PRECODING In Multi-User MIMO

Syed Khalid Hussain

Department of Electrical and Computer Engineering

1
 Outline

Introduction
Precoding
Dirty-Paper coding
Linear And Non-Linear Precoding
Dirty-Paper coding In MU-MIMO
References

2
 Outline

Introduction
Precoding
Dirty-Paper coding
Linear And Non-Linear Precoding
Dirty-Paper coding In MU-MIMO
References

3
 Introduction

MIMO :

Transmitting end as well as receiving end is equipped with multiple

antennas .
Space-time signal processing in which time is complemented with spatial
dimension(due to the use of multiple spatially distributed antennas).

Transmitter
Receiver
With Nt TX Antennas
With Nr RX Antennas
Total TX Power = P

X Y = HX + n
h11 h12 h1N r
h h22 h2 N r
H =
21

hN t 1 hN t 2 hN t N r 4
 Introduction

yk = Hk x + nk , hmk ~ CN (0,1)

E[tr (x H x)] P

E[| xm |2 ] Pm , m = 1, , N t

5
 Introduction

A MIMO system has 3 basic

features:
Beam-forming ( diversity gain )
Diversity ( diversity gain )
Spatial multiplexing( increase Interference Spatial
Beam
Diversity SDMA cancellation MUX
forming
data rates )
Coordination of processing RX RX R R RX RX
X X
exist among all transmitters
or receivers.

Turn multipath propagation

into a benefit for the user

Improvement of many order TX TX TX

T T
TX
X X
of magnitude at no cost of
extra spectrum is the
success of MIMO.

6
 Introduction

MU-MIMO :
When MIMO is used to
communicate with several antennas
at the same time.

No Coordination among the users.

For Uplink , BS needs to separate
received signals from all users.
For DL , there always exist some
interference among the users (MUI)
as BS broadcast on the same
channel.

Illustration of MU-MIMO DL 7
 Single User vs Multiuser MIMO
Transmission
Primary Benefit
ADV: Technique
Time-duplexed

Increased Data rate transmit Improved

Enhanced Reliability
diversity
link performance
Improved Energy
Efficiency
Reduced
Interference Time-duplexed

Extensive use of
spatial
multiplexing Higher
Inexpensive Low- peak rate
Power Component
Simplification of
Media Access
Control Layer
DIS-ADV : SDMA:

Beamforming Higher
Radio Propagation and (Precoding) and Dirty-Paper coding
system
Orthogonality of
channel response. throughput
Channel Reciprocity
Pilot Contamination
8
 Introduction

In MU-MIMO , it is assumed that

BS has CSI (in practice the
channel estimation is impaired
by Pilot contamination).
CSI is helpful in achieving high
SNR and in reducing
interference.
Methods for obtaining CSI is
using Pilots or training symbols
or via feedback of the receiver's
channel estimate.
In DL, there is always exist
MUI.
By using Multiuser Detection , it
is possible to reduce MUI but it
is too costly to use at the
receiver. System Configuration of MU-MIMO
Ideally , MUI is mitigated by
intelligent designing of the
transmitted signal at BS 9
considering the co-channel
 MU-MIMO Non-Degraded BC

Traditional Broadcast : TX sending same information to multiple RX.

MIMO Broadcast : Multiple antennas at BS sending information (same

or different ) to multiple RX.
Single antenna AWGN channel is degraded (channel matrix can be
ordered according to channel strength).
By using the superposition , the capacity region of degraded BC can
be find.
When single antenna upgraded to multiple antenna (MIMO BC),it
looses its degradedness and capacity of this channel can not be
find using superposition coding.
a non-linear coding technique is used, known as Dirty Paper
Coding[] (DPC_ first proposed by Costa in 1983).
So in MIMO BC superposition coding or successive decoding is no
longer a capacity achieving scheme .

Duality between MIMO MAC and BC which can be used to achieve the
capacity region of MIMO BC by knowing the capacity region of MAC
channel 10
 Outline

Introduction
Precoding
Dirty-Paper coding
Linear And Non-Linear Precoding
Dirty-Paper coding In MU-MIMO
References

11
 Precoding

By having CSI at AP/BS , AP know about MUI . Thus MUI can

be mitigated by Intelligent Beamforming (Precoding) or the use
of dirty paper codes .

Precoding :
The signal is weighted/perturbed/successive encoded at the transmit
side.
Linear precoders (beamformers) create beams that focus energy for
each user by weighting the phase and amplitude of the antennas.
Performance limited by interbeam interference

u1
Beam 1 User 1

Beam 2
u2 User 2

12
 Precoding

Precoding can be classified by

amount of allowed MUI and
Linearity

Linear Precoding : Not

complex but low performance
Examples : Block-
Diagonalization, Successive
Optimization e.t.c.

Non-Linear Precoding :
complex but high performance
Examples : Tomlinson-
Harashima Precoding

13
 Outline

Introduction
Precoding
Dirty-Paper coding
Linear And Non-Linear Precoding
Dirty-Paper coding In MU-MIMO
References

14
 Dirty Paper Coding

Dirty paper coding (DPC) is a known-

interference cancellation technique for
reducing interference in the scalar BC
(Degraded BC).

Using coherent channel knowledge ( h k ,k = 1,

, K ), users are sequentially encoded; for
example, user 1 is encoded first, then user 2,
up to user K . A given user experiences
interference only from users encoded after it.
DPC can be extended to the MIMO BC (Non
Degraded BC) by incorporating beamforming.
The MIMO BC capacity region is equivalent to
the MIMO dirty paper coding (DPC) region.

15
 Dirty Paper Coding

DPC is a technique for efficient transmission of digital data through a

channel subjected to some interference known to the transmitter. The
technique consists of precoding the data in order to cancel the effect
caused by the interference .

The term 'dirty paper coding' comes from Max Costa[11], who imagined a
paper which is partially covered with dirt that is indistinguishable from ink,
the analogy is if the writer knows where the dirt is to start with, he can
convey just as much information by writing on the paper as if it were clean,
even though the reader does not know where the dirt is.

In this case the dirt is interference, the paper is the channel, the writer on
the paper is the transmitter, and the reader is the receiver.

In information-theoretic terms, dirty-paper coding achieves the channel

capacity, without a power penalty and without requiring the receiver to gain
knowledge of the interference state .

16
 Outline

Introduction
Precoding
Dirty-Paper coding
Linear And Non-Linear Precoding
Dirty-Paper coding In MU-MIMO
References

17
 Linear Precoding

S = Wu
s
x=

G ( S )(u )
x= = arg min || G ( S )(u ' ) ||2
' [ j ]|S |

xk = u k + d k sk , = arg min || uk + d k sk ' ||2 18

' [ j ]
 Linear precoding with multiple receive antennas basic idea

In single-user MIMO, the number of independent streams is optimally found

by using the SVD of channel. The power is optimally allocated to the
different streams by using the water filling scheme.

In Multiuser MIMO, the different streams can be allocated to a given user or

allocated between different users. We want to design a technique that
optimally allocates the streams in order to maximize the sum-rate.

A B C Etc

19
 Zero-Forcing Beamforming (ZF)

Zero-forcing (or Null-Steering) precoding :

A method of spatial signal processing by which the multiple antenna
transmitter can null MUI. Regularized zero-forcing precoding is enhanced
processing to consider the impact on a background noise and unknown
user interference. ( beamforming for narrowband signals to compensate delays of
received signals from a specific source at different elements of the antenna array).

Only add the weighted version of the signals with appropriate weight values in
such a manner that frequency domain output of weighted sum produces a zero
result.

In case of perfect CSI at AP, ZF-precoding can achieve almost the system
capacity when the number of users is large.

On the other hand, the performance of ZF heavily depends on partial CSI

accuracy.

20
Channel Inversion (CI)

+
W CI = H

21
Regularized CI

22
 Block-Diagonalization (BD)

CI is not practically an efficient solution since forcing closely spaced

antennas of same user would require extra power when channels for these
antennas are highly correlated.

Solution to this problem is Block-Diagonalization[1,3].

The BD algorithm is a generalization of the ZF precoder for receivers with

multiple antennas. A precoding matrix is used in order to block
diagonalize the channel. It can be used with partial or complete CSI.

Decomposes MU-MIMO DL channel into multiple parallel independent

single user MIMO DL channels.

Signal of each user is preprocessed at TX using a precoding matrix that

lies in the null space of all other users channel matrices. Thus nulling the
MUI.

BD is attractive if the users are equipped with more than one antenna.

Zero MUI constraint can lead to a large capacity loss when the users
subspaces significantly overlap. 23
 Block-Diagonalization (BD)

Both BD and SO are suboptimal in performance but very simple to

implement (allowing a trade-off) between complexity and performance.

BD impose a restriction that number of transmitting antennas should be

greater than total number of receive antennas.

Involves computation of SVD of equivalent channel matrix (offers low

computational cost .)

24
Successive Optimization (SO)

25
 Leakage Based Precoding

Leakage refers to the amount of interference caused by a specific

user on other users.

Maximizing the Signal To Leakage And Noise Ratio (SLNR) of all

user simultaneously instead of zeroing out the interference.

Instead of trying to perfectly cancel out the interference at each

user (as is with ZF) , leakage based precoding aims at minimizing
the interference caused by a signal intended for some user on the
remaining users.

Do not impose any restriction on the number of antennas.

On comparing with ZF , this scheme outperforms ZF method

26
 Transmit Preprocessing Using Decomposition Approach

A transmit preprocessing technique

[5] which decomposes a multiuser
MIMO DL channel into multiple
parallel independent single user
MIMO DL channel.

Thus any technique for single user

MIMO, such as VBLAST (Vertical
Bell Lab Space Time , MLD or joint
transmit and receive MIMO
processing (e.g. SVD based
technique) can be applied to MU-MIMO Decomposition
parallel channel.

Increasing the number of

transmitting antenna by one
increases the number of spatial
channels to each user by one.
27
 Non-Linear Precoding

THP was originally introduced as a non-linear transmitter

equalization technique for SISO channel with ISI.

For MU-MIMO , THP precoding[8] pre-subtracts the previously

precoded symbols intended for other users thus performing
spatial pre-equalization.
This interference pre-subtraction at the transmitter is well-
suited to BC channels because the decentralized nature of
receiver prevents joint processing of the received signals.
Perfect CSI knowledge is necessary for THP.
Perfect CSI enables the TX to precisely pre-subtract the term
that would interfere at the RX

28
 Tomlinson-Harashima Precoding

At RX Decision Feedback Equalization (DFE matrix) is used (non-

linear equalization technique) to overcome the effect of noise in MU-
MIMO.
Due to error propagation associated with DFE, a feedforward filter
is also used at TX.
Based on perfect CSI assumption at TX ,several THP schemes has
been proposed FOR BC channels including ZF, MMSE etc.
Avoided due to associated higher computational complexity.

TOMLINSON HARASHIMA PRECODING FOR MIMO

CHANNELS 29
 SO THP

The combination SO and THP [1] is used to improve the available

subspace of different users and eliminate any residual MUI.

The algorithm comprises of first evaluating the equivalent channel

matrix(which is Block Diagonal), then the reordering of users and in
the end precoding with THP.

First a precoding matrix is defined successively for all users.

The ordering of users in

which they are precoded
using THP is the reverse of
the order in which their
precoding matrices are
generated.
BLCOK DIAGRAM OF S0 THP SYSTEM

Modulo 2 is used at the TX

and RX , since THP increases 30
MMSE THP

LINEAR REPRESENTATION OF
THE PRECODER

31
Successive MMSE (SMMSE)

32
 Outline

Introduction
Precoding
Dirty-Paper coding
Linear And Non-Linear Precoding
Dirty-Paper coding In MU-MIMO
References

33
Dirty-Paper Coding

34
 Duality Of MIMO BC Region To MIMO MAC Region

Since MIMO BC channel is non degraded channel, its capacity

remains an unsolved problem.
In [9], they established a duality between the Dirty paper
achievable region (the Caire-Shamai achievable region) for
MIIMO BC channel and the capacity region of MIMO Multi
Access channel, which is easy to compute.
Thus using duality greatly reduces computational complexity
required for obtaining the DP achievable region for the MIMO
BC.
The duality also allows previously known results for MIMO
MAC to MIMO BC.
The DP achievable region achieves the sum rate (maximum
capacity ) of the MIMO BC.

35
 References

[1] Stankovic, Veljko, and Martin Haardt. "Multi-user MIMO downlink precoding
for users with multiple antennas." Proc. of the 12-th Meeting of the Wireless
World Research Forum (WWRF), Toronto, ON, Canada. Vol. 10. 2004.
[2] Spencer, Quentin H., and Martin Haardt. "Capacity and downlink transmission
algorithms for a multi-user MIMO channel." Signals, Systems and Computers,
2002. Conference Record of the Thirty-Sixth Asilomar Conference on. Vol. 2.
IEEE, 2002.
[3] Spencer, Quentin H., A. Lee Swindlehurst, and Martin Haardt. "Zero-forcing
methods for downlink spatial multiplexing in multiuser MIMO channels." Signal
Processing, IEEE Transactions on 52.2 (2004): 461-471.
[4] Li, Ye Geoffrey, and Gordon L. Stuber. Orthogonal frequency division multiplexing
for wireless communications. Springer Science & Business Media, 2006.
[5] Choi, Lai-U., and Ross D. Murch. "A transmit preprocessing technique for
multiuser MIMO systems using a decomposition approach." Wireless
Communications, IEEE Transactions on 3.1 (2004): 20-24.

36
 References

[6] Spencer, Quentin H., et al. "An introduction to the multi-user MIMO
downlink."Communications Magazine, IEEE 42.10 (2004): 60-67.
[7] Joham, Michael, Johannes Brehmer, and Wolfgang Utschick. "MMSE
approaches to multiuser spatio-temporal Tomlinson-Harashima precoding." ITG
FACHBERICHT (2004): 387-394.
[8] Shenouda, Michael Botros, and Timothy N. Davidson. "Tomlinson-Harashima
precoding for broadcast channels with uncertainty." Selected Areas in
Communications, IEEE Journal on 25.7 (2007): 1380-1389.
[9] Vishwanath, Sriram, Nihar Jindal, and Andrea Goldsmith. "On the capacity of
multiple input multiple output broadcast channels." Communications, 2002. ICC
2002. IEEE International Conference on. Vol. 3. IEEE, 2002.
[10] Jindal, Nihar, and Andrea Goldsmith. "Dirty-paper coding versus TDMA for
MIMO broadcast channels." Information Theory, IEEE Transactions on 51.5
(2005): 1783-1794.
[11] Costa, Max HM. "Writing on dirty paper (corresp.)." Information Theory, IEEE
Transactions on 29.3 (1983): 439-441.
37