Opportunistic multiuser MIMO for OFDM networksMounir Esslaoui
Information and Telecom Systems LabAbdelmalek Essaadi University
MβHannech II 93000, Tetouan, MoroccoEmail: [email protected]
Felip Riera-Palou and Guillem FemeniasMobile Communications Group
University of the Balearic Islands07122 Mallorca (Illes Balears), Spain
Email: {felip.riera,guillem.femenias}@uib.es
AbstractβThis paper considers the application of oppor-tunistic multiuser multiple-input multiple-output (MU-MIMO)techniques to multicarrier wireless networks based on orthogonalfrequency division multiplexing (OFDM). Unlike related workwhere the design of the MU-MIMO component is jointly per-formed with the subcarrier allocation among the users (e.g. someform of OFDMA is present), here it is assumed that the selectedusers will have to share the utilization of all the subcarriers in thesystem. This scenario would be typical of deployments based ontime multiplexing policies (e.g., WLANs) where the proposed MU-MIMO add-on would serve to increase the system capacity. A newalgorithm is introduced to select the users taking into accounttheir channel response over all subcarriers and performing a jointfrequency-space power allocation. Numerical results demonstratevery significant improvements in terms of sum-rate capacity incomparison to a conventional (opportunistic) TDMA scheme.
Index TermsβMultiuser multiple-input multiple-output(MIMO), opportunistic, orthogonal frequency divisionmultiplexing (OFDM), channel state information (CSI).
I. INTRODUCTION
One of the key challenges faced by the forthcoming wire-less communication systems, commonly referred to as fourthgeneration (4G) systems, is to transmit signals at a rate thatis as close as possible to the theoretical channel capacitywhile satisfying quality of service (QoS) constraints. Thedevelopment of these systems must take into account theproblem of limited radio resources and the harshness ofwireless channel conditions. Recent years have witnessed theconvergence of the different proposals to a physical layerarchitecture based on multiantenna multicarrier principles. Onone hand, the use of multiple-input multiple-output (MIMO)wireless systems has become a key technology to increasechannel capacity and thus allowing higher data rates. Telatar[1], showed that in a flat-fading Rayleigh channel, the capacityof MIMO systems can be improved by a factor dependenton the minimum number of transmit and receive antennas,if perfect channel state information (CSI) is available. Onthe other hand, orthogonal frequency-division multiplexing(OFDM) is an effective technique to mitigate the effects ofintersymbol interference (ISI) in frequency-selective channelsby turning a broadband frequency-selective channel into aseries of parallel (non-interfering) narrowband sub-channelsthat allow simple receiver structures to be used [2]. Thecombination of MIMO and OFDM is an attractive solution
for next generation WLANs and 4G mobile cellular wirelesssystems owing to its abilities to provide high data rates whilebeing very robust against channel impairments [3].
Recent research on MIMO-OFDM systems has focused onissues related to the availability of CSI at the transmitter.If this condition is fulfilled, precoding can be designed toexploit the channel conditions, minimizing interference andreducing complexity at the receiver [4]. In practical MIMO-OFDM systems, it is well accepted that multiple antennascan be easily deployed at the base station (BS) since theydo not have tight constraints regarding space, available powerand/or computational complexity. In contrast, mobile stations(MS) are typically limited to have a small number of antennasdue to size and cost restrictions, thus limiting the potentialcapacity benefits of MIMO. Given this asymmetric availabilityof resources, and in order to increase capacity, the multipleantennas at the BS can be employed to simultaneously servevarious users using the so-called multiuser MIMO (MU-MIMO) techniques [5], which aim at maximising system ca-pacity by treating the resulting interference among the differentuser streams. Dirty paper coding (DPC) [6] is the optimalMU-MIMO precoding strategy and is based on interferencepre-cancellation. However, this solution suffers from a highcomputational complexity and it is difficult to implement,especially when the number of users is large.
Opportunistic beamforming/transmission [7] refers to ascheme where the transmitter, in light of the available CSI,chooses the destination user with the most favorable channelcondition, obtaining in this way multiuser diversity. In thissuboptimal strategy, the BS selects a set of random beam-forming weights, and users send back information regardingthe measured signal-to-noise ratio (SNR) to the transmitterin order to report which beam gives the best performance andwhat rate they can support using it. A different way of utilizingthe available CSI consists of allowing a multiantenna equippedtransmitter to exploit the spatial dimension (via beamforming)to transmit to various users at the same time while minimizingtheir cross-interference. The landmark work of [8] combinedboth ideas, opportunistic transmission and MU-MIMO, intro-ducing the idea of simultaneously transmitting to various usersselected from the total user pool by virtue of their separability,i.e., those users which can be more easily orthogonalised bymeans of linear beamforming are selected for transmission.Remarkably, aside from simple linear filtering for the beam-
978-1-61284-887-7/11/$26.00 Β©2011 IEEE
UserSelectionusingMUS
Coding&
Modulation
Coding&
ModulationLinear
Precoding&
waterfilling
IFFT
IFFT
FFT
FFT
Demodulation&
decoding
Demodulation&
decodingDetection
Detection
Mobile terminalsBase station
User 1data
Userdata
Channel state information
β¦ β¦ β¦
User 1data
Userdata
Fig. 1. Block diagram of generic CSIT-aided downlink MIMO-OFDM system with ππ transmit antennas and ππ’ users, each with one receive antenna.
forming part, the authors in [8] proposed a low-complexityscheme for the user selection that was shown to be almostoptimal, thus resulting in important sum-rate gains. Recently,there have been extensions of this work to scenarios where usermultiplexing takes place by means of orthogonal frequencydivision multiple access (OFDMA) [9]. In this case the ideais to jointly perform the beamformer design, user selectionand subcarrier allocation with the objective of maximisingthe overall sum-rate. While this is a powerful approach inOFDMA-based setups, in those cases where user multiplexingtakes place by some other means, most notably, time division,some new mechanism is required in order to extract multiuserdiversity gain. In order to fill this gap, this paper addressesthe design of a low complexity multiuser selection algorithmfor opportunistic MU-MIMO networks, where users transmitstrictly using OFDM (i.e., frequency is not used for multipleaccess). Starting from the results in [8], the scheme proposedin this paper makes a user selection based on an orthogonalitymeasure that takes into account the channel response ofthe different users over all subcarriers and the design of asubcarrier specific precoder. Numerical results serve to confirmthe effectiveness of the proposed method.
The rest of the paper is organized as follows: Section IIpresents the system model. The proposed multicarrier userselection algorithm is described in Section III and the resultingnumerical results are shown in Section IV. Finally, Section Vsummarises the main outcomes of the paper and provides hintsfor further research work. This introduction concludes with abrief notational remark: vectors and matrices are denoted bylower- and upper-case bold letters, respectively, while non-bold letters are used for scalars, π(πΏ) is a (block) diagonalmatrix with πΏ at its main diagonal, #π° is the cardinalityof set π° , π and π» serve to denote transpose and complextranspose respectively, [π¨]π,π is the (π, π)-element of matrix π¨,π°π is the π Γ π identity matrix, β₯πβ₯ denotes the Euclideannorm of a vector π and (π)+ = max(π, 0).
II. SYSTEM MODEL
The downlink of a single-cell multicarrier system operat-ing through ππ subcarriers over a bandwidth of π Hz is
considered. The base station is equipped with ππ transmitantennas whereas each mobile station is equipped with a singleantenna1. There are ππ’ (β₯ ππ ) active users in the cell out ofwhich π β€ ππ are selected, forming the set π° (π = #π° ), ata given time slot for simultaneous transmission. The systemblock diagram is depicted in Fig. 1.
The ππ Γ ππ matrix π―π’ = [ππ’,1 . . . ππ’,ππ], with
1 β€ π’ β€ ππ’, represents the user-specific channel matrix,where ππ’,π = [βπ’,π[1] β β β βπ’,π[ππ]]
π denotes the frequencyresponse over the ππ subcarriers of the link between the πthtransmit antenna and MS π’.
Assuming perfect frequency synchronization between thetransmitter and receiver and cyclic prefix duration exceedingthe channel delay spread, the received signal for user π’ onsubcarrier π for an arbitrary OFDM symbol is given by
π¦π’[π] = ππ’[π]π[π] + ππ’[π] (1)
where ππ’[π] = [βπ’,1[π] β β β βπ’,ππ[π]] represents the fre-
quency response of the π’th user over the πth subcarrier,π[π] = [π₯1[π] β β β π₯ππ
[π]]π is the ππ Γ1 transmitted symbol
from the BS on subcarrier π and ππ’[π] is a zero-mean whiteGaussian noise sample with variance π2
π . The BS has totalpower ππ available for transmission and, as in [8], it isassumed that all users experiment the same SNR.
Given the general reception equation in (1), the challengeis now how to select the user(s) to which to transmit andhow to perform the precoding operation, that is, how tocompute the transmitted symbol vector π[π] as a function ofthe user information symbols π π’[π], typically drawn from afinite complex constellation (e.g., QPSK, 16-QAM). Note that,under the assumption of a pure OFDM scheme, for each timeslot there will be π Γππ symbols to be transmitted.
III. MULTIUSER TRANSMIT STRATEGIES
A. Opportunistic multicarrier TDMA
In MU-MIMO networks purely based on OFDM, whereuser multiplexing takes place using (opportunistic) TDMA
1The generalization to multiantenna receivers, and based on the results of[8], [10], should be relatively straightforward.
techniques, the base station selects a single user at a time(e.g. π = 1) who will be allocated all the spectrum andpower resources. In this scenario it is easy to show that, oncea user has been selected, the precoding operation is simplyimplemented by means of maximum ratio transmission (MRT)[11], that is,
π[π] = ππ’[π]π π’[π], (2)
where ππ’[π] = ππ»π’ [π], thus resulting in received symbol
estimates given by
π TDMAπ’ [π] = π¦π’[π] = β₯ππ’[π]β₯2π π’[π] + ππ’[π]. (3)
User selection is conducted by choosing the MS that exper-iments the best channel realisation, which when maximisingthe sum-rate amounts to select the ones maximising,
πΆTDMA = maxπ’β{1,β β β ,ππ’}
1
ππ
ππβπ=1
log2
(1 +
ππ‘[π]
π2π
β₯ππ’[π]β₯2)
(4)where ππ‘[π] is the power allocated to the πth subcarrier givenby the waterfilling solution and satisfying the total powerconstraint
βππ
π=1 ππ‘[π] = ππ .
B. Opportunistic multicarrier MU-MIMO
The objective of the multicarrier user selection (MUS)algorithm presented in this section is to maximize the overallsum-rate of the system by transmitting simultaneously tovarious users on all subcarriers while relying only on linearprocessing.
For a particular user selection set π° , let us define π―π° [π] asthe #π°Γππ matrix collecting the channel coefficients for theselected users on subcarrier π. The transmitted symbol vectorπ[π] is then obtained from the information symbols belongingto the selected users ππ’[π] by means of linear precoding as
π[π] =πβ
π’=1
βππ’[π]πΎ π° [π]ππ’[π], (5)
where πΎ π° [π] = [π1[π] β β β ππ [π]] is the precoding matrixwhich for the case of zero forcing beamforming (ZFBF) isgiven by
πΎ π° [π] = π―π»π° [π]
(π―π° [π]π―π»
π° [π])β1
. (6)
Plugging (5) into the reception equation (1), it is found thatthe information symbol estimate for an arbitrary user π’ β π°is given by
π MU-MIMOπ’ [π] = π¦π’[π] =
πβπ’=1
βππ’[π]ππ’[π]ππ’[π]ππ’[π] + ππ’[π].
(7)After some straightforward calculations it can be seen thatthe combined precoder-channel gain for user π’ on the πthsubcarrier can be expressed as
πΎπ’[π] =1[(
π―π° [π]π―π»π° [π]
)β1]π’,π’
, (8)
which allows the sum-rate capacity over all subcarriers to beexpressed as,
πΆMU-MIMO =1
ππ
ππβπ=1
πβπ’=1
log2
(1 +
ππ’[π]
π2π
πΎπ’[π]
), (9)
where ππ’[π] denotes the power allocated to the π’th user onthe πth subcarrier. The optimal power allocation that achievesthe maximum sum-rate is given by the waterfilling solution
ππ’[π] =
(πβ π2
π
πΎπ’[π]
)+
, (10)
where π is the water level chosen to satisfy the powerallocation constraint
ππβπ=1
πβπ’=1
ππ’[π] = ππ . (11)
Note that the waterfilling should be jointly conducted in thespatial (e.g., user) and frequency domains. Based on the userselection algorithm introduced in [8], a multicarrier extensionis now presented that aims at the same objective, namely, toselect users who are as orthogonal as possible among themand that lead to the maximisation of (9). Notice that now thechannel responses over all subcarriers play a role.
The multicarrier user selection (MUS) algorithm, sum-marised below, takes care of selecting the sum-rate maximisinguser group π° from an initial pool π―1 = {1, β β β , ππ’} for agiven time slot. The BS will then simultaneously transmit toall users in π° . The selection procedure works as follows: instep (a), π―1 is initialised with the ππ’ users in the cell. In step(b), and for each successive iteration (indexed by π), the vectorππ’[π] is found as the component of ππ’[π] most orthogonal to
the subspace spanned by{ππ(1)[π] β β β ππ(πβ1)[π]
}averaged
Algorithm 1 : Multicarrier user selection (MUS).(a)Initialisation: π = 1, π―1 = {1, β β β , ππ’},π° = β .while (#π―π β= 0)&(π < ππ ) do(b)Orthogonality measure computation:for Each user π’ β π―π do
for Each subcarrier π do
ππ’[π] = ππ’[π]
(π°ππ
ββπβ1π=1
ππ»π(π)[π]ππ(π)[π]
β₯ππ(π)[π]β₯2
)end for
end for(c)Choose most orthogonal user:π(π) = argmax
π’βπ―π
βππ
π=1 β₯ππ’[π]β₯π° = π° βͺπ(π)(d)Discard poorly orthogonal users:
π―π+1 =
{π’ β π―π, π’ β= π(π) : 1
ππ
βππ
π=1
β£ππ’[π]ππ»π(π)[π]β£
β₯ππ’[π]β₯β₯ππ»π(π)
[π]β₯ < π
}π = π+ 1
end while
over all subcarriers, that is,
ππ’[π] = ππ’[π]
ββπ°ππ
βπβ1βπ=1
ππ»π(π)[π]ππ(π)[π]
β₯ππ(π)[π]β₯2
ββ . (12)
Step (c) selects the best user π(π) corresponding to the largestprojected norm β₯ππ’β₯ averaged accross subcarriers,
π(π) = argmaxπ’βπ―π
ππβπ=1
β₯ππ’[π]β₯, (13)
and includes this user in the selected user set π° . Finally, instep (d), poorly orthogonal users are discarded from the userpool in order to simplify the computational requirements ofthe MUS algorithm. To this end only those users in π―π whoseorthogonality coefficient ππ’ given by
ππ’ =1
ππ
ππβπ=1
β£ππ’[π]ππ»π(π)[π]β£
β₯ππ’[π]β₯β₯ππ»π(π)[π]β₯
(14)
is below a certain threshold π (small positive number) arekept. Note that, effectively, π controls the minimum degreeof orthogonality between the already selected user(s) π(π) andthose users that still remain in the pool of potentially selectableusers. Finally, the process stops when the number of users inthe active subset equals the number of transmit antennas ππ
or the list of remaining users is empty.
IV. NUMERICAL RESULTS
Numerical results have been obtained using physical-layerparameters typical of current WLANs (π = 20 MHz,ππ β€ 64) and assuming the base station is equipped withππ = 4 transmit antennas and the different MS have all singleantenna architctures. The channel profiles used to generate thefrequency-selective channel responses correspond to profilesB (residential), D (typical office) and E (large office) fromchannel models developed within the IEEE 802.11n standard[12]. Unless otherwise specified, the BS is assumed to transmitwith total power ππ to ensure that every subcarrier, onaverage, operates with an πππ [π] = 10 dB. In Fig. 2the sum-rate capacity, obtained using (9), is shown for theproposed beamforming scheme with multicarrier user selection(MC-MU-MIMO-MUS) as a function of the orthogonalityparameter π. The number of users has been fixed respectivelyto 10, 100 and 1000 and the number of subcarriers to ππ = 64.Note that it is important to find the optimal value of π becauseif it is too large, non-orthogonal users are selected in theuser grouping algorithm and the channel gains are reduceddue to zero forcing channel inversion while if it is too small,multiuser diversity gain is reduced. From the figure we can seethat optimal values of π which maximize the sum-rate capacityare in the range [0.4β 0.6]. These optimal values decrease asthe number of users grows, however, and as a compromisevalue, for the rest of this study a value of π = 0.45 has beenused for the rest of simulations. Figure 3 compares the sum-rate capacity as a function of the number of users for MC-MU-MIMO-MUS, MC-MU-MIMO with optimal user selection
0 0.2 0.4 0.6 0.8 10
2
4
6
8
10
12
14
16
18
ΞΈ
Sum
βra
te (
bits
/s/H
z)
Nu = 10
Nu = 100
Nu = 1000
Fig. 2. Sum-rate capacity of MC-MU-MIMO-MUS vs. π. πππ [π] = 10dB. ππ = 64. Channel profile B.
0 20 40 60 80 1000
2
4
6
8
10
12
14
Number of users
Sum
βra
te (
bits
/s/H
z)
Channel B β MCβMUβMIMOβMUSChannel B β Optimum MCβMUβMIMOChannel B β Opportunistic MCβTDMAChannel D β MCβMUβMIMOβMUSChannel D β Optimum MCβMUβMIMOChannel D β Opportunistic MCβTDMAChannel E β MCβMUβMIMOβMUSChannel E β Optimum MCβMUβMIMOChannel E β Opportunistic MCβTDMA
Fig. 3. Sum-rate capacity vs. number of users. πππ [π] = 10 dB. ππ = 64.π = 0.45. Channel profiles B, D and E.
(optimum MC-MU-MIMO) which relies on an exhaustivesearch of all possible user combinations, and the TDMA-based opportunistic transmission (opportunistic MC-TDMA)provided by (4). Results have been obtained by averaging500 channel realizations for each channel profile. In light ofthe results in this figure three interesting conclusions can bedrawn. First and foremost, as the number of users grows, bothMC-MU-MIMO techniques offer more than a 70%, 65% and50% increase in sum-rate respectively for channels B, D andE when compared to MC-TDMA opportunistic transmission.Second, the suboptimal user selection technique manages toachieve most of the MU-MIMO gain offered by the optimaluser selection at a very low computational cost. Note that, dueto its computational complexity, for the optimal user selectionscheme it was only feasible to compute values for up toππ’ = 25 users in the system. As a third and final considerationit is interesting to note that the lesser the frequency selectivity
0 10 20 30 40 50 60 70 80 90 1000
1
2
3
4
5
6
Number of users
Sum
βra
te (
bits
/s/H
z)
Uniform power allocationWaterfiling in space + Uniform power in frequencyWaterfilling in space and frequencyWaterfilling in frequencyUniform power allocation
Opportunistic MCβTDMA
MCβMUβMIMOβMUS
Fig. 4. Sum-rate capacity vs. number of users. πππ [π] = 0 dB. ππ = 64.π = 0.45. Channel profile B.
is, the larger the multiuser diversity gain becomes, as a modestfrequency selectivity in combination with a large number ofusers increases the chance of having users with strong gainsover most of the subcarriers owing to the large subcarriercorrelation. Figure 4 shows the results when using differentpower allocation strategies for both, MC-MU-MIMO-MUSand opportunistic MC-TDMA. Notice that, as the number ofusers grows, the sum-rate capacity for MC-MU-MIMO-MUSattains higher values when using waterfilling in space andfrequency rather than uniform power allocation. Noticeably,when waterfilling is performed in the spatial domain only(e.g. uniform power distribution in frequency), only a marginaldegradation is observed. This suggests that assigning an equalamount of power per frequency bin and then performing thewaterfilling over the different users (space) results in the mostattractive option in terms of performance and complexity.Note also that for opportunistic MC-TDMA transmission, thewaterfilling solution does not bring any benefits in term ofsum-rate capacity. Finally, Fig. 5 compares the sum-rate ca-pacity of MC-MU-MIMO-MUS and opportunistic MC-TDMAtransmission as a function of the number of active usersin the cell for different number of subcarriers. This graphshows that the proposed method effectively translates the sum-rate capacity gains of the single-carrier system (top plot) tomulticarrier setups (mid and bottom plots).
V. CONCLUSION
This paper has derived an extension of single-carrier mul-tiuser MIMO to a multicarrier architecture based on OFDM.The proposed scheme is composed of a user selection stepthat takes care of selecting those users experimenting the bestchannel realisations taking into account all subcarriers, anda subcarrier-specific precoder designed to minimise inter-userinterference. Simulation results in a wide variety of scenarioshave shown that, when the number of users increases, theproposed MUS algorithm achieves a very significant increasein sum-rate capacity compared to opportunistic MC-TDMA.Systems within the IEEE 802.11 family of standards, which
0 20 40 60 80 1000
5
10
15
Number of users
Sum
βra
te (
bits
/s/H
z)
0 20 40 60 80 1000
5
10
15
Number of users
Sum
βra
te(B
its/s
/Hz)
0 20 40 60 80 1000
5
10
15
Number of Users
Sum
βra
te(b
its/s
/Hz)
MCβMUβMIMOβMUSOpportunistic MCβTDMA
MCβMUβMIMOβMUSOpportunistic MCβTDMA
MSβMUβMIMOβMUSOpportunistic MCβTDMA
Nc=1
Nc=8
Nc=64
Fig. 5. Sum-rate capacity vs. number of users. πππ [π] = 10 dB. π = 0.45.ππ = {1, 8, 64}. Channel profile B.
are based on OFDM and where users share the medium bytime division, rather than OFDMA, would be an immediatetarget for the technique introduced in this study in orderto increase the overall system capacity. Future research willseek to incorporate user fairness in the user selection stepand also in the combination of MC-MU-MIMO with adaptivemodulation and coding.
ACKNOWLEDGMENTS
Work supported in part by MEC and FEDER under project COS-MOS (TEC2008-02422) and an AVERROES mobility scholarship,Spain.
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