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fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LWC.2017.2761876, IEEE Wireless

Communications Letters

1

Precoding for Massive MIMO Systems

Betty Nagy, Maha Elsabrouty and Salwa Elramly

Abstract—Neumann Series (NS) expansion-based precoder in the iterative approach gets more accurate approximation than

massive multiple input multiple output (MIMO) systems suffers the direct method approach [5], it suffers from larger delays.

from slow convergence. To solve this problem, this letter proposes The third approach expands the inverse of a matrix into a

a weighted NS expansion precoder. The weights are designed to

minimize the error between the exact inverse and the weighted NS series of matrix-vector multiplications like Neumann Series

inverse. The optimal weights are deduced analytically. Moreover, (NS) expansion [6] and truncated polynomial expansion (TPE)

an approximation of these optimal weights is proposed, based [4]. The main advantage of the NS expansion is its simple

on the properties of large Wishart matrices, which saves the re- implementation. However, it suffers from slow convergence.

computation of these weights. The weighted NS precoding pro- This paper aims at speeding up the convergence of the NS

vides near optimal performance at only four weighted expanded

NS terms and has lower complexity than recently proposed expansion-based precoder. Firstly, weights are introduced to

approximate precoders. the terms of the NS expansion. Secondly, an optimization

problem whose objective is to minimize the error between

Index Terms—Massive MIMO, Matrix inversion, Neumann

series, Optimization. the exact matrix inverse and the weighted NS inverse is

presented and solved analytically. Finally, an approximation

to the optimal weights is proposed based on the properties

I. I NTRODUCTION of large Wishart matrices. Consequently, the computation of

ASSIVE MIMO is one of the most promising technolo- the optimal weights is insensitive to instantaneous channel

M gies for the 5th generation (5G) wireless communica-

tions systems [1] due to its exceptional array gain. Marzetta in

realizations. Hence, it can be done once during the system

setup and the system complexity will be equivalent to that of

[2] showed that as the number of the antenna elements grows the conventional NS-based precoding. Simulation results show

large, the effects of uncorrelated noise, fast fading and intra- that the weighted NS precoder at four expanded series terms

cell interference decrease. Thus, linear precoding schemes can has very close performance to optimal exact inversion. More-

achieve near optimal performance [3]. over, the complexity analysis provides a practical condition at

Linear precoders like Zero Forcing (ZF) [3], Regularized Zero which the weighted NS has lower complexity than competitive

Forcing (RZF) [4] and Minimum Mean Square Error (MMSE) techniques. By inspecting the practical values in 5G systems,

[3] require the inversion of the channel Gram matrix of all this condition was found to be satisfied most of the time except

users. With the large size of the Gram matrix in the case of in the case of large number of users in high mobility.

massive MIMO serving large number of users, matrix inver- It must be noted that applying and optimizing the coeffi-

sion is an important practical problem that affects the precoder cients of series expansion terms was applied in [4] and [10].

design and performance. A good precoder requires developing However, [4] targeted increasing the system throughput and the

a matrix inversion approximation of low complexity as well as added complexity in the system could not be resolved to the

good approximation accuracy. There are several approaches to original TPE. On the contrary, in the approach proposed here

obtain the inverse of a large matrix; the first approach, namely, the weights target the problem of slow convergence in NS-

direct method depends mainly on decomposing the matrix, to based precoding. The approximate weights developed using

be inverted, into a product of simple matrices like Cholesky the properties of the large Wishart matrices do not only provide

factorization [5] and QR decomposition. This approach suffers faster convergence than the unweighted case but also come at

from high complexity and requires special arithmetic units no extra computational complexity. The work in [10] aimed

[6]. While the second approach, namely, indirect or iterative to simplify the block diagonalization precoding for multiple

methods, treats the inversion problem as a system of linear antenna users. Authors in [10] used another definition of the

equations and solves it iteratively. Examples of the second NS expansion and obtained an approximate expression for

approach are the Gauss-Seidel [7], Conjugate gradient [8] and the optimal weights. On the other hand, this letter proposes

Symmetric Successive over Relaxation (SSOR) [9]. Although simplified ZF precoder for single antenna users. According

to [1], the diagonal-based NS expansion used here is more

B. Nagy is with the Department of Physics and Applied Mathematics robust against unknown channel distribution. Moreover, both

and S. Elramly is with the Department of Electronics and Communications

Engineering, Faculty of Engineering, Ain Shams University, Cairo 11571, exact and approximate optimal weights are presented.

Egypt (e-mail: {betty.nagy,salwa_elramly}@eng.asu.edu.eg). Notations: Lower-case and upper-case boldface letters de-

M. Elsabrouty is with the Department of Electronics and Com- note vectors and matrices. (.)T , (.)H , (.)† , tr(.), (.)−1 and

munications Engineering, Egypt-Japan University of Science and Tech-

nology (E-JUST), Borg El-Arab 21934, Alexandria, Egypt (e-mail: k.k f present the transpose, conjugate transpose, pseudoinverse,

trace, inversion and Frobenius norm respectively, nk denotes

maha.elsabrouty@ejust.edu.eg).

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This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LWC.2017.2761876, IEEE Wireless

Communications Letters

2

the binomial coefficient, Lnα (v) denotes the generalized La- where a = [A0, . . . A N −1 ]T , the (n, m)th element of the matrix

guerre polynomial of degree α and v1, v2, . . . vn are its roots. Z ∈ C N ×N and the nth element of the vector b ∈ C N ×1 are

Finally, CN (µ, σ 2 IK ) denotes the circularly symmetric com- defined respectively as follows;

plex Gaussian distribution with mean µ and covariance matrix

Õn−1 n − 1 Õm−1 m−1

σ 2 IK where IK is the identity matrix of size K. [Z]n,m = (−1)x (−1)y

x=0 x y=0 y

n o

II. S YSTEM M ODEL AND P RELIMINARIES ×tr (GD) (DG)x+1 y+1

+ (GD) (DG)x+1

y+1

Õn−1 n−1 n o

station is equipped with M antennas and serves K users [b]n = 2 (−1)x tr (GD)x+1 (9)

x=0 x

simultaneously. The resulting transmitted signal vector after Proof: given in the Appendix.

precoding is denoted by x = [x1, . . ., x M ]T ∈ C(M×1) . The

Lemma 1. In a massive MIMO system with M antennas

signals received by all users are denoted by the vector y =

and K users, the optimal weights of the optimized NS-based

[y1, . . ., yK ]T ∈ C(K×1) and it can be represented as follows:

√ precoding can be approximated to be function of M and K

y = ρHx + n (1) only independent of the instantaneous channel realizations.

where ρ is the signal-to-noise ratio (SNR) in the downlink, Proof: For independent and identically distributed (i.i.d.)

H ∈ C(K×M) is the channel matrix which is assumed to be channels in massive MIMO, D ≈ M 1

IK [9]. Thus,

Rayleigh fading, n ∈ C(K×1) denotes the additive white Gaus- GD = DG = M G and as a result, tr {(GD)x+1 (DG)y+1 +

1

sian noise vector, which follows the distribution CN (0K×1, IK ) (GD)y+1 (DG)x+1 } = 2tr {( M 1

G)x+y+2 }. Then, (9) can be sim-

and x, which is precoded using the ZF precoder, is defined as; plified using Vandermonde’s identity [11] as follows;

x = βH† s = βHH (HHH )−1 s = βHH G−1 s n + m − 2 n 1 r+2 o

(2) Õn+m−2

(K×1)

[Z]n,m = (−1)r tr G

where s ∈ C is the symbol vector from K users, G is r=0 r M

q as HH and β is a normalization

H

the Gram matrix defined Õn−1 n − 1 n 1 r+1 o

K [b]n = (−1)r tr G (10)

parameter defined as tr(G−1 ) . It is clear from (2) that the ZF r=0 r M

precoder requires the computation of G−1 . Furthermore, the trace of a matrix tr(Xa ) = k=1 K

λka , where

Í

1) NS-based ZF precoding: The basis of the Neumann λk is the k eigenvalue of the matrix X [12]. Therefore, (10)

th

series expansion [6] is considering that if the matrix G, whose is modified to:

r n+m−2

Õn+m−2 Õ

inverse needs to be computed, satisfies the following condition: K

[Z]n,m = (−1) λr+2

lim (IK − DG)n ≈ 0K (3) r=0 r k=1

n→∞ Õ

Õn−1 n−1 K

where D is a K × K preconditioning matrix. Then the matrix [b]n = (−1)r λr+1 (11)

inversion of the K × K matrix G is transformed to the sum of

r=0 r k=1

G).

Õ∞ ÕN

G−1 = (IK − DG)n−1 D ≈ (IK − DG)n−1 D (4) In the case of i.i.d. channels, whose elements have zero

n=1 n=1 1

mean and unit variance, the matrix ( M G) in (11) follows

where N is the number of expanded terms. The precondition- the same distribution of Wishart matrices. Consequently, the

ing matrix D can be defined as [6]; Marchenko-Pastur law of large Wishart matrices can be ap-

1 1 1

D = diag , . . ., , . . ., (5) plied [13]. As a result, the eigenvalues λ1, . . . λk converge to

G1,1 Gk,k GK,K a non random limiting distribution. In [14], it has been proved

where Gk,k is the k th diagonal element of the matrix G. that as M and K grow large, λ1, . . . λk are approximated by the

roots of generalized Laguerre polynomial which only depend

III. P ROPOSED W EIGHTED NS P RECODING on the dimensions of the massive MIMO system (M, K).

The NS-based precoder suffers from slow convergence. To Thus, the (n, m)th element of the matrix Z and the nth

solve this problem, the inverse of G in (4) is modified to: element of the vector b in (11) can be approximated by:

−1

ÕN

G−1 ≈ Ĝ = An−1 (IK − DG)n−1 D n + m − 2 ÕK r+2

(6) Õn+m−2

n=1 [Z]n,m ≈ (−1)r v

where A0, . . . , A N −1 are introduced weights to the terms of the r=0 r k=1 k

NS expansion to enhance its convergence. Õn−1 n − 1 ÕK r+1

1) Problem formulation: The objective is to minimize the [b]n ≈ (−1)r v (12)

r=0 r k=1 k

error between the exact matrix inverse G−1 and the approxi- where v1, . . . , vK are the roots of the generalized La-

−1

mate matrix inverse using NS expansion Ĝ defined in (6). guerre polynomial LKM−K+1 (Mv); where LKM−K+1 (Mv) =

l

The optimization problem can be expressed as: ÍK l M+1 (M v) [15].

2 l=0 (−1) K−l l!

−1

min P = min GĜ − IK (7) Accordingly, the solution of the set of equations in (8) and

A0,... A N −1 A0,... A N −1 f

(12) will get the optimal weights needed for the weighted NS

2) Optimal weights: Theorem 1. The optimal weights A∗n−1

−1 expansion computed once for every massive MIMO system.

that minimize the error between G−1 and Ĝ are the solution Although this approximation will induce some error, it is

of the system of linear equations described as follows; acceptable in i.i.d. channels and in correlated channels with

Za = b (8) low to moderate correlation factor values as shown section IV.

2162-2337 (c) 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.

This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LWC.2017.2761876, IEEE Wireless

Communications Letters

3

IV. S IMULATION R ESULTS the system. Hence, the complexity of the weighted NS-based

In this section, we compare the performance of the proposed precoder is the same as that of the conventional NS-based

weighted NS-based precoder with the exact matrix inversion precoder. Before the comparison, we need to differentiate

precoder and the NS-based precoder [6]. The performance between two types of precoders (2); one that computes G−1

measures in Figure 1 are the bit error rate (BER) and the and the other computes G−1 s. The first one is computed

average achievable rate per user rk , which is defined as [4]; once per channel coherence time while the other one is

1 ÕK recomputed for every new symbol vector s sent during the

rk = E[log2 (1 + SINRk )] (13) channel coherence time. Consequently, the complexity of the

K k=1

where the expectation is taken over different channel realiza- second type needs to be multiplied by the number of symbol

tions. The signal to interference and noise ratio (SINR) of the vectors per channel coherence time which is denoted by Nspc .

k th user is following [7];

ρ

kwk,k k 2 TABLE I

SINRk = ρ ÍKK (14) C OMPUTATIONAL C OMPLEXITY C OMPARISON

z,k kwk,z k + 1

2

K

where wk,z is the element in the k th row and the z th column Matrix Inversion Complexity

Approximation Technique

of the precoding matrix W = βHHH G−1 .

Weighted NS [9] 2K 3 + M K Ns p c

11

SSOR [9] (10K 2 + 3K + M K)Ns p c

TPE [4] (12M K + 4M − 2K)Ns p c

−1

10 10

6.85

Average rate per user (bit/sec/Hz)

6.8

9 6.75

In Table I, the complexity of weighted NS precoder is

−2

6.7 compared with the complexity of SSOR precoder [9] and the

10 8

(1,0) 11.8 12 12.2 approximate complexity of the TPE precoder [4]. Note that

BER

(1,0.1)

(1,0.3) 7 Table I is concerned with the computational complexity of

multiplications and additions operations in computing G−1 s

(2,0)

−1.74

(2,0.1) 10 (1,0)

−3

10 6

only. There is also the multiplication by βHH as shown in (2)

(2,0.3) (1,0.3)

(3,0) (2,0)

(2,0.3)

(3,0.1)

−1.84

5

(3,0)

and since it is a common operation in all the methods, it will

(3,0.3) 10

10

−4 21.2 21.4

4

(3,0.3) not affect the comparison and thus excluded. From [4] and

14 16 18 20

SNR (dB)

22 24 26 5 10 15

SNR (dB)

20 25

[9], the 3 methods show near optimal performance at N = 4,

so the complexity will be calculated at N = 4. Table I shows

Fig. 1. Performance of different matrix inverse approximations for 256 × 32 that there are 3 parameters affecting the complexity; K, M and

ZF precoder.

Nspc . The weighted NS complexity is lower than or equal to

The modulation scheme is 64-QAM. The configuration of the SSOR in [9] and the TPE in [4] when;2K 3 ≤ 10K 2 Nspc <

the massive MIMO system is set to M × K = 256 × 32. All 12MK Nspc . These conditions reduce to:

the simulations were done on 1000 channel realizations with K ≤ 5Nspc (15)

the optimal weights computed only once by solving the set In the case of TDD operation in 5G [16], Nspc = γ (τc −

DL

of equations defined in (8) and (12), then the output optimal τp ), γ DL is the fraction of the payload used by the downlink,

weights are used in the weighted NS precoder defined in τc is the number of transmission symbols that fit into a

(2) and (6). Figure 1 evaluates the weighted NS precoder coherence interval (ranges from 200 for highway velocity

in i.i.d. channels and correlated channels. The exponential users in urban environments to 104 for low mobility users

correlation model with correlation factor a [4] has been used and short delay spread at 2 GHz carrier frequencies) and

for comparison. The symbol (i, j) used in Figure 1 means τp is the number of symbols allocated for pilot sequences

that the method of matrix inversion is determined by i and transmission (τp = ηK,where η ≥ 1). For low mobility

the value of correlation factor a is j. i = 1, 2, 3 represents users, τc = 104 ,τp = ηK and γ DL = 0.5, the inequality

exact inversion, NS inverse in [6] and proposed weighted NS in (15) is always satisfied i.e. the weighted NS has lower

inverse in (6), respectively. Note that a = 0 is the case of complexity than TPE [4] and SSOR [9]. For high velocity

i.i.d. channels. The number of expanded NS terms is set to users, τc = 200,τp = ηK and γ DL = 0.5, in (15) then;

4. Figure 1 shows that at correlated channels with a = 0.1 200 2

the performance is very close to i.i.d. channels and that even 1≤η≤ − (16)

K 5

though the performance of the NS-based precoder in [6] may The weighted NS-based precoding has equal or lower com-

degrade in correlated channels when the correlation factor plexity when the number of pilot sequences η satisfies (16).

increases from a = 0.1 to a = 0.3, but the weighted NS inverse Note that (16) tends to fail when the number of users K

speeds up the convergence and almost have the same BER and increases such that the condition η ≥ 1 can not be satisfied.

average rate as the exact inversion at only 4 expanded terms.

VI. C ONCLUSION

V. C OMPLEXITY A NALYSIS This letter proposes a weighted NS precoder for massive

The main advantage of the approximate weights is that they MIMO systems to speed up the convergence of the NS

are calculated once and do not affect the total complexity of precoder. The optimal weights were deduced analytically and

2162-2337 (c) 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.

This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LWC.2017.2761876, IEEE Wireless

Communications Letters

4

approximated based on the asymptotic properties of large • Differentiating P in (20) w.r.t. An−1 .

Wishart matrices. Simulation results showed that the weighted ∂P

Õ

N Õn−1

n − 1 Õm−1

m−1

NS precoder has a remarkable increase in the convergence to = (−1)x (−1)y

∂ An−1 m=1 x=0 x y=0 y

the exact inverse precoder and that the approximate weights h i

are insensitive to channel realizations in case of i.i.d. and × tr (GD)x+1 (DG)y+1 Am−1

correlated channels at low to moderate correlation factor. Õ Õ

Moreover, when it is compared in terms of complexity with N Õm−1 x m−1 n−1 y n−1

+ (−1) (−1)

state of the art precoders at the same performance, the m=1 x=0 x y=0 y

weighted NS precoder has lower complexity except in the case

x n−1

h i Õn−1

x+1 y+1

of very large number of users in high mobility environments. × tr (GD) (DG) Am−1 − 2 (−1)

x=0 x

h i

A PPENDIX × tr (GD)x+1 ∀n = 1, . . . , N. (21)

P ROOF OF T HEOREM 1

• Minimizing P w.r.t. An−1 , by setting ∂A∂Pn−1 = 0 in (21);

• Simplifying (7) using the identity kXk 2f = tr(XXH ) Õ Õ

h Õ N Õn−1 x n−1 m−1 y m−1

N i (−1) (−1)

P = tr G An−1 (IK − DG)n−1 D − IK m=1 x=0 x y=0 y

n=1

h i

h ÕN iH ×tr (GD) (DG) +(GD) (DG)

x+1 y+1 y+1 x+1

Am−1

× G Am−1 (IK − DG)m−1 D − IK (17)

m=1 Õ h

n−1 n−1 i

• Using the binomial theorem (IK − DG)n−1 = =2 (−1)x tr (GD)x+1 ∀n = 1, . . . , N. (22)

Ín−1 x n−1 x x=0 x

x=0 (−1) x (DG) , (17) can be modified to:

h Õ • Rewriting (22) in the matrix form, we get the set of

N Õn−1 n−1 i

equations in (8-9) whose solution are the optimal weights.

P = tr An−1 (−1)x G(DG)x D − IK

n=1 x=0 x

iH

h ÕN Õm−1 m − 1 R EFERENCES

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2162-2337 (c) 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.

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