Beruflich Dokumente
Kultur Dokumente
9, SEPTEMBER 2012
AbstractTime-Division Duplexing (TDD) allows to estimate controllers are referred to as Network-MIMO architectures
the downlink channels for an arbitrarily large number of base (e.g., [2][8]). It has been recognized that the improvement
station antennas from a finite number of orthogonal uplink obtained from transmit antenna joint processing is limited by
pilot signals, by exploiting channel reciprocity. Based on this
observation, a recently proposed Massive MIMO scheme was a dimensionality bottleneck [9][11]. In particular, the high-
shown to achieve unprecedented spectral efficiency in realistic SNR capacity of a single-user MIMO system with Nt transmit
conditions of distance-dependent pathloss and channel coherence antennas, Nr receiving antennas, and fading coherence block
time and bandwidth. length T complex dimensions,1 scales as C(SNR) = M (1
The main focus and contribution of this paper is an improved M /T ) log SNR+O(1) where M = min{Nt , Nr , T /2} [13].
Network-MIMO TDD architecture achieving spectral efficiencies
comparable with Massive MIMO, with one order of magnitude Therefore, even by pooling all BSs into a single distributed
fewer antennas per active user per cell (roughly, from 500 to macro-transmitter with Nt 1 antennas and all user terminals
50 antennas). The proposed architecture is based on a family of into a single distributed macro-receiver with Nr 1 antennas,
Network-MIMO schemes defined by small clusters of cooperating the system degrees of freedom 2 are limited by the fading
base stations, zero-forcing multiuser MIMO precoding with coherence block length T . The same dimensionality bottleneck
suitable inter-cluster interference mitigation constraints, uplink
pilot signals allocation and frequency reuse across cells. The key also arises in the high-SNR behavior of MU-MIMO systems
idea consists of partitioning the users into equivalence classes, based on explicit training for channel estimation, and can be
optimizing the Network-MIMO scheme for each equivalence interpreted as the effect of the overhead incurred by pilot
class, and letting a scheduler allocate the channel time-frequency signals [14], [15].
dimensions to the different classes in order to maximize a suitable For frequency-division duplex (FDD) systems, the training
network utility function that captures a desired notion of fairness.
This results in a mixed-mode Network-MIMO architecture, overhead required to collect channel state information at
where different schemes, each of which is optimized for the served the transmitters (CSIT) grows linearly with the number of
user equivalence class, are multiplexed in time-frequency. cooperating transmit antennas. Such overhead significantly
In order to carry out the performance analysis and the limits the performance improvement that can be expected by
optimization of the proposed architecture in a systematic and increasing the number of jointly processed BS antennas in
computationally efficient way, we consider the large-system
regime where the number of users, the number of antennas, FDD, as shown in [10], [11].
and the channel coherence block length go to infinity with fixed For Time Division Duplexing (TDD) systems, exploiting
ratios. channel reciprocity [16], [17], the CSIT can be obtained from
Index TermsChannel training, downlink scheduling, fre- the uplink pilot signals. In this case, the training overhead
quency reuse, inter-cell cooperation, large-system analysis, linear scales linearly with the number of active users3 per cell, but
precoding, Massive MIMO, pilot contamination, time-division it is independent of the number of cooperating antennas at
duplex. the BSs. As a result, for a fixed number of users scheduled
for transmission, the TDD system performance can be signif-
I. I NTRODUCTION icantly improved by increasing the number of BS antennas.
Following this idea, Marzetta [17] showed that simple
M ULTIUSER MIMO (MU-MIMO) technology is the
subject of extensive theoretical and practical investi-
gation for the next generation wireless cellular systems (e.g.,
Linear Single-User BeamForming (LSUBF) and random user
scheduling, without any BS joint processing, yields very high
spectral efficiency in TDD cellular systems, provided that
LTE-Advanced [1]). Schemes where antennas of different
a sufficiently large number of transmit antennas per active
Base Stations (BSs) are jointly processed by centralized BS
1 The fading coherence block length T , measured in signal complex
Manuscript received July 22, 2011; revised March 8, 2012; accepted May 8,
2012. The associate editor coordinating the review of this paper and approving dimensions in the time-frequency domain is proportional to the product
it for publication was R. Nabar. Wc Tc , where Tc (s) denotes the channel coherence interval, and Wc (Hz)
H. Huh is with the Media Lab., Samsung Electronics Co., Ltd., Suwon, denotes the channel coherence bandwidth [12].
2 The system Degrees of Freedom (DoFs) are defined as the pre-log factor
Gyeonggi-do 443-742, Korea (e-mail: hhuh@samsung.com). C(SNR)
G. Caire is with the Department of Electrical Engineering, University of of the system capacity C(SNR), i.e., DoFs = limSNR log SNR , and
Southern California, Los Angeles, CA 90089, USA (e-mail: caire@usc.edu). quantify the number of equivalent parallel single-user Gaussian channels,
H. C. Papadopoulos and S. A. Ramprashad are with Docomo In- in a first-order approximation with respect to log SNR.
novations, Palo Alto, CA 94304, USA (e-mail: {hpapadopoulos, ram- 3 By active users we denote the users simultaneously served on a given
prashad}@docomoinnovations.com). time-frequency slot in a cell. In practice, there might be many more users,
Digital Object Identifier 10.1109/TWC.2012.070912.111383 that are not scheduled on the current slot and therefore are not active.
1536-1276/12$31.00
c 2012 IEEE
HUH et al.: ACHIEVING MASSIVE MIMO SPECTRAL EFFICIENCY WITH A NOT-SO-LARGE NUMBER OF ANTENNAS 3227
user are employed at each BS. This scheme, referred to simulations, in agreement with [11], [21] and several well-
hereafter as Massive MIMO, was analyzed in the limit of known works on single-user MIMO in the large antenna
infinite number of BS antennas per user per cell. In this regime [22], [23]. The large-system analysis developed here is
regime, the effects of Gaussian noise and uncorrelated intra- instrumental to the systematic design and optimization of the
and inter-cell interference disappear, and the only remaining proposed system architecture, since it allows an accurate and
impairment is the correlated inter-cell interference due to pilot rapid selection of the best Network-MIMO scheme for each
contamination [18], i.e., the correlated interference due to re- user bin without resorting to cumbersome and time-consuming
using the same pilot signals in other cells (see Section III for Monte Carlo simulation.
more details). It is worthwhile to remark that the ideas of dynamic
In this work, we also focus on TDD systems and exploit clustering of cooperating BSs, and mixed-mode MU-MIMO
reciprocity. The main contribution of this paper is a novel downlink have appeared in a large number of previous works
Network-MIMO architecture that achieves spectral efficiencies (see for example [24][28]). Giving a fair account of this
comparable with Massive MIMO, with a much smaller vast literature would be impossible within the space limits
number of BS antennas per active user (one order of mag- of this paper. Nevertheless, we wish to stress here that the
nitude fewer antennas for approximately the same spectral novel contribution of this paper is a systematic approach to
efficiency). As in [17], we also analyze the performance of the multi-modal system optimization based on simple closed-form
proposed system in the limit of a large number of antennas. expressions of the spectral efficiency of each Network-MIMO
However, a different system scaling is considered, for which scheme in the family, and on scheduling across the schemes
the number of antennas per active user per cell is finite. 4 (or modes) in order to maximize a desired network utility
The analysis is obtained by letting the number of users function.
per cell, the number of antennas per BS, and the channel The remainder of this paper is organized as follows. In
coherence block length go to infinity, with fixed ratios [11]. Section II, we describe the family of proposed Network-
In this regime we find that the LSUBF scheme advocated in MIMO schemes. Section III presents the uplink training,
[17] performs very poorly. In contrast, we consider a family of MMSE channel estimation and pilot contamination effect for
Network-MIMO schemes based on small clusters of cooperat- TDD-based systems. In Section IV, we provide expressions
ing base stations, Linear Zero-Forcing BeamForming (LZFBF) for the spectral efficiency achievable with the Network-MIMO
with suitable inter-cluster interference constraints, uplink pilot schemes under considerations in the large-system limit. Sec-
signals allocation and frequency reuse across cells. The key tion V discusses the downlink scheduling problem under spe-
idea consists of partitioning the users into geographically cific fairness criteria. Numerical results including comparison
determined equivalence classes, referred to in the following with finite dimensional simulation results are provided in
as bins. Users in the same bin share the same set of Section VI and concluding remarks are given in Section VII.
distances from all BSs, and therefore they have identical fading
channel statistics (determined by the distance-dependent path II. S YSTEM M ODEL
loss coefficients). Users with identical fading channel statistics
The TDD cellular architecture for high-data rate downlink
are referred to, in the following, as statistically equivalent.
proposed in this work is based on the following elements:
The system serves users in the same bin simultaneously,
on the same time-frequency slot, using a Network-MIMO 1) A family of Network-MIMO schemes. Each scheme of
scheme in the family optimized for the specific bin. Different the family is defined by the size and shape of clusters of
bins are scheduled over the time-frequency slots in order to cooperating BSs, pilot reuse across clusters, frequency
maximize an appropriately chosen network utility function reuse factor, and downlink linear precoding scheme;
reflecting some desired notion of fairness. The proposed 2) A partition of the user population into bins of statisti-
scheme yields very simple system operation, where each time cally equivalent users, according to their position in the
a given bin is scheduled, the subset of users in the selected bin cellular coverage area;
is chosen at random or in a deterministic round robin fashion, 3) The determination of the optimal Network-MIMO
without performing any CSIT-based user selection. This allows scheme in the family for each user bin, creating an asso-
a fast turn-around between feedback and transmission as in ciation between user bins and Network-MIMO schemes;
[17], which can take place in the same channel coherence 4) Scheduling of the user bins in time-frequency in order to
block. The resulting system is a mixed-mode Network-MIMO maximize a suitable concave and componentwise non-
architecture, where different Network-MIMO schemes, each decreasing network utility function of the ergodic user
of which is optimized for the specific user bin, are multiplexed rates, reflecting a desired notion of fairness [21], [29]
on the time-frequency slots by the scheduler. [32].
Using results and tools from the large-system analysis The system operation can be readily described. Each bin is
developed in [11], [20] and adapted to the present scenario, assigned a fraction of the time-frequency plane resources by
we obtain the asymptotic achievable rate for each scheme the scheduler. When a bin is scheduled, a subset of users is
in closed form. The performance predicted by the large- chosen (e.g., in a round robin fashion) and is served by the
system analysis matches very well with finite-dimensional (bin-optimized) Network-MIMO architecture.
Invoking well-known convergence results [22], [23], we
4 Analogous results and conclusions, in striking agreement with ours, have use the large-system analysis approach for multi-antenna
been developed independently and at the same time in [19]. cellular systems pioneered in [21], [33][35]. In particular,
3228 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 11, NO. 9, SEPTEMBER 2012
u = u + u0 , where u0 = 0
the points of the lattice translate
is chosen such that u is symmetric with respect to the origin
and no points of u fall on the cell boundaries. 6 Notice that
for a sufficiently fine quantization grid, any compactly sup-
ported user distribution can be approximated by its discretized
version, and the symmetric construction does not involve any
loss of generality.
Example 4: In the 1-dimensional case of Example 1, let K
1 1
denote an even integer and let u = K Z, and u0 = 2K . Then,
the points of u Vb are symmetrically located with respect Fig. 3. 1-dimensional layout with C = 2 and F = 2.
to each BS of coordinate b = 0, 1, . . . , B 1.
Consider the set of user locations X = {x0 , x1 , . . . , xm1 }
with xi u . We define the user bin v(X ) as the collection that mU CM . Therefore, the downlink DoFs are always
of user location sets (indicated by groups in the following) limited by the number of BS antennas.7 The number of active
users effectively scheduled on each time-frequency slot is
v(X ) = {{X + c} : c bs V} . (3) denoted by SN , where the coefficient S [0, CM ] is referred
to as the loading factor. In general, S can be optimized
In particular, we choose X to be a symmetric set of points
depending on X and C and on the type of network MIMO
with respect to the positions of the BSs comprising cluster
schemes employed (see Section IV). We restrict to consider
C. The reason for this symmetry is two-fold: on one hand,
schemes that serve an equal number SN/m of active users
a symmetric set generalizes the single location case and yet
per location. By construction, the users in the same bin are
provides a set of statistically equivalent users (same set of
statistically equivalent. Therefore, without loss of generality,
distances from all BSs in the cluster), thus providing a richer
we can assume that a round-robin scheduling picks all subsets
system optimization parameter space. On the other hand,
of size SN out of the whole mU N users in each group with
symmetry yields very simple closed-form expressions in the
the same fraction of time. In this way, the aggregate spectral
large-system analysis, by means of [11, Th. 3]. It should be
efficiency of the group (indicated in the following a group
noticed here that the bin geometry is a design choice, i.e., we
spectral efficiency) is shared evenly among all the users in
do not assume that the bins are symmetric, but we choose
the group.
(by system design choice) to serve users in symmetric sets of
Frequency reuse: The frequency reuse factor of the scheme
locations.
is denoted by F , and can also be optimized for each {X , C}.
Example 5: In the 1-dimensional case of Example 1, we
The system bandwidth is partitioned into F subbands of equal
are interested in the cases X = {x, x} and X = {x, 1 x},
u [0, 1/2], as shown in Fig. 2. This yields width. For F = 1, all clusters in u(C) transmit on the whole
for some x
system bandwidth. For F > 1, clusters are assigned different
the bins
subbands according to a regular reuse pattern [8], [10]. For the
v({x, x}) = 1-dimensional layout, any integer F dividing B is possible.
{{x, x}, {1 x, 1 + x}, . . . , {B 1 x, B 1 + x}} For the 2-dimensional layout, we consider reuse factors given
by F = i2 + ij + j 2 for non-negative integer i and j [38]. For
and later use, we define D(f ) as the set of clusters transmitting
v({x, 1 x}) = on subband f {0, . . . , F 1}.
Example 6: Fig. 3 shows a 1-dimensional system with
{{x, 1 x}, {1 + x, 2 x}, . . . , {B 1 + x, B x}} ,
frequency reuse F = 2 for the clustering pattern of size
respectively. C = 2 defined by C = {0, 1} and the user bin defined by
Cluster/group association and user group rate: The X = {x, 1x}. Even-numbered clusters operate on subband 0
BSs forming a cluster are jointly coordinated by a cluster and odd-numbered clusters operate on subband 1. An example
controller that collects all relevant channel state information for the 2-dimensional hexagonal layout with F = 3 and C = 1
and computes the beamforming coefficients for the desired is shown in Fig. 1, where cells with the same color operate
MU-MIMO precoding scheme. For given sets {X , C}, the on the same subband.
users in group X + c are served by the cluster C + c, for all
c bs V (see Fig. 2). By construction, each BS belongs to B. Channel statistics and received signal model
C clusters and transmits the superposition of the signals from
all the corresponding cluster controllers. These signals may The average received signal power for a user located at
share the same frequency band, or be defined on orthogonal x V from a BS antenna located at b V is denoted by
subbands, depending on the system frequency reuse factor, g(x, b), a polynomially decreasing function of the distance
as defined later in this section. There are mU N users in d (x, b). The AWGN noise power spectral density is nor-
each group, and CM N jointly coordinated antennas in each malized to 1. For a given clustering pattern u(C) and user
cluster. We assume a sufficiently large number of users such bin v(X ), the fading channel coefficients from the CM N BS
antennas of cluster C + c to an active user k {1, . . . , S/m}
6 If a user location falls at the cell boundary it can be assigned arbitrarily
to one of the nearest neighbor cells. We checked that the effect of different 7 A system with mU < CM is not fully loaded, in the sense that the
assignments on the overall system performance is minimal. infrastructure would support potentially a larger number of users.
3230 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 11, NO. 9, SEPTEMBER 2012
at location x + c : x X on frequency subband f , form a Recalling the (reuse-factor dependent) definition of D(f )
CMN 1
random vector indicated by hk,c ,c (f ; x) C , with as the set of subclusters transmitting on band f , the received
circularly-symmetric complex Gaussian independent entries signal for user k at location x + c : x X is given by
(independent Rayleigh fading). In the considered Network-
MIMO schemes, active users are served with equal power yk,c (f ; x) = Uc (f )VcH (f )hk,c,c (f ; x) + zk,c (f ; x)
1/S. Hence, the total transmit average power per cluster is c D(f )
equal to N . Since each BS simultaneously participates in C
(7)
clusters, the average power per BS is also equal to N . Since where zk,c (f ; x) CN 0, F1 ILD N . Notice that a scheme
we consider the limit for N , the channel coefficients using frequency reuse F > 1 transmits with total cluster power
are normalized to have variance 1/N , such that the received N over a fraction 1/F of the whole system bandwidth. This is
signal power is independent of N . This provides the correct taken into account by letting the noise variance per component
scaling of the elements of the random channel vectors such be equal to 1/F , in the signal model (7).
that the large-system limits hold [11], [20]. We let the channel By construction, the encoded data symbols for user k at
vector covariance matrix scaled by N be given by location x + c : x X , are the entries of the k-th column of
Uc (f ). The columns k = k of Uc (f ) form the intra-cluster
Gc ,c (x) = N E hk,c ,c (f ; x)hH
k,c ,c (f ; x) , (4) (multiuser) interference for user k. All other signals Uc (f ),
with c D(f ), c = c, form the Inter-Cluster Interference
where Gc ,c (x) = diag (g(x + c , b + c)IMN : b C).8 No- (ICI). As seen in Section IV, intra-cluster interference and ICI
tice that Gc ,c (x) is independent of the user index k and on the are handled by a combination of beamforming and frequency
subband index f , since the channels are identically distributed reuse.
across subbands and co-located users.
Under the standard block-fading assumption [11][13], [17],
[39], the channel vectors are constant on each subband for III. U PLINK T RAINING AND C HANNEL E STIMATION
blocks of length LN signal dimensions. Without loss of gen-
erality, we assume that these coherence blocks also correspond The CSIT is obtained on a per-slot basis, by letting the
to the scheduling slot. Each slot is partitioned into an uplink active users send pilot signals over LP N dimensions dedicated
training phase, of length LP N and a downlink data phase, of to uplink training.9 We fix {X , C} and focus on the SN active
length LD N . In this section we deal with the data phase, while users in the groups X + c : c D(f ). These users must send
the training phase is addressed in Section III. For the sake of SN orthogonal pilot signals to allow channel estimation at
notation simplicity, the slot time index is omitted: since we their corresponding serving clusters C + c : c D(f ).
focus on ergodic (average) rates, only the per-block marginal
channel statistics matter. The data-bearing signal transmitted
by cluster C + c on subband f is given by
A. Pilot reuse scheme
Xc (f ) = Uc (f )VcH (f ) (5)
Let LP = QS, where Q 1 is an integer pilot reuse factor
L N SN QSN QSN
where the matrix Uc (f ) C D contains the coded that can be optimized for each {X , C}. Let C
H
information-bearing symbols arranged by columns, for the be a scaled unitary matrix, such that = ul QSN IQSN ,
SN served active users. We assume that users codebooks are where ul denotes the uplink transmit power per user during
drawn from an i.i.d. Gaussian random coding ensemble with the training phase. The matrix is partitioned into Q disjoint
symbols CN (0, 1/S). Achievable rates are obtained via the blocks of SN columns each, denoted by 0 , . . . , Q1 and
familiar random coding argument [40] with respect to this referred to as training codebooks. These are assigned to the
CMN SN
input distribution. The matrix Vc (f ) C contains groups in a periodic fashion, such that the same training
the beamforming vectors arranged by columns, normalized codebook q is reused every Q-th groups X + c : c D(f ).
to have unit norm. It is immediate to verify that, indeed, For later use, we let q(c) {0, . . . , Q 1} denote the index
the average transmit power of any cluster C + c, active on of the training codebook allocated to group X + c, and define
frequency f , is given by P(q, f ) = {c D(f ) : q(c) = q} to be the set of clusters
transmitting on subband f and using training codebook q.
1
tr E XH c (f )Xc (f ) Example 7: In the 1-dimensional layout with C = 2, C =
LD N
1
{0, 1} and X = {x, 1 x} we may have F = 1 (i.e., each
= tr E Vc (f )UH H
c (f )Uc (f )Vc (f ) cluster transmits on the whole system bandwidth) and Q =
LD N
2 (i.e., two mutually orthogonal training codebooks are used
LD N H
= tr E Vc (f )Vc (f ) alternately, such that the same set of uplink pilot signals is
SLD N reused in every other cluster, as shown in Fig. 4).
SN
= = N, (6)
S 9 As done in [17], also our analysis is slightly optimistic since it only
as desired. accounts for the overhead and degradation due to uplink noisy channel
estimation, while it assumes genie-aided overhead-free dedicated training
8 We use diag(M : a A) to indicate a block-diagonal matrix with to support coherent detection during data-transmission. As shown in [15], the
a
diagonal blocks Ma , for some index a taking values in the ordered set A, effect of noisy dedicated training is minor relatively to the CSIT estimation
and In to indicate the n n identity matrix. error.
HUH et al.: ACHIEVING MASSIVE MIMO SPECTRAL EFFICIENCY WITH A NOT-SO-LARGE NUMBER OF ANTENNAS 3231
define
g(x + c , b + c)
c ,c,b (f ; x) = (14)
1 + c ,c,b (f ; x)
c ,c,b (f ; x) = g(x + c , b + c) c ,c,b (f ; x)
g(x + c , b + c)
Fig. 4. Pilot reuse and contamination for C = 2, F = 1, and Q = 2. The = , (15)
dashed lines show the pilot contamination at cluster 0 from a user in cluster 1 + c ,c,b (f ; x)1
2, sharing the same pilot signal.
with
c ,c,b (f ; x) =
B. MMSE channel estimation and pilot contamination g(x + c , b + c)
. (16)
The uplink signal received by the CM N antennas of cluster (ul QS)1 + c P(q(c),f )\c g(x + c , b + c)
C + c : c D(f ), during the training phase, is given by
The desired channel estimate at cluster C + c is given by
Yc (f ) = q(c ) HH
h
c ,c (f ; X ) + Zc (f ). (8) k,c,c (f ; x), obtained by letting c = c in (10) (16). Notice
c D(f ) that the training phase observation rk,c (f ; x) in (9) contains
the superposition of all the channel vectors hk,c ,c (f ; x) of
Thanks to TDD reciprocity, the uplink channel matrix
CMN SN
the users k at locations x + c : x X sharing the
Hc ,c (f ; X ) C contains the downlink channels same pilot signal, i.e., for all c P(q(c), f ). This is the
hk,c ,c (f ; x) arranged by columns, for all active users k = so-called pilot contamination effect of TDD systems [17],
1, . . . , SN/m at all locations x + c : x X . In (8), [18]. Because of pilot contamination, the MMSE estimate
L CMN
Zc (f ) C P denotes the uplink AWGN with compo-
h k,c,c (f ; x) is correlated with the channels hk,c ,c (f ; x), for
nents CN (0, 1). The goal of the uplink training phase is to all c P(q(c), f ).
provide to each cluster C +c an estimate of the channel vectors Next, we express the channel vector hk,c ,c (f ; x) for c
hk,c,c (f ; x) for all the active users in the corresponding served P(q(c), f ) in terms of the estimate h
k,c,c (f ; x) and a com-
group X + c.
ponent independent of h k,c,c (f ; x). This decomposition is
By projecting Yc (f ) onto the columns of q(c) and di-
instrumental to the proofs of Theorems 1, 2 and 3 of Section
viding by ul QSN , the relevant observation for estimating
IV-B (see [41] for details), and it is the key to understanding
hk,c,c (f ; x) is given by
qualitatively the pilot contamination effect. From (10), and
since Gc,c (x) is invertible, we have
rk,c (f ; x) = hk,c ,c (f ; x) + nk,c (f ) (9)
c P(q(c),f ) (f ; x) = E h (f ; x)|r (f ; x)
h k,c ,c k,c ,c k,c
where nk,c (f ) CN (0, (ul QSN )1 ICMN ). For any = Gc ,c (x)G1 (x)h (f ; x). (17)
c,c k,c,c
c P(q(c), f ), the MMSE estimate of hk,c ,c (f ; x) from
rk,c (f ; x) is obtained as Using (11) into (17), the channel vector hk,c ,c (f ; x) from the
antennas of cluster C + c to the unintended user k at location
(f ; x) = Gc ,c (x)
h x + c : x X can be written as
k,c ,c
1
hk,c ,c (f ; x) = Gc ,c (x)G1
c,c (x)hk,c,c (f ; x) + ek,c ,c (f ; x).
( QS)
ul 1
ICMN + Gc ,c (x) rk,c (f ; x). (18)
c P(q(c),f ) The Joint Gaussianity, the mutual orthogonality of
(10) (f ; x) and e (f ; x) and the fact that all covariance
h k,c ,c k,c ,c
matrices are diagonal imply that h
k,c,c (f ; x) and ek,c ,c (f ; x)
Invoking the well-known MMSE decomposition, we can write
are mutually independent.
(f ; x) + e (f ; x),
hk,c ,c (f ; x) = h (11) Pilot contamination: As anticipated before, (18) reveals
k,c ,c k,c ,c
qualitatively the pilot contamination effect. With LSUBF,
where the channel estimate h (f ; x) and the error vector as in [17], cluster C + c serves user k at location x + c
k,c ,c
with beamforming vector h
ek,c ,c (f ; x) are zero-mean uncorrelated complex circularly k,c,c (f ; x)/hk,c,c (f ; x), which is
symmetric jointly Gaussian vectors. After some straightfor- strongly correlated with the vector hk,c ,c (f ; x) of the channel
ward algebra (omitted for brevity), we obtain the covariance from cluster C + c to the unintended user k at location x + c ,
matrices (scaled by N ) sharing the same pilot signal. It follows that some constant
amount of interfering power, which does not vanish even
H (f ; x)],
(f ; x)h
c ,c (x) = N E[h (12) for N , is leaked into the spatial direction of this
k,c ,c k,c ,c
user, leading to an interference limited system. Theorem 1 in
and Section IV-B precisely quantifies these effects on the ergodic
c ,c (x) = N E[ek,c ,c (f ; x)eH
k,c ,c (f ; x)], (13) user rates. For the family of LZFBF schemes considered in
this work, the pilot contamination effect is less intuitive, but
where c ,c (x) = diag (c ,c,b (f ; x)IMN : b C) and nevertheless precisely quantified by Theorems 2 and 3 in
c ,c (x) = diag (c ,c,b (f ; x)IMN : b C), and where we Section IV-B.
3232 IEEE TRANSACTIONS ON WIRELESS COMMUNICATIONS, VOL. 11, NO. 9, SEPTEMBER 2012
IV. MU-MIMO P RECODERS AND ACHIEVABLE R ATES are treated as zero.10 Since these schemes are complicated
In the family of Network-MIMO schemes considered in this to explain in full generality, we shall illustrate two specific
work, the beamforming matrix Vc (f ) is calculated by the c-th examples, the generalization of which may be cumbersome
cluster controller as a function of the estimated channel matrix but is conceptually straightforward.
(f ; X ). For fixed c, c , we say that a user k at location
H Example 8: Consider Fig. 5(a), illustrating a 1-dimensional
c,c
x + c : x X imposes a Zero-Forcing (ZF) constraint on system with C = {0, 1}, X = {x, 1 x}, F = 1 and Q =
cluster c if the beamforming matrix Vc (f ) must satisfy the 2. The beamforming matrix of the c-th cluster satisfies ZF
set of linear equations constraints for its own active users and for the active users
in the 2 locations at minimum distance in the neighboring
H
vj,c (f ; x )hk,c,c (f ; x) = 0, (19) clusters c1 and c+1. These locations collectively use distinct
columns of the training codebooks q = q(c). For example,
for all (j, x , c ) = (k, x, c), where vj,c
H
(f ; x ) is the column
the reference cluster c = 0 uses training codebook 0 , and
of Vc (f ) (i.e., the beam) corresponding to user j at location the nearest locations on the left and on the right of cluster
x + c : x X . The schemes considered in this work employ 0 use the first and second half (SN/2 columns each) of the
different forms of LZFBF, distinguished by the number of training codebook 1 , respectively. Hence, the 0-th cluster
ZF constraints imposed. For given {X , C}, we define the controller can estimate all the channels of its own active users,
parameter J 0 as the number of ZF constraints imposed at locations x, 1 x, and of the users in adjacent locations x
by each active user in the served bin v(X ). and 1 + x, as shown in the figure. The beamforming matrix
in the case of Fig. 5(a) is obtained as follows. Define
A. Beamforming
Mc (f ; X ) =
(f ; X ) H
Next we provide expressions for the cluster precoders for
H (f ; {1 x}) H (f ; {x}) (22)
different choice of the parameter J. c,c c1,c c+1,c
Case J = 0: In this case no ZF constraints are imposed. 2MN SN 2MN SN/2 2MN SN/2
Hence, we have
to be the matrix of dimension 2M N 2SN of estimated chan-
Vc (f ) = UNorm H c,c (f ; X ) (20) nels at cluster controller c, where the first block corresponds to
the desired active users and the remaining blocks correspond
where UNorm{} indicates a scaling of the columns of the to users in the neighboring clusters for which a ZF constraint
matrix argument to have unit norm. It is immediate to see is imposed. Then,
that (20) coincides with the LSUBF considered in [17]. SN
Case J = 1: In this case any active user imposes ZF con- Vc (f ) = UNorm M+ c (f ; X ) 1 (23)
straints on its own serving cluster. This yields the conventional where []mn extracts the columns from n to m of the matrix
single-cluster LZFBF, for which argument. This scheme can be generalized to J = Q, where
Vc (f ) = UNorm H + (f ; X ) , (21) each c-th cluster satisfies ZF constraints for its own SN active
c,c
users and for a total of (J 1)SN additional users in the
1 nearest location of neighboring clusters.
where M+ = M MH M denotes the Moore-Penrose
Example 9: Fig. 5(b) shows the same 1-dimensional system
pseudo-inverse of the full column-rank matrix M. It fol-
of Example 8 with a different beamforming design. In this
lows that vk,c (f ; x) is orthogonal to the estimated channels
case, the beamforming matrix of each cluster c satisfies ZF
h j,c,c (f ; x ) for all (j, x ) = (k, x) in the group X +c, i.e., ZF constraints for its own served users and all the users in the
is used to tackle intra-cluster interference while disregarding
nearest neighbor clusters. However, some of these users share
ICI.
the same pilot signals. In this specific example, the reference
Case J > 1: In this case, beyond the ZF constraints
cluster c = 0 uses training codebook 0 , and clusters c = 1
imposed to the serving cluster, each user imposes additional
the other training codebook 1 . Users at location 1 + x use
ZF constraints to J 1 neighboring clusters in order to mitigate
the same pilot signals of users at location 1 + x, and users
also ICI. This provides an alternative approach to frequency
at location x use the same pilot signals of users at location
reuse for combating ICI. Any cluster C + c is subject to ZF
2x. Then the 0-th cluster controller assumes that the channel
constraints imposed by its own users (i.e., users in group
coefficients for BSs at larger distance are equal to zero. In the
X + c), as well as by users at some locations x + c : x X
example, for locations 1 + x and x, only the subvector
for J 1 neighboring clusters c = c. In order to enable
of dimension M N corresponding to the antennas of BS 0 is
such constraints, the c-th cluster controller must be able to
estimated, while the remaining subvector to BS 1 is treated as
estimate the channels of these out-of-cluster users. This can
zero. Similarly, for locations 1+x and 2x only the subvector
be done if these users employ training codebooks with indices
of dimension M N corresponding to the antennas of BS 1 is
q = q(c). In particular, J > 1 can be used only if the
pilot reuse factor Q is larger than 1. In some cases, only 10 Although treating channel entries with no estimates as zero may seem
the channel subvectors to the nearest BS in the cluster can arbitrary, this is not so. First, notice that the expected value of the channel
be effectively estimated, since there are other users sharing coefficients is zero, which corresponds to the channel MMSE estimate in the
absence of measurements. Moreover, this is consistent with the conventional
the same pilot signal that are received with a stronger path approach in cellular networks, which simply ignore users whose channel
coefficient. The channel subvectors that cannot be estimated coefficients are not acquired.
HUH et al.: ACHIEVING MASSIVE MIMO SPECTRAL EFFICIENCY WITH A NOT-SO-LARGE NUMBER OF ANTENNAS 3233
As observed in [17], in this regime the system spectral in cases (a) and (b), and
efficiency is uniquely limited by the ICI due to pilot con-
tamination. (x) = 0,0 (x) + g0,c (x)
The next result yields the achievable group spectral effi- cD(0)\0E(x)
ciency of LZFBF in the case of single-cell processing (i.e., 1
for C = 1). The distance between a user location x X + 0,c,b(x,c) (x) + g(x, c + b) (38)
C
and a cluster C + c is defined as the minimum of the distance cE(x) bC\b(x,c)
between x and any BS in the cluster, i.e.,
in case (c), and where
d (x, C + c) = min{d (x, b + c) : b C}. (31) 2
1 g(x, c + b)
(x) = c,c,b (x), (39)
We let E(x) denote the set of J 1 clusters c = 0 closest to C g(x, b)
cP(0,0)\0 bC
x X (if J = 1 then E(x) = ). With these definitions, we
have: with
Theorem 2: For given set X , C = 1 (i.e., C = {0}), and 1 1
system parameters F, S and Q, in the limit of N , the g0,c (x) = g(x, c + b), 0,c (x) = 0,c,b (x),
C C
following group spectral efficiency of bin v(X ) is achievable bC bC
with LZFBF precoding (J 1): (40)
where c ,c,b (f ; x) and c,c ,b (x) given by (14) and (15), re-
RX ,{0} (F, 1, J 1) = spectively, are coefficients that depend uniquely on the system
S MJS
0,0,0 (x) geometry, frequency and pilot reuse, but are independent of
S
log 1 + 1 MJS
(32) the loading factor S and of the BS antenna factor M .
mF F + (x) + S (x)
xX
and c,c ,b (x) given by (15), are coefficients that depend max{1 QS/L, 0} RXk ,C (F, C, J), (41)
uniquely on the system geometry, frequency and pilot reuse,
but are independent of the loading factor S and of the BS where the first term is the ratio between data-phase and
antenna factor M . total slot channel uses, and takes into account the pilot
In passing, we notice that the limit of (32) for M dimensionality overhead. The second term in (41) is the bin
coincides with (30). Therefore, as observed in [17], in the spectral efficiency of the data phase for the given Network-
Massive MIMO regime LZFBF yields no advantage over MIMO scheme, and is given by one of the three closed-
the simpler LSUBF. form expressions in Theorems 1, 2 and 3, depending on the
The case of LZFBF with multicell processing (C > 1) needs specific beamforming case. The net bin spectral efficiency
the definition of some more notation. As in Examples 8 and at a bin v(Xk ) can be maximized by choosing among all
9, we consider the cases J = 1, J = Q and J = C(Q Network-MIMO schemes in a family, the one that maximizes
1) + 1, referred to as cases (a), (b) and (c), respectively, in the product (41). The maximization of (41) is subject to the
the following. In case (c), we define b(x, c) to be the BS in constraint JS CM , which becomes relevant for J > 0 (i.e.,
cluster c E(x) closest to user location x X , i.e., for LZFBF precoding) and requires searching over a discrete
parameter space (apart from S, which is continuous). The
b(x, c) = arg min{d (x, b + c) : b C}. (35) simple closed-form expressions given in Theorems 1, 2 and
3 allow for an efficient system optimization, avoiding lengthy
Theorem 3: For given sets X , C with C > 1, and system
Monte Carlo simulations.
parameters F, S and Q, in the limit of N , the following
Let R (Xk ) denote the maximum of (41) for given Xk .
group spectral efficiency of bin v(X ) is achievable with
Then, a scheduler allocates the different bins on the time-
LZFBF precoding (J 1):
frequency slots in order to maximize some desired network
RX ,C (F, C, J 1) = utility function of the user rates. With randomized or round-
CMJS robin user selection, each user in bin v(Xk ) shares on av-
S S 0,0 (x)
log 1 + 1 CM
(36) erage an equal fraction of the product k R (Xk ), where k
mF F + (x) + S (x) is the fraction of the transmission resource (time-frequency
xX
where (x) takes on the expressions slots) allocated to bin v(Xk ). In general, the scheduler allo-
cates the transmission resource to the user bins in order to
(x) = 0,c (x) + g 0,c (x), (37) maximize a componentwise non-decreasing concave network
cE(x){0} cD(0)\0E(x) utility function of the bin spectral efficiencies, denoted by
HUH et al.: ACHIEVING MASSIVE MIMO SPECTRAL EFFICIENCY WITH A NOT-SO-LARGE NUMBER OF ANTENNAS 3235
(a) M=20
(b) M=100
Fig. 7. Best scheme at each user location. M = 20 and 100, K = 16, and
L = 84.
A PPENDIX A
Fig. 10. Cluster sum throughput vs. M for various (F, C, J) and for a
bin-optimized architecture under Max-Min scheduling. K = 16 and L = 84. P ROOF OF T HEOREMS 1, 2 AND 3: M AIN I DEAS
We focus on the reference cluster C (i.e., c = 0), with cor-
responding served group of locations X = {x0 , . . . , xm1 }.
cell. The proposed strategy operates by partitioning the users For brevity, the subband index f is omitted and D denotes the
population into geographically determined bins. The time- set of clusters transmitting on the same subband of cluster 0.
frequency scheduling slots are allocated to the bins in order From (7), the (scalar) signal received at some symbol interval
to form independent MU-MIMO transmissions, each of which of the data phase, at the k-th active user receiver at location
is optimized for the corresponding bin. This strategy allows x X , is given by
the uplink training reuse factor, the frequency reuse factor, H
yk,0 (x) = uk,0 (x)vk,0 (x)hk,0,0 (x) (43)
the active user loading factor, the BS cooperative cluster
H
size and the type of MU-MIMO linear beamforming to be + uj,0 (x)vj,0 (x)hk,0,0 (x)
finely tailored to the particular user bin, rather than for the j =k
system worst-case. We considered system optimization over + uj,0 (x )vj,0
H
(x )hk,0,0 (x) (44)
1-dimensional and 2-dimensional cell layouts, based on a x X \x j
family of Network-MIMO schemes ranging from single-cell
+ uj,c (x )vj,c
H
(x )hk,0,c (x) + zk,0 (x),
processing to joint processing over clusters of coordinated
c D\0 x X j
BSs, with linear precoders ranging from conventional linear
(45)
single-user beamforming to zero-forcing beamforming with
additional zero-forcing constraints for neighboring cells. In where uj,c (x ) denotes the code symbol transmitted by cluster
order to carry out the system optimization, we developed c , to user j at location x + c : x X .
closed-form expressions for the achievable spectral efficiency Using the MMSE decomposition (11), we isolate the useful
for each scheme in the family and each bin in the cellular signal term from (43), given by,
layout. Our closed-form analysis is based on the large-system H
uk,0 (x)vk,0
(x)h (46)
limit, where all system dimensions scale to infinity with fixed k,0,0 (x).
ratios, and make use of recent results (by some of the authors The sum of the residual self-interference term due to the
of this paper) on the analysis of cellular systems with linear channel estimation error with the signals in (44) transmitted
zero-forcing beamforming and channel estimation errors [11]. by cluster 0 to the other users, results in the intra-cluster
The performance predicted by the large-system asymptotic interference term
analysis is shown to match very well with finite-dimensional
H H
simulations. Our numerical results show that different schemes uk,0 (x)vk,0 (x)ek,0,0 (x) + uj,0 (x)vj,0 (x)hk,0,0 (x)
in the considered family achieve the best spectral efficiency at j =k
H
different user locations. This suggests the need for a location- + uj,0 (x )vj,0 (x )hk,0,0 (x). (47)
adaptive scheme selection to serve efficiently the whole cover- x X \x j
age region. The resulting overall system is therefore a mixed-
mode Network-MIMO architecture, where different schemes, Finally, the ICI term and background noise are given in (45).
each of which is optimized for the corresponding user bin, are From [11, Theorem 4] the rate
multiplexed in the time-frequency plane. (N )
Rk,0 (x) =
As a final remark, it is worthwhile pointing out that the
E |useful sig.|2 | vk,0 (x), h
approach of partitioning the users in homogeneous sets, and k,0,0 (x)
serving each set according to a specifically optimized scheme, E log 1 +
E |interf. + noise| | vk,0 (x), hk,0,0 (x)
2
while letting the overall scheduler allocate the transmission
resource to the sets in order to maximize some desired network (48)
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