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AbstractBlock diagonalization (BD) based precoding tech- challenge to design a suitable precoding algorithm with good
niques are well-known linear transmit strategies for multiuser overall performance and low computational complexity at the
MIMO (MU-MIMO) systems. By employing BD-type precoding same time for high-dimensional MIMO systems.
algorithms at the transmit side, the MU-MIMO broadcast
channel is decomposed into multiple independent parallel single Unlike the received signal in single user MIMO (SU-
user MIMO (SU-MIMO) channels and achieves the maximum MIMO) systems, the received signals of different users in mul-
diversity order at high data rates. The main computational tiuser MIMO (MU-MIMO) systems not only suffer from the
complexity of BD-type precoding algorithms comes from two
noise and the inter-antenna interference but are also affected
singular value decomposition (SVD) operations, which depend on
the number of users and the dimensions of each users channel by the multiuser interference (MUI). Channel inversion based
matrix. In this work, low-complexity precoding algorithms are precoding or linear precoding algorithms such as zero forcing
proposed to reduce the computational complexity and improve (ZF) and minimum mean squared error (MMSE) precoding
the performance of BD-type precoding algorithms. We devise [8] can still be used to cancel the MUI, but they result in a
a strategy based on a common channel inversion technique,
reduced throughput or require a higher power at the transmitter
QR decompositions, and lattice reductions to decouple the MU-
MIMO channel into equivalent SU-MIMO channels. Analytical in the MU-MIMO scenarios. As a generalization of the ZF pre-
and simulation results show that the proposed precoding al- coding algorithm, block diagonalization (BD) based precoding
gorithms can achieve a comparable sum-rate performance as algorithms have been proposed in [9], [10] for MU-MIMO
BD-type precoding algorithms, substantial bit error rate (BER) systems. However, BD based precoding algorithms only take
performance gains, and a simplified receiver structure, while
the MUI into account and thus suffer a performance loss at low
requiring a much lower complexity.
signal to noise ratios (SNRs) when the noise is the dominant
Index TermsMultiuser MIMO (MU-MIMO), block diago- factor. Therefore, a regularized block diagonalization (RBD)
nalization (BD), regularized block diagonalization (RBD), low-
complexity, lattice reduction (LR).
precoding algorithm which introduces a regularization factor
to take the noise term into account has been proposed in [11].
We term the BD and RBD based precoding schemes as BD-
I. I NTRODUCTION type precoding algorithms in this work for convenience.
[13] as GMI-type precoding and the work in [14] as QR/SVD- compared to the GMI in [13] which only provides an
type precoding. For the second SVD operation, however, both equivalent implementation of RBD.
the GMI-type and QR/SVD-type precoding schemes employ 2) A new category of low-complexity high-performance
it in a similar way as the conventional BD-type precoding LR-S-GMI-type precoding algorithms is proposed for
algorithms to parallelize each users streams. Therefore, the MU-MIMO systems based on a channel inversion tech-
second SVD operation needs to be implemented multiple times nique, QR decompositions, and lattice reductions.
and the decoding matrix for the effective channel still needs 3) The BD-type precoding algorithms are systematically
to be known or estimated at the receiver of each user for the analyzed and summarized. We show that the computa-
GMI-type or QR/SVD-type precoding algorithms. tional complexity of the BD-type precoding depends on
The GMI-type and QR/SVD-type techniques are solely the number of users and the system dimensions.
low complexity equivalent implementations of the BD-type 4) A comprehensive performance analysis is carried out
precoding algorithms. As an improvement of the BD-type in terms of BER performance, achievable sum-rate, and
precoding algorithms, a low-complexity lattice reduction-aided computational complexity.
RBD (LC-RBD-LR) type precoding algorithms has been pro- 5) A simulation study of the proposed algorithms under
posed in [17], [18] based on the QR decomposition scheme. imperfect channel situations is also conducted, which
Not only much less complexity but also considerable BER completes this paper.
gains are achieved by the LC-RBD-LR-type precoding algo- The proposed and existing precoding techniques are all
rithms. However, the QR decomposition in LC-RBD-LR-type performed with the help of downlink channel state information
precoding algorithms still needs to be implemented for each (CSI). The assumption that full CSI is available at the transmit
user, which could result in a high complexity for large MIMO side is valid in time-division duplex (TDD) systems because
systems. the uplink and downlink share the same frequency band. For
A new category of low-complexity high performance pre- frequency-division duplex (FDD) systems, however, the CSI
coding algorithms based on the channel inversion scheme is needs to be estimated at the receiver and fed back to the
proposed in this work. A simplified GMI (S-GMI) precoding transmitter.
scheme which employs a common channel inversion for all This paper is organized as follows. The system model is
users is developed first. Equivalent parallel SU-MIMO chan- given in Section II. A brief review of the BD-type precoding
nels are obtained from the S-GMI precoding process. Then, algorithms is presented in Section III. The proposed LR-
these effective channels are transformed into the lattice space S-GMI-type precoding algorithms are described in detail in
by utilizing the lattice reduction (LR) technique [16], whose Section IV and the performance analysis is developed in
complexity is dictated by a QR decomposition. Linear pre- Section V. Simulation results and conclusions are displayed
coding strategies are applied in the lattice space to parallelize in Section VI and Section VII, respectively.
each users streams. Finally, the proposed lattice reduction- Notation: Matrices and vectors are denoted by upper and
aided simplified GMI (LR-S-GMI) precoding algorithms are lowercase boldface letters, and the transpose, Hermitian trans-
obtained. According to the specific linear precoding constraint pose, inverse, pseudo-inverse of a matrix B are described
used, the proposed LR-S-GMI-type precoding algorithms are by B T , B H , B 1 , B , respectively. The trace, determinant,
categorized as LR-S-GMI-ZF and LR-S-GMI-MMSE, respec- Frobenius norm, round function are denoted as T r(), det(),
tively. F , . With diag{B 1 , B 2 , . . . , B K } creates a block
The algorithm structure of the proposed LR-S-GMI-type diagonal matrix with the matrices B k on the main diagonal.
precoding is different from the LC-RBD-LR-type precoding
since the channel inversion is only implemented once for all II. S YSTEM M ODEL
users, while the QR decomposition needs to be implemented We consider an uncoded MU-MIMO downlink channel,
multiple times in LC-RBD-LR-type precoding. Therefore, the with NT transmit antennas at the base station (BS) and N i
computational complexity can be reduced considerably by receive antennas at the ith user equipment (UE). With K
the proposed LR-S-GMI-type precoding. A comprehensive users in the system, the total number of receive antennas
mathematical analysis is developed to analyze and predict K
is NR = i=1 Ni . A block diagram of such a system is
the performance of the proposed LR-S-GMI-type precoding illustrated in Fig. 1.
algorithms. The simulation results verified that the proposed From the system model, the combined channel matrix H
LR-S-GMI-type precoding algorithms have the lowest compu- and the joint precoding matrix P are given by
tational complexity compared to BD-type [9], [11], GMI-type
[13], QR/SVD-type [14] and LC-RBD-LR-type [17] precoding H = [H T1 H T2 . . . H TK ]T CNR NT , (1)
NT NR
algorithms, a comparable sum-rate performance as BD-type P = [P 1 P 2 . . . P K ] C , (2)
precoding algorithms, and substantial BER performance gains
over prior art. where H i CNi NT is the ith users channel matrix. The
The main contributions of the work are summarized below: quantity P i CNT Ni is the ith users precoding matrix. We
assume a flat fading MIMO channel and the received signal
1) A simplified GMI (S-GMI) precoding is developed in
y i CNi at the ith user is given by
this work as an improvement of the original RBD in
[11]. A mathematical analysis is given to show that the K
S-GMI has a better BER performance and much less y i = H i xi + H i xj + ni , (3)
complexity than that of RBD, which is a clear difference j=1,j=i
ZU et al.: GENERALIZED DESIGN OF LOW-COMPLEXITY BLOCK DIAGONALIZATION TYPE PRECODING ALGORITHMS FOR MULTIUSER MIMO SYSTEMS 3
Thus, Qi,zf satisfies the BD constraint (9). The first precoding the MMSE precoding should be applied to the transpose
T of
matrix for the BD constraint based precoding can be equiva- the extended channel matrix H Te i = H e i , I Ni , and
lently obtained as the LR transformed channel matrix H e i is obtained as
P ai = Qi,zf . (28) H e i = T i H e i , (34)
This equivalent method is termed as GZI in [13]. where T i is the unimodular matrix for H e i . Then, the LR-
For the proposed LR-S-GMI-type precoding algorithms, we aided MMSE precoding filter is given by
get the first precoding filter as S-GMI in (24), while we b H H
employ the LR-aided linear precoding technique instead of P MMSEi = Ai H e i (H e i H e i )1 , (35)
the SVD operation in S-GMI to obtain the second precoding
where the matrix A i = I Mi , 0Mi Ni . Finally, the combined
filter P bi . The aim of the LR transformation is to find a new b
basis H which is nearly orthogonal compared to the original second precoding matrix P for all users is
matrix H for a given lattice L(H). The most commonly used b b b b
P = diag{P 1 , P 2 , . . . , P K }. (36)
LR algorithm has been first proposed by Lenstra, Lenstra and
b
L. Lovasz (LLL) in [21] with polynomial time complexity. The overall precoding matrix is P = P a P . Since the lattice
In order to reduce the computational complexity, a complex b
reduced precoding matrix P has near orthogonal columns,
LLL (CLLL) algorithm was proposed in [22], which reduces the required transmit power will be reduced compared to
the overall complexity of the LLL algorithm by nearly half the BD-type precoding algorithms. Thus, a better BER per-
without sacrificing any performance. We employ the CLLL formance than that of the BD-type precoding algorithms
algorithm to implement the LR transformation in this work.
can be achieved by the proposed LR-S-GMI-type precoding
After the first precoding, we transform the MU-MIMO algorithms.
channel into parallel or approximately parallel SU-MIMO The received signal is finally obtained as
channels and the effective channel matrix for the ith user is
y = H P d + n, (37)
H e i = H i P ai . (29)
where = P d2 . The main processing work left for the
We perform the LR transformation on H Te i in the precoding receiver is to quantize the received signal y to the nearest data
scenario [23], that is vector and the decoding matrix G described in the BD-type
H e i = T i H e i and H e i = T 1
i H e i , (30) [9], [11], QR/SVD-type [14], and GMI-type [13] precoding
algorithms is not needed anymore. The receiver structure is
where T i is a unimodular matrix with det|T i | = 1 and all thus simplified, and a significant amount of transmit power
elements of T i are complex integers, i.e. t l,k Z + jZ. The can be saved which is very important considering the mobility
physical meaning of the constraint det|T i | = 1 is that the of the distributed users.
channel energy is unchanged after the LR transformation. The proposed precoding algorithms are called LR-S-GMI-
Following the LR transformation, we employ the linear ZF and LR-S-GMI-MMSE depending on the choice of the
precoding constraint to get the second precoding filter to second precoding filter as given in (31) and (35), respectively.
parallelize each users streams. The ZF precoding constraint We will focus on the LR-S-GMI-MMSE precoding since a
is implemented for user i as better performance is achieved. The implementing steps of
b H H the LR-S-GMI-MMSE precoding algorithm are summarized
P ZFi = H e i (H e i H e i )1 . (31)
in Table II. By replacing the steps (8) and (9) in Table II
It is well-known that the performance of MMSE precoding with the formulation in (31), the LR-S-GMI-ZF precoding
is always better than that of ZF precoding. We can get the algorithm can be obtained. Similarly, the first precoding matrix
second precoding filter by employing an MMSE precoding can also be computed according to the GZI method in (28),
constraint. The MMSE precoding is actually equivalent to and combined with (31) or (35) to get the second precoding
the ZF precoding with respect to an extended system model matrix. Then, the LR-GZI-ZF or LR-GZI-MMSE precoding
[24], [25]. The extended channel matrix H for the MMSE algorithms can be obtained, respectively.
precoding scheme is defined as
V. P ERFORMANCE A NALYSIS
H = H, I NR . (32)
In this section, we carry out an analysis of the performance
By introducing the regularization factor , a trade-off between of the proposed LR-S-GMI-type precoding algorithms. We
the level of MUI and the noise is introduced [8]. Then, the consider a performance analysis in terms of BER, sum-rate
MMSE precoding filter is obtained as and computational complexity. In the BER analysis part,
P MMSE = AH H (HH H )1 , (33) we show that the residual interference matrix of the RBD
precoding actually converges to an identity matrix, which is
where A = I NT , 0NT NR , and the multiplication by A will a new result in the literature so far. We also mathematically
not result in transmit power amplification since AA H = I NT . demonstrate that the residual interference of the proposed LR-
From the mathematical expression in (33), the rows of H S-GMI-type precoding algorithms converges to a zero matrix.
determine the effective transmit power amplification of the Finally, we illustrate the quality of the effective channel
MMSE precoding. Correspondingly, the LR transformation for matrices of the proposed and existing precoding algorithms by
6 IEEE TRANSACTIONS ON COMMUNICATIONS, ACCEPTED FOR PUBLICATION
BD
Steps Operations GMI
1.4
Applying the MMSE Channel Inversion SGMI
H mse = (H H H + I)1 H H
LRSGMIMMSE
(1)
(2) for i = 1 : K 1.2
Plog cond(H)(x)
(4) i = Qi,mse
(5) H e i = H i P a
i 0.8
(6) H e i = H e i I Ni
T
(7) [T T T
i H e i ] = CLLL(H e i )
0.6
(8) Ai = [I Mi 0Mi Ni ]
b H H
P MMSEi = Ai H e i (H e i H e i )1
0.4
(9)
(10) end
0.2
Compute the overall precoding matrix
(11) P a = [P a a
1, P 2, . . . , P K]
a
b b b b 0
(12) P = diag{P 1 , P 2 , . . . , P K } 0 1 2 3 4
x
5 6 7 8
a b
(13) P = P P
Calculate the scaling factor Fig. 2: PDFs of the natural logarithm of cond(H) for 6 6
(14) = (P d2F /Es ) matrices
Get the received signal
(15) y = H P d + n
Transform back from lattice space
(16) d = T y
for the S-GMI precoding algorithm developed in Section IV
with the SNR increase we have
B. Achievable Sum-Rate Analysis Since the statistical property of n i is not changed by the
Recall that at high SNRs, the MU-MIMO channel is ap- multiplication with the unitary matrix U Hi , we get the lth
proximately decoupled into equivalent SU-MIMO channels by received SNR as
applying the first precoding filtering in (23). Then, we can 2l
transform the MU-MIMO sum-rate analysis [27] to a set of SNRl = . (52)
n2
SU-MIMO sum-rate analysis tasks. For the second precoding
filter, the LR-aided MMSE precoding is actually equal to For simplicity, we do not consider the power loading between
the LR-aided ZF precoding under the high SNR scenario. users and streams in the following derivation and term this
Therefore, the ith users received signal is strategy as no power loading (NPL). Then, the achievable sum-
rate for the BD precoding algorithm is given by
y i = z i + i ni , (44)
Leff
K
2l
where z i = T 1
i di .
By assuming that the average transmit C (BD)
= log2 1 + 2 . (53)
power is i = 1, and because of the fact that H e i = i=1 l=1
n
U i i V i H , we get the normalization factor i as By comparing the maximum achievable sum-rate of the
i = H 1 2 2 H
e i z i F = T r(i z i z i )
proposed LR-S-GMI-type precoding algorithms in (49), we
Leff 2 conclude that the sum-rate of the proposed LR-S-GMI-type
l
= , (45) precoding algorithms will be slightly inferior to that of the BD
2l precoding algorithm at high SNRs. At low SNRs, however, we
l=1
expect that the achieved sum-rate of the proposed LR-S-GMI-
where the quantity l is the lth singular value of i , and l
type precoding algorithms will be better than that of the BD
denotes the energy of the lth stream of z i .
precoding since a regularization factor is employed to mitigate
From (45), the received SNR for the lth stream of user i is
the degradation by the noise term.
obtained as
The sum-rate performance of the BD precoding is actually
l2 dependent on the power loading scheme being used. Hence,
SNRl = 2 .
Leff m
(46)
n2 m=1 2
the BD precoding algorithm can achieve its maximum sum-
m
rate performance by allocating the power between streams
Then, the achievable sum-rate for user i is given by according to a WF power loading scheme. As pointed out
Leff
Leff
in [13], we do not consider the power loading strategy for the
l2 l2
Ci = log 1 + Leff m = log 1 + . RBD or the proposed LR-S-GMI-type precoding algorithms
n2 m=1
2
n2 i
l=1 2m l=1 for two reasons. One is that it is not easy to identify the
(47) optimal power allocation coefficients because of the existence
Note that the achievable sum-rate C i is degraded by the nor- of residual interference. The second reason is that the MMSE
malization factor i . The value of C i approaches its maximum condition (10) is already satisfied. Therefore, an allocation of
2
12 22 L different powers between streams is not needed.
eff
when 21
= 22
= ... = 2L
, thus we have
eff
Leff
FLOPs
i
64K( 98 Ni3 +
5
5 U i i V i H 13248 10
0
10 40
BDWF
BD
GMI 35
QR/SVD RBD
RBD
1 SGMI 30
10
LCBDLRMMSE
Sumrate (bits/Hz)
LRSGMIMMSE
25
BER
20
2
10
15 BD
LCBDLRMMSE
BDWF
10 QR/SVDRBD
3 GMI
10
SGMI
5 RBD
LRSGMIMMSE
0
0 5 10 15 20 25
4
10
Eb/N0 (dB)
0 5 10 15 20 25
Eb/N0 (dB)
Fig. 6: Sum-rate performance, (2, 2, 2, 2) 8 MU-MIMO
Fig. 5: BER performance, (2, 2, 2, 2) 8 MU-MIMO
[31] S. L. Loyka, Channel capacity of MIMO architecture using the ex- Martin Haardt (S90 - M98 - SM99) has been
ponential correlation matrix, IEEE Commun. Lett., vol. 5, no. 9, pp. a Full Professor in the Department of Electrical
369371, Sept. 2001. Engineering and Information Technology and Head
of the Communications Research Laboratory at Il-
menau University of Technology, Germany, since
2001. Since 2012, he has also served as an Honorary
Visiting Professor in the Department of Electronics
Keke Zu (S99 - M04 - SM10) received the at the University of York, UK.
BSc degree in Communications Engineering from After studying electrical engineering at the Ruhr-
Southwest Jiaotong University, China in 2006 and University Bochum, Germany, and at Purdue Uni-
the MSc degree in Communication & Information versity, USA, he received his Diplom-Ingenieur
Systems from National Mobile Communications Re- (M.S.) degree from the Ruhr-University Bochum in 1991 and his Doktor-
search Laboratory, Southeast University, China in Ingenieur (Ph.D.) degree from Munich University of Technology in 1996.
2009. He is currently pursuing the PhD degree at In 1997 he joint Siemens Mobile Networks in Munich, Germany, where
The University of York, UK. His research interests he was responsible for strategic research for third generation mobile radio
include MIMO precoding, MIMO detection, lattice systems. From 1998 to 2001 he was the Director for International Projects
reduction, and security in computing & communi- and University Cooperations in the mobile infrastructure business of Siemens
cations. in Munich, where his work focused on mobile communications beyond
the third generation. During his time at Siemens, he also taught in the
international Master of Science in Communications Engineering program at
Munich University of Technology.
Martin Haardt has received the 2009 Best Paper Award from the IEEE
Signal Processing Society, the Vodafone (formerly Mannesmann Mobilfunk)
Innovations-Award for outstanding research in mobile communications, the
ITG best paper award from the Association of Electrical Engineering,
Electronics, and Information Technology (VDE), and the Rohde & Schwarz
Outstanding Dissertation Award. In the fall of 2006 and the fall of 2007 he
was a visiting professor at the University of Nice in Sophia-Antipolis, France,
and at the University of York, UK, respectively. His research interests include
wireless communications, array signal processing, high-resolution parameter
estimation, as well as numerical linear and multi-linear algebra.
Prof. Haardt has served as an Associate Editor for the IEEE Transactions
on Signal Processing (2002-2006 and since 2011), the IEEE Signal Processing
Letters (2006-2010), the Research Letters in Signal Processing (2007-2009),
Rodrigo C. de Lamare (S99 - M04 - SM10) the Hindawi Journal of Electrical and Computer Engineering (since 2009),
received the Diploma in electronic engineering from the EURASIP Signal Processing Journal (since 2011), and as a guest editor
the Federal University of Rio de Janeiro (UFRJ) for the EURASIP Journal on Wireless Communications and Networking. He
in 1998 and the M.Sc. and PhD degrees, both in has also served as an elected member of the Sensor Array and Multichannel
electrical engineering, from the Pontifical Catholic (SAM) technical committee of the IEEE Signal Processing Society (since
University of Rio de Janeiro (PUC-Rio) in 2001 and 2011), as the technical co-chair of the IEEE International Symposiums on
2004, respectively. Since January 2006, he has been Personal Indoor and Mobile Radio Communications (PIMRC) 2005 in Berlin,
with the Communications Research Group, Depart- Germany, as the technical program chair of the IEEE International Symposium
ment of Electronics, University of York, where he on Wireless Communication Systems (ISWCS) 2010 in York, UK, as the
is currently a Reader. Since April 2012, he has also general chair of ISWCS 2013 in Ilmenau, Germany, and as the general-co
been a Professor at PUC-RIO. His research interests chair of the 5-th IEEE International Workshop on Computational Advances in
lie in communications and signal processing, areas in which he has published Multi-Sensor Adaptive Processing (CAMSAP) 2013 in Saint Martin, French
about 300 papers in refereed journals and conferences. Dr. de Lamare serves as Caribbean.
an associate editor for the EURASIP Journal on Wireless Communications and
Networking and for IEEE Signal Processing Letters. He is a Senior Member
of the IEEE and has served as the general chair of the 7th IEEE International
Symposium on Wireless Communications Systems (ISWCS), held in York,
UK in September 2010, and as the technical programme chair of ISWCS
2013 held in Ilmenau, Germany in August 2013.