Limited Feedback v3

Limited Feedback for Single- and Multi-User MIMO
389.168 Advanced Wireless Communications 1
stefan.schwarz@nt.tuwien.ac.at
Contents
1 Motivation
2 Codebook based Single-User MIMO Feedback for LTE
3 Multi-User MIMO Feedback for LTE
4 Multi-User MIMO with Channel Subspace Feedback
5 Multi-User MIMO with Channel Gramian Feedback
6 Feedback Overhead Reduction through Excess Antennas
Slide 2 / 89
Contents
Contents
1 Motivation
Slide 3 / 89
Motivation
Limited Feedback: What and Why?
Value of channel state information at the transmitter (CSIT):

Channel quality information (e.g., SINR, achievable rate):
Improve robustness and efficiency through rate adaptation
Exploit channel and multi-user diversity through scheduling
Channel matrix information:
Single-user communication: mostly a power/beamforming gain
(water-filling versus equal power)
Multi-user (point) communication: capacity/multiplexing gain
(exploitation of degrees of freedom)
Slide 4 / 89
Motivation
Limited Feedback: What and Why?
Value of channel state information at the transmitter (CSIT):

Channel quality information (e.g., SINR, achievable rate):
Improve robustness and efficiency through rate adaptation
Exploit channel and multi-user diversity through scheduling
Channel matrix information:
Single-user communication: mostly a power/beamforming gain
(water-filling versus equal power)
Multi-user (point) communication: capacity/multiplexing gain
(exploitation of degrees of freedom)
Slide 4 / 89
Motivation
Performance of LTEs Modulation and Coding Schemes
SISO_1.4MHz_flatRayleigh
CQI 15
Throughput [Mbit/s]
1
CQI 1
-5
10
15
SNR [dB]
20
25
30
Frequency flat Rayleigh fading channel with 1.4 MHz bandwidth

Throughput over average SNR for transmission with fixed rate
15 MCSs with rates ranging form 0.15 bit/cu to 5.55 bit/cu
Slide 5 / 89
Motivation
Scheduling Gains through CQI Feedback [Schwarz et al., 2010]
Throughput [Mbit/s]
10
8
RR
MaxMin
PF
BCQI
6
4
2
0
5
10
15
20
25
UE index (= UE SNR [dB])
25 users with average SNRs ranging from 1 to 25 dB

Round robin: assign resources in consecutive order
MaxMin: maximize minimum user throughput throughput equalization
Proportional fair: maxj
Tj
Tj
Best CQI: schedule user with highest CQI

Slide 6 / 89
Motivation
Scheduling Gains through CQI Feedback (2)

45
40
0.8
Jains Fairness Index
Throughput [Mbit/s]
35
30
25
20
15
10
0.6
0.4
0.2
5
0
RR
MaxMin
PF
Scheduler
BCQI
RR
MaxMin
PF
Scheduler
BCQI
Comparison of sum throughput and fairness of resource allocation

Jains fairness index:
P
J=
J
J
j=1
PJ
Tj
j=1
2
2
(1)
Tj
Ranges from 1 (highest fairness = equal throughput) to 1/J

Slide 7 / 89
Motivation
Throughput user 2 [bits per channel use]
Scheduling with Fairness Constraint [Schwarz et al., 2011]
J=1
Rate region
0.8
J = 0.9
0.6
J = 0.73
Maxmin. solution
0.4
Prop. fair solution

0.2
0
Max. throughput solution

0
0.5
1
1.5
2
Two-user achievable rate region with operating points of some schedulers

A fairness constraint J J0 cuts out a convex cone
Operating points of -fair sum-utility maximization
maximize:
J
X
j=1
Slide 8 / 89

U T (j) ,
( x 1
U (x) =
, 0, 6= 1
(2)
log(x), = 1
Motivation
1
0.8
0.6
0.4
0.2
0
0.8
.70
J0
Rate region
0
0.5
1
1.5
2

maximize:
J
X
j=1
Slide 8 / 89

U T (j) ,
( x 1
U (x) =
, 0, 6= 1
(2)
log(x), = 1
Motivation
= 1000
0.8
= 1
0.6
= 0
0.4
0.2
0
0.8
.70
J0
Rate region
0
0.5
1
1.5
2

maximize:
J
X
j=1
Slide 8 / 89

U T (j) ,
( x 1
U (x) =
, 0, 6= 1
(2)
log(x), = 1
Motivation
Limited Feedback: What and Why? (2)
Acquisition of CSIT:
TDD or full-duplex: channel estimation at the transmitter possible
Careful calibration of uplink/downlink chains to ensure reciprocity
Timing synchronization difficult
FDD: CSIT cannot be estimated by the transmitter
Currently dominates the field
Explicit CSI feedback from the receiver required
Limited uplink overhead quantization
Slide 9 / 89
Motivation
Limited Feedback: What and Why? (2)
Acquisition of CSIT:
TDD or full-duplex: channel estimation at the transmitter possible
Careful calibration of uplink/downlink chains to ensure reciprocity
Timing synchronization difficult
FDD: CSIT cannot be estimated by the transmitter
Currently dominates the field
Explicit CSI feedback from the receiver required
Limited uplink overhead quantization
Slide 9 / 89
Motivation
Contents
1 Motivation
Slide 10 / 89
Codebook based Single-User MIMO Feedback for LTE
Direct Channel Quantization
Remember the capacity-optimal SVD transceiver

H = UVH
1/2
F = VP
(3)
H
, G=U
(4)
For precoder calculation the transmitter requires V and diag ()

Direct quantization of H in Euclidean space [Zheng and Rao, 2008]
= argmin kH Hq k , H CNr Nt ,
H
(5)
Hq H
=U
H
V
H
(6)
Inefficient, as the structure of the quantization problem is neglected
Slide 11 / 89
Direct Channel Quantization
Remember the capacity-optimal SVD transceiver

H = UVH
1/2
F = VP
(3)
H
, G=U
(4)
For precoder calculation the transmitter requires V and diag ()

Direct quantization of H in Euclidean space [Zheng and Rao, 2008]
= argmin kH Hq k , H CNr Nt ,
H
(5)
Hq H
=U
H
V
H
(6)
Inefficient, as the structure of the quantization problem is neglected
Slide 11 / 89
Direct Channel Quantization (2)
Separate quantization exploiting the structure of the problem

[Schwarz and Rupp, 2014b]
= argmin k si k22 ,
si S

T
= [](1,1) , . . . , [](Nr ,Nr ) ,

2

H
= argmin d 2 [Qi ]
V
c
(:,j) , [V](:,j) = argmin Nr [Qi ](:,j) [V](:,j) ,
(8)
Qi Q
Qi Q
r 1
S RN
,
+
(7)
Q=
o

Qi CNt Nr QH
St(Nt , Nr )
i Qi = INr
(9)
Notice the order of the singular-vectors is important for power allocation

compact Stiefel manifold St(Nt , Nr )
Slide 12 / 89

Water-filling power allocation provides mostly only a minor gain over on-off
switching of modes employ equal power allocation over L active modes
Grassmannian quantization with rank selection

= argmin d 2 (Qi , VL ) = argmin L tr QH VL VH Qi , VL = [V]
V
c
i
L
:,1:L ,
Qi Q
(10)
Qi Q
L = number of non-zero elements (diag (P)) ,

Q=
o

Qi CNt L QH
i Qi = IL G(Nt , L)
(11)
(12)

Only subspace information span VL required Grassmannian quantization
Unitary rotations of Qi are irrelevant
Qi Qj Qi = Qj U, UH U = UUH = IL ,

H
H
log2 det INr + HQi QH
= log2 det INr + HQj UUH QH
=
i H
j H

H
log2 det INr + HQj QH
j H
(13)
(14)
feedback overhead reduction compared to Stiefel manifold quantization

Slide 13 / 89


V
c
i
L
:,1:L ,
Qi Q
(10)
Qi Q

Q=
o

Qi CNt L QH
i Qi = IL G(Nt , L)
(11)
(12)


H
H
=
i H
j H

H
j H
(13)
(14)

Slide 13 / 89


V
c
i
L
:,1:L ,
Qi Q
(10)
Qi Q

Q=
o

Qi CNt L QH
i Qi = IL G(Nt , L)
(11)
(12)


H
H
=
i H
j H

H
j H
(13)
(14)

Slide 13 / 89
Codebook Based Precoding
Instead of quantizing the channel, let the user directly select the precoder
from a given codebook F
Outperforms direct channel quantization [Love and Heath, Jr., 2005]
Optimal quantization codebook constructions [Love and Heath, Jr., 2005]
Maximally spaced subspace packings on the Grassmannian
Difficult to obtain in general
(some pre-calculated codebooks can be found at [Love, 2006])
Algorithm for finding good codebooks [Dhillon et al., 2007]
Slide 14 / 89
Codebook Based Precoding
Instead of quantizing the channel, let the user directly select the precoder
from a given codebook F
Outperforms direct channel quantization [Love and Heath, Jr., 2005]
Optimal quantization codebook constructions [Love and Heath, Jr., 2005]
Maximally spaced subspace packings on the Grassmannian
Difficult to obtain in general
(some pre-calculated codebooks can be found at [Love, 2006])
Algorithm for finding good codebooks [Dhillon et al., 2007]
Slide 14 / 89
Codebook Based Precoding (2)
More practical codebook constructions (low complexity implementation)

Constant modulus (phase-shifts only), nested codebooks
Codebooks based on DFT [Yang et al., 2010]
Codebooks based on QAM constellations [Ryan et al., 2007]
This approach is applied in LTE
Slide 15 / 89
LTEs Signal Processing Chain
Precoding matrix
indicator (PMI)
Rank indicator (RI)
Channel quality
indicator (CQI)
AMC scheme selection
Coding
Interleaving
Segmentation
User data
Other user data
Transmit signal generation
MIMO preprocessing
Symbol
constellation
mapping
Code words c
Spatial
layer
mapping
Symbols
Spatial
precoding (Ws)
Layers (L)
Nt
Resource
element
mapping
System
overhead
insertion
IFFT
CP insertion
Resource
element
mapping
System
overhead
insertion
IFFT
CP insertion
(Nt)
Nr
Receiver
H
Transmit
signal
Receive
signal
Equalization
Demapping
Decoding
Feedback
calculation
Adaptive modulation and coding (AMC)

Multiple MCSs M to adapt the rate to the channel conditions
Preferred MCS signalled by means of CQI feedback
Multiple code words to account for different channel qualities of different layers
In LTE one code word c is mapped onto multiple layers Lc
The CQI feedback can be subband or wideband specific (scheduling)
Slide 16 / 89
LTEs Signal Processing Chain (2)

Precoding matrix
indicator (PMI)
Rank indicator (RI)
Channel quality
indicator (CQI)
Coding
Interleaving
Segmentation
User data
Other user data
MIMO preprocessing
Symbol
constellation
mapping
Code words c
Spatial
layer
mapping
Symbols
Spatial
precoding (Ws)
Layers (L)
Nt
Resource
element
mapping
System
overhead
insertion
IFFT
CP insertion
Resource
element
mapping
System
overhead
insertion
IFFT
CP insertion
(Nt)
Nr
Receiver
H
Transmit
signal
Receive
signal
Equalization
Demapping
Decoding
Feedback
calculation
MIMO preprocessing
Exploit the potential MIMO gains (beamforming, diversity, spatial multiplexing)
Feedback reduction: precoders are confined to a code book F (L) CNt L
The receiver selects and feeds back:
The preferred number of layers L (rank) - RI (OLSM, CLSM)
The best precoder from the code book - PMI (CLSM)
The same rank is used on all REs (L Lmax = rank(H))
Precoder feedback can be subband or wideband specific
Slide 17 / 89
LTEs Signal Processing Chain (3)

Precoding matrix
indicator (PMI)
Rank indicator (RI)
Channel quality
indicator (CQI)
Coding
Interleaving
Segmentation
User data
Other user data
MIMO preprocessing
Symbol
constellation
mapping
Code words c
Spatial
layer
mapping
Symbols
Spatial
precoding (Ws)
Layers (L)
Nt
Resource
element
mapping
System
overhead
insertion
IFFT
CP insertion
Resource
element
mapping
System
overhead
insertion
IFFT
CP insertion
(Nt)
Nr
Receiver
H
Transmit
signal
Receive
signal
Equalization
Demapping
Decoding
Feedback
calculation

OFDM: the bandwidth is divided into K orthogonal subcarriers
The CP orthogonalizes OFDM symbols (in time)
Temporal frame structure: per frame R REs r are available
Consecutive REs are grouped into S R subbands
The mapping maps an RE r to the corresponding subband s: (r ) s
The subband size determines the feedback granularity
Slide 18 / 89
Resource Elements and Subbands

Resource
element r
Resources R
OFDM symbols
Subband s
rs
ye
La
OFDM subcarriers
Set of REs
Rs
Rs . . . set of REs corresponding to subband s
Slide 19 / 89
Closed-Loop Precoding in LTE/LTE-A

Codebook
index
Number of layers `
1
2
1 1
2 1
1 1
2 -1
1 1 1
2 1 -1
1 1
2 j
1 1 1
2 j -j
1 1
2 -j
CLSM supports CQI, RI and PMI feedback

Codebook construction for Nt = 2 [3GPP, 2009]:
DFT matrices
Nested + constant modulus (QPSK)
Codebook construction for Nt = 4 [3GPP, 2009]:
Obtained from Householder matrices: Fi = I 2 ui uH
i , i {1, . . . , 16}
Nested + constant modulus (QPSK, some elements from 8-PSK)
Slide 20 / 89
Closed-Loop Precoding in LTE/LTE-A (2)

8
[i1 ,i 2 ] = [4,0]
[i1 ,i 2 ] = [11,0]
4
2
0
0
[i1 ,i 2 ] = [0,0]
[i1 ,i 2 ] = [0,1]
[i1 ,i 2 ] = [7,0]
Antenna gain
Antenna gain
[i1 ,i 2 ] = [0,0]
[i1 ,i 2 ] = [0,2]
[i1 ,i 2 ] = [0,3]
4
2
45
90
135
Steering Angle []
0
0
180
45
90
135
Steering Angle []
180
Wideband and Subband Beamformers of LTE-A assuming a ULA with Nt = 8
Nt = 8: product of subband and wideband precoder [3GPP, 2010]

(2)
Fs = F(1) Fs ,
F
(1)
(1)
FL
Nt L
(1)
=I
Same notation for Nt 4: simply set FL
Slide 21 / 89
(2)
(15)
(2)
FL
Nt L
(16)
Closed-Loop Precoding in LTE/LTE-A (2)
Rank
Number of
wideband precoders
Number of
subband precoders
Total number of
precoder combinations
16
16
4
4
4
4
4
1
16
16
16
8
1
1
1
1
256
256
64
32
4
4
4
1
1
2
3
4
5
6
7
8
Nt = 8: product of subband and wideband precoder [3GPP, 2010]

(2)
Fs = F(1) Fs ,
F
(1)
(1)
FL
Nt L
(1)
=I
Same notation for Nt 4: simply set FL
Slide 21 / 89
(2)
(15)
(2)
FL
Nt L
(16)
Input-Output Relationship and Post-equalization SINR

Received signal vector yr CNr 1 on RE r
yr = Hr Fs sr + zr , r {1, . . . , R}, s = (r )
Estimated symbol-vector s r CL1 with linear equalizer
s r = Gr yr = Gr Hr Fs sr + Gr zr
| {z }
Kr
E.g., MMSE receiver

1
Gr = (Hr Fs )H Hr Fs + z2 I
(Hr Fs )H
(17)
Post-equalization SINR of layer `

SINRr ,` (Fs ) = P
Slide 22 / 89
P` |Kr [`, `]|2

2
2
2
i6=` Pi |Kr [`, i]| + z |Gr [`, i]|
(18)

yr = Hr Fs sr + zr , r {1, . . . , R}, s = (r )
| {z }
Kr
E.g., MMSE receiver

1
(Hr Fs )H
(17)

SINRr ,` (Fs ) = P
Slide 22 / 89
P` |Kr [`, `]|2

2
2
2
i6=` Pi |Kr [`, i]| + z |Gr [`, i]|
(18)

yr = Hr Fs sr + zr , r {1, . . . , R}, s = (r )
| {z }
Kr
E.g., MMSE receiver

1
(Hr Fs )H
(17)

SINRr ,` (Fs ) = P
Slide 22 / 89
P` |Kr [`, `]|2

2
2
2
i6=` Pi |Kr [`, i]| + z |Gr [`, i]|
(18)
Selection of Feedback Indicators [Schwarz and Rupp, 2011]
RI and PMI: maximize estimated user throughput

(t)
CQI: largest rate that ensures operation below target BLER Pb (common
practice) estimation of BLER for each MCS required
Static SISO-AWGN channel: BLER versus SNR is known (simulations)
SNR estimation is sufficient
Fading environment: SINR changes over REs r and layers `
Linear averaging of SNRs: diversity order of the channel not represented
More accurate: effective SNR mapping (ESM) [Tsai and Soong, 2003]
Mapping of SINRs onto equivalent AWGN-SNR
Slide 23 / 89

(t)
Slide 23 / 89
SINRr,l (Ws)
ESM SINR
averaging fm
SNRsc (Ws,m)
AWGN SNR
to BLER
mapping gm Psc (Ws,m)
Effective SNR averaging for BLER estimation

(t)
Slide 23 / 89
Effective SNR Mapping

Consider the SINRs of the REs corresponding to subband s and of the layers
belonging to code word c
SINRr ,` (Fs ) , r Rs , ` Lc
(19)
To estimate the BLER of code word c using MCS m, we calculate an effective

AWGN equivalent SNR
SNRcs
(Fs , m) =
fm1
|Rs | |Lc |
fm SINRr ,l

(Fs )
(20)
r Rs ,lLc
fm (SNR). . . SINR averaging function of MCS m

Mutual information effective SNR mapping (MIESM): fm (SINR) is the
(calibrated) BICM capacity of the corresponding modulation order
(4/16/64 QAM) [Wan et al., 2006]
Exponential effective SNR mapping (EESM): fm (SINR) is an exponential
function [Sandanalakshmi et al., 2007]
Slide 24 / 89

(19)

AWGN equivalent SNR
SNRcs
(Fs , m) =
fm1
|Rs | |Lc |
fm SINRr ,l

(Fs )
(20)
r Rs ,lLc

(4/16/64 QAM) [Wan et al., 2006]
Slide 24 / 89

(19)

AWGN equivalent SNR
SNRcs
(Fs , m) =
fm1
|Rs | |Lc |
fm SINRr ,l

(Fs )
(20)
r Rs ,lLc

(4/16/64 QAM) [Wan et al., 2006]
Slide 24 / 89
BICM Capacity MIESM Averaging Functions
channel
coding
data bits
bit
interleaving
coded bits
modulation
mapping
interleaved bits
modulated symbols
BICM architecture
BICM architecture as applied by LTE

BICM capacity mapping functions fm (SINR) = Bm
Slide 25 / 89
SINR
m
BICM Capacity MIESM Averaging Functions

SISO_AWGN
Shannon capacity
Spectral efficiency [bit/s/Hz]
7
BICM 64 capacity
6
5
BICM 16 capacity
4
3
BICM 4 capacity
2
1
0
-6 -4 -2
8 10 12 14 16 18 20 22 24
SNR [dB]
BICM capacity curves versus AWGN Shannon capacity
BICM architecture as applied by LTE

BICM capacity mapping functions fm (SINR) = Bm
Slide 25 / 89
SINR
m
ESM Calibration Sensitivity

100
95% confidence interval
SISO_1.4MHz_CQI6
MIESM
Weighted MSE
10-1
EESM
10-2
10-3
0.5
0.75
1.25
1.5
1.75
Calibration parameter
2.25
2.5
MSE of the estimated SNR for MIESM and EESM in dependence of the calibration parameter

fm (SINR) = Bm
SINR
m

,
m . . . calibration parameter
(21)
Calibration according to [He et al., 2007, Cipriano et al., 2008]
Slide 26 / 89
MIESM SNR Averaging Performance

100
SISO AWGN BLER

MIESM estimation
SISO_1.4MHz_AWGN_TU
Block error ratio
10-1
10-2
10-3
-10
-5
5
10
SNR [dB]
15
20
25
Comparison of the MIESM abstraction for a 1.4 MHz typical urban channel to the average BLERs of LTEs 15 MCSs
achieved over a 1.4 MHz AWGN channel.
With the AWGN equivalent SNR, the BLER of MCS m is estimated as

Psc (Fs , m) = gm SNRcs (Fs , m)
(22)
gm (SNR). . . AWGN SNR-BLER lookup table

Slide 27 / 89
Spectral Efficiency Estimation
SINRr,l (Ws)
ESM SINR
averaging fm
SNRsc (Ws,m)
AWGN SNR
to BLER
mapping gm Psc (Ws,m)
Spectral
efficiency
estimation
Esc(Ws,m)
Calculation steps required for spectral efficiency estimation
Define the following function

(
hm (P) =
(t)
em , P Pb
(t)
0, P > Pb
em . . . spectral efficiency of MCS m
Estimated spectral efficiency achieved with MCS m

Esc (Fs , m) = hm (Psc (Fs , m)) (1 Psc (Fs , m))
Slide 28 / 89
(23)
Feedback Indicator Selection Optimization Problem
n o
i
F s
s }S =
L,
, {m
S
argmax
CL
S X
X
Esc (Fs , ms [c])
(2)
L,F(1) ,Fs ,ms s=1 c=1
subject to: L Lmax

(L)
F(1) F1
(2)
Fs
(L)
F2
ms MCL 1
CL . . . number of code words employed when L layers are transmitted

S . . . number of feedback subsets
Non-linear combinatorial optimization problem exhaustive search
Practically infeasible within 1 ms subframe duration
Slide 29 / 89
Approximate Sequential Solution

1 Preselect rank and precoders from theoretical spectral efficiency (mutual
information, BICM capacity) without considering the BLER
2 Given precoders and rank, select the highest MCS achieving the BLER target
Estimated spectral efficiency of RE r for L layers and precoder Fs
Ir (Fs , L) =
CL
X
X

f SINRr ,` (Fs ) ,
s = (r )
c=1 `Lc
f (SINR). . . spectral efficiency function (mutual information, BICM capacity)

Optimal subband precoder for fixed rank L and wideband precoder F(1)

(2)
F s
F(1) , L = argmax Is (Fs , L) ,
(2)
(24)
(L)
Fs F2
Is (Fs , L) =
Ir (Fs , L) ,
(2)
Fs = F(1) Fs
(25)
r Rs
Slide 30 / 89

Ir (Fs , L) =
CL
X
X

f SINRr ,` (Fs ) ,
s = (r )
c=1 `Lc


(2)
F s
(2)
(24)
(L)
Fs F2
Is (Fs , L) =
Ir (Fs , L) ,
(2)
Fs = F(1) Fs
(25)
r Rs
Slide 30 / 89

Ir (Fs , L) =
CL
X
X

f SINRr ,` (Fs ) ,
s = (r )
c=1 `Lc


(2)
F s
(2)
(24)
(L)
Fs F2
Is (Fs , L) =
Ir (Fs , L) ,
(2)
Fs = F(1) Fs
(25)
r Rs
Slide 30 / 89
Approximate Sequential Solution (2)

Optimal wideband precoder for fixed rank L
(1)
F (L) = argmax I (Fs , L) ,
(26)
(L)
F(1) F1
I (Fs , L) =
S
X
Is (Fs , L) ,
(2)
Fs = F(1) F s

F(1) , L
s=1
Optimal rank

= argmax I F s (L), L ,
L
LLmax
(1)

(1)
(2)
F s (L) = F (L) F s
F (L), L
Further simplification: replace f (SINR) with the pre-equalization efficiency

1
H
I(Fs ) = log2 det I + 2 Hr Fs FH
s Hr
z
(27)
Performs only well with maximum likelihood (ML) detection
Slide 31 / 89

(1)
(26)
(L)
F(1) F1
I (Fs , L) =
S
X
Is (Fs , L) ,
(2)
Fs = F(1) F s

F(1) , L
s=1
Optimal rank

L
LLmax
(1)

(1)
(2)
F s (L) = F (L) F s
F (L), L

1
H
s Hr
z
(27)
Slide 31 / 89

(1)
(26)
(L)
F(1) F1
I (Fs , L) =
S
X
Is (Fs , L) ,
(2)
Fs = F(1) F s

F(1) , L
s=1
Optimal rank

L
LLmax
(1)

(1)
(2)
F s (L) = F (L) F s
F (L), L

1
H
s Hr
z
(27)
Slide 31 / 89
Performance Investigation Rate Adaptation

CQI 15
Throughput [Mbit/s]
1
CQI 1
-5
10
15
SNR [dB]
20
25
30
Evaluation of CQI feedback methods for SISO transmission over 1.4 MHz bandwidth
Performance of LTEs 15 MCSs without rate adaptation

Rate adaptation based on instantaneous SINR without feedback delay
Rate adaptation based on instantaneous SINR with outdated feedback
Rate adaptation based on long term average SINR
Slide 32 / 89

CQI 15
instantaneous CQI, delay 0
Throughput [Mbit/s]
1
CQI 1
-5
10
15
SNR [dB]
20
25
30

Slide 32 / 89

CQI 15
Throughput [Mbit/s]
4
1
CQI 1
-5
10
15
SNR [dB]
20
25
30

Slide 32 / 89

CQI 15
Throughput [Mbit/s]
4
3
long-term CQI, delay 1
1
CQI 1
-5
10
15
SNR [dB]
20
25
30

Slide 32 / 89
Performance Investigation Rate Adaptation (2)

SISO_1.4MHz_flatRayleigh_20dB
Throughput [Mbit/s]
3.75
3.5
3.25
3
instantaneous CQI
2.75
2.5
2.25
2
0.01
5.15
0.1
Normalized Doppler frequency
51.5
User velocity [km/h] @ 2.1 GHz carrier frequency
515
Impact of feedback delay on CQI adaptation methods
Rate adaptation based on instantaneous SINR

d = fd Ts = fc
v
Ts
c0
(28)
Rate adaptation based on instantaneous SINR with linear extrapolation

Rate adaptation based on instantaneous SINR with RLS prediction
Slide 33 / 89

Throughput [Mbit/s]
3.75
3.5
3.25
3
instantaneous CQI
2.75
2.5
2.25
2
0.01
5.15
instantaneous CQI
linear extrapolation
0.1
51.5
515

d = fd Ts = fc
v
Ts
c0
(28)

Slide 33 / 89

instantaneous CQI
RLS prediction
Throughput [Mbit/s]
3.75
3.5
3.25
3
instantaneous CQI
2.75
2.5
2.25
2
0.01
5.15
instantaneous CQI
0.1
51.5
515

d = fd Ts = fc
v
Ts
c0
(28)

Slide 33 / 89

instantaneous CQI
RLS prediction
Throughput [Mbit/s]
3.75
3.5
long-term CQI
adaptive averaging window size
3.25
3
instantaneous CQI
2.75
2.5
2.25
2
0.01
5.15
instantaneous CQI
0.1
51.5
515

d = fd Ts = fc
v
Ts
c0
(28)

Slide 33 / 89
Performance Investigation Rank Adaptation

4x4_1.4MHz_VehA_corr0
18
16
rank adaptive
Throughput [Mbit/s]
14
12
rank 3
rank 4
10
8
rank 2
6
4
rank 1
2
0
-10
-5
10
15
20
SNR [dB]
25
30
35
40
Comparison of fixed rank and rank adaptive transmission over 1.4MHz system bandwidth
Rank adaptation versus fixed rank transmission for spatially uncorrelated channel
Rank adaptation versus fixed rank transmission for spatially correlated channel

1/9
E vec (H) vec (H)H = corr

4/9
corr
corr
1/9
corr
1
1/9
corr
4/9
corr
4/9
corr
1/9
corr
1
1/9
corr
corr
4/9
corr
1/9
corr
1
INt , corr = 0.9
(29)
Slide 34 / 89
Performance Investigation Rank Adaptation

4x4_1.4MHz_VehA_corr0
18
16
Throughput [Mbit/s]
Throughput [Mbit/s]
rank 3
rank 4
10
8
rank 2
rank 4
12
10
rank 3
8
rank 2
6
4
4
rank 1
2
0
-10
rank adaptive
14
rank adaptive
14
12
4x4_1.4MHz_VehA_corr0.9
16
-5
10
15
20
SNR [dB]
25
30
2
35
40
0
-10
rank 1
-5
10
15
20
SNR [dB]
25
30
35
40
Comparison of fixed rank and rank adaptive transmission over 1.4MHz system bandwidth
Rank adaptation versus fixed rank transmission for spatially uncorrelated channel
Rank adaptation versus fixed rank transmission for spatially correlated channel

1/9
E vec (H) vec (H)H = corr

4/9
corr
corr
1/9
corr
1
1/9
corr
4/9
corr
4/9
corr
1/9
corr
1
1/9
corr
corr
4/9
corr
1/9
corr
1
INt , corr = 0.9
(29)
Slide 34 / 89
Performance Investigation Precoder Subband Size

8x1_10MHz_TU_8bit
45
40
MRT
Throughput [Mbit/s]
35
30
25
20
15
10
subband size = 600
5
0
-10
-5
5
SNR [dB]
10
15
20
Impact of the subband size with Nt Nr = 8 1, 10 MHz bandwidth, 400 kHz coherence bandwidth and precoder
codebook size of 8 bit
Performance with a single feedback subband (600 subcarriers) compared to

maximum ratio transmission (MRT) on each subcarrier
Performance with a subband size of 300 subcarriers
Performance with a subband size of 12 subcarriers (one RB = 180 kHz)
Slide 35 / 89

8x1_10MHz_TU_8bit
45
40
MRT
Throughput [Mbit/s]
35
30
25
20
15
subband size = 300
10
subband size = 600
5
0
-10
-5
5
SNR [dB]
10
15
20

Slide 35 / 89

8x1_10MHz_TU_8bit
45
40
MRT
Throughput [Mbit/s]
35
30
25
subband size = 120
20
15
subband size = 300
10
subband size = 600
5
0
-10
-5
5
SNR [dB]
10
15
20

Slide 35 / 89

8x1_10MHz_TU_8bit
45
40
MRT
Throughput [Mbit/s]
35
30
25
20
subband size = 60
subband size = 120
15
subband size = 300
10
subband size = 600
5
0
-10
-5
5
SNR [dB]
10
15
20

Slide 35 / 89

8x1_10MHz_TU_8bit
45
40
MRT
Throughput [Mbit/s]
35
subband size = 12
30
25
20
subband size = 60
subband size = 120
15
subband size = 300
10
subband size = 600
5
0
-10
-5
5
SNR [dB]
10
15
20

Slide 35 / 89
Performance Investigation Precoder Codebook Size

8x1_10MHz_VehA_50clusters
45
40
MRT
Throughput [Mbit/s]
35
30
25
20
~9 dB
15
10
1 bit
5
0
-10
-5
5
SNR [dB]
10
15
20
Impact of the codebook size with Nt Nr = 8 1, 10 MHz bandwidth, 550 kHz coherence bandwidth and subband
size of 180 kHz
Performance with a codebook size of 1 bit compared to maximum ratio

transmission (MRT) on each subcarrier
Performance with a codebook size of 2 bit
Performance with a codebook size of 8 bit (LTE codebook)
Slide 36 / 89

45
40
MRT
Throughput [Mbit/s]
35
30
25
20
~9 dB
15
2 bit
10
1 bit
5
0
-10
-5
5
SNR [dB]
10
15
20
size of 180 kHz

Slide 36 / 89

45
40
MRT
Throughput [Mbit/s]
35
30
25
20
4 bit
~9 dB
15
2 bit
10
1 bit
5
0
-10
-5
5
SNR [dB]
10
15
20
size of 180 kHz

Slide 36 / 89

45
40
MRT
Throughput [Mbit/s]
35
30
25
8 bit
20
4 bit
~9 dB
15
2 bit
10
1 bit
5
0
-10
-5
5
SNR [dB]
10
15
20
size of 180 kHz

Slide 36 / 89

45
40
MRT
Throughput [Mbit/s]
35
16 bit
30
25
8 bit
20
4 bit
~9 dB
15
2 bit
10
1 bit
5
0
-10
-5
5
SNR [dB]
10
15
20
size of 180 kHz

Slide 36 / 89
Contents
1 Motivation
Slide 37 / 89
Multi-User MIMO Feedback for LTE
Downlink Multi-User MIMO in LTE
H
yu = HH
u fu xu + Hu
U
X
fj xj + zu
(30)
j=1
j6=u
Basic multi-user MIMO already supported in Rel. 8 (transmission mode 5)

Restricted to two transmit antennas and single stream per user
Codebook based precoding using the CLSM codebook
In general, large residual multi-user interference
per user unitary rate control (PU2RC)
Extended multi-user MIMO support > Rel. 9 (modes 8, 9)
Non-codebook based precoding
Enables more sophisticated transceivers
Performance restricted by low accuracy of CSIT interference
zero forcing (ZF) beamforming
Slide 38 / 89
Downlink Multi-User MIMO in LTE
H
yu = HH
u fu xu + Hu
U
X
fj xj + zu
(30)
j=1
j6=u
Basic multi-user MIMO already supported in Rel. 8 (transmission mode 5)

Restricted to two transmit antennas and single stream per user
Codebook based precoding using the CLSM codebook
In general, large residual multi-user interference
per user unitary rate control (PU2RC)
Extended multi-user MIMO support > Rel. 9 (modes 8, 9)
Non-codebook based precoding
Enables more sophisticated transceivers
Performance restricted by low accuracy of CSIT interference
zero forcing (ZF) beamforming
Slide 38 / 89
Per User Unitary Rate Control
Precoders are restricted to be selected from a predefined codebook

Codebook for transmission of L streams from Nt antennas
(Nt )
QL
o

Fi CNt L FH
i Fi = IL , i {1, . . . , np } G (Nt , L) ,
yu = HH
u
P
Fx + zu = HH
u [f1 , . . . , fL ] x + zu
L
(31)
(32)
Each column is assigned to serve a different user

E.g., column is assigned to user u
yu = HH
u
P
f xu + HH
u
L
L
P X
f x + zu ,
L =1
(33)
6=
Slide 39 / 89
Per User Unitary Rate Control
Precoders are restricted to be selected from a predefined codebook

Codebook for transmission of L streams from Nt antennas
(Nt )
QL
o

Fi CNt L FH
i Fi = IL , i {1, . . . , np } G (Nt , L) ,
yu = HH
u
P
Fx + zu = HH
u [f1 , . . . , fL ] x + zu
L
(31)
(32)
Each column is assigned to serve a different user

E.g., column is assigned to user u
yu = HH
u
P
f xu + HH
u
L
L
P X
f x + zu ,
L =1
(33)
6=
Slide 39 / 89
Per User Unitary Rate Control (2)
Optimal linear receiver: interference-aware MMSE

1
L
2
P HX
gu =
I
f fH
+
H
M
z
Hu
u
u
L
=1
P H
H f
L u
(34)
6=
Can be calculated because the precoders are restricted to the codebook

Post-equalization SINR
SINRu =
Slide 40 / 89
H H 2
gu Hu f

PL
H H 2 + z2 kgu k2
=1, 6= gu Hu f
P
L
P
L
(35)
Per User Unitary Rate Control (2)
Optimal linear receiver: interference-aware MMSE

1
L
2
P HX
gu =
I
f fH
+
H
M
z
Hu
u
u
L
=1
P H
H f
L u
(34)
6=
Can be calculated because the precoders are restricted to the codebook

Post-equalization SINR
SINRu =
Slide 40 / 89
H H 2
gu Hu f

PL
H H 2 + z2 kgu k2
=1, 6= gu Hu f
P
L
P
L
(35)
Per User Unitary Rate Control CSI Feedback
CSI feedback calculation at user u:

(N )
For each Fi QL t , find the best column in terms of SINR

(N )
np = QL i potential beamformers
Out of the np potential beamformers, feedback the n` best performers
Feedback overhead:
n`
X
`=1
dlog2 (np (` 1))e +

|
{z
}
selected precoder
log2 (L)
| {z }
(36)
selected column
Feedback the corresponding SINRs as CQI
Slide 41 / 89
Per User Unitary Rate Control Scheduling

Multi-user scheduling and precoder selection:
Find compatible user sets Sj :
(Ni )
Same Fi QL
selected
Different column f from Fi chosen

Determine the best compatible user set, e.g., to maximize sum rate
Rj =
log2 (1 + SINRu )
(37)
uSj
Difficulty of PU2RC: selection of feedback parameter n` , np , L

Large np : + find a good precoder; compatible user sets shrink
Large n` : + find a good compatible user set; linear increase in overhead
Large L: + large multiplexing gain; large multi-user interference
Slide 42 / 89
Per User Unitary Rate Control Scheduling

Multi-user scheduling and precoder selection:
Find compatible user sets Sj :
(Ni )
Same Fi QL
selected
Different column f from Fi chosen

Determine the best compatible user set, e.g., to maximize sum rate
Rj =
log2 (1 + SINRu )
(37)
uSj
Difficulty of PU2RC: selection of feedback parameter n` , np , L

Large np : + find a good precoder; compatible user sets shrink
Large n` : + find a good compatible user set; linear increase in overhead
Large L: + large multiplexing gain; large multi-user interference
Slide 42 / 89
ZF Beamforming
Consider for simplicity Mu = Nr = 1

yu =
H
pu hH
u fu xu + hu
pi fi xi + zu ,
(38)
iS,i6=u
S . . . set of scheduled users

P
pj =
2 for equal power allocation
|S| kfj k
SINR of user u
SINRu =
z2 +
2
pu |hH
u fu |
P
H 2
iS\{u} pi |hu fi |
(39)
Problem: cannot be estimated accurately by the users during feedback

calculation as precoders are not yet known
Slide 43 / 89
ZF Beamforming
Consider for simplicity Mu = Nr = 1

yu =
H
pu hH
u fu xu + hu
pi fi xi + zu ,
(38)
iS,i6=u
S . . . set of scheduled users

P
pj =
2 for equal power allocation
|S| kfj k
SINR of user u
SINRu =
z2 +
2
pu |hH
u fu |
P
H 2
iS\{u} pi |hu fi |
(39)
Problem: cannot be estimated accurately by the users during feedback

calculation as precoders are not yet known
Slide 43 / 89
ZF Beamforming with Limited Feedback

To calculate the ZF beamformer the transmitter requires the normalized
channel vectors (see multi-user MIMO lecture)
u = hu
h
khu k
(40)
Channel vector quantization

ju
H
u = q(h
u ) = h
u = h
u h
H h
hu + e u ,
h
u u + (I hu hu )hu = cos u e
eu = sin u e
(41)
ju
eu

u and span h
u
u . . . principle angle between span h
u
SINR in terms of h

2

Hfu + eHfu
pu khu k2 kfu k2 cos u eju h
u
u
SINRu =

2 ,
P

H
z2 + khu k2 sin u 2 iS\{u} pi e
u fi

2
H fi = 0 and h
Hfu =
h
u
u
Slide 44 / 89
1
kfu k2
(42)
u
due to ZF onto h
ZF Beamforming with Limited Feedback

To calculate the ZF beamformer the transmitter requires the normalized
channel vectors (see multi-user MIMO lecture)
u = hu
h
khu k
(40)
Channel vector quantization

ju
H
u = q(h
u ) = h
u = h
u h
H h
hu + e u ,
h
u u + (I hu hu )hu = cos u e
eu = sin u e
(41)
ju
eu

u and span h
u
u . . . principle angle between span h
u
SINR in terms of h

2

Hfu + eHfu
pu khu k2 kfu k2 cos u eju h
u
u
SINRu =

2 ,
P

H
u fi

2
H fi = 0 and h
Hfu =
h
u
u
Slide 44 / 89
1
kfu k2
(42)
u
due to ZF onto h
ZF Beamforming with Limited Feedback (2)
SINR lower bound assuming eH

u fu 0
SINRu
pu khu k2 cos u 2

2
P

H
u fi
(43)
Tight when U because orthogonal users are scheduled: fu eu

During feedback calculation fi unknown
consider the expected value of the SINR and apply Jensens inequality
E (SINRu )
pu khu k2 cos u 2

P
P
z2 + khu k2 sin u 2 E
iS\{u}
|S|kfi k2
Slide 45 / 89

H 2
kfi k2 e
u fi
(44)
SINR lower bound assuming eH

u fu 0
SINRu
pu khu k2 cos u 2

2
P

H
u fi
(43)
Tight when U because orthogonal users are scheduled: fu eu

During feedback calculation fi unknown
consider the expected value of the SINR and apply Jensens inequality
E (SINRu )
pu khu k2 cos u 2

P
P
z2 + khu k2 sin u 2 E
iS\{u}
|S|kfi k2
Slide 45 / 89

H 2
kfi k2 e
u fi
(44)

u
Assuming fi isotropically distributed in the Nt 1 dimensional null-space of h

H 2
E e
=
u fi
E (SINRu )
1
,
Nt 1
(45)
pu khu k2 cos u 2
z2
P |S|1
|S| Nt 1
khu k2 sin u 2
(46)
Feedback khu k2 and cos u 2 as two separate CQIs [Trivellato et al., 2007]
Further simplification: assume |S| = Nt (worst-case interference)
E (SINRu )
P
Nt
z2 +
khu k2 cos u 2
P
Nt
khu k2 sin u 2
u = CQIu
SINR
Slide 46 / 89
Nt
|S| kfu k2
= CQIu ,
(47)
(48)

u
Assuming fi isotropically distributed in the Nt 1 dimensional null-space of h

H 2
E e
=
u fi
E (SINRu )
1
,
Nt 1
(45)
pu khu k2 cos u 2
z2
P |S|1
|S| Nt 1
khu k2 sin u 2
(46)
Feedback khu k2 and cos u 2 as two separate CQIs [Trivellato et al., 2007]
Further simplification: assume |S| = Nt (worst-case interference)
E (SINRu )
P
Nt
z2 +
khu k2 cos u 2
P
Nt
khu k2 sin u 2
u = CQIu
SINR
Slide 46 / 89
Nt
|S| kfu k2
= CQIu ,
(47)
(48)
ZF Beamforming Scheduling
Exhaustive search: estimate the achievable rate of all possible user

combinations
Consider set Sk = {s1 , . . . , sK }
1 Calculate the ZF beamformers for Sk (see multi-user MIMO lecture)
2 Estimate the achievable rate
Nt
2 ,
|Sk | fsi

X
s
=
log2 1 + SINR
i
s = CQIs
SINR
i
i
S
R
k
(49)
(50)
si Sk
3 Select the set with maximal estimated rate

Suboptimal greedy scheduling: see, e.g., [Trivellato et al., 2007]
Slide 47 / 89
Multi-User MIMO in LTE

flatRayleigh_1.4MHz_multi-user_spatial_multiplexing
20
Throughput [Mbit/s]
ZF beamforming
perfect CSIT
PU2RC
84
15
ZF beamforming
10
81
CLSM
PU2RC
5
ZF beamforming
CLSM
10
15
SNR [dB]
20
25
30
Comparison of ZF beamforming, PU2RC and LTEs CLSM single-user mode.
Nt Nr {8 4, 8 1} with B = 8 bit/TTI of feedback and U = 20 users

Interference-aware MMSE receiver
Subspace selection for ZF feedback [Schwarz and Rupp, 2014a]
Similar performance of ZF beamforming and CLSM based single-user MIMO
Slide 48 / 89
Contents
1 Motivation
Slide 49 / 89
Multi-User MIMO with Channel Subspace Feedback
Recap: Downlink Multi-User MIMO
Remember the downlink multi-user MIMO input-output relationship

X
H
H H
yu = GH
Fs xs + GH
u zu
u Hu Fu xu + Gu Hu
| {z }
|
{z
}
sS
intended signal
noise
s6=u
{z
interference
(51)
Channel matrix Hu CNt Nr ,

Linear transceivers Gu CNr L , Fu CNt L
Nt L
Effective channel Heff
u = Hu Gu C
We consider the case Mu = Nr , u and Nr Nt
Slide 50 / 89
Recap: Transceiver Design
Assume the schedule S to be given

Optimal transceiver: dirty paper coding [Costa, 1983]
Vector-perturbation precoding [Hochwald et al., 2005]
Tomlinson-Harashima precoding [Mezghani et al., 2006]
Disadvantage: complexity
Practically more relevant: linear transceivers
Block-diagonalization precoding [Spencer et al., 2004]
Iterative joint optimization, e.g., based on MMSE
criteria [Shi et al., 2008]
Slide 51 / 89
Recap: Transceiver Design
Assume the schedule S to be given

Optimal transceiver: dirty paper coding [Costa, 1983]
Vector-perturbation precoding [Hochwald et al., 2005]
Tomlinson-Harashima precoding [Mezghani et al., 2006]
Disadvantage: complexity
Practically more relevant: linear transceivers
Block-diagonalization precoding [Spencer et al., 2004]
Iterative joint optimization, e.g., based on MMSE
criteria [Shi et al., 2008]
Slide 51 / 89
Considered Transceiver Architecture

Problems of iterative approaches:
Large signalling overhead
Slow convergence
We consider non-iterative linear transceiver designs:
Selfish selection of Gu [Schwarz and Rupp, 2013]
Block-diagonalization precoding at base station
Selection of S based on achievable rate estimate
[Schwarz and Rupp, 2014a]
Advantages of this approach:
Reduced computational complexity (closed-form solutions)
Decreased signalling overhead when L < Nr
Nt L
Heff
versus Hu CNt Nr
u = H u Gu C
Slide 52 / 89
(52)
Considered Transceiver Architecture

Problems of iterative approaches:
Large signalling overhead
Slow convergence
We consider non-iterative linear transceiver designs:
Selfish selection of Gu [Schwarz and Rupp, 2013]
Block-diagonalization precoding at base station
Selection of S based on achievable rate estimate
[Schwarz and Rupp, 2014a]
Advantages of this approach:
Reduced computational complexity (closed-form solutions)
Decreased signalling overhead when L < Nr
Nt L
Heff
versus Hu CNt Nr
u = H u Gu C
Slide 52 / 89
(52)
Recap: Block-Diagonalization (BD) Precoding
Assume for now Gu as given and S = {1, . . . , S}

yu = Heff
u
H
Fu xu + Heff
u
S
H X
Fs xs + GH
u zu
s=1
s6=u
Goal of BD precoding: eliminate multi-user interference

Heff
s
H
Fu = 0, s, u S and s 6= u,

H
rank Heff
Fu = L, u S
u
(53)
(54)
This can be achieved by selecting the precoders as follows u S

h
iH
u = Heff , . . . , Heff , Heff , . . . , Heff C(S1)LNt ,
H
1
u1
u+1
S

u , rank (Fu ) = L
Fu null H
Slide 53 / 89
(55)
Recap: Block-Diagonalization (BD) Precoding
Assume for now Gu as given and S = {1, . . . , S}

yu = Heff
u
H
Fu xu + Heff
u
S
H X
Fs xs + GH
u zu
s=1
s6=u
Goal of BD precoding: eliminate multi-user interference

Heff
s
H
Fu = 0, s, u S and s 6= u,

H
rank Heff
Fu = L, u S
u
(53)
(54)
This can be achieved by selecting the precoders as follows u S

h
iH
u = Heff , . . . , Heff , Heff , . . . , Heff C(S1)LNt ,
H
1
u1
u+1
S

u , rank (Fu ) = L
Fu null H
Slide 53 / 89
(55)
Channel Subspace Quantization Grassmannian Feedback

Notice, Heff
can be replaced with any matrix spanning the same subspace
j

Nt L
j ,
= span H
Heff
span Heff
j Hj C
j

eff H
H
Fu = 0
Hj
Fu = 0 H
j
(56)
(57)

the users have to convey span Heff
G (Nt , L) to the base station
j
Precoding is based on channel subspace information
Grassmannian quantization for limited feedback operation

j = argmin d2 Heff , Qi = argmin L tr H
H Qi QH H
j ,
H
c
j
i
j
Qi Q
Q=
Slide 54 / 89
(58)
Qi Q
n
o

B
Qi CNt L QH
i Qi = IL , i {1, . . . , 2 }
Channel Subspace Quantization Grassmannian Feedback

Notice, Heff
can be replaced with any matrix spanning the same subspace
j

Nt L
j ,
= span H
Heff
span Heff
j Hj C
j

eff H
H
Fu = 0
Hj
Fu = 0 H
j
(56)
(57)

the users have to convey span Heff
G (Nt , L) to the base station
j
Precoding is based on channel subspace information
Grassmannian quantization for limited feedback operation

j = argmin d2 Heff , Qi = argmin L tr H
H Qi QH H
j ,
H
c
j
i
j
Qi Q
Q=
Slide 54 / 89
(58)
Qi Q
n
o

B
Qi CNt L QH
i Qi = IL , i {1, . . . , 2 }
Why Chordal Distance Quantization?

Achievable rate with perfect CSIT

H
eff
RBD = E log2 IL + Heff
Fu FH
u
u Hu , =
P
.
z2 S L
(59)
assuming Gu to be semi-unitary GH
u Gu = IL
and equal power allocation FH
u Fu = IL
Achievable rate with limited feedback

S

X

H
H eff
RBD-Quant = E log2 IL +
Heff
F
F
H
` ` u
u

`=1

S

X

H
eff
Heff
F` FH
E log2 IL +
u
` Hu

`=1,`6=u
(60)
Interference only over the null-space component due to BD

eff
H eff
H
H eff H
H Heff ,
Heff
u = Hu Hu Hu + INt Hu Hu Hu = Hu Hu Hu + Hu
u
u
Slide 55 / 89
(61)


H
eff
Fu FH
u
u Hu , =
P
.
z2 S L
(59)
u Gu = IL
u Fu = IL

S

X

H
H eff
Heff
F
F
H
` ` u
u

`=1

S

X

H
eff
Heff
F` FH
E log2 IL +
u
` Hu

`=1,`6=u
(60)

eff
H eff
H
H eff H
H Heff ,
Heff
u
u
Slide 55 / 89
(61)


H
eff
Fu FH
u
u Hu , =
P
.
z2 S L
(59)
u Gu = IL
u Fu = IL

S

X

H
H eff
Heff
F
F
H
` ` u
u

`=1

S

X

H
eff
Heff
F` FH
E log2 IL +
u
` Hu

`=1,`6=u
(60)

eff
H eff
H
H eff H
H Heff ,
Heff
u
u
Slide 55 / 89
(61)
Why Chordal Distance Quantization? (2)

The rate loss RBD RBD-Quant is determined by d2c Heff

u , Hu
Upper bounds on the expected rate loss for iid Rayleigh fading
Rate loss of ZF beamforming with L = Nr = 1 [Jindal, 2006]

RZF RZF-Quant log2
1+
P
D
n2
N B1
, D=2
(62)
Rate loss of BD precoding with L = Nr [Ravindran and Jindal, 2008]

RBD RBD-Quant Nr log2
1+
P
D
n2 Nr

,
(63)
N (N BN )
r t
r .
D = CBD 2
D average chordal distance distortion with random isotropic codebooks
Slide 56 / 89


u , Hu

RZF RZF-Quant log2
1+
P
D
n2
N B1
, D=2
(62)

1+
P
D
n2 Nr

,
(63)
N (N BN )
r t
r .
D = CBD 2
Slide 56 / 89


u , Hu

RZF RZF-Quant log2
1+
P
D
n2
N B1
, D=2
(62)

1+
P
D
n2 Nr

,
(63)
N (N BN )
r t
r .
D = CBD 2
Slide 56 / 89
Memoryless Grassmannian Quantization Codebooks

Codebooks for quantization of the full Nr dimensional subspace (Gu = I)
Random isotropic codebook for isotropic channels (e.g., iid Rayleigh fading)
(iso)
Qu
[Hu ]m,n NC (0, 1) CNt Nr ,

(iso) (iso)
j, Q
j CNt Nr , [Q
j ]m,n NC (0, 1) ,
= Qj Qj VH = Q
(64)
Optimal codebook: maximally spaced subspace packing

Random codebook: asymptotically optimal in the codebook size
random vector quantization (RVQ)
Random correlated codebook for spatially correlated channels
(corr)
Qu
1/2
Nt Nr
Hu = u H
,
u , [Hu ]m,n NC (0, 1) C

1/2
(corr) (corr)
H
j CNt Mu , [Q
j ]m,n NC (0, 1) ,
Q
V
=
= Qj
Q
,
Q
j
u
j
The codebook has the same distribution as the channel

Receive-side correlation does not impact the subspace distribution!
Slide 57 / 89
Memoryless Grassmannian Quantization Codebooks

Codebooks for quantization of the full Nr dimensional subspace (Gu = I)
Random isotropic codebook for isotropic channels (e.g., iid Rayleigh fading)
(iso)
Qu
[Hu ]m,n NC (0, 1) CNt Nr ,

(iso) (iso)
j, Q
j CNt Nr , [Q
j ]m,n NC (0, 1) ,
= Qj Qj VH = Q
(64)
Optimal codebook: maximally spaced subspace packing

Random codebook: asymptotically optimal in the codebook size
random vector quantization (RVQ)
Random correlated codebook for spatially correlated channels
(corr)
Qu
1/2
Nt Nr
Hu = u H
,
u , [Hu ]m,n NC (0, 1) C

1/2
(corr) (corr)
H
j CNt Mu , [Q
j ]m,n NC (0, 1) ,
Q
V
=
= Qj
Q
,
Q
j
u
j
The codebook has the same distribution as the channel

Receive-side correlation does not impact the subspace distribution!
Slide 57 / 89
Memoryless Grassmannian Quantization Performance

Memoryless_Grassmannian_quantization
0.9
8 2 (10 bit)
Chordal distance MSE
0.8
isotropic codebook
0.7
0.6
correlated codebook
0.5
4 2 (6 bit)
0.4
isotropic codebook
0.3
correlated codebook
0.2
0.1
0.2
0.4
0.6
Correlation coefficient
0.8
Comparison of isotropic and correlated codebooks in dependence of the channel correlation.
Consider Nt Nr = 8 2 with B = 10 bit and Nt Nr = 4 2 with B = 6 bit

Kronecker correlation model
1
corr
u =
..
.
corr
Slide 58 / 89
corr
1
...
...
...
..
.
corr
corr
corr
..
.
1
(65)
Predictive Grassmannian Quantization [Schwarz et al., 2013]
hk-2
hk-1
hk
1D Grassmannian
Illustration of Grassmannian predictive quantization.
Exploit temporal correlation of the channel

Predict current channel subspace from previously quantized subspaces
Grassmannian prediction exploiting geodesics
Generate a local codebook around the prediction
Volume covered by local codebook depends on prediction accuracy
Slide 59 / 89

^
hk-1
hk-2
hk-1
hk-2
hk
1D Grassmannian

Slide 59 / 89

^
hk-1
hk-2
hp,k
hk-1
hk-2
hk
1D Grassmannian

Slide 59 / 89

^
hk-1
hk-2
hp,k
hk-1
hk-2
hk
1D Grassmannian

Slide 59 / 89

Quantization
codebook index
H[n,k]
^
minimum
H[n,k]
chordal distance
quantization
codebook
index extraction
scale index
feedback
channel
subspace
reconstruction
codebooks
codebooks
adaptive
codebook
generation
Adaptive codebook generation
codebook
generation
^
H[n,k]
~ (p)
H [n,k]
subspace
prediction
Encoder
Decoder
Structure of predictive quantization.

Slide 59 / 89
Predictive Grassmannian Quantization MSE Performance

8x2_2stream_flat
7 bit
10-1
10-1
8 bit
11 bit
10-2
10-2
10-3
10-3
10-4
differential (El Ayach)

robust prediction (Zhang)
adaptive prediction (Schwarz)
10-5
10-6
510-3
100
4x1_1stream_flat
4 bit
100
10-2
10-1
0.5
10-4
differential quant.
predictive quant. (vector)
predictive quant. (matrix)
10-5
10-6
10-3
10-2
10-1
Performance of differential and predictive Grassmannian quantization (4 1 and 8 2).
Nt Nr {4 2, 8 2} with varying speed (Doppler frequency)

Differential quantization [Ayach and Heath, Jr., 2011]
Robust predictive quantization [Zhang and Lei, 2012]
Adaptive predictive quantization [Schwarz et al., 2013]
Slide 60 / 89
Predictive Grassmannian Quantization Throughput Performance

2UE_10Hz_AR_4x2_2streams
20
ACSQ 8 bit
14
ACSQ 3 bit
12
10
ACSQ 2 bit
SU-MIMO 4 bit
6
4
RSQ 8 bit
2
0
12
15
18
SNR [dB]
Perfect CSI
30
Sum throughput [Mbit/s]
Sum throughput [Mbit/s]
16
4UE_10Hz_8x2_2streams
35
Perfect CSI
18
21
24
ACSQ 11 bit
25
ACSQ 9 bit
20
ACSQ 7 bit
15
SU-MIMO 8 bit
10
ACSQ 5 bit
5
27
30
RSQ 11 bit
12
15
18
SNR [dB]
21
24
27
30
Throughput with predictive Grassmannian quantization (4 2 and 8 2).
Nt Nr {4 2, 8 2} at low mobility d = 0.01 (walking speed at 1 GHz)

Memoryless quantization (RSQ) versus predictive quantization (ACSQ)
Notice: no scheduling applied always 2 (resp. 4) users served in parallel
Single-user MIMO using LTEs CLSM mode with best CQI scheduler
Slide 61 / 89
Other Subspace Transceivers
Single-user MIMO with unitary precoding (equal power allocation)

Interference alignment [Cadambe and Jafar, 2008, Maddah-Ali et al., 2008]
Rate-loss of interference alignment with quantized CSIT is also determined by
the chordal distance quantization error [Rezaee and Guillaud, 2012]
Slide 62 / 89
Contents
1 Motivation
Slide 63 / 89
Multi-User MIMO with Channel Gramian Feedback
Recap: Regularized Block Diagonalization (RBD) Precoding
Precoder calculation consist of two parts (see multi-user MIMO lecture):

Trade-off residual interference and noise through MMSE precoding
Optimize transmission over effective single-user channel treating residual
interference as noise through SVD precoding
Necessary CSI at the transmitter [Schwarz and Rupp, 2014b]
Nt Nr
Hu = Uu u VH
,
u C
(66)
Individual columns of Uu ,
Singular values in u
Both can be obtained from an eigen-decomposition of the channel Gramian
2 H
Ru = Hu HH
u = Uu u Uu
Slide 64 / 89
(67)

Nt Nr
Hu = Uu u VH
,
u C
(66)
2 H
Ru = Hu HH
u = Uu u Uu
Slide 64 / 89
(67)

Nt Nr
Hu = Uu u VH
,
u C
(66)
2 H
Ru = Hu HH
u = Uu u Uu
Slide 64 / 89
(67)
Channel Gramian Quantization Stiefel Manifold Feedback

Two possibilities for CSI feedback
Direct quantization of the Gramian Ru [Sacristan-Murga et al., 2012]
Separate quantization of Uu and diag (u ) [Schwarz and Rupp, 2014b]
Separate quantization:
Quantization of Uu St (Nt , Nr ) on the Stiefel manifold
d2s (U, Qi ) =
Nr
X

(j)
[0, Nr ],
d2c uj , qi
(j)
qi
= [Qi ]:,j
(68)

d2c (A, B) = Nr tr AH BBH A , AH A = BH B = INr ,
n
o

Q = Qi St (Nt , Nr ) i {1, . . . , 2B }
(69)
j=1
Quantization of singular values
u = argmin k u si k22 ,
(70)

T
u = [u ](1,1) , . . . , [u ](Nr ,Nr )
(71)
si Su
Slide 65 / 89
Channel Gramian Quantization Stiefel Manifold Feedback

Two possibilities for CSI feedback
Direct quantization of the Gramian Ru [Sacristan-Murga et al., 2012]
Separate quantization of Uu and diag (u ) [Schwarz and Rupp, 2014b]
Separate quantization:
Quantization of Uu St (Nt , Nr ) on the Stiefel manifold
d2s (U, Qi ) =
Nr
X

(j)
[0, Nr ],
d2c uj , qi
(j)
qi
= [Qi ]:,j
(68)

d2c (A, B) = Nr tr AH BBH A , AH A = BH B = INr ,
n
o

Q = Qi St (Nt , Nr ) i {1, . . . , 2B }
(69)
j=1
Quantization of singular values
u = argmin k u si k22 ,
(70)

T
u = [u ](1,1) , . . . , [u ](Nr ,Nr )
(71)
si Su
Slide 65 / 89
Singular Value Codebook Su

8x2_uncorrelated_SV_CB
Training set
Codebook
4
Second singular value
Second singular value
8x2_correlated_SV_CB
4
5
First singular value
4
5
First singular value
Training sets and Lloyd codebooks for singular value quantization with uncorrelated and correlated receive antennas.
Codebook optimized using Lloyds algorithm (k-means clustering) [Lloyd, 1982]

Nt Nr = 8 2 with uncorrelated and correlated receive antennas (corr = 0.9)
More accurate quantization with increasing correlation
Exploit correlation!
Slide 66 / 89
Quantization on the Stiefel Manifold
Memoryless quantization:
Optimal: maximally spaced subspace packings on the Stiefel manifold
Random: same codebooks as with Grassmannian quantization
Different quantization metrics!
seamless transition between subspace and Gramian quantization
Predictive quantization:
Same principle applicable as with subspace quantization
Just replace manifold calculations appropriately
Slide 67 / 89
Quantization on the Stiefel Manifold
Memoryless quantization:
Optimal: maximally spaced subspace packings on the Stiefel manifold
Random: same codebooks as with Grassmannian quantization
Different quantization metrics!
seamless transition between subspace and Gramian quantization
Predictive quantization:
Same principle applicable as with subspace quantization
Just replace manifold calculations appropriately
Slide 67 / 89
Predictive Quantization on the Stiefel Manifold

8x2_2stream_flat_corr0
100
10-1
7 bit
10-1
11 bit
10-2
10-3
10-4
memoryless quant.
differential quant.
predictive quant.
10-5
10-6 -3
10
8x2_2stream_flat_corr0.9
100
7 bit
10-2
11 bit
10-2
10-3
10-4
memoryless quant.
differential quant.
predictive quant.
10-5
10-1
10-6 -3
10
10-2
10-1
Performance of Stiefel manifold quantization with uncorrelated and correlated receive antennas.
Nt Nr = 8 2 with varying speed (Doppler frequency)

Substantial gain of differential/predictive quantization over memoryless scheme
Larger slope of MSE curve of predictive quantization
MSE improvement with correlated receive antennas (corr = 0.9)
Notice: the prediction order needs to be adapted to the speed
Slide 68 / 89
BD versus RBD Precoding with Limited Feedback

Achievable sum rate [bits/channel use]
40
6x2_10Hz_MU-MIMO_RXcorr0
BD perfect CSIT
BD quantized CSIT
RBD perfect CSIT
RBD quantized CSIT
35
30
10 bit
6 bit
20
6 bit
30
15
10
5
10
15
SNR [dB]
20
25
30
6 bit
6 bit
20
10
10 bit
10 bit
25
15
6x2_10Hz_MU-MIMO_RXcorr0.9
BD perfect CSIT
BD quantized CSIT
RBD perfect CSIT
RBD quantized CSIT
35
25
10 bit 40
10
15
SNR [dB]
20
25
30
Comparison of the achievable rate of block-diagonalization and regularized block-diagonalization precoding.
Nt Nr = 6 2 at low mobility d = 0.01 (walking speed at 1 GHz)

Negligible overhead for singular value quantization: 4 bit/10 TTI
Uncorrelated and strongly correlated receive antennas: corr {0, 0.9}
Switch between the two schemes depending on SNR
Slide 69 / 89
BD versus RBD Precoding with Limited Feedback

6x2_10Hz_MU-MIMO_RXcorr0
100
Relative sum rate [%]
90
6x2_10Hz_MU-MIMO_RXcorr0.9
100
10 bit
90
80
80
70
10 bit 70
60
10 bit
10 bit
60
6 bit
6 bit
50
40
30
10
15
SNR [dB]
20
6 bit
50
BD perfect CSIT
BD quantized CSIT
RBD quantized CSIT
6 bit
25
30
40
30
10
15
SNR [dB]
20
25
30
Comparison of the rate relative to regularized block-diagonalization precoding with perfect CSIT.
Nt Nr = 6 2 at low mobility d = 0.01 (walking speed at 1 GHz)

Negligible overhead for singular value quantization: 4 bit/10 TTI
Uncorrelated and strongly correlated receive antennas: corr {0, 0.9}
Switch between the two schemes depending on SNR
Slide 69 / 89
Other Gramian-Based Transceivers
Single-user MIMO with water-filling power allocation

MMSE based precoding schemes (iterative)
Interference leakage based schemes, e.g., signal to leakage and noise ratio
(SLNR) beamforming
SLNRu =
H 2
Hu fu
F

P
H 2
2
Nr z + j6=u Hj fu
(72)
Slide 70 / 89
Contents
1 Motivation
Slide 71 / 89
Feedback Overhead Reduction through Excess Antennas
Receive Antenna Combining Maximum Eigenmode Transmission
Excess receive antennas: Nr > L

Nt L
Heff
u = H u Gu C
(73)
Minimize feedback overhead: selfishly select Gu and quantize Heff

u
How to select Gu ?
Maximum eigenmode transmission (MET)
(MET)
Gu
Heff
u
= [Vu ]:,1:L ,
(74)
= [Uu ]:,1:L [u ]1:L,1:L
Achieves maximum rate in the absence of interference
Slide 72 / 89
Receive Antenna Combining Maximum Eigenmode Transmission
Excess receive antennas: Nr > L

Nt L
Heff
u = H u Gu C
(73)
Minimize feedback overhead: selfishly select Gu and quantize Heff

u
How to select Gu ?
Maximum eigenmode transmission (MET)
(MET)
Gu
Heff
u
= [Vu ]:,1:L ,
(74)
= [Uu ]:,1:L [u ]1:L,1:L
Achieves maximum rate in the absence of interference
Slide 72 / 89
MET with Quantized CSIT [Schwarz and Rupp, 2013]
Performance of MET combining with BD precoding, L streams per user, S users

and B bit Grassmannian quantization (iid Rayleigh fading and RVQ))
RMET RMET-Quant
L
X
log2
2
1 +
`,u
`=1
S1
D
Nt L
2 expected value of `th eigenvalue of W C N , I
`,u
t Nr
Nr
L (NBL)
D = CMET 2

, =
P
z2 S L
average quantization distortion with RVQ
With fixed D the rate loss grows with SNR interference limitation
Avoid interference limitation:
L (NBL)
B log () L(Nt L) = 2
Slide 73 / 89
(75)
MET with Quantized CSIT [Schwarz and Rupp, 2013]
Performance of MET combining with BD precoding, L streams per user, S users

and B bit Grassmannian quantization (iid Rayleigh fading and RVQ))
RMET RMET-Quant
L
X
log2
2
1 +
`,u
`=1
S1
D
Nt L
2 expected value of `th eigenvalue of W C N , I
`,u
t Nr
Nr
L (NBL)
D = CMET 2

, =
P
z2 S L
With fixed D the rate loss grows with SNR interference limitation
Avoid interference limitation:
L (NBL)
B log () L(Nt L) = 2
Slide 73 / 89
(75)
Subspace Quantization Based Combining [Schwarz and Rupp, 2013]
Select the effective channel to minimize the quantization error

n
(SQBC)
Gu
(SQBC)
,H
u

2
= argmin d2c Heff
u , Qj = argmin dc Hu G, Qj
G,Qj
G,Qj
(SQBC)
H
u
= argmin d2c Hu , Qj ,
(76)
(N )
Qj QL t
(SQBC)
Gu
= HH
u Hu
1
(SQBC)
HH
u Hu
(77)
Rate loss with respect to perfect CSIT (same assumptions as before)

(L)
(L,N )
r L log
RBD RSQBC
2
L (N BN )
r
t
D = CSQBC 2
Nt 1

L1
X
X
Nt Nr + L
1
1+
(S 1) D + log2 (e)
Nt L
`k
k =0 `=Nt Nr +L
Bit-scaling law: B log () L(Nt Nr )
Slide 74 / 89
Subspace Quantization Based Combining [Schwarz and Rupp, 2013]
Select the effective channel to minimize the quantization error

n
(SQBC)
Gu
(SQBC)
,H
u

2
= argmin d2c Heff
u , Qj = argmin dc Hu G, Qj
G,Qj
G,Qj
(SQBC)
H
u
= argmin d2c Hu , Qj ,
(76)
(N )
Qj QL t
(SQBC)
Gu
= HH
u Hu
1
(SQBC)
HH
u Hu
(77)
Rate loss with respect to perfect CSIT (same assumptions as before)

(L)
(L,N )
r L log
RBD RSQBC
2
L (N BN )
r
t
D = CSQBC 2
Nt 1

L1
X
X
Nt Nr + L
1
1+
(S 1) D + log2 (e)
Nt L
`k
k =0 `=Nt Nr +L
Bit-scaling law: B log () L(Nt Nr )
Slide 74 / 89
MET versus SQBC

50
45
Achievable sum rate [bits/s/Hz]
6xN_flat_2_streams
MET
SQBC
Nr = 5
Nr = 2
40
Nr = 5
35
30
(L,Nr)
25
dSQBC
20
15
10
5
0
12
15
18
SNR [dB]
21
24
27
30
Nt = 6 transmit antennas, Nr {2, . . . , 5} receive antennas, L = 2 data streams

Throughput loss of SQBC with perfect CSI at the base station
Slide 75 / 89
MET versus SQBC
MET
SQBC
45
6xN_flat_2_streams
Nr = 2
40
Nr = 5
35
30
(L,Nr)
25
dSQBC
20
15
10
5
0
12
15
18
SNR [dB]
21
24
27
Nr = 5
Nr = 5
30
6xN_flat_2_streams
90
Sufficient number of feedback bits
50
L (Nt-L)
MET
SQBC
80
Nr = 2
70
60
50
40
L (Nt-Nr)
30
20
Nr = 5
10
0
10
12
14
16
18
20
22
SNR [dB]
24
26
28
30
Feedback bit-scaling to achieve a loss of 1 bit/s/Hz

Throughput loss of SQBC with perfect CSI at the base station
Significant reduction of feedback overhead with SQBC for moderate SNR loss
Slide 75 / 89
SQBC Performance
45
40
6xN_flat_2_streams
SQBC perfect CSIT

SQBC quant. CSIT
Nr = 2
Nr = 4
Nr = 5
35
30
Nr = 4
25
20
Nr = 3
15
Nr = 2
10
5
0
12
15
18
SNR [dB]
21
24
27
30
Achievable rate with feedback bits scaled to achieve a loss of 1 bit/s/Hz with Nr = 5.

Feedback overhead growing from 0 to 17 bits per TTI
Significant throughput gain with growing Nr at same feedback overhead
Substantial gain over MET at same overhead
Slide 76 / 89
SQBC Performance
45
40
6xN_flat_2_streams
SQBC perfect CSIT

SQBC quant. CSIT
MET quant. CSIT Nr = 5
35
Nr = 2
Nr = 4
Nr = 5
30
Nr = 4
25
20
Nr = 3
15
Nr = 2
10
5
0
12
15
18
SNR [dB]
21
24
27
30
Achievable rate with feedback bits scaled to achieve a loss of 1 bit/s/Hz with Nr = 5.

Feedback overhead growing from 0 to 17 bits per TTI
Significant throughput gain with growing Nr at same feedback overhead
Substantial gain over MET at same overhead
Slide 76 / 89
SQBC Performance (2)

40
35
6x5_flat_N_streams
SQBC perfect CSIT

SQBC quant. CSIT (scaled bits)
30
25
3 streams per user
20
2 streams per user
15
1 stream per user
10
5
0
12
15
18
SNR [dB]
21
24
27
30
Achievable rate with different number of streams per user.
Nt = 6 transmit antennas, Nr = 5 receive antennas, L {1, 2, 3} data streams

Feedback overhead per user
L = 1, U = 6: B [0, 8] bits per TTI
L = 2, U = 3: B [0, 16.1] bits per TTI
L = 3, U = 2: B [0, 18.3] bits per TTI
Slide 77 / 89
Maximum Expected Achievable Rate Combining (MERC)

Exploit the BD construction to further improve performance
Precoding-specific combiner [Schwarz and Rupp, 2015a]:
Estimate the expected achievable rate with BD precoding, antenna
u (Qi , G)
combiner G and quantized channel subspace Qi : R
Expectation over input covariance matrices
Interference lies in the null-space (INt Qi QH
i )
MERC optimization and quantization problem:
n
u , G(MERC)
H
u
argmax
u (Qi , G),
R
(78)
(N )
Qi QL t ,GCNr L

u = argmin log2 det 2 IN + 1 HH (IN Qi QH )Hu ,
H
u
z r
i
t
Nt
(Nt )
(79)
Qi QL
(MERC,1)
Gu

1
1
H
= z2 INr + HH
HH
u (INt Hu Hu )Hu
u Hu
Nt
(80)
MMSE solution versus ZF as with SQBC
Slide 78 / 89

u (Qi , G)
i )
n
u , G(MERC)
H
u
argmax
u (Qi , G),
R
(78)
(N )
Qi QL t ,GCNr L

H
u
z r
i
t
Nt
(Nt )
(79)
Qi QL
(MERC,1)
Gu

1
1
H
= z2 INr + HH
HH
u (INt Hu Hu )Hu
u Hu
Nt
(80)
Slide 78 / 89

u (Qi , G)
i )
n
u , G(MERC)
H
u
argmax
u (Qi , G),
R
(78)
(N )
Qi QL t ,GCNr L

H
u
z r
i
t
Nt
(Nt )
(79)
Qi QL
(MERC,1)
Gu

1
1
H
= z2 INr + HH
HH
u (INt Hu Hu )Hu
u Hu
Nt
(80)
Slide 78 / 89
MERC Performance (1)

4x2_4UE_1streams
Achievable sum rate [bit/s/Hz]
20
MERC
SQBC
MET
15
MET perfect CSIT
10
0
-10
-5
10
15
20
SNR [dB]
25
30
35
40
Achievable rate with interference unaware antenna combining.
Nt Nr = 4 2, L = 1 and B = 10 bits per TTI with corr = 0.9

Comparison of MET, SQBC and MERC feedback and antenna combining
MERC performs equal to MET and SQBC at low and high SNR, resp.
MET, SQBC and MERC feedback with interference-aware MMSE combining
Overall better performance; difference reduces
Slide 79 / 89

4x2_4UE_1streams
20
MERC
SQBC
MET
15
MET perfect CSIT
10
0
-10
-5
10
15
20
SNR [dB]
25
30
35
40
Achievable rate with interference aware antenna combining.

MERC performs equal to MET and SQBC at low and high SNR, resp.
Slide 79 / 89

8x4_4UE_2streams
25
MERC
SQBC
MET
20
MET perfect CSIT
15
10
0
-10
-5
10
15
20
SNR [dB]
25
30
35
40
Achievable rate with interference unaware antenna combining.

MERC strictly outperforms MET and SQBC
Slide 80 / 89

8x4_4UE_2streams
25
MERC
SQBC
MET
20
MET perfect CSIT
15
10
0
-10
-5
10
15
20
SNR [dB]
25
30
35
40
Achievable rate with interference aware antenna combining.

MERC strictly outperforms MET and SQBC
Slide 80 / 89
Limited Feedback for Single- and Multi-User MIMO

389.168 Advanced Wireless Communications 1
stefan.schwarz@nt.tuwien.ac.at
Abbreviations I
AMC adaptive modulation and coding
AWGN additive white Gaussian noise
BD block diagonalization
BICM bit-interleaved coded-modulation
BLER block error ratio
CLSM closed loop spatial multiplexing
CoMP coordinated multipoint transmission/reception
CP cyclic prefix
CQI channel quality indicator
CSI channel state information
CSIT channel state information at the transmitter
EESM exponential effective SNR mapping
ESM effective SNR mapping
FDD frequency division duplex
LTE long term evolution
MCS modulation and coding scheme
MERC maximum expected achievable rate combining
MET maximum eigenmode transmission
Slide 82 / 89
Abbreviations
Abbreviations II
MIESM
MIMO
ML
MMSE
MRT
OFDM
OLSM
PMI
PU2RC
RB
RBD
RE
RI
RVQ
SINR
SISO
SLNR
SNR
SQBC
SVD
TDD
ZF
Slide 83 / 89
mutual information effective SNR mapping

multiple-input multiple-output
maximum likelihood
minimum mean squared error
maximum ratio transmission
orthogonal frequency division multiplexing
open loop spatial multiplexing
precoding matrix indicator
per user unitary rate control
resource block
regularized block diagonalization
resource element
rank indicator
random vector quantization
signal to interference and noise ratio
single-input single-output
signal to leakage and noise ratio
signal to noise ratio
subspace quantization based combining
singular value decomposition
time division duplex
zero forcing
Abbreviations
References I
3GPP (2009).
Technical Specification Group Radio Access Network; Evolved Universal Terrestrial Radio Access
(E-UTRA); Physical Channels and Modulation (Release 8).
[Online]. Available: http://www.3gpp.org/ftp/Specs/html-info/36211.htm.
3GPP (2010).
Technical Specification Group Radio Access Network; Evolved Universal Terrestrial Radio Access
(E-UTRA); Physical Channels and Modulation (Release 10).
[Online]. Available: http://www.3gpp.org/ftp/Specs/html-info/36211.htm.
Ayach, O. E. and Heath, Jr., R. (2011).
Grassmannian differential limited feedback for interference alignment.
CoRR, abs/1111.4596.
Cadambe, V. and Jafar, S. (2008).
Interference alignment and degrees of freedom of the K-user interference channel.
IEEE Transactions on Information Theory, 54(8):3425 3441.
Cipriano, A., Visoz, R., and Salzer, T. (2008).
Calibration issues of PHY layer abstractions for wireless broadband systems.
In IEEE 68th Vehicular Technology Conference, pages 15, Calgary, Alberta.
Costa, M. (1983).
Writing on dirty paper (corresp.).
Dhillon, I. S., Heath, Jr., R., Strohmer, T., and Tropp, J. A. (2007).
Constructing packings in Grassmannian manifolds via alternating projection.
ArXiv e-prints.
Slide 84 / 89
References
References II
He, X., Niu, K., He, Z., and Lin, J. (2007).
Link layer abstraction in MIMO-OFDM system.
In International Workshop on Cross Layer Design, pages 4144.
Hochwald, B., Peel, C., and Swindlehurst, A. (2005).
A vector-perturbation technique for near-capacity multiantenna multiuser communication-part II:
perturbation.
IEEE Transactions on Communications, 53(3):537544.
Jindal, N. (2006).
MIMO broadcast channels with finite-rate feedback.
IEEE Transactions on Information Theory, 52(11):5.
Lloyd, S. (1982).
Least squares quantization in PCM.
Love, D. (2006).
Grassmannian subspace packing.
https://engineering.purdue.edu/djlove/grass.html.
Love, D. and Heath, Jr., R. (2005).
Limited feedback unitary precoding for spatial multiplexing systems.
Maddah-Ali, M., Motahari, A., and Khandani, A. (2008).
Communication over MIMO X channels: Interference alignment, decomposition, and performance analysis.
Slide 85 / 89
References
References III
Mezghani, A., Hunger, R., Joham, M., and Utschick, W. (2006).
Iterative THP transceiver optimization for multi-user MIMOsystems based on weighted sum-MSE
minimization.
In IEEE 7th Workshop on Signal Processing Advances in Wireless Communications, pages 15.
Ravindran, N. and Jindal, N. (2008).
Limited feedback-based block diagonalization for the MIMO broadcast channel.
IEEE Journal on Selected Areas in Communications, 26(8):1473 1482.
Rezaee, M. and Guillaud, M. (2012).
Interference alignment with quantized Grassmannian feedback in the K-user MIMO interference channel.
CoRR, abs/1207.6902.
Ryan, D., Vaughan, I., Clarkson, L., Collings, I., Guo, D., and Honig, M. (2007).
QAM codebooks for low-complexity limited feedback MIMO beamforming.
In IEEE International Conference on Communications, pages 41624167, Glasgow, Scotland.
Sacristan-Murga, D., Payaro, M., and Pascual-Iserte, A. (2012).
Transceiver design framework for multiuser MIMO-OFDM broadcast systems with channel Gram matrix
feedback.
IEEE Transactions on Wireless Communications, 11(5):17741787.
Sandanalakshmi, R., Palanivelu, T. G., and Manivannan, K. (2007).
Effective SNR mapping for link error prediction in OFDM based systems.
In International Conference on Information and Communication Technology in Electrical Sciences, pages
684687.
Schwarz, S., Heath, Jr., R., and Rupp, M. (2013).
Adaptive quantization on a Grassmann-manifold for limited feedback beamforming systems.
IEEE Transactions on Signal Processing, 61(18):44504462.
Slide 86 / 89
References
References IV
Schwarz, S., Mehlfuhrer,
C., and Rupp, M. (2010).
Low complexity approximate maximum throughput scheduling for LTE.

In Conference Record of the Forty Fourth Asilomar Conference on Signals, Systems, and Computers, pages
15631569, Pacific Grove, California.
Schwarz, S., Mehlfuhrer,
C., and Rupp, M. (2011).
Throughput maximizing multiuser scheduling with adjustable fairness.

In International Conference on Communications ICC 2011, Kyoto, Japan.
Schwarz, S. and Rupp, M. (2011).
Throughput maximizing feedback for MIMO OFDM based wireless communication systems.
In Signal Processing Advances in Wireless Communications SPAWC 2011, pages 316320, San Francisco,
CA.
Schwarz, S. and Rupp, M. (2013).
Subspace quantization based combining for limited feedback block-diagonalization.
Schwarz, S. and Rupp, M. (2014a).
Evaluation of distributed multi-user MIMO-OFDM with limited feedback.
Schwarz, S. and Rupp, M. (2014b).
Subspace versus eigenmode quantization for limited feedback block-diagonalization.
In 6th International Symposium on Communications, control and signal processing, pages 14.
Schwarz, S. and Rupp, M. (2015a).
Maximum expected achievable rate combining for limited feedback block-diagonalization.
Submitted to ICASSP 2015.
Slide 87 / 89
References
References V
Schwarz, S. and Rupp, M. (2015b).
Predictive quantization on the Stiefel manifold.
IEEE Signal Processing Letter, 22(2):234238.
Shi, S., Schubert, M., and Boche, H. (2008).
Downlink MMSE transceiver optimization for multiuser MIMO systems: MMSE balancing.
Spencer, Q., Swindlehurst, A., and Haardt, M. (2004).
Zero-forcing methods for downlink spatial multiplexing in multiuser MIMO channels.
IEEE Trans. on Signal Processing, 52(2):461 471.
Trivellato, M., Boccardi, F., and Tosate, F. (2007).
User selection schemes for MIMO broadcast channels with limited feedback.
In 65th IEEE Vehicular Technology Conference, Spring 2007, Dublin.
Tsai, S. and Soong, A. (2003).
Effective-SNR mapping for modeling frame error rates in multiple-state channels.
Technical Report 3GPP2-C30-20030429-010, 3GPP2.
Wan, L., Tsai, S., and Almgren, M. (2006).
A Fading-Insensitve Performance Metric for a Unified Link Quality Model.
In Proc. IEEE Wireless Communications & Networking Conference WCNC, volume 4, pages 21102114.
Yang, D., Yang, L.-L., and Hanzo, L. (2010).
DFT-based beamforming weight-vector codebook design for spatially correlated channels in the unitary
precoding aided multiuser downlink.
In IEEE International Conference on Communications, pages 15, Cape Town, South Africa.
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References
References VI
Zhang, Y. and Lei, M. (2012).

Robust Grassmannian prediction for limited feedback multiuser MIMO systems.
In IEEE Wireless Communications and Networking Conference (WCNC), pages 863 867.
Zheng, J. and Rao, B. (2008).
Capacity analysis of MIMO systems using limited feedback transmit precoding schemes.
Slide 89 / 89
References

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Limited Feedback for Single- and Multi-User MIMO

389.168 Advanced Wireless Communications 1

Limited Feedback: What and Why?

Value of channel state information at the transmitter (CSIT):

Limited Feedback: What and Why?

Value of channel state information at the transmitter (CSIT):

Performance of LTEs Modulation and Coding Schemes

Frequency flat Rayleigh fading channel with 1.4 MHz bandwidth

Scheduling Gains through CQI Feedback [Schwarz et al., 2010]

UE index (= UE SNR [dB])

25 users with average SNRs ranging from 1 to 25 dB

Best CQI: schedule user with highest CQI

Scheduling Gains through CQI Feedback (2)

Comparison of sum throughput and fairness of resource allocation

Ranges from 1 (highest fairness = equal throughput) to 1/J

Throughput user 2 [bits per channel use]

Scheduling with Fairness Constraint [Schwarz et al., 2011]

Prop. fair solution

Max. throughput solution

Two-user achievable rate region with operating points of some schedulers

Throughput user 2 [bits per channel use]

Scheduling with Fairness Constraint [Schwarz et al., 2011]

Two-user achievable rate region with operating points of some schedulers

Throughput user 2 [bits per channel use]

Scheduling with Fairness Constraint [Schwarz et al., 2011]

Two-user achievable rate region with operating points of some schedulers

Limited Feedback: What and Why? (2)

Limited Feedback: What and Why? (2)

Codebook based Single-User MIMO Feedback for LTE

Direct Channel Quantization

Remember the capacity-optimal SVD transceiver

For precoder calculation the transmitter requires V and diag ()

Inefficient, as the structure of the quantization problem is neglected

Codebook based Single-User MIMO Feedback for LTE

Direct Channel Quantization

Remember the capacity-optimal SVD transceiver

For precoder calculation the transmitter requires V and diag ()

Inefficient, as the structure of the quantization problem is neglected

Codebook based Single-User MIMO Feedback for LTE

Direct Channel Quantization (2)

Separate quantization exploiting the structure of the problem

Notice the order of the singular-vectors is important for power allocation

Codebook based Single-User MIMO Feedback for LTE

Direct Channel Quantization (3)

L = number of non-zero elements (diag (P)) ,

feedback overhead reduction compared to Stiefel manifold quantization

Codebook based Single-User MIMO Feedback for LTE

Direct Channel Quantization (3)

L = number of non-zero elements (diag (P)) ,

feedback overhead reduction compared to Stiefel manifold quantization

Codebook based Single-User MIMO Feedback for LTE

Direct Channel Quantization (3)

L = number of non-zero elements (diag (P)) ,

feedback overhead reduction compared to Stiefel manifold quantization

Codebook based Single-User MIMO Feedback for LTE

Codebook Based Precoding

Codebook based Single-User MIMO Feedback for LTE

Codebook Based Precoding

Codebook based Single-User MIMO Feedback for LTE

Codebook Based Precoding (2)

More practical codebook constructions (low complexity implementation)

Codebook based Single-User MIMO Feedback for LTE

LTEs Signal Processing Chain

Other user data