority of the coverage area in our
`network. We demonstrate that the use of MIMO provides gains of
`the order of 20-40% over SIMO transmissions. These gains are
`made possible by the use of cross-polarized transmit antennas and
`advanced UMB features that allow dynamic MIMO vs. SIMO
`transmission selection based on channel conditions. These results
`are obtained in a truly mobile, wireless wide-area deployment,
`which makes them unique. Our results point to the viability and
`value of MIMO in future mobile wireless networks.
`
`INTRODUCTION
`I.
`MIMO techniques are ubiquitous in “next generation”
`wireless system designs and a significant amount of attention
`is given to the claimed benefits of this feature in technical as
`well as marketing literature. The use of MIMO has been
`spurred by information theoretic results, which promise
`improved system performance by exploiting wireless channel’s
`spatial dimension [1],[2]. Further, MIMO performance has
`been extensively studied by both theoretical analysis and lab
`and field trials [4]-[6]. However, there are few publicly
`available results that demonstrate the MIMO performance gain
`achievable in an implementation of a full-featured wide-area
`wireless broadband access standard operating in a truly mobile
`environment. This paper attempts to fill this gap with MIMO
`performance results observed in a UMB testbed network
`deployed by Qualcomm in San Diego.
`UMB (Ultra Mobile Broadband) is an IP-based OFDMA
`mobile broadband system designed for high speed data and
`VoIP in a mobile environment that has been standardized in
`3GPP2 [7]. UMB achieves very high data rates with high
`spectral efficiency and incorporates advanced communication
`techniques
`like
`link adaptation and HARQ
`for high
`performance with user mobility. In addition, on the forward
`link (FL), UMB also uses multiple-input multiple-output
`(MIMO) antennas to achieve higher system capacity and peak
`data rates. Thus UMB is an ideal system to study MIMO
`benefits in a wide-area wireless mobile network.
` The benefits of MIMO under certain conditions are well
`known; the more interesting question is how prevalent these
`conditions are in a real wireless environment. Here, we focus
`on two primary factors which directly determine the MIMO
`
`channel capacity - channel condition number and SNR
`(defined in section IV). Channel condition number is a
`measure of the level of spatial diversity and multiplexing
`capability available in the channel and is a function of
`deployment characteristics such as transmit (Tx) and receive
`(Rx) antenna heights, location of scatterers, and Tx and Rx
`antenna correlations. SNR distribution is also a function of
`these factors, but additionally depends strongly on the level of
`interference seen due to loading on the network by other users.
`The primary reason for focusing on these two factors
`separately is that the level of interference in a deployed system
`can be extremely difficult to predict with confidence. First, the
`loading seen in a deployed system may change significantly
`over time, both over the life of the system and over any
`particular day. Of course loading may also vary significantly
`from sector to sector in a network. Further, techniques to
`mitigate interference such as fractional reuse or cancellation
`may be available depending on competing priorities (for
`example, complexity, robustness, cost).
`Thus, in this paper, we look carefully at channel condition
`independent of SNR to gauge the “potential” benefits of
`MIMO. The quantitative achievement of such potential
`benefits are then dependent on the SNR distribution in the final
`network, and different proponents/operators may apply their
`own assumption on interference to reach a final assessment of
`MIMO benefit.
`As an example of potential gains offered by MIMO in a
`realistic deployment, we show throughput gain results during
`data collection in our San Diego testbed in lightly loaded
`conditions.
`The remainder of the paper is organized as follows. The trial
`network is described in Section II. The MIMO implementation
`is discussed in Section III while the underlying assumptions
`used for computing MIMO channel metrics are discussed in
`Section IV. Section V provides detailed field results followed
`by some conclusions and the scope of future work in Section
`VI.
`
`II. UMB TRIAL NETWORK
`The trial network consists of five access points (APs), each
`AP having one 120 degree sector. An FPGA-based prototype
`access terminal (AT) is mounted in a mobile van. Inter-sector
`handoffs are supported to provide continuous coverage across
`different sectors. Some of the key network parameters are
`
`978-1-4244-1645-5/08/$25.00 ©2008 IEEE
`
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`listed in Table 1. Our TDD implementation follows the
`specifications proposed in [8]. However, none of the results
`here depend on TDD and equivalent results are expected with
`a FDD UMB system.
`To support MIMO, each AP sector utilizes four Tx antennas
`arranged as two cross-polarized (x-pol) pairs separated by a
`distance of 3 m (20 wavelengths) The AT van is equipped
`with two co-polarized, omni-directional roof mounted antennas
`placed approximately 0.6 m apart as shown in Fig. 1a. These
`same antennas are also employed
`in a co-polarized
`configuration with 0.3 m separation in the interior of our test
`van. Finally, different form factor accurate (FFA) AT
`antennas mounted in the interior of our test van were also used
`for testing purposes. These FFA antennas, illustrated in Fig.
`1b, are designed to emulate handset, laptop and computer data
`card (PC) form factor performance and do not contain any
`modem hardware.
`
`Table 1. Prototype Parameters
`Parameter
`Value
`Duplexing
`TDD, 1:1 FL/RL partitioning
`Frequency
`2.16-2.18 GHz, 20 MHz
`bandwidth
`4 Tx, 4 Rx
`1 Tx, 2 Rx
`2 layer MIMO supported on FL
`2048 ( = number of subcarriers)
`
`AP antennas
`AT antennas
`MIMO
`FFT Size
`
`III. MIMO IMPLEMENTATION
`The MIMO transceiver structure used in the prototype is
`shown in Fig. 2. The prototype implements single codeword
`(SCW) MIMO transmission [7]. At the transmitter, the encoder
`and modulator block produces transmit symbols according to
`the packet format specified by a rate prediction algorithm. The
`encoded symbols are de-multiplexed to M streams or layers
`≤1
`TMM ≤
`TM is the number of Tx antennas,
`with
`where
`
`Figure 1. a) AT Antennas mounted on the van roof b) Form factor accurate AT
`antennas
`
`Figure 2. MIMO transceiver
`
`and M is the “rank” of the transmission. Rank one implies a
`single layer (equivalently SIMO) transmission while a rank
`greater than one implies multiple layer transmission. After de-
`TM Tx
`multiplexing, the M streams are spatially mapped to
`antennas by using a set of pseudo-random orthonormal
`precoding matrices. This precoding is irrelevant to the receiver
`processing since dedicated pilot symbols per layer are
`transmitted using the same precoding. The precoding matrices
`are randomized across frequency and time to increase the level
`of spatial diversity in the channel. Note that the processing is
`the
`same
`for SIMO
`transmission,
`thus
`single-layer
`transmissions use all four Tx antennas. Also note that the
`precoding matrices are formulated to distribute power equally
`across the Tx antennas. The spatial mapper output is
`processed using an OFDM modulator. The precoding matrices
`linearly combine the layer transmission symbols to the
`physical Tx antennas. Thus, multiple layer symbols are sent
`simultaneously. However, the degrees of freedom offered by
`multiple Tx and Rx antennas enables decoding of the different
`layers at the receiver. A minimum mean square error (MMSE)
`demodulator is used to demodulate these layers at the receiver.
`Depending on the channel conditions such as high spatial
`correlation, line-of-sight (LOS) conditions and low SNR,
`MIMO transmission may be inferior to SIMO transmission
`with a non-capacity-reaching receiver such as MMSE.
`Therefore, there is also a need to determine whether SIMO or
`MIMO transmission should be used. This functionality is
`provided by the rank prediction (or selection) algorithm. The
`AT estimates the best rank that can be supported for use on the
`FL by measuring channel quality on the FL CPICH channel, a
`broadband spatial Common Pilot Channel sent at ~120 Hz.
`The AT then feeds back the predicted rank along with a
`channel quality metric to the AP through the Reverse Channel
`
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`

`
`
`
`Quality Information Channel (R-CQICH). This dynamic
`selection of SIMO or MIMO transmission allows the system to
`maximize the instantaneous throughput available in a channel
`with dynamic spatial diversity.
`
`IV. MODELING
`TM
`RM and
`TM channel matrix where
`RM x
`Let H be
`are the number of Rx and Tx antennas, respectively. The
`ijh of this matrix represent the channel
`individual entries
`between the Rx antenna i and Tx antenna j. Note that we
`estimate broadband, frequency selective channel with a delay
`resolution of 50 ns chips. Thus, there is a channel matrix
`corresponding to each channel tap. However, only the four
`strongest taps estimated at each measurement interval are used
`to obtain results presented in the next section.
`If the channel matrix is orthogonal, then the channel has full
`rank and can support MIMO. However, channel rank is only a
`first order and therefore crude measure of the channel capacity
`iλs,
`[3]. The total capacity depends on the singular values, say
`of H or equivalently on
`s, which are the eigenvalues of
`∗HH . Among all channels with identical total power (equal
`Frobenius norm), a channel with identical singular values has
`the maximum capacity [3]. This degree of closeness of the
`channel singular values is measured by the channel condition
`number.
`as
`defined
`is
`number
`condition
`The
`channel


`max
`
`2 min/
`2
`. In a sense the channel condition number
`i
`i
`i
`i
`measures how disparate the performance will be between
`different eigen- or spatial modes of the channel. Typically, a
`channel with condition number close to 1 (0 dB using
`10log10(.)) provides better capacity at high SNR. Such a
`channel is called a “well-conditioned channel.”1 Therefore, we
`use channel condition number as a metric to evaluate MIMO
`channel quality. In addition, Tx and Rx antenna correlation
`metrics are also used.
`A. Metric computation
`Field data was collected by driving the mobile AT van along
`a pre-defined drive route near the Qualcomm campus in San
`Diego. To evaluate the condition number and correlation
`metrics, the channel matrix was computed using CPICH
`channel estimates collected on the drive route. For computing
`correlation coefficients, the drive route was divided into
`geographical bins of approximately 5 m. A smaller
`geographical bin would give better spatial resolution.
`However, to obtain adequate number of samples to average
`over fading statistics and filter out noise effects, we chose a
`
`
`2 iλ
`
`1 Fften in the existing literature, the condition number is defined
` i.e., as the ratio of the singular values of H rather than

`
`λ min/
`max
`i
`i
`i
`2

`min
`i
`
`as
`
`max
`
`i
`
`i
`2

`i
`
`/
`
`.
`
`i
`
`V. FIELD RESULTS
`
`A. Spatial channel measurements
`1) Transmit antenna correlation
`
`
`Consider the 4 Tx antenna configuration shown in Fig. 3.
`
`
`
`
`Figure 3. Transmit antenna configuration
`
`
`The x-pol antenna pairs (1,2) and (3,4) are on spatially
`separated panels. The pair (1,3) is co-polarized, but x-polarized
`with respect to the pair (2,4). Now, we compute the cumulative
`distribution function (cdf) of AP Tx antenna correlation
`coefficient obtained with measurements from
`the roof-
`mounted and the handset Rx (Fig. 4 and 5). The AP Tx
`correlation is
`
`1011
`
`−
`
`from
`
`the
`
`)
`
`∗
`
`
`
`bin size of 5 m. It is reasonable to assume that the scattering
`environment does not change significantly across the 5 m bins.
`(Note that a bin size of 3 to 7 m was used in [5]). A receive
`=
`∗
`R
` ) [HHEM
`
`/1(
`
`]
`correlation matrix
` was computed at
`T
`rx
`∗HH obtained from multiple snapshots
`each bin by averaging
`of the max-tap H within this bin ( E and ∗ are the
`expectation and complex conjugate
`transpose operators,
`respectively).
`Correlation coefficient, ρ, was computed
`covariance matrix Rˆ .
`[
`]
`) (
`(

`=
`RR
`HEHEM
`/1(
`)
`rx
`T




`=
`R
`RR
`/
`rx
`12
`11
`22
`The Tx correlation coefficient was computed in a similar
`fashion by computing the covariance matrix using the transmit
`=
`∗
`R
` ) [ HHEM
`
`/1(
`
`]
`correlation matrix
`.
`R
`tx
`The condition numbers were computed by eigenvalue
`∗HH for each sample of H estimated
`decomposition of
`along the drive route. Unlike the correlation computation, no
`∗HH was done over geographical bins. The
`averaging of
`instantaneous channel capacity depends on
`the channel
`eigenvalues and therefore the condition number of the
`instantaneous channel H . Also, high CPICH processing gain
`provides high SNRs for channel estimates. Therefore, no
`averaging over bins is done for computing the condition
`numbers.
`
`3
`
`

`

`
`
`
`
`Figure 4. AP Tx antenna correlation coefficient cdf computed using the
`strongest channel tap
`
`
`
`Figure 5. AP Tx antenna correlation coefficient cdf computed using four
`strongest channel taps
`
`computed using three different Tx antenna pairs to compare
`and contrast the correlation using these pairs. The cdf is
`computed using the strongest channel tap and four strongest
`channel taps2 measured at each sampling instant across the
`drive route.
`The four strongest channel tap cdf is obtained by calculating
`four correlation coefficients, one each for a distinct channel tap
`and using all the four coefficients to obtain the overall cdf. It is
`evident that the x-pol antenna pair, especially the spatially
`separated one, has lower correlation than the co-pol pair.
`Further, the transmit correlation is different when measured
`with receive handset and roof antennas. This suggests that the
`separability of transmit and receive correlation often assumed
`
`
`2 Four channel taps are used in addition to single max tap because the max
`tap is often dominated by line-of-sight channel with high correlation. Thus,
`the single tap results can be pessimistic for evaluating MIMO potential.
`
`in the literature is not applicable to these measurements.
`
`
`2) Receive antenna correlation
`Fig. 6 and 7 plot the cdfs of the Rx correlation coefficient
`computed using the strongest channel tap and four strongest
`channel taps, respectively. Note that the four taps cdfs show
`lower correlation compared to the single tap cdfs. This
`difference is more pronounced for the roof-top antennas. This
`is likely due to the presence of LOS component in the
`strongest tap.
`While it is reasonable to expect higher correlation in the
`more closely spaced FFA antennas, it is interesting to note that
`this is clearly not the case in this data. Possible reasons for the
`lower correlation observed could be the placement of the FFA
`
`
`
`Figure 6. Receive antenna correlation cdf computed using the strongest
`channel tap
`
`
`Figure 7. Receive antenna correlation cdf computed using four strongest
`channel taps
`
`antennas in the interior of the van, and the potential for
`
`1012
`
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`
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`

`
`
`
`the aligned
`to
`additional polarization diversity relative
`monopoles of the roof-top antennas. However, the exact cause
`has not been fully isolated. The correlations of FFA antennas
`are similar to omni antennas inside the van. The roof antennas,
`though spatially separated, have higher elevation and are likely
`to see more LOS conditions with less local scattering.
`Therefore,
`they
`have
`relatively
`higher
`correlation.
`Nevertheless, these results indicate that appropriately designed
`FFA antennas can be quite suitable for MIMO transmissions.
`
`
`3) Condition number
`The condition numbers observed with receive roof antennas
`for the strongest channel tap and the four strongest channel
`taps3 are provided in Fig. 8 and 9, respectively. Comparing
`results in Fig. 8 and 9, it is evident that the condition numbers
`are better with more channel taps. The strongest channel tap is
`more likely to have higher LOS contribution compared to other
`taps. This leads to higher condition numbers for the strongest
`channel tap. These results suggest that weaker taps can
`contribute to MIMO capacity gains by providing better
`channel condition. Fig. 8 and 9 also plot the condition numbers
`computed using various 2 Tx antennas pairs. These are
`computed by picking the two columns corresponding the two
`antennas from the 2x4 channel matrix H and performing an
`eigenvalue decomposition of this reduced 2x2 matrix. We
`notice that the co-pol antenna pair (1,3) (curve C) has higher
`condition number than the x-pol pairs (1,2) and (1,4) (curves B
`and D). Though the co-pol pair is 20 wavelengths apart, the
`lack of local scattering around the elevated AP Tx antennas
`
`
`
`Figure 9. Condition numbers computed using four strongest channel taps and
`Rx roof antennas
`
`likely results in higher condition number for this pair. The
`improvement in condition number by using x-pols compared to
`co-pols is more evident in Fig. 10, where we plot condition
`number results obtained using handset FFA antennas on the
`receive side. This demonstrates the value of using x-pol Tx
`antennas for MIMO. Further, the condition numbers with 4 Tx
`antennas (curve A) are universally better than those with 2 Tx
`antenna (curves B, C, and D), showing that additional Tx
`antennas
`(even co-polarized) can provide
`substantial
`improvements.
`For reference, distributions of condition numbers for
`matrices with independent and identically distributed (i.i.d)
`Gaussian elements are also provided as a lower bound since
`such matrices represent the ideal channel for MIMO capacity.
`The 2x4 and 2x2 cases are shown (curves E and F).
`
`
`
`Figure 8. Condition numbers computed using the strongest channel tap and Rx
`roof antennas
`
`
`
`3 The conditions numbers are computed separately for each channel tap and
`used to compute the overall cdf.
`
`Figure 10. Condition numbers computed using the strongest channel tap and
`Rx handset antennas
`
`
`
`
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`

`tion number, MIMO channels and 2) MIMO gain over SIMO
`is not significant in the low SNR regime.
` Finally, the correlation plot in Fig. 11 shows high
`correlation coefficients (higher than 0.8) in the region with
`identical MIMO and SIMO performance and lower correlation
`coefficients when MIMO clearly dominates over SIMO.
`
`
`B. Network performance results
`MIMO gain over SIMO is readily seen in terms of the
`throughput achieved in the field. Consider Fig. 12 with the cdf
`of the throughput achieved using different receive antennas.
`The Rank = 1 curve was obtained by disabling rank prediction
`and forcing SIMO transmissions all the time. Note that the
`results for different cases were obtained by separate drive runs,
`but on the same drive route where care was taken to duplicate
`the drive as closely as possible between measurements.
`From the roof antenna results, we note that peak throughput
`with rank one (SIMO-only) mode is around 28 Mbps
`compared to 43 Mbps with dynamic rank prediction. Further, a
`throughput advantage of 20% is observed 50% of the time and
`an advantage of 40% for 25% of the time in the field during
`general testing and demonstrations depending on the SNR on
`the drive route. It is interesting to note that in the low
`throughput regime around 10-20 Mbps, the rank one only
`mode shows better performance. This can be attributed to rank
`prediction errors. We are currently investigating methods to
`improve rank prediction to close this performance gap.
`Fig. 12 also plots the throughputs achieved with different
`FFA antennas and omni. antennas placed inside the van. We
`also observe that all the FFA antennas operating with MIMO
`enabled outperform the roof-top antennas in SIMO-only mode
`20% of the time even with significantly reduced received
`signal
`
`
`
`
`Figure 12. Throughput achieved in the field
`
`
`
`
`
`
` Overall, we observe that condition numbers lower than 15
`dB are observed approximately 70% of the time in our drive
`route.
`
`
`4) Estimated capacity
`Fig. 11 plots a representative time trace of the ratio of MIMO
`to SIMO capacity estimated using CPICH pilots along with the
`channel condition number, the SIMO SNR4 and the Rx antenna
`correlation coefficient obtained with roof antennas. The major
`trends in these curves are highlighted with ellipse markers in
`the plots.
`Generally, as expected, we observe (Ellipse B) that a high
`MIMO gain of the order of 30-40% is available when SNR is
`high (15 dB and higher) and condition number is low. Ellipse
`C shows that with relatively high condition number the MIMO
`gain over SIMO is not significant even if the SNR is high. The
`ellipse A marker shows that when the condition number and
`SNR are both low, the MIMO and SIMO capacities are
`approximately identical. These results are in accordance with
`the known theoretical results, 1) MIMO provides higher
`capacity gain over SIMO at high SNRs in good, i.e., low
`condi-
`
`
`A
`
`B
`
`MIMO capacity/SISO capacity
`
`
`
`C
`
`50
`
`100
`
`150
`
`200
`
`250
`
`300
`
`350
`
`400
`
`450
`
`500
`
`50
`
`100
`
`150
`
`200
`
`250
`
`300
`
`350
`
`400
`
`450
`
`500
`
`50
`
`100
`
`150
`
`200
`
`250
`
`300
`
`350
`
`400
`
`450
`
`500
`
`
`50
`
`100
`
`150
`
`200
`
`250
`Time (sec)
`
`300
`
`350
`
`400
`
`450
`
`500
`
`Figure 11. 1) MIMO per layer capacity/SIMO capacity
`2) Condition number 3) SIMO SNR 4) Receive correlation
`
`
`
`1.4
`
`1.2
`
`1.0
`
`0.8
`
`Capacity ratio
`
`
`0
`
`0
`
`-10
`
`-20
`
`-30
`25
`
`0
`
`-10log10(condition num.)
`
`20
`
`15
`
`10
`
`SISO SNR (dB)
`
`5
`1
`
`0
`
`0.8
`
`0.6
`
`0.4
`
`0.2
`
`0
`
`
`0
`
`Rx Correlation coeff.
`
`
`
`
`
`4 This is post-demodulation SIMO SNR observed on the CPICH pilots. The
`MIMO SNR per layer will be at least 3 dB lower than the SIMO SNR because
`the transmit power on each layer is halved to maintain a constant total transmit
`power, and could be even lower if the channel is poorly conditioned. The SNR
`values are capped at 21 dB because of a logging limitation.
`
`1014
`
`6
`
`

`

`
`
`
`strength.5 This is due to the low condition numbers observed
`while using these antennas, which enables them to efficiently
`support MIMO.
`
`
`VI. CONCLUSIONS AND FUTURE WORK
`In summary, we can conclude from this work:
`• MIMO benefits in our unloaded network (single AT) are
`significant. Throughput gains between 20-40% relative to
`SIMO were observed over the drive route tested.
`• Spatial diversity is sufficient to support MIMO gains most
`of the time in our drive route. This is true not only for
`roof mounted antennas, but also for form-factor antenna
`prototypes. Channel condition number of less than 15 dB
`is observed for approximately 70% of the tested drive
`route.
`
`
`These results demonstrate the potential for substantial gains
`when using MIMO in a wireless broadband network. Of
`course the final realized gains will depend on the distribution
`of SNRs seen by users in a network. Additional results in
`different propagation environments would be valuable to
`augment these findings, and this is an area of future
`investigation.
`
`[2]
`
`REFERENCES
`[1] G. J. Foschini, ‘‘Layered space-time architecture for wireless
`communication in a fading environment when using multi-element
`antennas,’’ Bell Labs Tech. J., vol. 1, no. 2, pp. 41---59, 1996.
`I. E. Telatar, ‘‘Capacity of multi-antenna Gaussian channels,’’ Eur.
`Trans. Telecommun., vol. 10, no. 6, pp. 585---595, Nov.-Dec. 1999.
`[3] D. Tse and P. Viswanath, “Fundamentals of Wireless Communication,”
`Cambridge University Press, May 2005.
`[4] A. Paulraj, R. Nabar and D. Gore, “Introduction to Space-Time Wireless
`Communications,” Cambridge University Press, May 2003.
`[5] H. Sampath, V. Erceg, and A. Paulraj, “Performance analysis of linear
`precoding based on field trials results of MIMO-OFDM system,” IEEE
`Trans. Wireless Commun., vol. 4, no. 2, pp. 404-409, Mar. 2005.
`[6] H. Yu, et. al., “Design and prototype development of MIMO-OFDM for
`next generation wireless LAN,” IEEE Trans. Consumer Elect., vol. 51,
`no. 4, pp. 1134-1442, Nov. 2005.
`[7] “Physical Layer for Ultra Mobile Broadband (UMB) Air Interface
`Specification,” Available Online:
`http://www.3gpp2.org/Public_html/specs/C.S0084-001-
`0_v1.0_070423.pdf
`[8] “Framework proposal for UMB TDD,” Available Online:
`ftp://ftp.3gpp2.org/TSGC/Working/2007/2007-07-Calgary/TSG-C-2007-
`07-Calgary/WG3/C30-20070723-021R1-NT-ALU-
`QCOM_UMB_TDD_framework_proposal.pdf
`
`
`
`
`
`5 Atleast 10 dB lower received signal strength was seen with FFA antennas
`relative to roof-top antennas for all testing. This is a combination of
`penetration loss and antenna gain differential.
`
`1015
`
`7
`
`

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